Labelling Procedure

Labelling , Purpose :

Labelling , To describe the procedure for status labeling to identifying correct status of Equipment, area, Stage of product, Raw Material & Packaging Material at a given point of time.

Labelling , Scope :

This procedure is applicable for all materials/products received and stored in General Block & Sterile Block at XX Pharmaceuticals Ltd. that has the potential to affect GMP and quality, safety or efficacy of the finished product.
This procedure is also applicable for control of status identifying labels, process label and product labels used in Production, Warehouse, Quality Control and Quality Assurance departments in General Block & Sterile Block at XX Pharmaceuticals Ltd.

Definitions / Abbreviation:

[][]Labeling: Displaying status and identity of a material or a thing.

Responsibilities:

[][]The roles and responsibility is as follows:

Concerned Department

[][]Concerned department Officers/ Executive shall be responsible to carry out the activity as per procedure.
[][]To affix the status label as per procedure.

Head, Concerned Department

[][]Concerned Department Heads shall be responsible for effective implementation of procedure and activities.

Quality Assurance

[][]To ensure implementation of labeling procedure & proper labeling as per SOP.

Manager, Quality Assurance

[][]Approval of the SOP.
[][]To ensure the overall implementation of the SOP.

Procedure:

[][]In order to avoid mix-ups and contamination, for easy identification and traceability, of product and to ensure working as per GMP standards it is important to affix status label at each stage of process on equipment’s, products, containers, accessories and areas. Labels of various types are used in manufacturing functions.
[][]The purpose, type and use of each label are described as below.

General procedures for label handling:

[][]Every status-identifying label shall have distinctive format number and master copy for all computers generated and printed label formats shall be preserved securely under lock and key with Manager, Quality Assurance.
[][]Each and every container of active pharmaceutical ingredients (APIs), excipients, raw materials, intermediate products, primary and printed packaging components will have to be labeled denoting proper status.
[][]Every supplier batch will have status label (e.g. Passed label) with one unique batch/ lot number.
[][]For tertiary packing materials (product nonspecific i.e. shipper carton, master carton) pallet wise labeling process will be followed.
[][]All labels will be preprinted self-adhesive labels which provide blank space for printing/ writing necessary information.
[][]After printing/ generating of status label an authorized person will verify the correctness of printing.
[][]Containers/packs where self-adhesive label cannot be pasted securely (Sack/ polythene bag) transparent tapes will be used at every side for affixation. Stapler pin will never be used for affixation of label.
[][]No material/ product/equipment without status label shall be stored either in the warehouse or production floor.
[][]Warehouse personnel cannot issue material from any container to production where ‘PASSED’ label is not available.
[][]During dispensing of active raw materials, Officer/ Executive will ensure that every container contains three status label (QUARANTINED, SAMPLED, UNDER TEST and PASSED).
[][]In case of other raw materials (excipients) & packaging materials, all containers/ pack/ pallet must have ‘UNDER TEST’, ‘PASSED’ and ‘QUARANTINED’ label. ‘SAMPLED’ labels will be found between ‘QUARANTINED’ and ‘UNDER TEST’ label only on containers from which the samples were taken.

[][]Label must not be applied on the container lids.
[][]Labels will be applied on the body of the containers so that it will be easily visible. Label must not be overwritten and erased out.
[][]Labels will be handled securely in a segregated manner (under the custody of an authorized person) with controlled access.

Quarantined Label:

[][]After receipt and checking of incoming materials, warehouse Officer/ Executive will print ‘QUARANTINED’ labels with necessary information for all containers/packs for each batch of materials.
[][]Authorized warehouse personnel will provide all the entry required for ‘QUARANTINED’ label.
[][]Warehouse Officer/ Executive will verify and ensure that all the information printed on the labels of first sheet is correct and then will give command to authorized warehouse personnel for printing total ‘QUARANTINED’ labels required for the respective lot. Any label with printing error will be destroyed instantly.
[][]Warehouse Officer/ Executive will sign (issued by) and authorized person of the warehouse will affix all ‘QUARANTINED’ labels on each container of the incoming materials.
[][]This label is printed with black overprint on Orange background.

Approved Label:

[][]Quality Assurance Executive shall affix the ‘Approved Label’ on respective process container after receiving the certificate of analysis of that material / Product from QC.
[][]Quality Assurance Executive shall issue this label to approving In-process Granules/Powder, Uncoated /Coated Tablet for Work in progress.
[][]This label is printed with black overprint on Blue background.

Sampled Label:

[][]On receipt of Good Received Note (GRN) from warehouse, QC personnel will follow the SOP for Raw material sampling and release procedure or SOP for Packing material sampling and release procedure to determine the sampling plan and the number of the containers to be sampled.
[][]QC Officer/ Executive/ authorized person will issue and print required ‘SAMPLED’ labels according to sampling plan.
[][]After sampling, duly signed ‘SAMPLED’ label will be affixed on the containers or packs from which samples are withdrawn.
[][]The ‘SAMPLED’ label will be affixed beneath the ‘QUARANTIED’ label in a cascading manner (slight overlapping) without hiding any information of ‘QUARANTIED’ label.
[][]This label is printed with black overprint on Yellow background.

Hold Label:

[][]Manager, Quality Assurance may hold any raw material, packaging material or finished product when necessary.
[][]Quality Assurance personnel will print ‘HOLD’ label with necessary information.
[][]After signed by authorized person, Quality Assurance personnel will affix ‘HOLD’ label on the pallet/ container that will be hold for long time for a decision of passing or rejection.
[][]When final decision of passing or rejection is taken, Quality Assurance personnel will remove the ‘HOLD’ label and destroy them. Then, ‘PASSED’/ ‘REJECTED’/ ‘APPROVED’ labels will be affixed.
[][]This label is printed with black overprint on orange background.

Passed Label:

[][]QC Officer/ Executive will follow the SOP for Raw material sampling and release procedure or SOP for packing material sampling and release procedure and issue the ‘PASSED’ label.
[][]QC officer / Executive will take required sheets of blank ‘PASSED’ labels. The quantity of ‘PASSED’ label will be based on number of containers/packs for each batch of materials
Officer/ Executive, QC will provide all the entry required for ‘PASSED’ labels and take the print-out of one page first.
[][] Another Officer/ Executive, QC will verify and ensure that all the information printed on the first sheet of labels is correct and then will give the command for printing total ‘PASSED’ labels required for the respective lot. Any label with printing error will be destroyed instantly. Officer/ Executive, QC will sign ‘PASSED’ labels.

[][]Authorized QC person will affix the ‘PASSED’ label on each and every single container of raw materials or packaging materials with the help of warehouse personnel.
[][]‘PASSED’ label will be affixed just beneath the ‘UNDER TEST’ label in a cascading manner (slight overlapping) without hiding any information of previous label.
[][]This label is printed with black overprint on Green background.

Rejected Label:

[][]QC Officer/ Executive will follow the SOP for Raw material sampling and release procedure or SOP for packing material sampling and release procedure and issue the ‘REJECTED’ label.
[][]QC officer will take required sheets of blank ‘REJECTED’ labels. The quantity of ‘REJECTED’ label will be based on number of containers/packs for each batch of materials
[][]Officer/ Executive, QC will provide all the entry required for ‘REJECTED’ labels and take the print-out of one page first. Another Officer/ Executive, QC will verify and ensure that all the information printed on the first sheet of labels is correct and then will give the command for printing total ‘REJECTED’ labels required for the respective lot. Any label with printing error will be destroyed instantly.
[][]Manager, QC will sign ‘REJECTED’ labels.
[][]Authorized QC person will affix the ‘REJECTED’ label on each and every single container of raw materials or packaging materials with the help of warehouse personnel.
[][]‘REJECTED’ label will be affixed just beneath the ‘QUARANTIED’ label or ‘UNDER TEST’ label in a cascading manner (slight overlapping) without hiding any information of previous label.
[][]This label is printed with black overprint on Red background.

Under Retest Label:

[][]Ware house Officer will identify any requirement for retesting of materials and immediately paste a ‘UNDER RETEST’ label on the container just beneath the previous ‘PASSED’ label and transfer the material to quarantined area. Warehouse Officer will inform the Manager, QC to arrange sampling for retesting
[][]This label is printed with black overprint on Yellow background.

Returned label

[][]The ‘RETURNED’ Label is displayed on the container/material for identification of Product status.
[][]Concerned Department shall affix this label on excess material that is to be left after Primary Processing, e.g Drying/ Pulverization/ packaging operation.
[][]Ensure that the materials returned are clean, free of dust, properly covered and in uniform countable bundles or pack.
[][]This label is printed with black overprint on White background.

Cleaned Card Label

[][]The “CLEANED” label is displayed for the identification status of the equipment after completion of cleaning activity.
[][]Use this label after complete cleaning, as per SOP.
[][]In case of start of the operation, filled this label to be affixed in BMR/BPR.
[][]This label is printed with black overprint on green background.
[][]Following are the details to be filled up in the respective blank spaces. Label to be filled by operator / supervisor.
[][]Equipment Name: Name and/or ID no of the equipment, which is cleaned.
[][]Previous Product: Name of the product for which cleaning activity is completed in that particular equipment.
[][]Batch No.: Batch No. of the above product.
[][]Date of cleaning: Date on which equipment is cleaned.
[][]Use on or before: Date before which equipment can be used.
[][]Cleaned by: Signature or name of the person by whom equipment is cleaned.
[][]Checked by: Signature of production supervisor after verification of the filled contents in the label and after visual verification of cleanliness of the equipment.
[][]Verified by: Signature of the QCOM person, after visual verification of cleanliness of the equipment’s.
[][]To be used for product: The product which will be taken for process after the equipment cleaning.
[][]Batch No.: Batch no. of the product which will be taken for process after equipment cleaning.

Partially Cleaned Label

[][]The PARTIALLY CLEANED label is displayed for the identification status of the equipment after completion of cleaning activity.
[][]Use this label after partial cleaning, as per SOP.
[][]In case of start of the operation, filled this label to be affixed in BMR/BPR.
[][]This label is printed with black overprint on Yellow background.
[][]Followings are the details to be filled up in the respective blank spaces. label to be filled up by the operator/ supervisor.
[][]Equipment Name: Name and/or code no of the equipment, which is cleaned.
[][]Previous Product: Name of the product for which cleaning activity is completed in that particular equipment.
[][]Batch No.: Batch No. of the above product.
[][]Date of cleaning: Date on which equipment is cleaned.
[][]Use on or before: Date before which equipment can be used.
[][]Cleaned by: Signature or name of the person by whom equipment is cleaned.
[][]Checked by: Signature of production supervisor after verification of the filled contents in the label and after visual verification of cleanliness of the equipment.
[][]Verified by: Signature of the QCOM person, after visual verification of cleanliness of the equipment’s.
[][]To be used for product: The product which will be taken for process after the equipment cleaning.
[][]Batch No.: Batch no. of the product which will be taken for process after equipment cleaning.

To be Clean Label:

[][]This label is displayed for the identification status of the equipment, accessories and containers after its use.
[][]Followings are the details to be filled up in the respective blank spaces. label to be filled up by the operator/ supervisor.
[][]Previous Product: Name of the product for which processing activity is completed in that particular equipment.
[][]Batch No.: Batch No. of the above product.
[][]Signature: Signature of the production supervisor after verification of the filled contents in the label.
[][]Date: Date on which the equipment is due for cleaning.
[][]This label is printed with black overprint on Orange background.

Loose Label:

[][]‘Loose’ Label is to be affixed on loose container/shipper by Production Department.
[][]This label is printed with black overprint on White background.
[][]Executive, Production will provide all the entry required for ‘Loose’ labels and take the print-out. Any label with printing error will be destroyed instantly.

Material Dispensing Slip Label:

[][]This label is displayed for the identification status of the Dispensed Material.
[][]Use this label during of dispensing of material as per SOP.
[][]Officer/ Executive, Production will provide all the entry required for this label and take the print-out.
[][]In case of start of the operation, Executive, Production will affix this label in BMR.
[][]This label is printed with black overprint on White background.
[][]Followings are the details to be filled up in the respective blank spaces.
[][]Balance No.: Name of the Balance ID
[][]Operation: Material dispense for either Granulation or Coating.
[][]Material: Name of the Raw material
[][]Code: Code No. of the Raw material
[][]Lab Ref. No.: Lab Control No. of the Raw material
[][]Product: Name of the product that is to be manufactured.
[][]Batch No. : Batch no. of the concerned product.
[][]Batch size: Actual batch size of the concerned product.
[][]Gross Wt.: Total weight (wt) of the filled container without lid in kilogram (kg).
[][]Tare wt.: Weight of the empty container along with Polyethylene bags without lid before taking it in use in kg.
[][]Net Wt.: Subtract the tare wt. from gross wt. in kg.
[][]Container No.: Number of that particular container out of total no. of container used for the above batch.
[][]Dispensed by: Signature of dispensing Operator
[][]Checked by: Signature of Production Executive after verification of the filled contents in the label.
[][]Verified by: Signature of QCOM officer after verification of the filled contents in the label.

Process Label:

[][]This label is displayed on the container for identification of the product status.
[][]This label is to be used on the container during the manufacturing stage. For Example: Under sifting, under granulation, under solution preparation, Ready for Granulation / Drying / [][]Blending / Solution ready for coating.
[][]This label is printed with black overprint on White background.
[][]Following are the details of preprinted label to be filled up in the respective blank spaces and to be filled by operator / supervisor.
[][]Product: Name of the product collected / to be collected in the container.

[][]Batch No.: Batch no. of the concerned product.
[][]Status: Stage in which the product is ready for next step.
[][]Container No.: Number of that particular container out of total no. of container used for the above batch.
[][]Batch Size: Actual batch size of the concerned product.
[][]Mfg. Date & Exp. Date: Manufacturing and Expiry date of the concerned product.
[][]Gross wt.: Total weight (wt) of the filled container without lid in kilogram (kg).
[][]Tare wt.: Weight of the empty container along with Polyethylene bags without lid before taking it in use in kg.
[][]Net wt.: Subtract the tare wt. from gross wt. in kg.
[][]Checked by: Signature of Production officer after verification of the filled contents in the label.

Product Label:

[][]This label is displayed on the Shipper for identification of the product status.
[][]This label is to be used on the Shipper during the Secondary Packaging Operation.
[][]This label is printed with black overprint on White background.
[][]Following are the details of preprinted label to be filled up in the respective blank spaces and to be filled by operator / supervisor.
[][]Product: Name of the product collected / to be collected in the shipper.
[][]Batch No.: Batch no. of the concerned product.
[][]Mfg. Date & Exp. Date: Manufacturing and Expiry date of the concerned product.
[][]Pack Quantity: Total no. of pack in Shipper.
[][]Sr. No.: Total No. of Shipper

[][]Packed by: Name / sign of the Operator /Supervisor who are involved in shipper Making & closing.
[][]Storage Condition: Storage Condition of the concerned product.

Area / Equipment Label:

[][]This label is used to exhibit the process that is being carried out in the area/equipment, tick (√) whichever is applicable.
[][]This label is printed with black overprint on Green background.
[][]The area is labeled at the start-up of the batch.
[][]Following are the details to be filled up in the respective blank spaces. Label to be filled by operator / supervisor.
[][]Product: Name of the product taken or to be taken for processing on that particular equipment.
[][]Batch No.: Batch number of the above product.
[][]Batch size: Actual batch size in written in the BMR.
[][]Status: Particular stage of activity in process.
[][]Checked by: Signature of Production supervisor after verification of the filled contents in the label.
[][]Date: Date on which the process takes place.

Retention Sample:

[][]QC / QA officer shall affixed sample Label on the sample Poly bag or container which is to be sample for retaining.
[][]This label is printed with black overprint on White background.

[][]Officer/ Executive, QC or QCOM will provide all the entry required for ‘Retention Sample’ labels.

Cleaned Label:

[][]This label is displayed for the identification status of the accessories and containers after completion of cleaning activity.
[][]This label should not be attached with BMR/BPR.
[][]This label on containers and accessories should be defaced with a cross-line and destroyed when taken for use.
[][]In case of start of the operation, this label has to be removed from container and ‘ Process’ label to be affixed.
[][]In case of start of the operation, this label has to be removed from accessories and ‘Area/ Equipment’ label to be affixed.
[][]This label is printed with black overprint on Green background.

Under Test Label:

[][]This label is displayed on the container/ Packet for the identification status of the material/product after sampling for QC Test.
[][]QC / QCOM Executive shall affix this Label after completion of sampling activity.
[][]This label is printed with black overprint on Yellow background.

Annexure: Download all here

Annexure-I: Blank format for ‘Quarantined’ label.
Annexure-II: Blank format for ‘Approved’ label.
Annexure-III: Blank format for ‘Sampled’ label.
Annexure-IV: Blank format for ‘Hold’ label.
Annexure-V: Blank format for ‘Passed’ label.
Annexure-VI: Blank format for ‘Rejected’ label.
Annexure-VII: Blank format for ‘Under Retest’ label.
Annexure-VIII: Blank format for ‘Returned’ label.
Annexure-IX: Blank format for ‘Cleaned’ label.
Annexure-X: Blank format for ‘Partially Cleaned’ label.
Annexure-XI: Blank format for ‘To Be Cleaned’ label.
Annexure-XII: Blank format for ‘Loose’ label.
Annexure-XIII: Blank format for ‘Material Dispensing Slip’ label.
Annexure-XIV: Blank format for ‘Process’ label.
Annexure-XV: Blank format for ‘Product’ label.
Annexure-XVI: Blank format for ‘Area/ Equipment’ label.
Annexure-XVII: Blank format for ‘Sample’ label.
Annexure-XVIII: Blank format for ‘Retention Sample’ label.
Annexure-XIX: Blank format for ‘Cleaned’ label.
Annexure-XX: Blank format for ‘Under Test’ label.

Labelling Procedure Read More »

Batch Numbering and Coding System

Batch Numbering, Purpose :

Batch Numbering, The purpose of this SOP is to describe the procedure of batch numbering system of finished product and issuing code number of raw, packaging and finished product.

Batch Numbering, Scope :

This procedure is applicable for coding of all raw materials, packaging materials, finished products and batch numbering system of finished product at XX Pharmaceuticals Limited (Both General and Sterile Block).

Definitions / Abbreviation:

[][]Batch Number: A distinctive combination of numbers and/or letters which uniquely identifies a batch on the labels, its batch records and corresponding certificates of analysis, etc.
[][]Code Number: An arrangement of numbers providing a unique identity to the items which they are assigned.

Responsibilities:

[][]The roles and responsibility is as follows:

Executive/ Manager, Product Development

[][]To inform and request Supply Chain department that the new materials to be used for product development.

Executive/ Manager, Supply Chain

[][]Issue the unique material code number of each raw material and packaging materials and as well as finished product

Executive/ Manager, PMD

[][]To inform and request Supply Chain Department to issue material & product code for new products.

Executive/ Manager, Quality Control

[][]Implementation of the total coding system.

Executive/ Manager, Quality Assurance

[][]Implementation of the total coding and batch numbering system.

Executive/ Manager, Production

[][]Implementation of the total coding and batch numbering system

Manager, Quality Assurance

[][]Approval of the SOP.
[][]To ensure that the implementation of the system as per SOP.

