Insights from 11 Years of Good Clinical Practice (GCP) Inspections
Although only 20% of all GCP inspections are conducted at sponsor sites, the majority of critical observations are identified there. In this analysis, 11 years of GCP inspections conducted by the GCP Inspector Working Group (GCP-IWG) from 2013 to 2023 were reviewed. The findings indicates that, from a sponsor’s trial management perspective, developing and implementing a robust data management and a monitoring plan can reduce the likelihood of receiving a critical deficiency by 60%.
Medicines entering the European Union through the centralized procedure are reviewed and authorized by the European Medicines Agency’s (EMA) Committee for Medicinal Products for Human Use (CHMP). As part of the approval process, the CHMP may request the GCP-IWG to conduct an inspection to determine whether a clinical trial is, or has been, conducted in accordance with local regulations and GCP principles.
For a sponsor, investigator, or clinical research organisation (CRO), receiving notice of an impending inspection can understandably induce stress and concern.
Each year, the GCP-IWG conducts inspections both within Europe and internationally. Approximately 60% of these inspections take place at clinical investigator sites, 20% at sponsor sites, and 8% at CRO sites. The remainder are conducted at analytical laboratories and other facilities. Upon completion of an inspection, the GCP-IWG issues a report detailing any deficiencies identified and provides an overall compliance rating for the site.
These reports are available online and can be leveraged to better prepare the site for an inspection.
Table 1 summarizes the total number of inspections conducted each year alongside the total number of deficiencies reported. While the number of inspections fluctuated over the 11-year period - largely due to the impact of the COVID-19 pandemic - the number of deficiencies per inspection remained surprisingly consistent. The coefficient of variation was only 9.2% with most years showing between 10 and 13 deficiencies per inspection, indicating a stable pattern in inspection outcomes despite variability in inspection volume. This pattern is reminiscent of an anecdote shared by a quality manager following one of his inspections. After completing the review, the inspector approached the quality manager and said, “Your site has passed the inspection, but in the spirit of continuous improvement, I have to find something you can improve.” The consistency in deficiencies per inspection observed in this analysis seems to echo that sentiment, there’s almost always something to be found.
Table 1: Number of inspections and deficiencies from 2013 to 2023.
Year | Total # Inspections | Total # Deficiencies | Deficiencies/ |
2013 | 83 | 1052 | 12.67 |
2014 | 57 | 673 | 11.81 |
2015 | 75 | 912 | 12.16 |
2016 | 85 | 1033 | 12.15 |
2017 | 102 | 979 | 9.60 |
2018 | 98 | 1142 | 11.65 |
2019 | 120 | 1491 | 12.43 |
2020 | 34 | 363 | 10.68 |
2021 | 27 | 286 | 10.59 |
2022 | 36 | 470 | 13.06 |
2023 | 67 | 720 | 10.75 |
How are deficiencies categorized?
1. General | 2. Trial management (sponsor | 3. Investigational site |
4. Investigational medicinal product (IMP) | 5. Subject protection | 6.Informed Consent |
7.IEC/IRB | 8.Lab/Technical facilities | 9.Regulatory Issues |
10.Computer system | 11.Others |
As per the GCP-IWG classification system, deficiencies identified during inspections are categorized into 11 GCP areas:
Once a deficiency is assigned to the appropriate GCP category, it is further classified based on severity as minor, major, or critical, as detailed in Table 2.
Table 2: Minor, Major, and Critical Deficiencies.
Type | Minor
| Major | Critical |
| Conditions, practices or processes that would not be expected to adversely affect the rights, safety or well-being of the subjects and/or the quality and integrity of data. | Conditions, practices or processes that might adversely affect the rights, safety or well-being of the subjects and/or the quality and integrity of data. | Conditions, practices or processes that adversely affect the rights, safety or well-being of the subjects and/or the quality and integrity of data. |
| Observations classified as minor, indicate the need for improvement of conditions, practices and processes. | Data may be rejected and/or legal action required | Rejection of data and/or legal action required. |
What GCP Category Has the Highest Number of Critical Deficiencies?
