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Work programme 2017


Annex 4: Risks The

Annex 4: Risks The European Medicines Agency operates in a risk environment of growing uncertainty. To assist the Agency in visualising, assessing and mitigating the risks that threaten delivering its mission, the Agency has developed a sustainable process to identify, assess and manage risks across the organisation to ensure achievement of key organisational objectives and avoid surprises. This process is aligned with the principles of the IRM standard and the Agency-wide risk management manual, and consists in identifying, assessing and mitigating enterprise risks through the following process: • Risk identification: This phase consists of facilitated sessions with all middle and senior managers across all areas of the organisation. In these sessions, managers are asked to identify what they view as the key risks to the Agency achieving its strategic objectives. From these sessions, significant risks are selected for further assessment. • Risk assessment: In this phase, managers identify the likelihood and potential impact of each of the identified risks. • Risk mitigation: Based on the results of the assessment phase, primary risk owners for each key risk and its relevant sub-components are identified and potential mitigating activities are documented in accordance with the procedures laid out by the Agency-wide risk management manual. Significant risks are then reviewed by the EMA Executive Board, which acknowledges the risks and validates the action plans to further mitigate critical risks. Risks are assessed and reported at a residual level, i.e. taking into account controls and mitigations that are already in place. Risks are reported consistently on a 6x6 matrix (likelihood x consequence) and only the risks with residual risk rate of 16 or above (critical risk) are discussed by the Executive Board, indicating that the acceptable residual risk rate is 1 to 15. The significant risks that could potentially impact achievement of the Agency's objectives and respective mitigating actions and controls that successfully reduce the risks to an acceptable level (those already in place as well as those planned to be implemented in 2017-2018) are outlined in the tables below. These risks, should they materialise and the consequences not be appropriately managed, would result in operational, reputational, legal or financial implications for the Agency and achievement of its objectives. Table 1 – Operational activities Risk Mitigating actions and controls Product assessment – procedure management Incorrect scientific opinions due to lack of required competences and expertise of experts In place: • Legal requirements regarding expertise and competence • Appointment process for CxMP, working party and SAG members • Management Board review of CHMP, CVMP and PRAC competencies • Criteria for competence and expertise of committee members and alternates for CHMP and PRAC • Defined roles and responsibilities of experts and committees • Establishment of specialised forums for experts (including SAGs) • Proactive search for expertise from academia/learned societies • Possibility for expert witnesses having limited controlled role • Revised policy on CoI to improve balance between reducing risk for CoI and Work programme 2017 EMA/583016/2016 Page 110/123

Risk Mitigating actions and controls using best available expertise • Joint EMA-HMA training strategy Product assessment – Conflict of interests / independence NCA experts participating in the assessment work at the level of national agencies influence the outcome due to a failure to disclose conflicts of interests Experts attending and providing advice or opinions during EMA committees, working parties and other groups, influence the outcome due to a failure to disclose conflicts of interests Product assessment – Applicant's manipulation of data Incorrect scientific opinion due to infringement of compliance involving data manipulation by applicant or third party supplying data Inspections Risk of substandard data and information, and resulting negative impact on the scientific opinions on medicinal products due to non-compliance of thirdcountry companies with EU standards for GMP, GCP, GLP and GVP for centrally and nationally authorised products In place: • Legal requirements for independence • Contractual arrangements and memorandum of understanding with NCAs • Agreement by HMA that EMA standards should be the minimum standards applied at NCAs In place: • Legal requirements for independence • EMA code of conduct • Framework for decision-making process at CxMP • Policy on handling competing interests of scientific committee members and experts • Check of interests declared by members and experts participating in meetings • Publication of e-DoIs and e-CVs of committee members and experts on Agency website • Breach-of-trust procedures on conflicts of interests for scientific committee members and experts • Comparing e-CVs and e-DoIs to uncover discrepancies regarding conflicts of interests • KPIs to monitor competing interests declared • Guidance on the handling of declarations of interests in case of a scientific committee member/other (scientific) forum member's intention to become an employee in a pharmaceutical company • Annual review of independence policies • Re-activation of the Declaration of Interests evaluation Advisory group Planned: • Improvements to the Experts database to incorporate DoI evaluation forms and overview of involvement of the experts In place: • Cross-Agency infringement action group • Increased transparency to third parties through access to documents, encouraging reporting of infringements • Procedures for implementation of Penalties Regulations In progress: • Active publication of clinical-trials data post-authorisation • Policy and procedures for handling whistle-blowers/parties raising concerns • Triage of cases procedure Planned: • Policy and procedures on EMA activities relating to prevention, detection, investigation and action relating to infringement For GCP In place: • The ICH process • GCP Inspection Policy (expansion of routine inspections for 3 rd countries) • Third countries policies/work programmes • EC bilateral relations with other 3rd countries and exchange of inspections information and reports, in particular negative cases • EMA GCP Working Group on acceptability of 3rd country clinical trials established • Guidance on the acceptability of 3rd country clinical trials • International cooperation through training and capacity-building activities Work programme 2017 EMA/583016/2016 Page 111/123