Procedure:

Raw Material Coding System:
[][]Maintain seven alphanumerical characters (first three characters are alphabetic and last four characters are numerical) for Raw Material Coding System.
[][]Start the coding with ‘RM’ which stands for ‘Raw Material’ and it is common for every raw material coding system
[][]For the Active Raw Material select ‘A’ as the third character of the code. When the raw material is excipient then select ‘E’ instead of ‘A’.
[][]At last specify the code number with four numerical characters to indicate the separate material. Following this procedure, raw material code for the first enlisted Active Material (API) will be RMA0001 and the second one (API) will be RMA0002.
[][]When the same material has different categories (such as compacted, granular, pharma grade etc.) then for every category, a new code number will be generated maintaining previous procedures.
[][]For example: Raw Material Code Number ‘RMA0001’ stands for
RM=Raw Material
A=Active (In case of Excipient it will be ‘E’)
0001=Individual number of raw material

Packaging Material Coding System:

[][]Maintain seven alphanumerical characters (first four characters are Alphabetic and last three characters are numerical) for Packaging Material Coding System.
[][]First characters which stands for packaging material. Second character will be changed for primary and secondary packaging material, When primary packaging material it will be ‘P’ and when secondary packaging material it will be ‘S’.
For example
=>PP= Primary Packaging Material
=>PS= Secondary Packaging Material

[][]Next two characters which stand for sub category of packaging material. It will be changed for every sub category of packaging material as Annexure-I.
[][]Last three characters which stand for sequential number. Every sub category material starts with sequential number 001. Such as
=>AB-001= Alu- Bottom foil
=>TF-001= Alu-Lid foil
=>And so on

[][]The sequential number will be changed when different types of materials come in same sub category. For example
=>AB-001= Alu –Bottom foil 206 mm
=>AB-002= Alu –Bottom foil 183 mm
=>And so on

[][]Finally the coding system of packaging material is like
=>PP-AB-001
Where
=>PP stands for primary packaging material
=>AB-001 stands for alu bottom foil 206 mm

Finished Product Coding System:

[][]Maintain seven alphanumerical characters (first digit is alphabetic and last five digits are numerical) for finished product coding system.
[][]Start the coding with ‘P’ which stands for finished product. P is common for every finished product code numbering system.

[][]The last five digits 00001 is sequential number. It will be changed in every finished product coding system. It will be also changed when same product in different strength. For example finished product code of Cexoral 200 capsule is P-00001 and Cexoral 400 capsule is P-00002.
[][]Finally the finished product coding system is P-00001
[][]Where P stands for finished product
[][]is dash
[][]00001 stands for sequential number of individual product with strength.

Batch Numbering System for Finished Product:

[][]Maintain six characters (All six digits are numerical) for batch numbering system.
[][]First two digits stand for year. It will be changed for next year.
[][]For example
=>20AA for AA
=>20BB for BB
=>20CC for CC
And so on..
[][]The last four digits are yearly batch requisition serial number of products manufactured in XX Pharmaceutical Limited, Which (last four digits) will be started from 0001, next batch requisition serial will be started from 0002 and so on.
[][]In every new year, the last four digits (batch requisition serial number) will be started from 0001.
[][]Example for presentation of the Product Batch Number on the Inner Carton, Sample Pack, Label and Shipping Carton:
XX0001
Where
XX stands for year of 20XX
0001 sands for serial number of batch manufactured in year of 20XX.

Batch Numbering System for Water for Injection:

[][]Maintain six characters (six digits are alphanumerical) for batch numbering system.
[][]First digit stands for water for injection
[][]Second and third digits stand for year. It will be changed for next year.
For example
20AA for AA
20BB for BB
20CC for CC
And so on…

[][]The last three digits are yearly batch requisition serial number of water for injection which (last three digits) will be started from 001, next batch requisition serial will be started from 002 and so on.
[][]In every new year, the last three digits (batch requisition serial number) will be started from 001.
[][]Example for presentation of the preprinted ampoule:
WXX001
Where
[][]W stands for Water for injection
[][]XX stands for year of 20XX
[][]001 sands for serial number of batch manufactured in year of 20XX.

Annexure:

Annexure-I: Packaging Material Code

Batch Numbering and Coding System Read More »

Logbook Handling

Logbook , Purpose :

Logbook , The purpose of this SOP is to describe the procedure for issuance and control of logbooks authorized to use GMP related activities.

Logbook , Scope :

This procedure is applicable for all departments at XX Pharmaceuticals Limited (Both General and Sterile Block).

Definitions / Abbreviation:

[][]Logbook: A bound book, which contains preprinted serially page no. and preprinted pages as per the respective SOP’s requirement.

Responsibilities:

[][]The roles and responsibility is as follows:

Quality Assurance Personnel

[][]To issue as per SOP.
[][]To close the completed one.

Concerned Department

[][]To write raw data in it as per defined procedure
[][]To maintain it properly
[][]To submit the completed book.

Manager, Quality Assurance

[][]Approval of the SOP.
[][]To ensure that the implementation of the system as per SOP.

Procedure:

Concerned department shall prepare it for equipment/instrument used in their department. It will be issued by Quality Assurance.

Issue of Log book:

[][]Concerned department shall raise logbook issuance request (Annexure–I) for authorization of it to Quality Assurance.
[][]Quality Assurance shall assign Reference number to new logbook as given below.
e.g. PRO/1
Where
=>PRO is the department code of Production (General)
=>/ is the separator
=>1 is the sequential number of log book
=>Next logbook number shall be 2, 3, 4………and so on.
=>The code of each department is given below.

Department /Code

[][]Production (General)/PRO
[][]Production (Sterile)/C-PRO
[][]Packaging (General)/PKG
[][]Packaging (Sterile)/C-PKG
[][]Warehouse (General)/WH
[][]Warehouse (Sterile)/C-WH
[][]Quality Assurance (General)/QCOM
[][]Quality Assurance (Sterile)/C-QCOM
[][]Quality Control (General)/QC
[][]Quality Control (Sterile)/C-QC
[][]Microbiology (General)/MICRO

Quality Assurance will prepare the front cover of log book (Annexure-III) with unique Reference number.

Review of the log books:

[][] It will be periodically reviewed by the departmental head make an initial.
[][]Concern personnel will ensure proper control and data record during day to day use of logbooks.
[][]After completion of any logbook, a new will be issued by Quality Assurance under same reference no. of the next serial no. of logbook.

Annexure:

Annexure-I: Log book Issuance Request
Annexure-II: Log book Issuance Record
Annexure-III: Log book Front Cover

Logbook Handling Read More »

Internal Audit/Self-Inspection

Internal Audit, Purpose :

Internal Audit, The purpose of this document is to define a systemic, standardized and effective approach of Self Inspection which is performed by personnel within their own functional or departmental unit. This SOP defines the requirements to ensure that self inspection processes are ‘In Place’ and ‘In Use’ which will
help to:
[][]Promote awareness of quality and GMP to avoid quality problems.
[][]Identify risk and manage it as per Risk Management process.
[][]Encourage ownership of continuous improvement actions.

Internal Audit, Scope :

This SOP applies to the all departments which are included in Audit universe (activity of which may affect quality of products of XX Pharmaceuticals Limited). Audit universe is a list of all departments/sections at the site that are to be audited by a Quality function in a calendar year.

Definitions / Abbreviation:

N/A

Responsibilities:

[][]The roles and responsibility is as follows:

Departmental Head/ Manager

[][]Nominate the self inspection team
[][]Prepare the CAPA against Audit findings and agree the CAPA with Quality Compliance.
[][]Ensure the implementation of CAPA
[][]Ensure the completion of JDI activities

Manager, Quality Assurance

[][]In conjunction with Head of Quality Assurance ensure that audit process is ‘in place’ and ‘in use’
[][]Create and maintain department profile
[][]Posting of CAPA in CAPA tracking system and verify follow up & close-out of CAPA
[][]Prepare the self inspection schedule which identifies areas to be inspected.
[][]Review the audit process and present the status in Quality Review Meeting.

Self Inspection Team

[][]Conduct audit against the standard and identify risk
[][]Assess disclosed risk
[][]Prepare audit report and issue it to Head of Quality Assurance

Head of Quality Assurance

[][]Ensure that audit process is ‘in place’ and ‘in use’
[][]Approve the self inspection schedule
[][]Approve the CAPA
[][]Approve changes to an agreed CAPA or date extension request

Procedure:

[][]Self Inspection Frequency:
[][]Frequency of self inspection in every function/department will be twice a year.
[][]It will be recorded in Quality Assurance Department.
[][]Change of frequency of a section/department must be approved by Head of Quality Assurance.

Create and Maintain the Audit Schedule:

[][]Every department/section will conduct checklist based self inspection in twice a year.
[][]Manager, Quality Assurance will prepare a schedule of self inspection and submit it to Head of Quality Assurance for approval by November of each year for implementation in the next year.
[][]The schedule (Annexure I) will contain the following minimum (but not limited to):
=>Name of the area
=>Type of the inspection
=>Systems (QMS) to be audited
=>Month of the audit
=>Name of the Self Inspection team
=>Proposed period (usually 2nd Week of the month)

[][]The approved schedule for the following year will be communicated by Manager, Quality Assurance to all concerned departments by December.
[][]Manager, Quality Assurance will maintain the audit schedule. Every scheduled inspection can be moved within the +/- 10 days time window, however, any change beyond that would require a formal approval of Head of Quality Assurance.
[][]The schedule adherence will be monitored in every Quality Review Meeting.

Preparation for the self inspection

[][]Head of Quality Assurance will assign a self inspection team. A self inspection coordinator will lead the team.
[][]Self Inspection Coordinator must be trained on audit process. The team members must have at least training on the basic cGMP and auditing process.
[][]Self Inspection team will first identify the Department/Sectional SOPs related to specified systems. In addition, the team will review the minimum following (not limited to):
=>Related SOP
=>Department Practices
=>Procedures
=>Worksheets
=>Checklist
=>Departmental CAPAs from CAPA tracking system

Conduct the self inspection

[][]Self Inspection Team will spend sufficient time of a day for the inspection.
[][]The main focus of the team will be to verify whether the site or sectional SOPs are being followed accurately. Self Inspection team will have to ensure ‘In Place’ and ‘In Use’ of the following:
=>Sectional SOP
=>Relevant SOP
=>Procedures (BMR/BPR/Analytical method etc.)
=>Worksheet (Record of Temperature, log books, analytical sheets etc.)
=>Checklist (Line Clearance, machine cleaning, house keeping)
=>Material & Product standards (Specification, storage etc.)

[][]The self inspection team should take a sample of the documents or procedures for those processes or systems running at the time of the self inspection and review it. The review procedure may be as follows:
=>Ask the operator to describe the task/process
=>Check the description against the procedure (SOP/BMR/BPR/Check sheet)
=>Follow/observe the operation/process
=>Verify the records against specified standards

Record and Report findings

[][]The Self Inspection Team must record the non Assurance from the departmental practices and documentation in the specified template (Annexure II).
Based on the associated risks finding will be classified as either
=>Critical
=>Major
=>Minor
=>Note

[][]Team will follow the Annexure III for categorizing the findings.
[][]Self Inspection Team immediately notify critical finding to Department Manager. Operation associated with the critical finding must be stopped immediately until the issue has been resolved.
[][]Self Inspection Coordinator will prepare a full report (Annexure II) detailing all the self-inspection findings within seven (7) working days of the self-inspection and submit it to Head of Quality Assurance.

Propose, Review and Agree the Corrective and Preventive Actions

[][]Head of Quality Assurance will review the self inspection report and send it to Department Manager.
[][]Department Manager will review the inspection report and immediately address the findings which can be corrected by ‘Just Do it (JDI)’. Few example of the JDI is as follow:
=>Immediate correction of line/material labeling errors
=>Operational errors that can be immediately discussed face to face
=>General good housekeeping requirements, such as, emptying of bags, disposal of waste box, and clearing and tidying of the area.
[][]The JDI action implementation date is to be documented in the report (Annexure II).
[][]Department Manager will prepare an action plan (CAPA) for the findings which require more than 30 days implementing.
[][]Department Manager will forward the report to Manager, Quality Assurance along with CAPA within 4 working days of completing Inspection.
[][]Manager, Quality Assurance will verify that proposed CAPAs would adequately manage the root causes of the identified risk and get it approved by Head of Quality Assurance.
[][]After the approval of CAPAs, Manager, Quality Assurance will formally notify the Department Manager and post all the CAPAs in CAPA tracking system within 2 days where every CAPA has a unique reference number mentioned in the inspection report.
[][]Progress CAPA action to closure
[][]Department Manager will close the CAPA as per target date and inform Manager, Quality Assurance formally with physical evidence (SOP, Validation Report or other as appropriate).
[][]After verifying the evidences Manager, Quality Assurance will close the CAPA in the CAPA tracking system.
[][]For any date extension, approval is to be taken from Head of Quality Assurance before the due date.
[][]In every Quality Review Meeting, CAPA status will be reviewed

Annexure:

Annexure-I: Self Inspection Schedule
Annexure-II: Self Inspection Report
Annexure-III: Classification of findings

Checklist for Internal Audit/Self-Inspection

1.Self Inspection Checklist for Quality Control
2.Self-Inspection Checklist for Production _ Packaging Operation
3.Self Inspection Checklist for Quality Compliance
4.Self-Inspection Checklist for Warehouse

Internal Audit/Self-Inspection Read More »

Source Approval of Raw Materials & Packaging Materials

Source Approval, Purpose :

Source Approval, The purpose of this SOP is to describe the procedure for selection, approval of new vendors / sources for raw materials, packaging materials and evaluation of existing ones.

Source Approval, Scope :

This SOP is applicable to all vendors / sources for raw materials, packaging materials which may have an impact on product quality manufactured by XX Pharmaceuticals Limited. This SOP is applicable for both General and Sterile block of XX Pharmaceutical Limited.

Definitions / Abbreviation:

[][]Vendor: A vendor, or a supplier, is an enterprise in the supply chain that contributes goods and services available to companies or consumers. A vendor can operate both as the supplier of goods (seller) and the manufacturer. Generally, a supply chain vendor manufactures inventory/stock items and sells them to the next link in the chain. Today, the terms refers to a supplier of any good or service.
[][]SOP – Standard Operating Procedure
[][]PD – Product Development
[][]QA – Quality Assurance
[][]QC – Quality Control
[][]SCD – Supply Chain Department
[][]COA – Certificate Of Analysis
[][]API – Active Pharmaceutical Ingredient
[][]MSDS – Material Safety Data Sheet
[][]TSE – Transmissible Spongiform Encephalopathy
[][]BSE – Bovine Spongiform Encephalopathy

Responsibilities: Source Approval

The roles and responsibility is as follows:

Executive, PMD

[][]To inform PD, QA and supply chain department about new product with expected production forecast.

Executive, PD

[][]To raise requisition for any new materials required for new product development with PD trial quantity and forward to supply chain department.

Manager, Supply Chain

[][]Sourcing of raw and packaging materials from vendors and to initiate Vendor approval form.
[][]To collect documents as required.
[][]To procure raw materials and packaging materials from approved sources.

Executive, QC

[][]To analyze the source samples from new or existing vendor including raw materials.
[][]To prepare and review of approved source list for raw materials, packaging materials.
[][]Vendor rating.

Executive, Quality Assurance

[][]Evaluation of vendor documents.
[][]Preparation of vendor audit schedule.

Manager, Quality Assurance

[][]Approval/not approval of vendor.

Procedure:

The following procedure is to be followed for procurement from a new source or vendor.

Required Document

[][]To evaluate raw materials vendor following document are required
[][]Duly filled Vendor Approval Questionnaire
[][]Duly filled Vendor Approval form
[][]Certificate of Analysis (COA)
[][]Method of Analysis (in case of non-compendial method)
[][]Stability data (both accelerated and long term) justifying shelf-life
[][]Material Safety Data Sheet (MSDS)
[][]Working Standard of Active Material with COA

[][]Manager, Supply Chain forwards the sample along with these documents to Quality Control Department.
[][]To evaluate primary packaging material vendor following document are required. For secondary packaging material vendor 1st four are required.
=>Duly filled Vendor Approval Questionnaire
=>Duly filled Vendor Approval form
=>Certificate of Analysis
=>Method of Analysis
=>Design and specification
=>TSE/BSE free Certificate
=>Material Safety Data Sheet (MSDS)
=>Certificate of Composition

Approval of new vendor of raw materials:

[][]After getting information about new product with expected production forecast from PMD; PD will sent purchase requisition to supply chain department for procurement of new materials required for PD trial and share necessary information of new product to QC for preparation of specification.
[][]QC generates draft specifications for new material with the concern of PD. Any in-house specification that should be included on the basis of literature survey or PD requirement. For INN material QC develops specification based on Manufacturer’s COA / specification and PD requirement.
[][]Supply Chain department identify suitable vendors for required material and ask for COA of that specific material to forward to QC. Evaluating manufacturer’s COA, QC will ask for QC test sample (mentioning quantity) from suitable vendors through SCD.

[][]Supply Chain collects QC test sample / PD sample with documents from suitable vendors and then forwards to QC along with filled Vendor Approval Form (as per Annexure- I).
[][]QC receives source sample and documents and makes entry in a register with lab control no., name of material, lot. No., code no., manufacturer, supplier / local agent / indenter, manufacturing date, expiry date, quantity received, received by and date and review documents, if any anomalies observed then inform supplier through SCD.

[][]After testing QC makes entry of analyzed by and date; checked by and date; remarks in that register and shares QC test result of source sample with supplier and SCD.
On the basis of QC test result, SCD can procure PD trial sample of API from selected vendor.
[][]In receipt of PD trial sample of API, QC will arrange test for the same and then forwards PD trial sample to PD for formulation development along with analytical result and filled Vendor Approval Form.
[][]Sr. Executive / Asst. Manager, QC will put his comment on Vendor Approval Form after QC test of PD trial sample of API and QC test sample of excipients.
[][]On the basis of PD trial and stability report of formulated product with PD trial sample, PD will put his comment on Vendor Approval Form, then forward to Quality Assurance Department.
[][]Quality Assurance reviews the analytical data, PD trial report, available relevant documents and records and then put comment on Vendor Approval Form.
[][]If all reports comply the requirements, Manager, QA will grant approval for purchase of one initial consignment and the source will be included in approved source list as Category B (New sources on trial). If requirement does not comply, Manager, QA shall not approve the sample for procurement from that vendor.
[][]Product analytical results of at least three consecutive commercial batches to be evaluated to approve the supplier as Category A (Established source).

Approval of new vendor of packaging materials:

[][]For packaging materials other than printed one, Supply Chain collects source sample /Machine trial sample (Foil/Film -5 kg; Other materials -50 pcs or as per requirement) and required documents including Vendor approval questionnaire from supplier and then forward to QC along with filled Vendor Approval Form.
[][]QC receives source sample and documents and makes entry in a packaging material vendor sample register with lab control no., name of material, lot. No., code no., manufacturer, supplier / local agent / indenter, manufacturing date (where applicable), expiry date (where applicable), quantity received, received by and date.
[][]After testing, QC forwards machine trial sample along with machine trail report form (Annexure-IV) to production for machine trial.
[][]If the machine trial report is satisfactory, PD will arrange 6 months stability study for all primary packaging materials.
[][]Manager, QA will grant approval for purchase of one initial consignment on the basis of QC test result, machine trial report and stability study and the source will be included in approved source list as Category B (New sources on trial).
[][] If requirement does not comply, Manager, QA shall not approve the sample for procurement from that vendor. SCD can procure commercial sample after vendor approval.
[][]The analytical results of at least three consecutive commercial batches to be evaluated to approve the supplier as Category A (Established source).