Given the severe consequences of a critical deficiency, sponsors, investigators, and CRO must develop a risk management plan to reduce their occurrence. Over the 11-year period, two categories consistently ranked first and second for the highest number of critical deficiencies. Trial management (sponsor) ranked first, while General ranked second, in 9 out of the 11 years. However, the order switched in 2016 and 2017, with General ranking first and Trial management (sponsor) ranking second in those years.
Table 3: Top 2 categories with the highest number of critical observations.
Year | Total Critical | Trial mgmt | General | % | % | Rank 1 | Rank 2 |
2013 | 64 | 26 | 15 | 40.62 | 23.43 | Trial mgmt | General |
2014 | 30 | 13 | 6 | 43.33 | 20 | Trial mgmt | General |
2015 | 106 | 25 | 20 | 25.58 | 18.86 | Trial mgmt | General |
2016 | 93 | 25 | 36 | 26.88 | 38.70 | General | Trial mgmt |
2017 | 72 | 18 | 30 | 25.00 | 41.66 | General | Trial mgmt |
2018 | 66 | 26 | 20 | 39.39 | 30.30 | Trial mgmt | General |
2019 | 151 | 56 | 39 | 37.08 | 25.82 | Trial mgmt | General |
2020 | 16 | 9 | 2 | 56.25 | 12.50 | Trial mgmt | General |
2021 | 24 | 11 | 6 | 45.83 | 25.00 | Trial mgmt | General |
2022 | 17 | 9 | 4 | 52.94 | 23.52 | Trial mgmt | General |
2023 | 36 | 11 | 7 | 30.55 | 19.44 | Trial mgmt | General |
Zooming in on the Trial Management (Sponsor) Category
The trial management (sponsor) category is further divided into 7 sub-categories
1. Audit | 2. Clinical Study Report | 3. Data Management | 4. Document Control |
5. Monitoring | 6. Protocol/CRF/Diary/Questionnaire Design | 7. Statistical Analysis |
Further examination of these seven sub-categories reveals that, on average, over 60% of all critical deficiencies within this category arise from Data Management and Monitoring, as shown in Table 4.
Table 4: Percentage of critical deficiencies in the subcategories of data management and monitoring.
Year | %Data Mgmt(D) | %Monitoring(M) | %D+M | %Others |
2013 | 34.62 | 30.77 | 65.38 | 34.62 |
2014 | 30.77 | 46.15 | 76.92 | 23.08 |
2015 | 16.00 | 52.00 | 68.00 | 32.00 |
2016 | 32.00 | 44.00 | 76.00 | 24.00 |
2017 | 33.33 | 38.89 | 72.22 | 27.78 |
2018 | 34.62 | 34.62 | 69.23 | 30.77 |
2019 | 41.07 | 17.86 | 58.93 | 41.07 |
2020 | 11.11 | 11.11 | 22.22 | 77.78 |
2021 | 54.55 | 0.00 | 54.55 | 45.45 |
2022 | 33.33 | 11.11 | 44.44 | 55.56 |
2023 | 45.45 | 36.36 | 81.82 | 18.18 |
Examples of critical observations in data management and monitoring
Data management:
- Handling of protocol deviations was deficient, leading to incorrect per-protocol analysis set.
- Deficiencies in the data query process leading to incorrect information in the clinical study report.
- Lack of review and sign-off of eCRF data by PIs or delegates.
Monitoring:
- Monitoring procedures failed to detect protocol deviations, reconcile IMP accountability.
- Late identification of protocol deviations, poor classification of protocol deviations and serious breaches.
- Assessment of AEs, eligibility, and physical examination not done by the physician was not detected by the trial monitor.
As a sponsor, you can strengthen trial management compliance by developing and implementing a data management and monitoring plan, thereby reducing the likelihood of receiving a critical deficiency during a GCP inspection by 60%.
References: Annual reports from 2013 to 2023 were sourced from the GCP-IWG website. https://www.ema.europa.eu/en/human-regulatory-overview/research-development/compliance-research-development/good-clinical-practice/good-clinical-practice-inspectors-working-group.
Written by: Edouard AL-Chami