Vendor Rating:

[][]A cross functional team shall jointly perform the vendor rating which consist of QC, SCD & QCOM
[][]To evaluate the performance of vendor Quality rating, Delivery rating, Price rating and Vendor rating shall be calculated in the following way.

Carry out the incoming inspection, analysis and calculate the ‘Quality rating’ as follows:

QR = Q1 + X1Q2 + X2Q3/Q

Where,
Q = Quantity Received
Q1 = Quantity Accepted without any comment/ problem
Q2 = Quantity Accepted with deviation; X1 = 0.7 (factor for deviation)
Q3 = Quantity Accepted with rectification; X2 = 0.5 (factor for rectification)

[][]Send the Quality Rating to Manager, SCM.

[][]SCM shall carry out the Delivery rating and Price rating as follows

Calculation of Delivery Rating of Vendor:

DR = q1 + 0.5q2/q

Where,
q = Quantity Ordered
q1 = Quantity received as on before time
q2 = Quantity received beyond due date

Calculation of Price Rating of Vendor:

PR = Minimum quotation received/ Price paid

[][]After completion of Delivery rating and Price rating, Executive, QCOM shall calculate and classify the vendor rating and approved by Head of QA.
Calculation of Vendor rating: VR = (0.5 QR + 0.3 DR + 0.2 PR) X 100

Classification of the Vendor Rating:

VR = 100 Good
90 ≤ VR < 100 Satisfactory
50 ≤ VR < 90 Deficient
VR < 50 Rejected

[][]Delete the vendor from “Approved Vendor list” when the level reaches “Rejected”.
[][]Finalize the list and forwarded the same to Quality Assurance Department for approval. Quality Assurance shall then circulate the “Approved Vendor/ Supplier list” to relevant department.
[][]The records of “Vendor Rating” will be kept for a minimum period of 3 years and the evaluation will be done at 3 years interval.

Procedure for exclusion of vendor from approved vendor’s list:

[][]The vendor shall be disqualified and removed from the approved vendor’s list for following reasons during regular assessment.
[][]If consecutive three consignments of material fail to comply the specifications or if the approval rate is below 70%.
[][]Three out of ten consignments fail to comply the specification.
[][]The delivery schedule is not met for 40% of supplies.

Corrective and preventive action:

[][]The vendor shall be made aware of the reasons for his exclusion and shall agree improvement action plans.
[][]The vendor, who has been excluded from the approved vendor list, may be included again by taking following corrective action and preventive actions.
[][]Manager, Quality Assurance or his representatives shall conduct facility audit of the vendor in order to ensure that quality system exists in the organization.
[][]Carry out the discussion on other non-quality issues like delivery schedule and rate etc.
[][]After Satisfactory outcome of all above points the vendor shall be approved as per the new vendor evaluation procedure.

Auditing

[][]Supplier audits will be conducted by experienced auditors nominated by Manager, Quality Assurance. Auditors will have experience/training in GMP auditing.
[][]Pre-audit meeting: A meeting of Manager, Quality Assurance, auditors and any other relevant personnel such as Procurement/ Technical expert shall be conducted 2 weeks prior to the audit.
[][]This meeting shall review all information available and any previous audit recommendations (in case it is done earlier) and status, complaints raised, number of deliveries since the last audit and any issues.
[][]The audit report (Annexure-V Audit Report Template) shall be finalized within 4 weeks after the audit and sent to SCM for forwarding it to the supplier/vendor with an advice that the supplier/vendor will give their feedback within 1 month of receipt of the report and prepare an action plan to close the gaps identified during the audit.

[][]Reference No. for Audit Report shall be as
AR/RM or PM/20xx-1
Where-
=>AR represents audit report
=>RM represents raw materials
=>PM represents packaging materials
=>20xx represents auditing year
=>1 represents sequential number
[][]SCM will follow up with the Supplier/vendor on the progress of recommended actions and any response or follow up correspondence shall be filed with the audit report in the appropriate supplier file.
[][]When a supplier/vendor is audited for the first time, a follow up audit should be conducted as per agreed time line with the supplier for the confirmation of the status of the Supplier.
[][]A supplier quality audit shall be performed at every 3 years interval which based on supplier’s documentations followed by desktop audit.

Supplier Status

[][]Updated approved source list must be maintained / amended / updated by Quality Control, that will be reviewed in every 6 months accordingly. Copy of approved source list will be shared to SCD, Warehouse, Production, Quality Assurance department. The list will hold two categories of suppliers:
=>Category B – New supplier/vendor under study.
=>Category A – Supplier/vendor having 3 consecutive satisfactory supplies
[][]If a supplier’s status is downgraded due to a quality problem, an unsatisfactory audit or any other issues, immediate action must be taken. The following actions must be considered:
=>Inform Manager, Quality Assurance
=>Amend Suppliers List
=>Source an alternative supplier on urgent basis
=>Review retrospective impacts on product quality

Supplier Files

[][]All related supplier approval documentation must be collated and filed in the appropriate supplier file. This should include the following where relevant:
=>Quality assessment questionnaire
=>Audit Checklist, Audit Report and Audit Summary Report
=>Response from the supplier
=>Relevant documents, i.e, Deviation Reports or Customer Complaint forms
=>Any other correspondence

Annexure: Source Approval

Annexure-I: Vendor Approval Form
Annexure-II: Vendor approval questionnaire – Raw materials
Annexure-III: Vendor approval questionnaire – Packaging materials
Annexure-IV: Machine trial report form
Annexure-V: Vendor Audit Report Template
Annexure-VI: Vendor Rating Form

Source Approval of Raw Materials & Packaging Materials Read More »

Deviation Procedure

What is Deviation?

A deviation in many industrial contexts is a deviation from an established, accepted process, procedure, guideline, specification, or standard. Especially in the pharmaceutical industry, deviations can occur at many stages, including development, manufacturing, labeling, packaging, sampling, testing, storage, distribution, and other complex industrial processes.

It is important to note that the definition of deviation may vary slightly depending on the regulatory body overseeing a company’s operations and the specific requirements governing these processes. These different definitions reflect the complex and highly regulated nature of the pharmaceutical industry, where strict compliance with standards is critical.

The International Council for Harmonization of Pharmaceuticals for Human Use (ICH) defines a deviation as a deviation from approved guidelines or established standards, as described in the ICH Q7 Good Manufacturing Practices (GMP) Guidelines for Active Pharmaceutical Ingredients. This highlights ICH’s commitment to ensuring consistency and reliability in pharmaceutical manufacturing practices.

For example, the International Organization for Standardization (ISO) provides a comprehensive definition in the context of quality management systems under ISO 9001:2015. Deviation here refers to the positive or negative effects resulting from deviations from expected or established values. This highlights ISO’s emphasis on maintaining a strong quality management framework.

Within the U.S. Food and Drug Administration (FDA), which plays a central role in drug regulation, it defines deviations from quality management system guidelines for the pharmaceutical industry and current good manufacturing practice (CGMP) regulations. External falls do not fall within the limits or do not meet certain requirements. The FDA’s rigorous standards emphasize the importance of maintaining high levels of quality and safety throughout the drug manufacturing chain.

Basically, deviations in the pharmaceutical industry are perceived not only as deviations from established standards, but also as events that can lead to positive or negative consequences. The variety of definitions provided by different regulatory authorities highlights the importance of a concise understanding of deviations to maintain the integrity and safety of pharmaceutical processes and promote regulatory compliance.

Type of Deviation

Deviation can be classified mainly Two types
  • Planned Deviation
  • Unplanned Deviation
Based on risk then it can be classified as
  • Critical Deviation
  • Major Deviation
  • Minor Deviation
  • Incident

Deviation, Purpose :

  • Deviation, This procedure provides a standardized process for handling quality related unplanned events & GMP deviation.
  • To develop a systemic approach for handling quality related failures & GMP deviation.
  • To ensure that deviations are recorded and assessed for their impact on product quality, patient safety and regulatory compliance.
  • Action is taken to address any immediate risks, including impact on other batches and products.
  • Investigation requirements and identification of any corrective and preventive actions (CAPAs) are based upon the level of risk.

Deviation, Scope :

The process applies to all quality & GMP failures and unplanned deviations in General Block and Sterile Block of XX Pharmaceuticals Ltd. which are related (but not limited) to the following:

  • Manufacturing Processes/operations (manufacturing, packing, testing, distribution), yield and reconciliation limit.
  • Facilities including equipment, utilities failure and critical instrument calibration failure.
  • Equipment/machinery breakdown during operation.
  • Failure of PLC based system that directly affects product quality
  • Equipment and facility Operation outside validated ranges
  • Storage condition of raw and packing materials
  • Storage period of bulk product
  • Documentation error affecting product quality.
  • Product standards
  • Standard Operating Procedure
  • Work Instructions including validation protocols.
  • Incidents impacting GMP & product or material quality
  • The process does not apply to the following as these are managed separately by individual SOPs:
  • Out of Specifications (OOS/Atypical) analytical and microbiological results.
  • Environmental action and alert limit excursions, where these have arisen as a result of laboratory testing
  • Stability failures/ stability protocols
  • Customer complaints and adverse events
  • Equipment/machinery breakdown during routine maintenance
  • Out of calibration noticed at the time of calibration activity
  • Recalls
  • Outside of in-process parameter followed by immediate rectification
  • Vendor complaints (On line rejection)
  • Deviations associated with outcome of any non-routine activity or trials.
  • Where actions have been justified, documented and pre-approved by Quality Assurance e.g. via SOP, BMR, BPR, Analytical Method.

Investigation process will be mandatory in the following instances:

  • Major/critical deviation/complaints/significant incidents.
  • OOS
  • Rejection
  • Recall
  • Consecutive 3 time excursions of alert limits.
  • Any incident agreed by management

Definitions / Abbreviation:

Deviation:

Deviation is an unplanned departure from SOPs, methods, specifications, protocols, batch records or other official documentation. A deviation may also be defined as a departure from instructions, processes, process specifications or normal conditions or any departure from good manufacturing practice.

Planned Deviation:

A deviation or change to test method, laboratory or manufacturing procedures that has been planned and approved before the process conducted as a part of temporary change. Planned Deviation should be reported before the process. Planned deviations will be handled through the QA approved change control procedures.

The deviations are classified as critical, major and minor. The definition is as under

Critical Deviation

A critical GMP deviation/exception could endanger product safety and/or efficacy due to the use of an inadequate process or controls. Failure of detection would lead to a product recall/withdrawal/serious complaint.

Major Deviation

A major GMP deviation/exception does not directly influence product safety and efficacy but may require remedial action before approval of manufacture or continue to manufacture. This could lead to serious regulatory compliance implications, Major cost to business or adverse comments from inspectors.

Minor Deviation

A minor GMP deviation/exception does not directly influence product safety and efficacy but may have an impact on cosmetic quality. This also includes minor document irregularities. This could lead to Cosmetic pack complaint or Late orders.

Investigation-

It is the process of identifying the cause of deviations/unwanted incidents. Purpose of Investigations are:
=>Identify
=>Correct
=>Evaluate product impact / disposition
=>Prevent similar events from happening in the future;

Responsibilities:

The roles and responsibility is as follows:

Observer(who observed the incident)

To notify Section in Charge/Departmental Manager immediately after observing any event.

Initiator (Section in Charge/ Dept. Manager)

  • To take any possible immediate actions to contain the event.
  • To record the event in log book and batch document.
  • To fill the “Deviation and Investigation Form” immediately after “On the spot investigation”.
  • To escalate the event to Functional Head

Functional Head or his designee

  • To decide in conjunction with Quality Compliance whether the incident is deviation or not and, if confirmed, any subsequent investigation required.
  • To ensure proper recording of deviation
  • To carry out initial assessment of the incident after collection of required data and ensure recording in batch document.
  • To decide on the requirement of assembling investigation team (in consultation with Manager Quality Assurance) for further investigation to find out root
  • cause and define recommendation.
  • To invoke CAPA process if require by forming CAPA team.

Head of Quality Compliance or his designee

  • Maintain the register for deviation & investigation
  • To provide the guidance on whether the incident is a deviation or not
  • To participate the initial assessment & follow up of remedial action.
  • To assess the severity of deviation and define criticality.

Manager, Quality Assurance

  • To approve the initial assessment & remedial action.
  • To approve the deviation & investigation
  • Investigation Leader (Any competent person nominated by Functional Head)
  • To lead the investigation and find out the root cause
  • To complete investigation within stipulated time.

Procedure: (Management of deviation)

Observation and notification of Deviation:

  • If any staff observes any of the incidents (described in scope), he/she will immediately notify the incident to Section in Charge/Departmental Manager.
  • Section in Charge/Departmental Manager will immediately conduct initial impact assessment and take any remedial action. e.g.
  • Stopping operation to prevent production of further faulty product,
  • Segregating material that may be affected.
  • Immediate correction
  • Departmental Manager will record the detail incident in the associated log book and/or BMR/BPR in a timely manner. The record must be clear, concise, and traceable and include all relevant details (e.g. time, date and nature of the incident, name of the observer).
  • Departmental Manager will immediately escalate the event to Functional Head (Head of Department)
  • Departmental Manager in consultation with Functional Head will determine whether the incident constitutes a deviation based on its potential impact on material/product quality or regulatory compliance.
  • For the ease of detection they can take the guidance of scopes . If there is any doubt as to the potential impact, the event will be treated as a deviation.

Recording of Deviation

  1. If it is determined that the incident constitutes a deviation, then the Departmental Manager will record all the information in section A of Deviation Report Form (Annexure-I).
  2. The Functional Head will decide
    =>if the production/operation should be stopped or not
    =>With proper authorization & justification allow the product to proceed.
  3. Departmental Manager will record the decision in Deviation Report Form. Departmental Manager will assign a unique reference number (obtained from Quality Compliance Department) to the Deviation Form.
  4. The number will be derived from Deviation register (Annexure-II). Deviation register will be maintained in both hard copy and Microsoft Excel based spreadsheet.
  • Deviation Form number shall be alphanumeric system containing 11 characters. Numbering breakdown is as follows: DRyy/Area code/xxx.
    Area Code is as follows:
    =>General Block : GB
    =>Sterile Block : CB
    =>For example: DRyy/GB/001.
  • The first two alphabets shall stand for Deviation Report
  • Next two numeric characters shall stand for year code 16 shall denote year 20xx.
  • Next character is slash (/), followed by two capital letter stands for area code of General Block at XX Pharmaceuticals Ltd.
  • Next character is slash (/), followed by three numerical shall stand for serial number, which shall start every year from 001. For example first Deviation Report no DRyy/GB/001 and second DRyy/GB/002, third DRyy/GB/003 and so on.
  • In case of Sterile block, Deviation Report number shall be DRyy/CB/001 and so on. Two capital letter CB stands for area code of Sterile block at XX Pharmaceuticals Ltd.
  • The number will be unique; if proposal is withdrawn/ rejected the same number will never be used again.
  • If incident implicates a batch then the unique reference number is to be recorded in related batch documents.
  • The deviation must be recorded with the following information:
    =>A unique reference number
    =>The date on which the deviation was first identified
    =>Name of person recording the deviation
    =>The identity (Batch No.) of any batch or batches implicated by the deviation
    =>A description of the deviation
    =>The identity of any process, equipment or system implicated by the deviation
    =>Initial actions taken
  • Functional Head will ensure that all relevant data/information is gathered to allow an initial assessment of the deviation.

Assessment of risk

  • Departmental Manager along with Quality Compliance Manager and any other expert in this field (i.e. Engineering Manager/Compliance Manager/Quality Control Manager/Microbiology Manager) will assess the impact of the deviation considering the following issues (section B in Annexure-I) and will propose a remedial action within 1 day of recording the deviation:
    =>Patient/customer risk & product efficacy
    =>Quality Implication (strength, identity, purity and stability)
    =>Effect on regulatory compliance
    =>Impact on any batch (es) immediately affected.
    =>Impact on any other batch(es)/processes which may be affected, considering any other areas/sites
    =>Current location and status of any implicated batch (whether the implicated batch is on the market or within XX’s control).
    =>Any remedial action taken/required
    =>Detection point of failure (detected by chance/detected during checking/detected at the point of error)
  • The initial assessment may result in wider implications than originally identified e.g. more batches than just the batch the deviation was detected on.
  • Quality Compliance Manager will assess the risk of deviation considering the above and categorize or prioritize the event as:
    =>Critical
    =>Major
    =>Minor
  • The aim of this categorizations are to determine the:
    =>Priority for resolving the deviation
    =>The time scale for addressing the deviation
  • Communication details & person to whom incident is to be communicated (if required).
  • Non conformity which is not detected through any standard process or detected only by chance will be treated as critical/major deviation. In all cases where the deviation relates to, or may implicate product already in the market place, will also be treated as critical.
  • Critical deviation will be immediately escalated to Head of Quality Assurance. He/she will communicate the matter to Managing Director and other stakeholders accordingly.
  • If requires Head of Quality Assurance will communicate the matters to Contact Manufacturer and collect their recommendation for the correction of the product.
  • Quality Compliance Manager in consultation with other Technical /Quality Experts will provide a recommendation/ remedial action to ensure that any adverse condition arising from the deviation are controlled and pose no further risk.
  • Determine Root Cause Investigation Requirements
  • Manager, Quality Assurance in consultation with Head of department will assess whether root cause investigation is required.
  • Root cause investigation is required where there is a risk to patient/ customer safety or serious regulatory compliance issues assigned through severity assessment in section 7.3.3. . For example:
    =>The severity of deviation is Critical/Major.
    =>Remedial actions have not fully mitigated the risk
    =>The deviation is a recurrence
  • If root cause investigation is not required, AGM, Quality Assurance will give a rationale and the deviation process can be progressed toward to point close.
Perform root cause investigation
  • The investigation will be conducted as per process described in previous point
  • The key output from this investigation will be a statement of actual root cause or most probable cause of the deviation and recommendation with timescale to address root causes.
  • After completion of the investigation, a copy of the investigation will be attached with the deviation report.
Identify Corrective and Preventive Action (CAPA)
  • On the basis of the severity of investigation, the Head of department jointly with AGM, Quality Assurance & Quality Compliance Manager will decide on the requirement to invoke CAPA process and develop Corrective and Preventive action to address the root cause identified in previous section and prevents recurrence of happening in future.
  • In case of CAPA process not applicable, this process should be closed with the comments and authorization by Manager, Quality Assurance.
CAPA will not be required if AGM, Quality Assurance confirms the followings:

=>If the deviation categorized as minor.
=>Implementation of identified CAPA is no longer applicable-for instance the root cause relates to equipment that has been replaced, or is planned to be replaced as part of an existing approved action.
=>Remedial actions taken address the root cause
=>The risk related to recurrence is low

If CAPA process is applicable, Head of Department will identify competent person to be a CAPA Leader to implement the CAPA objectives. CAPA leader will follow the formal CAPA process as per SOP: Corrective and Preventive Action Handling Procedure.
The Deviation Handling process will be closed when the CAPA triggered from this process is approved.

Handling of deviation implicated batch

  • No batch will be released until the deviation is closed.
  • All actions required to assure the quality of any impacted batches must be identified, agreed by the Quality Compliance, and completed prior to batch release
  • The copy of closed deviation report and investigation report must be filed with associated batch document (if implicated with any batch) during batch release.
  • Manager, Quality Assurance has ultimate authority to take decision on progression or release after completion of all actions.
  • Time limit, Follow up and Management Review
  • If investigation is not required deviation is to be closed within 7 days of initiation.
  • For deviation associated with investigation will be closed within 15 days of deviation initiation.
  • Initiator will coordinate the implementation of recommended/remedial action within agreed timeframe.
  • Quality Compliance will ensure that deviation has been effectively closed within the agreed timeframe. After closing Quality Compliance Manager will update the deviation tracker & register and archive the hard copy of original deviation form.
  • A copy to be provided to attach with the relevant document such as validation protocol.

Handling of Investigation:

  • Investigation will be triggered to address any unexpected discrepancy from different interfaces:
    =>Critical/Major Deviation
    =>Critical/Major market compliant
    =>Any GMP Quality incident
    =>Recall, reject and Reprocess
  • Functional Head (Head of Department) and Head of Quality Assurance will jointly decide where the investigation is required.
  • If root cause investigation is required, the Functional Head(Head of Department) will check the criticality of incident (critical/major/minor) as defined in the interface to determine the scale of investigation e.g. extent of investigation team, amount of structure for problem solving, level of documentation, requirement of resources or capital budget etc.
  • The Functional Head (Head of Department) will nominate an Investigation Leader & other members of investigation team who will conduct the investigation.
  • Generally Departmental Manager of impacted area will be selected as Investigation leader.
  • For the complex investigation, team should be cross functional composing the members of Quality Unit, Engineering and any other Technical Experts.
  • The team will take a unique reference number of investigation from Quality Compliance Office. Quality Compliance Officer will log the details in the investigation register (Annexure- IV).
  • All investigation will be conducted through this form (Annexure-III: Template of an investigation report).
  • Investigation Report numbers are assigned by Quality Compliance. Investigation Report number shall be alphanumeric system containing 11 characters. Numbering breakdown is as follows: IRyy/Area code/xxx.
    Area Code is as follows:
    =>General Block : GB
    =>Sterile Block : CB
    For example: IR16/GB/001.
  • The first two alphabets shall stand for Investigation Report
  • Next two numeric characters shall stand for year code 16 shall denote year 2016.
  • Next character is slash (/), followed by two capital letter stands for area code of General Block at XX Pharmaceuticals Ltd.
  • Next character is slash (/), followed by three numerical shall stand for serial number, which shall start every year from 001. For example first Investigation Report no IR16/GB/001 and second IR16/GB/002, third IR16/GB/003 and so on.
  • In case of Sterile block, Investigation Report number shall be IR 16/CB/001 and so on. Two capital letter CB stands for area code of Sterile block at XX Pharmaceuticals Ltd.
  • The number will be unique; if proposal is withdrawn/ rejected the same number will never be used again.
  • The team will collate the facts and data in consultation with relevant personnel and document.
  • Investigation team will prepare a report of investigation within the time line. All steps & findings will be recorded in the report.
  • The key aim of the investigation is to identify the root cause or most probable cause of the deviation incident.
  • Where the identification of actual or most probable root cause is not possible, the risk associated with uncertainty is to be assessed & recoded with adequate control.
  • The maximum time for the identification of root cause is 15 working days after recording of incident.
  • Investigation report will be approved by Functional Head (Head of Department) and Manager, Quality Assurance.

 

What challenges might arise when dealing with Deviation Management?”

Managing deviations within an organizational framework poses a myriad of challenges, demanding a nuanced approach to navigate these intricacies effectively. The intricate realm of deviation management encompasses the intricate task of addressing situations where the realized performance or outcomes veer off course from the meticulously laid out plans or anticipated expectations. As organizations grapple with this multifaceted process, several challenges may emerge, each requiring careful consideration and strategic resolution.

One of the primary challenges encountered in the domain of deviation management is the inherent complexity associated with identifying the root causes of deviations. Organizations often find themselves immersed in a labyrinth of factors contributing to these deviations, ranging from internal processes and external influences to unforeseen circumstances. Unraveling these complexities demands a thorough investigation and a keen understanding of the interplay between various variables, enabling organizations to pinpoint the factors triggering deviations accurately.

Moreover, deviation management is intricately linked with the need for efficient communication channels within an organization. The timely and transparent dissemination of information pertaining to deviations is paramount, as it empowers stakeholders at all levels to make informed decisions. Inadequate communication may exacerbate the impact of deviations, leading to misunderstandings, delays, and a potential erosion of trust within the organizational fabric.

In addition, the challenge of striking a balance between corrective actions and the preservation of operational efficiency looms large. Organizations must devise strategies that not only rectify the immediate deviations but also do so in a manner that minimizes disruptions to ongoing operations. The intricacies of this balancing act require a holistic approach that considers the long-term implications of corrective measures on the overall organizational performance.

Furthermore, the globalized and interconnected nature of modern businesses introduces an additional layer of complexity to deviation management. Organizations often operate within a network of suppliers, partners, and stakeholders, each contributing to the intricate web of dependencies. Managing deviations becomes a collaborative effort, necessitating effective coordination and cooperation among various entities to address and mitigate the ripple effects across the entire ecosystem.

In conclusion, the challenges associated with deviation management underscore the need for organizations to cultivate resilience, adaptability, and a proactive approach. Addressing these challenges requires a comprehensive understanding of the underlying dynamics, coupled with strategic initiatives aimed at fostering a culture of continuous improvement and proactive deviation anticipation. Successfully navigating these challenges not only ensures smoother operations but also positions organizations to thrive in an ever-evolving business landscape.

1. Identification and Detection of Deviations:

Navigating complexity poses a formidable challenge when it comes to recognizing deviations, particularly within intricate systems or processes characterized by the interplay of numerous factors influencing performance outcomes. The intricacies inherent in such environments demand a heightened level of scrutiny and analytical precision to successfully pinpoint variations from the norm.

The critical importance of timeliness in the detection of deviations cannot be overstated. Swift and accurate identification is paramount, as any delay in the recognition of anomalies may result in protracted issues and expose the system or process to potential negative impacts. The urgency in timely detection stems from the need to address deviations swiftly, thereby preventing the escalation of problems and mitigating any adverse consequences that might ensue.

Moreover, the time-sensitive nature of detecting deviations underscores the significance of establishing efficient monitoring mechanisms and implementing proactive measures. A proactive approach involves anticipating potential deviations, implementing real-time monitoring, and deploying predictive analytics to foresee issues before they manifest fully. This forward-thinking strategy not only minimizes the risk of prolonged disruptions but also allows for the implementation of corrective actions before deviations escalate into critical problems.

In the realm of complexity, it becomes imperative to foster a comprehensive understanding of the intricate web of factors influencing performance outcomes. This entails not only identifying deviations when they occur but also gaining insights into the underlying dynamics that contribute to such variations. An in-depth comprehension of the contributing factors enables a more holistic approach to deviation detection, enhancing the capacity to discern subtle deviations that might otherwise go unnoticed.

In conclusion, the challenges presented by complexity necessitate a multifaceted approach to the identification of deviations. Timeliness emerges as a crucial factor, emphasizing the need for swift detection to prevent prolonged issues and potential negative impacts. Implementing proactive measures and gaining a profound understanding of the intricate interdependencies within complex systems further fortify the capability to navigate and manage deviations effectively.

2. Root Cause Analysis:

In order to effectively identify the underlying reasons for deviations, a profound depth of analysis is imperative. This entails delving deep into the intricacies of the situation, as superficial investigations often yield only temporary solutions, failing to tackle the root causes that perpetuate issues over time.

The significance of resource intensity becomes evident when undertaking comprehensive root cause analyses. Such endeavors demand considerable resources, not just in terms of time but also requiring a wealth of expertise. Thoroughly examining the multifaceted aspects of a problem necessitates a commitment of substantial time and the involvement of individuals with specialized knowledge in the relevant domains.

Delving into the depth of analysis implies a meticulous examination of various factors contributing to deviations. This involves scrutinizing processes, systems, and interactions at a granular level to uncover the fundamental sources of problems. It goes beyond addressing symptoms on the surface and aims at understanding the intricacies that give rise to deviations, thereby enabling the development of more robust and sustainable solutions.

Furthermore, the resource intensity associated with comprehensive root cause analyses extends beyond temporal considerations. It involves tapping into a reservoir of expertise, leveraging the insights and knowledge of individuals who possess a nuanced understanding of the subject matter. This collaborative effort ensures a holistic examination of the issue, fostering a comprehensive perspective that facilitates the identification and rectification of root causes.

The depth of analysis and resource intensity are intertwined aspects that underscore the importance of adopting a strategic and well-organized approach to problem-solving. By investing the necessary time and expertise, organizations can move beyond superficial fixes and address the core issues that may be impeding their efficiency and effectiveness. This proactive stance not only promotes long-term sustainability but also cultivates a culture of continuous improvement within the organizational framework.

3. Communication and Reporting:

Transparency stands as a cornerstone in any organizational framework, emphasizing the critical importance of fostering open communication regarding deviations. The significance lies in the fact that challenges can swiftly emerge in the absence of transparency, given that stakeholders rely on comprehensive information to make well-informed decisions.

In the realm of effective reporting, the imperative is to establish a robust system that not only highlights deviations but also ensures clarity, conciseness, and ease of understanding. Crafting such a reporting mechanism poses a noteworthy challenge, as it requires a careful balance between providing detailed insights and presenting information in a manner that is easily comprehensible to a diverse audience. This calls for the implementation of streamlined processes that not only capture the intricacies of deviations but also translate them into a format that resonates with stakeholders at various levels within the organization.

Moreover, effective reporting transcends mere documentation; it serves as a strategic tool for organizational improvement. By investing in a reporting system that goes beyond the perfunctory and delves into the root causes of deviations, organizations can uncover valuable insights. These insights, in turn, pave the way for proactive problem-solving and the implementation of preventative measures, fostering a culture of continuous improvement.

In essence, the synergy between transparency and effective reporting forms a formidable foundation for organizational resilience and adaptability. It is not just about acknowledging deviations but also about leveraging them as opportunities for growth and refinement. As organizations navigate the complexities of their environments, embracing a culture that places a premium on transparent communication and meticulous reporting becomes pivotal in steering towards sustainable success.

4.Decision-Making:

Navigating the Decision-Making Tightrope: Striking the right chord in determining the suitable course of action to rectify deviations necessitates a nuanced and intricate balancing act. It requires a careful assessment that takes into account the urgency of the situation, the potential ripple effects, and the array of resources at our disposal. This process is akin to walking a tightrope, where precision and equilibrium are crucial.

Urgency Consideration: Delving deeper into the intricacies, the urgency of the situation stands as a pivotal factor. Decisions made must be time-sensitive, recognizing the immediacy of the deviations at hand. This involves evaluating the degree of impact and the potential consequences of delayed action, emphasizing the need for a swift and strategic response.

Impact Analysis: The ripple effects stemming from addressing deviations should be meticulously analyzed. Understanding the potential impacts on various facets of the organization allows for a comprehensive decision-making process. This involves foreseeing both short-term repercussions and long-term consequences, ensuring that the chosen course of action aligns with overarching organizational goals.

Resource Evaluation: The availability and allocation of resources play a significant role in the decision-making process. A thorough examination of the resources at hand is imperative, encompassing financial, human, and technological aspects. This evaluation not only aids in determining the feasibility of various courses of action but also ensures optimal resource utilization for maximum efficiency.

Conundrum of Conflicting Priorities: A common challenge emerges when addressing deviations intersects with other organizational priorities. This creates a conundrum, compelling decision-makers to grapple with intricate dilemmas related to resource allocation. In such scenarios, decisions become a delicate juggling act, requiring a keen understanding of organizational priorities and strategic alignment.

Strategic Resource Allocation: The clash of priorities necessitates a strategic approach to resource allocation. Decisions must be guided by a keen awareness of the broader organizational landscape, considering the potential repercussions on other projects or initiatives. This strategic resource allocation involves prioritizing tasks and projects based on their criticality and alignment with overarching organizational objectives.

In essence, the decision-making process in addressing deviations involves a multifaceted examination that encompasses urgency, impact, and resource considerations. Negotiating the complexities of conflicting priorities requires a strategic mindset and a keen understanding of the broader organizational context, ultimately leading to decisions that harmonize with the organization’s overarching goals and priorities.

5. Implementation of Corrective Actions:

Navigating Resistance to Change: The introduction of corrective actions may encounter resistance among employees who have grown accustomed to established processes. This resistance can emanate from a variety of sources, including a fear of the unknown, concerns about job security, or simply a reluctance to step out of one’s comfort zone. It is imperative to recognize that fostering a culture of adaptability is pivotal in overcoming these challenges. Change management, therefore, emerges as a critical component in these scenarios, demanding thoughtful strategies to communicate the benefits of change, address concerns, and ultimately garner support from the workforce.

Cultivating Change Management Strategies: To successfully implement corrective actions, organizations must invest in robust change management strategies. This involves clear communication channels that elucidate the rationale behind the changes, the expected benefits, and the role each employee plays in the transition. Additionally, providing training and support mechanisms can empower employees to embrace the changes confidently. By cultivating a sense of ownership and involvement, organizations can minimize resistance and enhance the likelihood of successful implementation.

Monitoring and Ensuring Effectiveness: The implementation of corrective actions is just the initial phase; ongoing monitoring and follow-up are indispensable for sustained success. Organizations must establish systematic mechanisms to track the effectiveness of the implemented changes, identifying any areas that may require further adjustment. This involves setting up key performance indicators (KPIs) and regularly assessing progress against these benchmarks. Moreover, fostering a culture of continuous improvement ensures that organizations remain agile and responsive to evolving challenges.

Dynamic Attention to Change: The dynamic nature of the business environment necessitates a continuous commitment to monitoring and follow-up. Changes in market conditions, technological advancements, or internal dynamics may require organizations to adapt and refine their corrective actions. Therefore, a proactive approach to monitoring, coupled with an agile response mechanism, enables organizations to stay ahead of potential challenges and capitalize on emerging opportunities.

Employee Engagement in the Monitoring Process: Actively involving employees in the monitoring and follow-up process is a crucial aspect of ensuring sustained success. Soliciting feedback, conducting regular check-ins, and creating a feedback loop where employees can express concerns or suggest improvements fosters a sense of inclusivity. This not only enhances the effectiveness of corrective actions but also strengthens the overall organizational culture, promoting a collaborative and adaptive ethos.

In conclusion, addressing resistance to change and ensuring the effectiveness of corrective actions are multifaceted challenges that demand a comprehensive approach. By prioritizing change management strategies, implementing robust monitoring mechanisms, and actively engaging employees in the process, organizations can navigate these challenges and foster a culture of continuous improvement and adaptability.

6. Documentation and Compliance:

Documentation Integrity and Learning Enhancement: The meticulous recording of deviations, including their root causes and corresponding corrective actions, plays a pivotal role in ensuring accountability and facilitating future reference. The comprehensive and accurate documentation of these aspects is crucial for fostering a robust learning process within an organization. Incomplete or inaccurate documentation has the potential to impede the learning curve, hindering the ability to derive valuable insights from past experiences.

Navigating Regulatory Compliance Challenges: The adherence to regulatory requirements in the management and documentation of deviations presents a multifaceted challenge for organizations. Meeting these regulatory standards necessitates a thorough understanding of the intricate frameworks governing various industries. Failure to comply with these regulations can have severe repercussions, ranging from legal ramifications to financial consequences. As such, organizations must invest in robust systems and processes to ensure that their deviation management practices align with the ever-evolving regulatory landscape.

Legal and Financial Implications of Non-Compliance: The failure to meet regulatory compliance standards in handling and documenting deviations can expose an organization to significant legal and financial risks. Legal consequences may include fines, penalties, or even legal actions, while financial implications can extend to reputational damage and a loss of stakeholder trust. Proactive measures to ensure compliance not only mitigate these risks but also contribute to the overall sustainability and resilience of the organization in the face of regulatory scrutiny.

Continuous Improvement Through Documentation: Beyond mere compliance, the meticulous documentation of deviations serves as a catalyst for continuous improvement. Analyzing past deviations and their resolutions provides valuable insights into organizational weaknesses and areas for enhancement. This iterative process fosters a culture of learning and adaptability, positioning the organization to proactively address challenges and optimize its operations over time.

In summary, the interplay of documentation integrity, regulatory compliance, and the associated legal and financial considerations underscores the critical role that robust deviation management practices play in organizational success. A proactive approach to documentation not only ensures compliance with regulatory standards but also serves as a cornerstone for continuous improvement, contributing to the overall resilience and adaptability of the organization in an ever-changing business environment.

7. Continuous Improvement:

Embracing a Culture of Continuous Improvement through Learning from Deviations:

Fostering a culture of continuous improvement is a fundamental necessity for organizations striving for excellence. The process begins with acknowledging that deviations from established norms are not merely setbacks but valuable opportunities for growth and refinement. The proactive approach of transforming deviations into learning experiences is pivotal for organizational development.

Challenges in Turning Deviations into Opportunities:
Despite the inherent importance of learning from deviations, many organizations grapple with the practical implementation of this philosophy. It is not uncommon for entities to face difficulties in seamlessly integrating deviations into their operations to derive meaningful insights. Overcoming this challenge requires a concerted effort to create an environment that not only tolerates deviations but actively encourages the extraction of valuable lessons from them.

The Role of Adaptability in Organizational Evolution:
Adaptability emerges as a cornerstone for organizational success in the face of deviations. The ability to evolve based on insights gleaned from past experiences is paramount. However, this adaptability is often hindered by various factors such as resistance to change and institutional inertia. Organizations must navigate these hurdles to effectively implement changes that lead to continuous improvement and innovation.

Navigating Resistance and Inertia:
Resistance to change and inertia are common adversaries that organizations encounter in their pursuit of adaptability. Overcoming these challenges necessitates a strategic and empathetic approach to change management. Addressing concerns, fostering a sense of ownership among stakeholders, and providing adequate support are crucial components in dismantling barriers to change.

Incorporating a Holistic Approach to Continuous Improvement:
A comprehensive strategy for continuous improvement involves not only learning from deviations but also proactively addressing the impediments to change. Organizations should cultivate a mindset that views deviations as opportunities for innovation and refinement. By fostering a collaborative and open culture, entities can create a resilient framework that embraces change and propels the organization towards sustained growth.

In conclusion, the journey towards continuous improvement requires a multifaceted approach. Organizations must not only recognize the importance of learning from deviations but also actively work towards creating an adaptive environment that can effectively translate these lessons into tangible enhancements. By overcoming resistance and inertia, and by incorporating a holistic approach to continuous improvement, organizations can thrive in an ever-evolving landscape.

8. Cultural Factors:

Culture of Accountability: When an organization fosters a culture of blame, it creates an environment where individuals may feel reluctant to report deviations or actively participate in root cause analysis due to the looming fear of facing negative consequences. This detrimental culture not only hinders transparency but also impedes the identification and resolution of issues that could potentially impact organizational success.

Nurturing a Feedback-Friendly Environment: Building a workplace culture that not only tolerates but actively encourages openness to feedback is a formidable yet indispensable task. Embracing deviations as invaluable opportunities for improvement, rather than as grounds for punishment, is essential for the sustained growth and prosperity of the organization. This mindset shift can foster a collaborative atmosphere where employees feel empowered to share insights and contribute to the continuous enhancement of processes.

Proactive Deviation Management: Effectively addressing these challenges demands a proactive and systematic approach to deviation management. This approach should prioritize continuous improvement as a central goal, emphasizing the need for robust systems that facilitate the reporting of deviations without fear of reprisals. Implementing clear communication channels and mechanisms for employees to express concerns and suggestions can further fortify an environment conducive to openness.

Commitment to Learning: A commitment to learning from experiences is a cornerstone of a healthy organizational culture. Instead of viewing deviations as failures, organizations should perceive them as valuable learning opportunities. Leaders should promote a growth mindset that encourages employees to analyze deviations, understand their root causes, and collaboratively implement solutions. By embracing a culture of continuous learning, organizations can adapt, evolve, and ultimately thrive in an ever-changing business landscape.

Emphasizing Communication: Effective communication is a linchpin in overcoming the challenges associated with blame culture and fostering openness to feedback. Leaders should prioritize transparent and timely communication, ensuring that employees are aware of the importance of their contributions in identifying and rectifying deviations. This not only builds trust but also reinforces the idea that addressing issues is a collective responsibility.

In conclusion, tackling a blame culture and cultivating openness to feedback necessitates a multifaceted and dedicated approach. By prioritizing continuous improvement, fostering a feedback-friendly environment, and instilling a commitment to learning, organizations can build resilience, adaptability, and a culture that thrives on collective efforts towards excellence.

 

How can we effectively handle a Deviation?

Effectively addressing deviations requires using a systematic approach that includes identification, in-depth analysis, strategic controls, and deep learning for deviations within a process or project. This requires a comprehensive approach that aims not only to address deviations but also gain valuable insights to improve overall performance. The ability to effectively address deviations contributes significantly to organizational resilience and continuous improvement.

To successfully master the complexities of deviation management, it is essential to introduce step-by-step instructions that serve as a guide for professionals and teams. This guide provides a structured framework for identifying deviations early, investigating root causes through careful analysis, implementing effective control measures to mitigate their impact, and most importantly, leveraging each deviation as a learning opportunity. do.

The first step involves a careful identification process that systematically pinpoints any deviations that may occur. Monitoring a process or project requires a keen eye for detail and a proactive approach. Once discrepancies are identified, the focus shifts to a comprehensive analysis that not only addresses the immediate problem, but also investigates the root cause. This analysis step is essential for developing a valid strategy to prevent similar deviations in the future.

Effective control systems are implemented to manage and mitigate the effects of identified deviations. Corrective actions are used that not only address the immediate consequences but also contribute to the overall improvement of the system. Control steps are essential to maintain operational stability and minimize disturbances due to deviations.

The final aspect of the guide emphasizes the importance of learning from deviations. Each example provides a unique opportunity to gain insight into weaknesses, inefficiencies, or unexpected problems in a process or project. Companies can leverage these learning opportunities to continually improve and optimize their operations. The iterative process of identifying, analyzing, monitoring and learning creates a cycle of improvement that strengthens resilience and adaptability.

In other words, an effective deviation management strategy goes beyond simple remediation and involves a holistic approach that includes proactive detection, in-depth analysis, strategic control, and continuous learning. By introducing step-by-step guidance, companies can flexibly address deviations and turn challenges into opportunities for growth and development.

1. Identify Deviations:

Define precise standards and expectations for both processes and projects to ensure a transparent framework. We encourage a culture of continuous improvement by continually evaluating and measuring performance against these established standards. We actively foster open communication channels to quickly identify and report deviations from established standards, supporting a proactive and collaborative approach to resolving issues and maintaining optimal project or process efficiency. These practices not only ensure accountability, but also create a dynamic environment where feedback is valued, leading to improved strategy and achievement of broader organizational goals.

2. Documentation:

Gather comprehensive information about the deviation by documenting intricate details, including its specific nature, broad scope, and potential impact. Record any deviations carefully and include relevant data, such as the date and time the deviation occurred. We also identify everyone involved in the deviation and create a comprehensive report that not only highlights the deviation but also provides a full understanding of the situation and potential impact. This careful documentation is critical to a complete analysis and allows for an informed assessment of the root cause of the deviation, its contributing factors, and its overall impact on the process or system involved. By collecting detailed records, companies can lay the foundation for informed decisions, corrective actions, and preventive actions to improve overall performance and compliance.

3. Root cause Analysis:

Conduct a comprehensive investigation of the underlying factors contributing to observed changes to gain a deeper understanding of the causes. Use analysis tools such as fishbone diagrams, five-cause diagrams, or failure mode and effects analysis (FMEA) to systematically identify and decipher the underlying issues causing deviations. This in-depth investigative approach is important not only for identifying surface symptoms, but also for exploring complex layers of causes.

Involve a multidisciplinary team of relevant stakeholders throughout the analysis process to ensure a holistic and diverse perspective. Including people with diverse skills and insights can increase the completeness and accuracy of your research. These joint efforts not only promote a more complete understanding of the disorder, but also the development of effective, targeted solutions.

Also consider integrating qualitative and quantitative data sources to strengthen your analysis. By combining empirical evidence, expert opinion, and historical data, you can create a more concise and accurate explanation of the root cause. This interdisciplinary approach contributes to a more resilient and adaptable research framework that can account for the complexities associated with identifying and resolving deviance.

Uncovering the complex web of factors contributing to change requires a multifaceted approach that leverages advanced analytical tools, engages multiple stakeholders, and integrates multiple data sources. This in-depth investigation lays the foundation for informed decision-making, strategic problem-solving, and implementation of preventive measures to prevent similar deviations in the future.

4. Impact Assessment:

Assess the impact of deviations on the overall workflow or project and carefully examine their impact and impact. Address the potential risks and consequences of deviating from the established path, considering both immediate and long-term impacts. Assess the broader impact on project planning, resource allocation, and stakeholder expectations to ensure a full understanding of how variations may disrupt the overall trajectory. It also analyzes the impact on interconnected processes and identifies dependencies that may be affected. By performing a thorough assessment, you can gain insight into many aspects of the transition and develop strategies to mitigate its impact, promoting a proactive and informed approach to project management.

5. Risk Mitigation:

Develop a comprehensive risk mitigation strategy in response to identified deviations. This involves developing a detailed plan that not only addresses the immediate problem, but also investigates root causes, implements corrective actions to fundamentally address these problems, and establishes preventative measures to prevent potential recurrence.

The first step involves an in-depth analysis of the risks associated with the deviation, identification of its causes, and assessment of its potential impact on the overall objectives. Once you have a clear understanding of these risks, you need to develop a structured plan that defines the specific actions you need to take to mitigate each risk. The plan should include both short-term measures to provide immediate relief and long-term strategies to ensure sustainable risk management over time.

It is important to implement corrective actions during this process. Addressing these causes of variation requires a targeted approach. It’s not just about solving an immediate problem, it’s about implementing systemic changes to prevent similar deviations from occurring in the future. This proactive attitude creates stronger and more resilient systems.

Additionally, it is important to consider both short-term and long-term strategies for a holistic approach to risk management. Short-term strategies may involve quick corrections and immediate responses to current deviations, while long-term strategies focus on sustainable solutions that protect the system from potential future risks. This dual approach allows organizations to effectively manage risk both immediately and over the long term.

The process involves a multifaceted approach that includes a combination of risk identification, detailed planning, corrective action, and short-term and long-term strategies. By adopting this comprehensive strategy, companies can not only mitigate the risks associated with deviations, but also strengthen systems that can successfully manage uncertainty.

6. Communicate:

Inform stakeholders of any deviations from established plans and explain the potential impact of such departures. Promote a culture of transparency by regularly informing all stakeholders of ongoing actions to address and mitigate the impact of deviations. Establish clear lines of communication for open exchange of information and ensure stakeholders fully understand the situation. This proactive approach to communication not only builds trust, but also ensures that everyone involved is well informed and promotes a collaborative environment where joint efforts can be focused on solving problems and achieving common goals.

7. Change Control:

When a deviation occurs, it is essential to carefully assess the situation and, if deemed necessary, improve and modify existing procedures or processes to smoothly implement the valuable lessons learned from the deviation experience. This proactive approach allows organizations to continuously develop and improve their operations based on real-world feedback.

Incorporating lessons learned from deviations into established procedures not only solves immediate problems, but also contributes to the larger process of organizational learning and continuous improvement. This adaptive mindset creates a culture of resilience and agility, allowing companies to effectively overcome unexpected challenges.

To maintain consistent standards and maintain compliance with quality standards, any changes or updates to procedures must be implemented through a formal change management process. This structured approach ensures that changes are thoroughly evaluated, documented, and approved prior to implementation. By establishing a formal change control process, organizations create a strong framework for managing change, mitigating risk, and maintaining a consistent and stable operating environment.

In other words, proactively updating processes to incorporate lessons learned from deviations, combined with a formal change control process, not only addresses immediate issues, but also promotes a culture of continuous improvement, adaptability, and quality assurance within the organization.

8. Continuous Improvement:

Create an organizational environment that grows through continuous improvement through careful review of deviations. Regularly participates in comprehensive process and project reviews to identify and analyze areas for improvement and optimization. Create a collaborative environment where you actively seek opinions and ideas from team members and value their unique perspectives and insights as valuable contributions to shared excellence. Develop a mindset that views change as a catalyst for growth and encourages continuous learning and adaptation. By building this culture of continuous improvement, companies can develop effectively, innovate, and remain resilient in the face of dynamic challenges.

9. Training and Awareness:

Conduct in-depth training for employees involved in specific processes to proactively mitigate similar deviations in the future. Increase employee awareness and understanding of the importance of following required procedures and policies. The purpose of this training plan is not only to correct past deviations but also to establish a culture of procedural discipline and integrity within the organizational structure. By increasing awareness of established protocols, employees can perform their roles accurately, reducing the likelihood of future deviations and promoting a culture of continuous improvement. The emphasis on training isn’t just limited to corrections. It represents a strategic investment in your organization’s operational efficiency and long-term compliance. When employees gain a deeper understanding of the rationale behind established procedures, they are more likely to internalize the importance of compliance, helping to create a work environment characterized by accountability, efficiency, and commitment to best practices. Additionally, these training plans can be designed to include interactive elements, case studies and real-world scenarios to increase engagement and put the knowledge gained into practice. Through regular refresher courses, feedback mechanisms and continuous reinforcement through performance evaluations, we will promote a resilient organizational culture that integrates best practices into daily operations, prioritizes procedural integrity and minimizes the risk of future deviations.

10. Document Corrective Actions:

Carefully record and document corrective actions taken to address identified deviations within the operating framework. Maintains complete records of changes to existing processes, policies or procedures in direct response to identified discrepancies. This document is a collection of important insights into the evolving organizational landscape and demonstrates the adaptability and resilience of existing systems. By carefully recording the corrective actions taken, an organization not only ensures transparency and accountability, but also creates a valuable resource for continuous improvement and future decision-making. These documented changes provide a holistic view of the dynamics of an organization’s response to deviations, fostering a culture of learning and agility. This systematic approach allows organizations to not only solve immediate problems, but also build a solid foundation for sustainable excellence and adaptability in the face of increasing challenges.

11. Performance Monitoring:

Continuous monitoring of the performance of modified processes is essential to ensure sustainable improvement. Establish a strong feedback mechanism to quickly identify and resolve any potential problems that may arise during implementation of revised processes.

It is important to emphasize that deviation management is not a one-time task, but a continuous and dynamic process. To prevent future recurrences, it is important to maintain a relentless commitment to continuous improvement and be proactive in identifying and mitigating potential deviations. Build a culture of adaptability and improvement by regularly evaluating performance indicators and collecting feedback from a variety of sources. By adopting a proactive, continuous improvement mindset, companies can foster resilience and improve the overall efficiency and reliability of their processes.

What happen when a Deviation is not properly investigated?

When a deviation is not properly investigated, several negative consequences can arise, depending on the context. Deviations refer to variations or departures from established processes, procedures, or standards. Failing to investigate deviations thoroughly can lead to the following issues:

1. Quality and compliance issues:

If variations within the manufacturing process are not addressed, product quality integrity can be compromised. Failure to correct these deviations can lead to a number of negative consequences, including potential defects, reduced product quality, and safety hazards. Moreover, when compliance is compromised, the impact extends beyond the product. Many industries have strict regulations that require any deviations from established manufacturing standards to be carefully inspected and documented.

When a manufacturing process deviates from prescribed standards, a variety of problems can arise that can seriously impact the final product. Quality control errors can result in defective components being installed, which can lead to defective items that not only erode consumer trust but also pose potential safety hazards. The presence of defective products not only damages the manufacturer’s reputation, but can also lead to legal consequences.

Additionally, in sectors where strict guidelines apply, compliance with the regulatory framework is essential. Not only does non-compliance expose companies to legal risk, but it also puts safety and public trust at risk as production deviations go unchecked. Regulatory authorities often require thorough investigation and detailed documentation to ensure that manufacturing processes meet established standards.

Preventive and corrective actions taken in response to production deviations play a critical role in maintaining overall product quality, maintaining regulatory compliance, and protecting consumer welfare and the reputation of the industry as a whole.

2. Repetition of errors:

Without thorough investigation, the underlying factors causing churn cannot be identified. Failure to identify this root cause greatly increases the likelihood that the same mistake will occur again in the future. This perpetuates a problem cycle in which unresolved problems resurface over and over again, creating ongoing problems and preventing sustainable solutions from being achieved. Thorough investigation is essential not only to resolve immediate problems, but also to break the vicious cycle of repeated failures and build more resilient and stable systems over the long term. By investigating the root causes of deviations, companies can take preventative action, strengthen processes, and take proactive action.

3. Risk of security incidents:

Deviations from established security protocols in industries such as healthcare, pharmaceuticals, and manufacturing can pose serious risks to the well-being of employees, consumers, and the general public. If these deviations are not thoroughly reviewed, they can go beyond simple procedural errors and lead to potentially serious safety incidents or incidents that threaten the operational integrity of these critical sectors.

In the healthcare sector, where patient well-being is fundamental, compliance with safety protocols is not only a regulatory requirement, but also a fundamental aspect of ensuring quality care. Deviations from established procedures can lead to uncertainty in the treatment process and potentially put the patient’s health and safety at risk. It is therefore important to carefully investigate any deviations from safety standards to maintain the trust and well-being of both healthcare professionals and patients.

In the pharmaceutical industry, where accuracy and precision are critical, deviations from safety guidelines can affect the quality and effectiveness of the drug product. If these discrepancies are not promptly addressed and investigated, substandard medicines may be distributed, posing a threat to public health and undermining trust in the industry. Rigorously reviewing any deviations from safety protocols is critical to maintaining the integrity of the pharmaceutical supply chain and protecting the health of end users.

Even in the manufacturing industry, where product production is a complex and complicated process, deviations from safety standards can lead to operational inefficiencies, product defects, and in extreme cases, major accidents. Failure to thoroughly investigate these deviations not only exposes workers to unnecessary risk, but also endangers the end users of the manufactured products. Strict safety protocols and careful investigation of any deviations are essential to maintaining the overall reliability and reputation of a manufacturing operation.

Strict adherence to safety protocols in this inherently important sector is not a mere bureaucratic formality. This is an important part of protecting the well-being of individuals, ensuring product quality, and maintaining the integrity of the industry as a whole. Close investigation of violations plays a critical role in preventing safety incidents, promoting continuous improvement, and creating a culture of responsibility and accountability in the healthcare, pharmaceutical, and manufacturing industries.

4. Financial Consequences:

Inefficient or faulty operating processes can result in serious financial disaster for a company. A good example of this is when deviations in the manufacturing process go unnoticed. These oversights can result in a variety of negative consequences, including product defects and product recalls, legal penalties, and serious damage to the company’s reputation in the marketplace.
Digging deeper into the complexity of the problem, the financial losses caused by inefficient processes go beyond the immediate cost of correcting the errors. For example, product recalls require significant financial resources to recover, replace, and dispose of defective items. Additionally, the legal consequences of these deficiencies could result in prolonged litigation, resulting in significant fines, settlements and legal fees, which could further weaken the Company’s financial stability.

The damage is not limited to financial impacts. It also has a domino effect on the company’s reputation. Consumers who hear or learn about a defective product may lose trust in the brand, resulting in loss of customer loyalty and market share. Negative publicity from recalls and lawsuits can tarnish a company’s image and make it difficult to regain the trust of existing and potential customers.

This means that troubleshooting problems and fixing inefficient or flawed processes is not only a matter of preventing immediate financial loss, but is also critical to ensuring your company’s long-term financial health, reputation, and profitability in a competitive marketplace. This highlights the importance of strong quality management systems and proactive management strategies to reduce risk and ensure sustainable success.

5. Loss of customer trust:

When a product or service deviates from established quality standards during manufacturing or distribution, the impact goes beyond immediate concerns. In these cases, loss of customer trust becomes a critical issue with far-reaching consequences. This loss of trust can cause lasting damage to a company’s brand reputation and threaten customer loyalty, negatively impacting the company’s overall success and sustainability.

Product or service quality is the foundation for fostering a positive customer experience. When inconsistencies arise and these fundamental aspects are compromised, customers may perceive the brand as unreliable or unable to maintain promised standards. These negative perceptions can lead to a trickle-down effect where customers are not only dissatisfied with a particular transaction, but also question the company’s overall integrity and commitment.

When customer trust declines, it can have a domino effect that affects purchasing decisions and brand promotion. In an age when consumers have so many choices, loss of trust in a company’s ability to deliver consistent quality can lead consumers to look for alternatives. Reputational damage can extend beyond your immediate customer base as negative word of mouth spreads and impacts potential customers who may dissuade them from engaging with your brand.

Moreover, the long-term consequences of declining customer trust extend beyond the immediate financial impact. Building and maintaining a positive brand image is an ongoing process that requires time, resources, and a strong commitment to quality. When trust is damaged, the process of rebuilding and regaining customer trust can be difficult and requires significant investments in marketing, communications and quality improvement initiatives.

In essence, the impact of deviations from quality standards extends beyond the immediate realm of product or service nonconformity. This has far-reaching implications for the fundamental structure of a company’s relationship with its customers, influencing its perception, behavior and ultimately its sustainability in a competitive marketplace. Therefore, an ongoing commitment to maintaining quality standards becomes not only a business imperative, but also a strategic imperative that ensures the company’s continued success.

6. Ineffective problem solving:

Without a thorough and complete investigation, an organization may not fully understand the root causes of deviations from established processes or standards. This lack of understanding is a serious barrier to formulating and implementing corrective and preventive actions. A thorough investigation is essential to address the complexity of irregularities as it reveals multiple aspects that contribute to deviations.

By performing a thorough audit, organizations gain valuable insight into the complex factors that lead to deviations. This in-depth understanding is the basis for developing targeted and effective corrective actions. Without this deep understanding, organizations risk adopting superficial solutions that only address the symptoms and not the root cause.

Additionally, a thorough investigation not only uncovers the immediate causes of deviations, but also addresses institutional issues and procedural deficiencies. This holistic approach ensures that advanced corrective actions are not only reactive but also preventative in nature, protecting your organization from recurring problems in the future.

In-depth research also provides learning opportunities for organizations and promotes a culture of continuous improvement. This allows you to identify potential vulnerabilities in existing processes and systems, allowing you to take proactive steps to improve overall operational resilience. If you don’t invest time and resources in comprehensive research, you may miss out on opportunities for organizational learning and improvement.
In summary, the absence of a proper investigation jeopardizes the organization’s ability to comprehend the intricate web of factors contributing to deviations. This lack of insight undermines the development of effective corrective and preventive actions, leaving the organization susceptible to the recurrence of similar issues. A thorough investigation not only addresses immediate concerns but also serves as a catalyst for organizational learning and improvement, reinforcing the organization’s capacity to navigate future challenges with resilience and foresight.

7. Audit and inspection results:

As part of their important duties, regulatory agencies carry out thorough audits and inspections to ensure compliance with established standards and regulations in various sectors. The main purpose of these audits is to ensure compliance with the various rules and guidelines applicable to a particular sector. Failure to thoroughly investigate and address deviations from these standards can expose your organization to significant risk.

If regulators find discrepancies in an audit, there are potential consequences that could have far-reaching consequences. Non-compliance may result in fines, penalties or other regulatory actions. These sanctions serve not only as a deterrent, but also as a mechanism to strengthen and maintain the integrity of the regulatory framework.

Moreover, failure to promptly address identified issues can damage the reputation and credibility of the organization being investigated. In addition to financial penalties, more serious consequences may include: B. Closure of activity, revocation of license or legal action. Collateral damage goes beyond the immediate financial impact and impacts the overall performance and sustainability of the organizations involved.

It is important for businesses and organizations to take a proactive approach to regulatory compliance and conduct rigorous internal reviews and investigations to identify and address potential non-compliance before regulators take action. This not only reduces the risk of disciplinary action, but also establishes a culture of care and accountability within the organizational structure.

In essence, government audit and inspection processes serve as an important mechanism to maintain the integrity of the industry and ensure that companies operate within established legal and ethical boundaries. By understanding and proactively addressing deviations, companies can navigate a complex regulatory environment, protect their operations, and contribute to the overall stability and reliability of the industries in which they operate..

8. Operational Inefficiencies:

Operational inefficiencies can arise due to unresolved deviations and can lead to a cascade of problems arising from the root cause of the problem. These unresolved inconsistencies can have a serious impact on many aspects of an organization’s performance, including productivity, resource utilization, and overall business performance.

To effectively address these risks, companies must establish and maintain a strong deviation management system. These systems include comprehensive investigation processes, careful documentation practices, and implementation of corrective and preventive actions. By carefully following these protocols, companies can not only solve immediate problems, but also create a path for continuous improvement.

An in-depth investigation process helps identify the root cause of the anomaly and provides insight beyond the symptoms above. This deep understanding allows for targeted, effective corrective action that not only resolves the immediate problem, but also helps prevent similar incidents in the future.

Documentation plays a key role here as it serves as detailed documentation of deviations, investigations and actions taken. A well-maintained documentation system not only contributes to accountability, but also provides a valuable resource for future reference, allowing companies to learn from past experiences and continually improve their processes.

The basis of a proactive approach to deviation management is the implementation of corrective and preventive actions. Corrective actions address existing problems, while preventive actions aim to eliminate potential problems. This dual strategy not only addresses immediate challenges, but also strengthens the company against future obstacles and promotes a culture of continuous improvement.

By emphasizing variation management, companies not only protect their day-to-day operations, but also maintain critical aspects such as quality and compliance. This commitment to maintaining high standards contributes to the overall effectiveness of the organization and strengthens the company’s resilience and adaptability in an ever-changing environment.

This means that a proactive, comprehensive approach to variance management is essential for companies looking to improve operational efficiency, maintain quality standards, and improve overall business performance. Implementing a strong deviation management system promotes a culture of continuous improvement and empowers your organization to overcome challenges and succeed in a dynamic business environment.

Example of Deviation

Several instances of deviations have been observed in drug or device firms, highlighting potential challenges and risks in their operations. These deviations encompass a spectrum of issues, and it is crucial to address them effectively to ensure the safety, efficacy, and quality of pharmaceutical products. Here are several common examples that underscore the diverse nature of these deviations:

1. Unanticipated Delays:

Unforeseen delays in manufacturing or testing processes pose a considerable risk, potentially leading to product degradation or expiration. Identifying and mitigating the causes of these delays require a proactive approach, emphasizing effective project management, supply chain resilience, and contingency planning to maintain product quality and meet regulatory timelines.

2. Environmental Deviations:
Deviations in environmental conditions, such as fluctuations in temperature, humidity, or air quality, can exert a profound impact on product stability and sterility. It is imperative for firms to implement stringent environmental monitoring programs to detect and address deviations promptly, thereby ensuring the integrity of the manufacturing environment.

3. Equipment Failures and Malfunctions:

One prevalent deviation involves equipment failures or malfunctions, which have the potential to introduce contamination or yield inaccurate test results. These technical glitches can compromise the reliability and precision of manufacturing processes, necessitating a rigorous approach to equipment maintenance and monitoring.

4. Human Errors:

Human errors represent another significant category of deviations, encompassing miscalculations, mislabeling, or the failure to adhere to approved procedures. These mistakes can occur at various stages of the production and testing processes, underscoring the importance of continuous training, process validation, and robust quality management systems.

5. Raw Material and Supply Chain Issues:

Deviations related to raw materials or supply chain disruptions can result in variations in product composition or quality. Establishing robust supplier quality management programs, conducting thorough risk assessments, and implementing contingency measures are essential strategies for mitigating these deviations and maintaining the consistency and reliability of pharmaceutical products.

By recognizing and comprehensively addressing these diverse deviations, drug and device firms can enhance their overall quality management systems, uphold regulatory compliance, and ultimately ensure the delivery of safe and effective products to consumers. This approach fosters a culture of continuous improvement and risk mitigation, aligning with the industry’s commitment to patient safety and product excellence.

 

 

 

Annexure:

Annexure-I: Deviation Form
Annexure-II: Deviation Register
Annexure-III: Investigation Template
Annexure-IV: Investigation Register

Deviation Procedure Read More »

Change Control Procedure

Change Control, Purpose:

Change Control, The purpose of this SOP is to define the requirements that all planned changes which have potential to impact the quality of the product are controlled through a systematic, standard and effective approach. This approach of controlling change will ensure:
[][]Safeguard of quality (Safety and efficacy of the product)
[][]Ensure compliance with legal and regulatory requirements
[][]Traceability of changes made through the lifecycle of a product or facility
[][]Assessment and management of all risks (Quality, Business and EHS) associated with the implementation of changes.

Change Control, Scope:

Applies to all planned changes (including emergency/temporary/permanent changes) that have the potential to affect GMP, Product Quality, Safety, Efficacy, Stability, EHS and the Validation status of Processes, Facilities and Systems of General Block and Sterile Block at XX Pharmaceuticals Ltd.
[][]Few examples of planned changes within the scope of this SOP are:

Production

GMP Documents :
Validation protocol.

Processes :

[][]Manufacturing or Packaging processes
[][]Process (time, mixing speed, temperature, order of addition etc).
[][]Removal/replacement/addition of API or excipients (Formula amounts, overage)
[][]Batch size, production scale
[][]In process controls
[][]Cleaning methods or processes.
[][]Coating weight of tablets, weight of capsule shell, fill weights or volumes.
[][]Any trial (machine/process) work.
[][]Shelf life, expiry (including hold times at intermediate production stages).

Manufacturing Facilities & Equipment :

[][]Equipment, critical device.
[][]Manufacturing/packaging suite/ location.
[][]Introduction of new product/ machinery.
[][]Change of critical spare parts of machineries.
[][]Product & materials
[][]Shape or dimension of product.
[][]Imprints/embossing or other markings on product.
[][]Colour of the product
[][]Packaging Components
[][]Intermediate/Primary/Secondary packs
[][]Product contact components
[][]Disinfectants / Detergents
[][]Product Contact Lubricants

Quality Assurance

Control Documents :

[][]Specification (product, API, excipients, packaging) and Control Direction
[][]Stability protocol.
[][]Artworks.
[][]Qualification protocol
[][]Technical agreements with third party or any service provider.
[][]Colour shades.
[][]Approved supplier list

Methods & procedure :

[][]Sampling or Testing processes
[][]Test parameters (time, run time, temperature, solvent etc).
[][]Removal/replacement/addition of tests.

[][]Environmental monitoring system.
[][]Microbiological monitoring location, frequency and limits

Facilities & Equipment :

[][]Laboratory equipment.
[][]Critical spare parts of equipment.
[][]Introduction of new equipment.

Supplier :

[][]Supplier of API, excipients or packaging components
[][]Change in supplier, manufacturing location, material, pack size or mode of packaging.

Engineering Services

GMP Documents :

[][]Qualification protocol
[][]Drawing & facility layout
[][]Master Calibration list

Facilities & Equipment :

[][]New/additional location for assembly, manufacturing, packaging and testing.
[][]Building Management e.g. Building Management system, pest control.
[][]Calibration frequency or limits/tolerance.
[][]Utilities such as facilities cleaning, compressed air, vacuum, electricity and water.
[][]Building / structural work (e.g. new facility, or installation of utility equipment).
[][]Any change in equipment design
[][]Substitution of any engineering parts.

Services /Utilities :

[][]Water Generation and Distribution
[][]Steam Generation and Distribution
[][]HVAC, vacuum and compressed air modification

Others

[][]Any change relating to a product manufactured at third party
[][]Change relating to product/technology transfer.
[][]Any activity that have the potential to affect EHS
[][]Format change of any controlled documents such as Batch Manufacturing Record, Batch Packaging Record & Control Direction

The process does not apply to the following as these are managed separately by individual SOPs:

[][]Any unplanned incident/changes
[][]Engineering replacement with identical/equivalent parts (procured from the approved sources having the same functionality , specification and serial number)
[][]Routine servicing or preventive maintenance.
[][]Changes during Product Development/trial
[][]Routine revision of any controlled documents (e.g. SOP, BMR, Test methods etc)
[][]SOP/BMR/BPR change to comply with any requirements where the reason and history of changes are mentioned in the revision details.
[][]Like for Like Change

Definitions / Abbreviation:

[][]Change Control Procedure: A formal controlled documented process by which qualified representatives from appropriate discipline, review, propose and make changes to an approved system.
[][]Temporary change: A change (departure from any established procedure/system/process) initiated for the evaluation of proposed procedure/system/process, which has been taken with prior approval to achieve the desired output, allowed for one time change and limited to a particular batch or campaign batches. For example change in manufacturing equipment.
[][]Permanent change: A change initiated based upon scientific rational or historical cGMP data or data generated through temporary changes.

[][]Minor Change: A change unlikely to have a detectable impact on the critical attributes of a system, process, material, product or procedure. (For example: equivalent rewording of instructions or batch record format changes
[][]Major Change: A change that could have a significant impact on the critical quality attributes of a system, process, material, product or procedure. (For example: packaging design change, order of addition of components, mixing parameters in a process).
[][]Critical Change: A change that would be likely to have a significant impact on the critical attributes of a system, process, materials, product or procedure. (For example: a change in critical equipment or change in manufacturing site.)

[][]Planned Change: A change that is planned and given the associated lead time.
[][]Unplanned Change: An unplanned change is a change that occurs unexpectedly on an individual batch or process and is documented via the deviation system.
[][]Engineering replacement with identical parts: Parts that meet the following criteria are known as identical parts and replacement for these Change Control is not required:
=>Same functionality.
=>Same specification.
=>Same manufacturer.
=>Same part number.
[][]Engineering replacement with equivalent parts: Parts that meet the following criteria are known as equivalent parts and replacement for these Change Control is not required:
=>Same functionality.
=>Same specification.
=>Could be a different manufacturer.
=>Could be a different part number from the same manufacturer.

Responsibilities:

[][]The roles and responsibility is as follows:

Concern Department (change initiator)

[][]To propose the change.
[][]Assess if the change is within scope of the change control process.
[][]Provide sufficient supporting information necessary for initial assessment of the change.
[][]To intimate Quality Compliance for issuance of the change control form.
[][]To make necessary entries in the change control form.
[][]To take approval of Department Head and send the form to Quality Compliance for review.
[][]To take approval from Manager, Quality Assurance
[][]To take execution approval from Manager, Quality Assurance prior to execute the change.
[][]To generate relevant supporting data in consultation with related department for compliance of the recommendation provided in reference to change implemented.

Quality Assurance Personnel

[][]To make necessary entries in the change control register.
[][]To issue change control form after assigning change control number and making necessary entries.
[][]To review the change control form and provide the recommendations as impact analysis against the change initiated.
[][]To review actionable mentioned in the impact analysis that are required to be in place prior to implement proposed change and to provide execution approval.
[][]To send the change control for approval to Manager, Quality Assurance in case of impact on regulatory aspects and to obtain approval.
[][]To intimate third party for changes related to their products.
[][]To intimate the changes related to customer, in accordance with the provision as defined in the quality agreement.
[][]To generate and issue corrective action and preventive action (CAPA) form if required for recommendations provided to complete the activity in concern to change implemented.
[][]To review and evaluate the data / assessment report generated during study in consultation with Manager, Quality Assurance.
[][]To close the change control after ensuring implementation and to make necessary entries in change control register.
[][]To retain all change controls in Quality Assurance department.
[][]To circulate a list of change controls which are in issued status for follow up and progress review. The list shall be circulated on monthly basis

Concern Department Head

[][]To review and evaluate filled change control form and give approval.
[][]To recommend possible impact in change control form.
[][]To send the filled change control form for review to Quality Compliance.
[][]To revise the document in consultation with all respective department.
[][]To arrange and ensure generation of the supporting data/ assessment report to comply the recommendations.
[][]To take execution approval from Manager, Quality Assurance prior to execution of the changes.

Manager, Quality Assurance

[][]To provide recommendations / review the adequacy of impact analysis for recommendation provided in respect to change initiated.
[][]To decide change review level of changes proposed.
[][]To approve the change control.
[][]Ensure all relevant changes are managed according to SOP.
[][]Trending of change controls.
[][]Assess, review and approve a proposed change for implementation

Procedure:

Checking of scope for Planned Change:

[][]Before initiating the process the initiator will check if the planned change is within the scope defined in this SOP. If there is any doubt about the scope of change then the initiator will discuss with Quality Assurance Department.
[][]Before initiating the proposal the initiator will check whether any change proposal on the similar subject (Product/equipment/process/materials) still remains open that need to be implemented.

Procedure for Change Initiation :

[][]Upon identification of need of change(s), concern person shall ask Quality Assurance personnel to issue “Change Control Form” (Refer Annexure-I).
[][]Quality Assurance personnel shall make following entries in “Change Control Form” while issuance and similar entries in “Change Control Register” (Refer Annexure-II).
[][]Change Control No. :
[][]Change control No. shall be assigned as per below explained numbering system.
[][]Change control number shall be changed every year.

[][]Change control number shall be alphanumeric system containing 11 characters. Numbering breakdown is as follows: CCyy/Area code/xxx.
Area Code is as follows:
=>General Issues GI, Common issues that affects more than one area.
=>General Block : GB
=>Sterile Block : SB
=>For example: CCXX/GB/001.

[][]The first two alphabets shall stand for Change control
[][]Next two numeric characters shall stand for year code XX shall denote year 20XX.
[][]Next character is slash (/), followed by two capital letter stands for area code of General Block at XX Pharmaceuticals Ltd.
[][]Next character is slash (/), followed by three numerical shall stand for serial number, which shall start every year from 001. For example first change control no CCXX/GB/001 and second CCXX/GB/002, third CCXX/GB/003 ….. for any change.
[][]In case of Sterile block, Change control number shall be SC13/CB/001 and so on. Two capital letter CB stands for area code of Sterile block at XX Pharmaceuticals Ltd.

[][]The number will be unique; if proposal is withdrawn/ rejected the same number will never be used again.
[][]Initiator: Name of the person to whom the change control is issued shall be written.
[][]Originating Department: The name of the department to whom the change control is issued shall be written.
[][]Issued By: The Quality Assurance Personnel who is issuing the change control shall put his/her initial with signature.
[][]Date of Issuance: Date on which the change control is issued shall be written.
[][]Product / Material / Document Name / SOP Title: Name of product/ material/ document title whatever applicable shall be mentioned for which the change is initiated and rest shall be stricken out.

[][]Batch no. /Lab control no. / Document No. : In case of temporary change, batch number of the product or Lab control No. of material for which the change is initiated shall be written.
In case of permanent change, document number (Master BMR No., SOP No., Specification No. etc. with version number) for which change is initiated shall be written.
[][]Type of Product (Country): Whether product is for domestic market or export market shall be mentioned. Specify the name of country as applicable, If the change is related to export product, name of region or country for which the product is being manufactured shall be mentioned.

[][]Change Type: Put the tick mark on appropriate change type.
[][]Concern person shall further fill the change control form as explained under below. In case space provided in change control form is not sufficient to accommodate the changes, below details shall be given on separate sheet in following type of table. This attachment shall be prepared and checked by concern department and reviewed by Quality Assurance.

Sl. No.Existing SystemProposed ChangeReason/ Justification Impact analysisChange review level
Prepared by/date
(Change Initiator )
Checked by/date:
(Department Head)
Reviewed by/date:
(Manager, Quality assurance)

[][]Existing System: Write details of existing process / formula / procedure / equipment or specification that is being followed.
[][]Description of Proposed Change: Write details of proposed process / formula / procedure / equipment or specification that is to be followed.
[][]Reason/Justification/Benefits for proposed change :In case of Direct Change, write the clear reason (wherever possible) for change initiated along with justification based on supporting data like history, trend, stability data, scientific rationale, event / audit observations and experience or any other to ensure no adverse impact on product quality.
[][]Temporary changes: Confirm that a search for similar changes been performed. Put the tick mark on appropriate box and write the date of expiry for temporary change.
Evaluation for Requirement of Change: If not justifiable
[][]The filled change control shall be reviewed by Concern Department Head and Manager, Quality Assurance or Designee. If the requirement for change is not justifiable or not agreed, either to Concern Department Head or Manager, Quality Assurance or Designee, they shall include justification to close the change control.
[][]The change control form and register shall be updated for closure by Quality Assurance personnel and change control form shall be retained in Quality Assurance department.
[][]Evaluation for Requirement of Change: If justifiable.
[][]Upon evaluation, if the requirement for change is justifiable or agreed, Concern Department Head and Quality Assurance personnel, they shall further allow carrying forward change control by signing it, for approval of GM, Plant and Manager, Quality Assurance.

Recommendations for Impact Analysis :

[][]Concern Department Head and Manager, Quality Assurance or his Designee shall provide recommendations for impact analysis to support ultimate output.
[][]The respective impacted Department Head shall be informed for the recommendations provided under each impact and approval for the same shall be taken from the impacted Department Head.
[][]Change control shall be informed to customer, in accordance with the provision as defined in the quality agreement.
[][]Based on feedback obtained further course of change control implementation shall be decided.
[][]If change control is not approved by third party or not acceptable to third party as per quality agreement, then change control shall be closed with the justification that particulate batch cannot be dispatched to respective third party but it can be sent to different third party if it fulfills requirements of different third party.
[][]If that particular drug product has to be dispatched to the third party with current formula then different product Item Code shall be given.
[][]While batch release Quality Assurance shall ensure that product requirement is fulfilled as per quality agreement during dispatch to different third party.
[][]Adequacy of impact analysis through recommendation shall be approved by Manager, Quality Assurance or Designee.
[][]For new system introduction change control shall be raised upon finalization of draft SOP.

Approval :

[][]All change controls shall be approved by Manager, Quality Assurance.
[][]Upon ensuring all approval, the originating department shall initiate preparatory work as recommendation provided to execute the changes proposed.
[][]The Quality Assurance Executive or his Designee shall review / verify all required actionable mentioned in the impact analysis(possible impact) that are required to be in place before implementation of proposed changes and provide execution approval by signing the change control.
[][]Originating department shall start to execute or implement the change only after getting approval for execution from Quality Compliance. The approved change control shall be provided to change initiator for execution of changes.

CAPA (Corrective Action and Preventive Action) Issuance and Monitoring :

[][]Quality Assurance shall issue CAPA form for long term corrective action and preventive action(s) to the concern impacted Department Head to monitor the recommendation as applicable.
[][]The CAPA shall be issued based on discretion of Manger, Quality Assurance.

Execution :

[][]Details of changes shall be explained by Quality Assurance personnel to concern persons either through mail or by conducting training as recommended in impact analysis / by sending scanned copy of change control form through mail.
[][]The concern person shall execute the change in coordination with Quality Assurance & shall prepare assessment report / data.

Review of Recommendations :

[][]After execution of the change the Concern Department Head and the impacted Department Head shall submit the CAPA form along with respective supporting data / assessment report if applicable to Quality Assurance for review of recommendations.

Impact Evaluation and Conclusion :

[][]Based on review of data / assessment report / outcome / results (satisfactory / not satisfactory) Quality Assurance shall make final conclusion, whether the change was executed successfully or not and shall close the same.

Time Line for Closure of Change Control Form :

[][]After the change is implemented, then the CC form shall be closed by Quality Assurance personnel, within 30 calendar days.
[][]Quality Assurance shall track the open change controls while issuing new change control to initiating department.
[][]New change control shall not be issued if for a same system/equipment/material/product/document and same stage about 3 change controls are already open.

Updating of Change Control Register :

[][]After closing the Change Control Quality Assurance shall update the Change Control register.
[][]All the Change Controls – Permanent / Temporary shall be retained in Quality Assurance Department.
[][]Note: In case of a change initiated for one document which may impact other document(s), the respective document(s) can be revised with reference to the same change control initiated for mother change. The document dedicated change control number system shall not applicable in this case.
[][]In addition to mother changes other changes if required can be clubbed and a separate attachment can be attached to mother change control and all persons who have involved in approval of mother change control shall sign the addendum of mother change control.

Batch release of Change Control impacted batch:

[][]Change Control impacted batch will not be released until formal closing.
[][]Any validation/trial batches produced as supporting evidence for the change proposal will be quarantined until formal closing of Change Control proposals.
[][]In some circumstances, to allow batch release, Manager, Quality Assurance may approve concurrent release of the impacted batches through a risk assessment by the owner.

Annexure:

Annexure-I: Change Control Form
Annexure-II: Change Control Register

Change Control Procedure Read More »

SOP for SOP Preparation and Handling Procedure

SOP for SOP, Purpose :

SOP for SOP, The purpose of this SOP is to define the stages, responsibilities and structure for the creation, distribution, handling, controlling, revision & retrieval of all operating procedures of XX Pharmaceuticals Ltd.

SOP for SOP, Scope :

This SOP applies to all functions in order to prepare, review, control and authorize/approve any procedure.

Definitions / Abbreviation:

[][]Standard Operating Procedure (SOP): A written authorized procedure, which gives instructions for performing operations.

Responsibilities:

[][]The roles and responsibility is as follows:

Author(Who prepares the SOP)

[][]Ensure that the document is technically correct and reflects the required working practices.
[][]Initiate the preparation of SOP through the inputs from the employees directly concerned with the activity.
[][]Responsible for circulation of SOP for comment and resolution of any differences of opinion.

Technical Expert

(Any person who has basic understanding on the subject matter)
[][]Review the SOP and formally notify their agreement to SOP owner within a stipulated time.

Functional Head

[][]To confirm the content, accuracy and detailing about of SOP.
[][]Verify the SOP against XX Pharmaceuticals Ltd. master documents and current regulatory requirements and approve it.

Quality Assurance Executive

[][]To maintain the original copy of the SOP.
[][]To issue controlled copy of the SOP and maintain issuance record.
[][]To retrieve the controlled copy of the SOP when it is superseded.
[][]To destroy the SOP as per procedure.
[][]To control and monitor the review process of the SOP.

Manager, Quality Assurance

[][]Approve all SOPs that have direct/indirect impact on product quality.

Procedure:

[][]Note: It will be applicable for any SOP of general precautions or operational safety.
[][]The process for developing and managing any SOP includes picking of right format, number generation, drafting, review, approval, issuance, distribution, periodic review, revising, withdrawing, archiving and destruction.

[][]Layout Designing for SOP: Before preparation of a SOP, following preliminary requirements are to be meet:

Format of SOP

[][]Standard Format (Annexure-I) shall be used for preparing any Standard Operating Procedure.
[][]The format of this SOP should be used to maintain the same text fonts, page borders, and general document format as explained here.

ParticularsFont sizeFont Font Style
In Header: Company LogoN/AN/APosition is ‘Left side’
In Header: Company Name14ArialBold, All Letters in Capital, Position is ‘Centered’ (both in Horizontally & Vertically)
In Header: Plant Address08ArialAll words are Regular but “Plant” is in bold. Position is ‘Centered’ (both in Horizontally & Vertically)
SOP Title10ArialBold & Uppercase
Heading10ArialBold
Text10ArialRegular
In footer10ArialBold, Position is ‘Left (indent)’ in Horizontally & ‘Centered’ in Vertically

Page Set Up

Margin:

[][]Top : 0.75

[][]Bottom : 0.75

[][]Right : 0.75

[][]Left : 0.75

[][]Gutter : 0.00

[][]Header : 0.5

[][]Footer : 0.5

Note: All Measurements at Inch.

[][]Paper size: A4 size, offset paper

[][]Orientation: Portrait (However landscape orientation may be used for annexure or if required).

[][]Header: Same for all pages [Annexure-I]

[][]Footer: Same for all pages except first. In first page there is no footer. [Annexure-I].

[][]Heading of the main content should use appropriate heading number such as 1, 2, 3 etc.
[][]Subheading may be included in any of the content sections using appropriate heading numbering such as 1.1, 1.2 etc.
[][]Further subheading may be included in any of the sub content sections using appropriate heading numbering such as 1.1.1, 1.1.2 etc.
[][]Header & Footer: Each page header must contain the following information:
[][]Title: Mention title of the SOP, which is expressive of the subject of the SOP.
[][]SOP Number: All the SOP numbers must be unique, unambiguous and unanimous. Referencing should be done in such a manner that it reflects either the function or purpose of this SOP. Standard format of SOP number is as – ‘SOP /Sectional Ref/Sequential SOP No. / Version No.’
[][]Sectional Reference is the predefined department/Section code to identify the SOP controlling department.

The following ‘Sectional Ref’ numbers must be used at the time of preparation of SOPs.

[][]Production (General):  PRO
[][]Production (Sterile): S-PRO
[][]Packaging (General): PKG
[][]Packaging (Sterile): S-PKG
[][]Warehouse (General): WH
[][]Warehouse (Sterile): S-WH
[][]Quality Assurance (General): QA
[][]Quality Assurance(Sterile): S-QA
[][]Quality Control(General): QC
[][]Quality Control(Sterile): S-QC
[][]Microbiology(General): MIC
[][]Microbiology(Sterile): S-MIC
[][]Product Development(General): PD
[][]Product Development(Sterile): S-PD
[][]Engineering: ENG
[][]HR & Admin: HR
[][]Supply Chain: SC
[][]Information Technology: IT
[][]Environment, Health &safety: EHS

A three digit Sequential number shall be assigned to the SOP. This number cannot be reassigned to any other SOP even after deletion of that SOP. The sequential number will be followed by two digit Version number which indicates the number of the revision of the respective SOP.

[][]Version No: In case of new SOP, mention “01” in this column. In case of revision, mention number of version in this column.
[][]Superseded: In case of new SOP, mentions “N/A” in this column. In case of revision, SOP No. of old version shall be written in this column.
[][]Page No.: Mention page No. in this column. It shall be mentioned in “Page X of Y” format.
[][]Prepared By (Signature in Blue Ink on Every Page): Signature of a person, who has written the SOP, shall appear in this column. The signature shall be done using a blue ink to identify the copy as master copy.
[][]Checked By (Signature in Blue Ink on Every Page): Signature of Head of SOP Controlling Department /User department head or any concerned reviewer, who has checked the SOP, shall appear in this column.
[][]Agreed By: Signature of Head of other departments excluding SOP owner /User department head or any concerned reviewer, who has checked & agreed the SOP, shall appear in this column.

[][]Define Content of SOP: Every SOP must contain the following standard sections and contents. Guide line to write these contents is in below:
[][]Issue Date: This is the date when the SOP is issued for signature/approval. This should be in the day-month-year (dd-month-yyyy) format i.e. 30-August-2012.
[][]Effective Date: Mention the effective date from which the SOP shall be implemented after proper training. This should be within 7 working days of approval.
[][]Review Date: It will be 36 months from the issue date in day-month-year (dd-month-yyyy) format. However, revision may be made as and when required before schedule.
[][]Review and Approval: This section must include the printed name, signature, job title, and signing date for the following four disciplines:
[][]Prepared by
[][]Checked by
[][]Agreed by( it would be included where necessary)
[][]Approved by
[][]Distribution List: This section will have a list with job title of individual or sectional name to which the SOP will be distributed for execution.
[][]Purpose: The purpose must state why the SOP is needed

[][]Scope: Mention the application of the SOP in this section. It shall describe the extent of areas covered by the SOP. If the same SOP is used in different location, mention the location in the scope of that SOP.
[][]Definition / Abbreviation: Definitions of words, abbreviations, or actions that may not be readily understandable.
[][]Responsibility: Briefly describes the detailed responsibilities of individuals/departments for implementation of the SOP.
[][]Revision Details: In case of revision, point out the specific changes of current version with previous version. For a new SOP the Revision Details text must read: “First issue”.
[][]Annexure: The mandatory features of an annexure are:

Annexure-I: Format of SOP
Annexure-II: SOP Issue Register
Annexure-III: Request for Issuance of Additional copy of SOP
Annexure-IV: Authorization for Discontinuation of SOP

Procedure:

[][]Note: It will be applicable for any SOP of general precautions or operational safety.
[][]The process for developing and managing any SOP includes picking of right format, number generation, drafting, review, approval, issuance, distribution, periodic review, revising, withdrawing, archiving and destruction.
[][]Layout Designing for SOP: Before preparation of a SOP, following preliminary requirements are to be meet:
[][]Format of SOP
[][]Standard Format (Annexure-I) shall be used for preparing any Standard Operating Procedure.
[][]The format of this SOP should be used to maintain the same text fonts, page borders, and general document format as explained here.

ParticularsFont sizeFont Font Style
In Header: Company LogoN/AN/APosition is ‘Left side’
In Header: Company Name14ArialBold, All Letters in Capital, Position is ‘Centered’ (both in Horizontally & Vertically)
In Header: Plant Address08ArialAll words are Regular but “Plant” is in bold. Position is ‘Centered’ (both in Horizontally & Vertically)
SOP Title10ArialBold & Uppercase
Heading10ArialBold
Text10ArialRegular
In footer10ArialBold, Position is ‘Left (indent)’ in Horizontally & ‘Centered’ in Vertically

Page Set Up

Margin:
[][]Top: 0.75
[][]Bottom: 0.75
[][]Right: 0.75
[][]Left: 0.75
[][]Gutter: 0
[][]Header: 0.5
[][]Footer: 0.5
[][]Paper size: A4 size, offset paper
[][]Orientation : Portrait (However landscape orientation may be used for annexure or if required).
[][]Header : Same for all pages [Annexure-I] [][]Footer: Same for all pages except first. In first page there is no footer. [Annexure-I].
[][]Heading of the main content should use appropriate heading number such as 1, 2, 3 etc.
[][]Subheading may be included in any of the content sections using appropriate heading numbering such as 1.1, 1.2 etc.
[][]Further subheading may be included in any of the sub content sections using appropriate heading numbering such as 1.1.1, 1.1.2 etc.
[][]Header & Footer: Each page header must contain the following information:
[][]Title: Mention title of the SOP, which is expressive of the subject of the SOP.

[][]SOP Number: All the SOP numbers must be unique, unambiguous and unanimous. Referencing should be done in such a manner that it reflects either the function or purpose of this SOP. Standard format of SOP number is as – ‘SOP /Sectional Ref/Sequential SOP No. / Version No.’
[][]Sectional Reference is the predefined department/Section code to identify the SOP controlling department.

The following ‘Sectional Ref’ numbers must be used at the time of preparation of SOPs.

[][]Production (General): PRO
[][]Production (Sterile): S-PRD
[][]Packaging (General): PKG
[][]Packaging (Sterile): S-PKG
[][]Warehouse (General): WH
[][]Warehouse (Sterile)S-WH
[][]Quality Assurance (General): QA
[][]Quality Assurance(Sterile)S-QA
[][]Quality Control(General): QC
[][]Quality Control(Sterile): S-QC
[][]Microbiology(General): MIC
[][]Microbiology(Sterile): S-MIC
[][]Product Development(General): PD
[][]Product Development(Sterile):S-PD
[][]Engineering: ENG
[][]HR & Admin: HRD
[][]Supply Chain: SC
[][]Information Technology: IT
[][]Environment, Health & Safety: EHS

A three digit Sequential number shall be assigned to the SOP. This number cannot be reassigned to any other SOP even after deletion of that SOP. The sequential number will be followed by two digit Version number which indicates the number of the revision of the respective SOP.

[][]Version No: In case of new SOP, mention “01” in this column. In case of revision, mention number of version in this column.
[][]Superseded: In case of new SOP, mentions “N/A” in this column. In case of revision, SOP No. of old version shall be written in this column.
[][]Page No.: Mention page No. in this column. It shall be mentioned in “Page X of Y” format.
[][]Prepared By (Signature in Blue Ink on Every Page): Signature of a person, who has written the SOP, shall appear in this column. The signature shall be done using a blue ink to identify the copy as master copy.
[][]Checked By (Signature in Blue Ink on Every Page): Signature of Head of SOP Controlling Department /User department head or any concerned reviewer, who has checked the SOP, shall appear in this column.

[][]Agreed By: Signature of Head of other departments excluding SOP owner /User department head or any concerned reviewer, who has checked & agreed the SOP, shall appear in this column.
[][]Define Content of SOP: Every SOP must contain the following standard sections and contents. Guide line to write these contents is in below:
[][]Issue Date: This is the date when the SOP is issued for signature/approval. This should be in the day-month-year (dd-month-yyyy) format i.e. 30-August-2012.
[][]Effective Date: Mention the effective date from which the SOP shall be implemented after proper training. This should be within 7 working days of approval.
[][]Review Date: It will be 36 months from the issue date in day-month-year (dd-month-yyyy) format. However, revision may be made as and when required before schedule.
[][]Review and Approval: This section must include the printed name, signature, job title, and signing date for the following four disciplines:

[][]Prepared by
[][]Checked by
[][]Agreed by( it would be included where necessary)
[][]Approved by
[][]Distribution List: This section will have a list with job title of individual or sectional name to which the SOP will be distributed for execution.
[][]Purpose: The purpose must state why the SOP is needed.
[][]Scope: Mention the application of the SOP in this section. It shall describe the extent of areas covered by the SOP. If the same SOP is used in different location, mention the location in the scope of that SOP.
[][]Definition / Abbreviation: Definitions of words, abbreviations, or actions that may not be readily understandable.

[][]Responsibility: Briefly describes the detailed responsibilities of individuals/departments for implementation of the SOP.
[][]Revision Details: In case of revision, point out the specific changes of current version with previous version. For a new SOP the Revision Details text must read: “First issue”.
[][]Annexure: The mandatory features of an annexure are:
[][]No annexure can be updated without updating the SOP.
[][]No need to update Annexure during only updating the SOP.

[][]Procedure: This section provides the detailing about the step-wise activities to be performed within a system.
[][]Preparation of SOP:
[][]SOP author will prepare a procedure in clear unambiguous language which describes the process to be conducted against the SOP in sufficient detail that they can be performed in a reproducible, systematic and consistent manner. During preparation of SOP author must consider the following:
[][]Understand the full process first and then write the procedure/SOP.
[][]Write procedure using simple, clear, concise & easy sentences.

[][]Abbreviations must be defined in full on the first occasion of use. All the resources that can give ideas about preparing the procedure shall be explored.

[][]It is preferable to use positive sentence structure in the SOP.
[][]High level process flowcharts or diagrams must be used for clear understand of the process
[][]User Department Head confirms the content, accuracy and detailing of SOP.
[][]Review of the Documents:
[][]The author collect all comments from the review of the document and update the document as appropriate and be able to provide the Approvers with a justification for any comments from key reviewers that are not accepted.

[][]Approval of SOP:
[][]After final verification, All SOP’s must be approved by Manager, Quality Assurance.
[][]Training on SOP:
[][]After final sign off the originator or controlling department will initiate the training program on SOP.
[][]Training must be conducted before the effective date of the SOP.
[][]The originator will inform to Human Resources Department [HR] with a formal request for organizing training.

Issue of SOP:

[][]SOP controlling department will make required photocopies of the SOP from Master SOP as per distribution list.
[][]Put the “CONTROLLED” stamp in blue ink at the top of the right side of each page of the SOP.

[][]Controlling Department issues the SOP for implementation after making necessary entries in the controlled copy issuance record (Annexure-II) at the time of issuing. The record sheet will be attached with master SOP.
[][]Controlling Department will retrieve all controlled copies of the superseded version.
[][]Controlling Department person shall put the “OBSOLETE” stamp (sample is given below) in red colour on each page of the Master SOP of the superseded version. The Controlling

[][]Department shall keep the OBSOLETE MASTER SOP in the master OBSOLETE file.

[][]All other copies of superseded version will be destroyed after keeping a record.
[][]Photocopy of the “CONTROLLED COPY” is not permitted.
[][]Any photocopy that is not having blue stamp of “CONTROLLED” shall not be considered valid for use.
[][]Master SOP will be kept by Quality Assurance department.

[][]There shall be a Master List of all main SOPs and it shall be maintained by Quality Assurance Department.

Implementation:

[][]The user department after receiving “CONTROLLED” copy of the new SOP shall implement the SOP after training.

Periodic review of SOP:

[][]SOP shall be reviewed at least every 3 years. However SOP’s may be revised before the next review date if required.
[][]In case of any change in the SOPs that may affect the product quality a Change Control Proposal shall be raised by the user’s section/department.

Issuance of Additional Copy of SOP:

[][]If an additional copy of SOP is required by any department for non-operational use then QA dept. shall issue an additional copy only after written approval from Manager, quality [][]Assurance. Such requests shall be obtained through the Request Form as per Annexure -III and shall be forwarded through the department head.

Discontinuation of the SOP:

[][]The existing SOP may be discontinued with proper justification and approval of Departmental Head / Manager, Quality assurance. The SOP number of deleted SOP cannot be reassigned to any other SOP. Fill the details for discontinuation of the SOP as per Annexure-IV.
[][]QA person shall retrieve and destroy all the controlled copies of the discontinued SOP after the authorization of Manager, Quality assurance.
[][]QA person shall put the ‘OBSOLETE’ stamp in red color on the every page of the original copies of the discontinued SOP.

Annexure:

Annexure-I: Format of SOP
Annexure-II: SOP Issue Register
Annexure-III: Request for Issuance of Additional copy of SOP
Annexure-IV: Authorization for Discontinuation of SOP
Annexure-V: SOP Index

SOP for SOP Preparation and Handling Procedure Read More »

Atlas Copco Air Compressor & Air Dryer Operation & Maintenance

Atlas Copco Air Compressor , Purpose:

Atlas Copco Air Compressor , The purpose of this SOP is to define the standard operation and maintenance procedure of Atlas Copco Air Compressor and Air Dryer in order to ensure its smooth & trouble-free operation and generation of quality compressed air.

Atlas Copco Air Compressor , Scope:

This Standard Operating Procedure applies to the Atlas Copco Air Compressor (Model: ZT 75) and Air Dryer (Model: CD185+) which is located at the Utility area of Solid Block of XX Pharmaceuticals Ltd.

Definitions / Abbreviation:

[][]Air Compressor: An air compressor is a device that converts power (usually from an electric motor) into kinetic energy by compressing and pressurizing the ambient air.

Responsibilities:

[][]The roles and responsibilities are as follows:

Engineering (Validation) Department

[][]Preparing the SOP and revise it when necessary.

Engineering (Maintenance) Department

[][]To provide necessary support for smooth operation & maintenance of the system.
[][]To ensure that the operators are responsible to carry out the operation and maintenance work and regular checking of the critical components and logbooks.
[][]To develop a list of spare parts based on the manufacturer’s recommendations and to forward the list to the Planning and Procurement department with a request to place order as required.

Operators

[][]To operate the Air Compressor according to the SOP.
[][]To fill up the logbooks related to the air compressor.
[][]To do the maintenance according to the check list.

Manager,  Engineering

[][]To ensure that the operation and maintenance of air compressor are done properly.
[][]To approve any maintenance/plans related to the compressor.

Manager, Quality Assurance

[][]To ensure overall implementation of this SOP.

Procedure:

Precautions:

[][]All operation and maintenance work must be done safely in accordance with the requirements of the Plant Safety Statement and the safety notices around the plant. Specific attention must be paid to the following:
[][]Never touch any piping or components of the compressor during operation.
[][]Use only the correct type and size of hose end fittings and connections. When blowing through a hose or air line, ensure that the open end is held securely.

[][] A free end will whip and may cause injury. Make sure that a hose is fully depressurized before disconnecting it.
[][]Do not apply the air to skin or direct an air stream at people. Never use the air to clean dirt from your clothes. When using the air to clean equipment; do so with extreme caution and wear eye protection.
[][]Persons switching on the machines shall take adequate precautions to ensure that there is no one checking or working on the machine.
[][]Never operate the machine when there is a possibility of taking in flammable or toxic fumes, vapors or particles.

[][]Never operate the machine below or in excess of its limit ratings.
[][]Keep all bodywork doors shut during operation.
[][]All maintenance work shall only be undertaken when the machine has cooled down.
[][]Before removing any pressurized component, effectively isolate the machine from all sources of pressure and relieve the entire system of pressure.
[][]Never use flammable solvents or carbon tetrachloride for cleaning parts. Take safety precautions against toxic vapors of cleaning liquids.
[][]Never use a light source with open flame for inspecting the interior of a machine, pressure vessel, etc.
[][]Make sure that no tools, loose parts or rags are left in or on the machine.
[][]Do not walk or stand on the roof of the unit.

System Description:

The Atlas Copco Air Compressor and Air Dryer manufactured by Atlas Copco has a capacity of 10.4 m3/min.
[][] Air drawn through an air filter is compressed in low-pressure compressor element and discharged to the intercooler.
[][]The cooled air is further compressed in high-pressure compressor element and discharged through silencer and after coolers.
[][]A check valve is provided downstream of the silencer.
[][]The compressed air leaves the compressor via the air outlet.
[][]The compressor delivers oil-free, pulsation-free air.
[][]This is an air cooled type compressor which is facilitated with air filter, moisture trap, high pressure and low pressure safety valve, desiccant type dryer system etc.
[][]After being compressed in compressor the oil free compressed air will be stored in a receiver tank.
[][]Air will be dried in the desiccant type dryer and then distributed through pipe line to the different production facility.

Operating Procedure:

Operation of compressor:

[][]Initial Start-up of compressor:
[][]Tight up all the flanges, nuts and bolts as instructed in the instruction manual of the compressor.
[][]Check that the gear casing is filled with oil; the level should be in the middle of sight-glass.
[][]The electrical installation must be earthed and protected by fuses in all phases. An isolating switch must be provided.
[][]Switch on the voltage. Start the compressor and stop it immediately. Check for correct direction of rotation (Clockwise) while the motor is coasting to a stop.
[][]An arrow on the gear casing indicates the correct rotation direction. If the rotation direction is wrong, switch off the voltage and reverse two incoming electric lines.
[][]Check the rotation direction of the fan motor. If the rotation direction is wrong, switch off the voltage and reverse the motor’s electrical connection.

[][]Open the air outlet valve.

[][]Switch on the voltage and check that voltage on LED (2) lights up.
[][]Press start button (1). The compressor starts running and automatic operation LED (3) lights up.

Be careful about the following:

[][]When the compressor is stopped and automatic operation LED (3) is alight, the compressor may start automatically.
[][]If the start/stop timer is active, the compressor may start automatically, even if it was stopped manually.

During Operation:

[][]Daily check the display (2) for readings and messages. Normally, the main screen indicates the compressor outlet pressure, the status of the compressor and the functions of the keys below the display.
[][]Always check the display and remedy the trouble if alarm LED (3) is alight or blinks.
[][]Regularly check the actual compressor status by pressing the down key from the main screen.
[][]The Operational Log Sheet (Annexure – I) of air compressor and dryer will be filled up on every hour by the operator. Photocopy of all the approved forms will be used where easily applicable.

[][]For the cases where computer generated copies are relatively easy to handle, the exact format of the approved form can be used(except the approval sign) with the following notes as footer:
“This is a computer generated report. The format is as per the original approved form.”

Stopping Procedure:

[][]Frequently stopping the compressor using the emergency stop button may damage the compressor; only use the emergency stop button in case of emergency.

[][]Press the stop button (1): the compressor will stop and LED (2) will go out.
[][]Close the air outlet valve.
[][]To stop the compressor immediately, press emergency stop button (S2).

 Taking out of operation:

[][]Close the air outlet valve and stop the compressor.
[][]Switch off the voltage and disconnect the compressor from the mains.
[][]Shut down and depressurize all the parts.
[][]Drain oil and condensate circuits.
[][]Disconnect the compressor condensate piping from the condensate drain.

Operation of Air Dryer:

[][]Initial start-up
[][]To start up the dryer for the first time or after a long period of standstill, proceed as follows:
[][]Open the bypass valves of the dryer.
[][]Close the air supply from the compressor towards the dryer by closing the external inlet valve.
[][]Close the external outlet valve.
[][]Remove the silencers to prevent the silencers from getting clogged by the desiccant and wear a dust mask, safety glasses and ear protection. (This is only required at initial start-up or after the desiccant was replaced).
[][]Start the compressor and wait for pressure.
[][]Slowly open the external inlet valve.
[][]Check the connections of the dryer for air leaks and remedy if necessary.
[][]Switch the dryer on by putting main switch S1 in position I.
[][]Let the dryer operate for several hours with the external outlet valve closed.
[][]In case the silencers were removed, refit the silencers.
[][]Gradually open the external outlet valve.
[][]Close the bypass valves of the dryer.

Normal start

[][]If the dryer has not been used for more than 3 months, refer to previous section, In all other cases proceed as follows:
[][]Cut off the air supply from the compressor towards the dryer by closing the external inlet valve.
[][]Close the external outlet valve between the dryer and the dry air consumer.
[][]Start compressor and slowly open the external inlet valve.
[][]Switch the dryer on by putting main switch in position I.
[][]Gradually open the air outlet valve.
[][]Close the bypass valves of the dryer.
[][]Close the external inlet valve in case the compressor needs to be restarted. The high air speed in the start-up phase of the compressor may damage the desiccant.

Shutdown Procedure of Dryer:

[][]To stop the dryer, proceed as follows:
[][]Open the bypass valves of the dryer so that the application will still receive compressed air.
[][]Close the external inlet valve between the compressor and the dryer and the external outlet valve between the dryer and the dry air consumer.
[][]Let the dryer operate for a period without consumption, to depressurize the vessels.
[][]Switch off the dryer by putting main switch to position 0.
[][]If the dryer is stopped for a longer period, keep the external inlet and outlet valve closed to avoid the moisture from entering the dryer.
[][]Under no circumstances must compressed air be allowed to flow through the dryer when the electrical power is switched off. This will result in terminal failure of the desiccant material; causing regeneration will no longer be possible.

Maintenance Procedure:

Safety Instruction:

[][]Hang the Maintenance tag prior to any maintenance activity.
[][]Use protective clothing.
[][]Use proper tools.
[][]Isolate the system electrically and mechanically prior to maintenance.

General Instruction:

[][]Plan and procure spares and manpower prior to the maintenance works.
[][]Only trained personnel are to be engaged in maintenance work.
[][]After finishing the maintenance work, the area & the equipment should be cleaned & tagged out.
[][]Functional/operational checks are to be conducted after maintenance works have been done.
[][]Maintenance Log Book (Annexure – II) has to be filled up by the operator after performing scheduled maintenance.

Maintenance Program:

Daily Maintenance

[][]Clean the machine exterior and its surroundings.
[][]Check that condensate is discharged during loading.
[][]Check the oil level. Before starting, the level should be in the middle of the sight-glass.
[][]Check the display panel for information and service messages.

Weekly Maintenance

[][]Clean the inner side of the machine.
[][]Clean the air filters thoroughly.

Monthly Maintenance

[][]Check for possible leaks.

Quarter Yearly

[(3 months) Maintenance] [][]Check coolers, clean if necessary.

Maintenance after 2000 hrs

[][]Check for damaged wiring or loose connections.
[][]Replace the air filter cartridge.
[][]Replace the oil filter cartridge.
[][]Check/replace the cooling air inlet filter.
[][]Replace the inlet and outlet filter cartridges of Air Dryer.
[][]Change the lubricating oil.

Maintenance after 4000 hrs

[][]Tighten the bolted connections.
[][]Tighten all the connecting terminals in the switch cabinet/electric motor.
[][]Test the safety valve function.
[][]Replace the silencers of Air Dryer.

Maintenance after 8000 hrs

[][]Perform the maintenance as it is in the Yearly maintenance schedule.
[][]Replace worn parts.

Maintenance after 40000 hrs

[][]Replace desiccant of air dryer.
[][]Revision of inlet valves and actuator.
[][]Replace the check valves.

Other Maintenance

[][]Oil and Oil Filter Change Procedure
[][]Run the compressor until warm.
[][]Press stop button, wait until the compressor has stopped, press emergency stop button (S2) and switch off the voltage to the compressor.
[][]Remove filler plug. Drain the compressor sump by opening drain valve. Close the valve after draining.
[][]Drain the oil cooler by removing its drain plug and vent plug.
[][]Drain the oil of the compressor elements. Yellow-painted drain plugs are provided on both elements.
[][]Remove the oil filter. Clean the filter seat, oil the gasket of the new filter and screw it into place until the gasket contacts the seat. Then tighten by hand.
[][]Fill the compressor sump to the middle of the oil level sight-glass with oil as specified in “Oil specifications”. Reinstall the filler plug.
[][]Switch on the voltage. Unlock the emergency stop button.
[][]Run the compressor for a few minutes. Stop the compressor. If necessary, top up the gear casing with oil to the middle of the sight-glass.

Air Filter Cleaning Procedure:

[][]Stop the compressor and switch off the voltage to the compressor.
[][]Remove the filter.
[][]Clean the filter by passing compressed air through the filter.
[][]After carrying out the service actions of the related service plan, the service warning must be reset.

Annexure:

Annexure – I: Operational Log Sheet.
Annexure – II: Maintenance Log Book of Atlas Copco Air Compressor and Air Dryer.

Atlas Copco Air Compressor & Air Dryer Operation & Maintenance Read More »

Lupamat Air Compressor And Air Dryer Operation And Maintenance

Lupamat Air Compressor,Purpose:

Lupamat Air Compressor, The purpose of this SOP is to define the standard operation and maintenance procedure of Air Compressor manufactured by Lupamat in order to ensure its smooth & trouble-free operation and generation of quality compressed air.

Lupamat Air Compressor, Scope:

This Standard Operating Procedure applies to the Lupamat Air Compressor of Model – LKV 37/10MI, which is located at the Utility area of General Block of XX Pharmaceuticals Ltd.

Definitions / Abbreviation:

[][]Air Compressor: An air compressor is a device that converts power (usually from an electric motor) into kinetic energy by compressing and pressurizing the ambient air.

Responsibilities:

[][]The roles and responsibilities are as follows:

Engineering (Validation) Department

[][]Preparing the SOP and revise it when necessary.

Engineering (Maintenance) Department

[][]To provide necessary support for smooth operation & maintenance of the system.
[][]To ensure that the operators are responsible to carry out the operation and maintenance work and regular checking of the critical components and logbooks.
[][]To develop a list of spare parts based on the manufacturer’s recommendations and to forward the list to the Planning and Procurement department with a request to place order as required.

Operators

[][]To operate the Air Compressor according to the SOP.
[][]To fill up the logbooks related to the air compressor.
[][]To do the maintenance according to the check list.

Procedure:

Precautions:

[][]All operation and maintenance work must be done safely in accordance with the requirements of the Plant Safety Statement and the safety notices around the plant. Specific attention must be paid to the following:
[][]Never touch any piping or components of the compressor during operation.
[][]Use only the correct type and size of hose end fittings and connections. When blowing through a hose or air line, ensure that the open end is held securely. A free end will whip and may cause injury. Make sure that a hose is fully depressurized before disconnecting it.
[][]Do not apply the air to skin or direct an air stream at people. Never use the air to clean dirt from your clothes. When using the air to clean equipment; do so with extreme caution and wear eye protection.
[][]Persons switching on the machines shall take adequate precautions to ensure that there is no one checking or working on the machine.
[][]Never operate the machine when there is a possibility of taking in flammable or toxic fumes, vapors or particles.

[][]Never operate the machine below or in excess of its limit ratings.
[][]Keep all bodywork doors shut during operation.
[][]All maintenance work shall only be undertaken when the machine has cooled down.
[][]Before removing any pressurized component, effectively isolate the machine from all sources of pressure and relieve the entire system of pressure.
[][]Never use flammable solvents for cleaning parts. Take safety precautions against toxic vapors of cleaning liquids.
[][]Never use a light source with open flame for inspecting the interior of a machine, pressure vessel, etc.
[][]Make sure that no tools, loose parts or rags are left in or on the machine.
[][]Do not walk or stand on the roof of the unit.

System Description:

The air compressor manufactured by Lupamat has a capacity of 5.03 m3/min.
[][] Air drawn through an air filter is mixed with the oil and compressed in screw type compressor.
[][] The compressed air – oil mixture is then passed through the oil separator to separate the oil.
[][]This compressed air is discharged through silencer and after coolers.
[][]The compressed air leaves the compressor via the air outlet.
[][]This is an air cooled type compressor which is facilitated with air filter, moisture trap, high pressure and low pressure safety valve, desiccant type dryer system etc.
After being compressed in compressor the compressed air will be stored in a receiver tank.
[][]Air will be dried in the desiccant type dryer and then distributed through pipe line to the different production facility.

Operating Procedure:

Operation of compressor:

[][]Initial Start-up of compressor:
[][]Tight up all the flanges, nuts and bolts.
[][]Check the oil level inside the tank.
[][]The electrical installation must be earthed.
[][]Close the discharge valve before initial start – up.
[][]Switch on the voltage. Start the compressor by pressing Start Button and stop it immediately.
[][]Check for correct direction of rotation (Clockwise) while the motor is coasting to a stop.
[][]If the rotation direction is wrong, switch off the voltage and reverse two incoming electric lines.
[][]Check the rotation direction of the fan motor. If the rotation direction is wrong, switch off the voltage and reverse the motor’s electrical connection.

Start-up Procedure of compressor:

[][]Open the air outlet valve.
[][]Switch on the main circuit breaker.
[][]Press the Start button. The compressor starts running in automatic mode.

During Operation:

[][]Daily check the display for readings and messages. At the left middle of the main screen the line pressure, air / end pressure, air/oil temperature can be seen. At the middle of right side of the screen total working time, load working time information and the remaining time up to general service maintenance time.
[][]Always check the display and remedy the trouble if alarm is alight or blinks.
[][]The Operational Log Sheet (Annexure – I) of air compressor and dryer will be filled up on every hour by the operator.
[][]Photocopy of the all the approved forms will be used where easily applicable.
[][]For the cases where computer generated copies are relatively easy to handle, the exact format of the approved form can be used(except the approval sign) with the following notes as footer:
“This is a computer generated report. The format is as per the original approved form.”

Stopping Procedure:

[][]Press the stop button; the compressor will stop when the outlet pressure is under 1 bar.
[][]If the pressure does not come under 1 bar within 5 minutes the compressor will stop by giving a failure alarm “the compressor cannot be stopped”.
[][]Close the air outlet valve.
[][]Cut the electricity from the main power. When shutting down after a normal day operation, empty out any water that may have stayed within the air tank.
[][]To stop the compressor immediately, press emergency stop button.
[][]Frequently stopping the compressor using the emergency stop button may damage the compressor; only use the emergency stop button in case of emergency.
[][]The compressor cannot be started without resetting the emergency switch.

Operation of Air Dryer:

Starting Procedure

[][]Hold down on-off button for 3 seconds.
[][]With the first start, all leds on the front panel flash one by one.
[][]At first, the hot air gets into dryer, +4 °C or +8°C led flashes. Then refrigerating compressor starts to work and related led flashes.
[][]Condenser fan unit starts only if the refrigerating compressor is running and/or condenser fan temperature is higher than +30°C.
[][] It switches itself “stop” when condenser fan temperature gets lower than +20°C or refrigerating compressor stops.
[][]Cooling process continues until temperature gets down to +2°C and condenser motor stops. Dryer switches itself “STOP” and Because of thermal storage feature of heat exchanger, keeps the heat for a while.
[][]When the heat rises up to +4°C motor starts again. System continues in this way.

Stopping Procedure of Dryer:

[][]To stop the dryer, proceed as follows:
[][]Close the external inlet valve between the compressor and the dryer and the external outlet valve between the dryer and the dry air consumer.
[][]Switch off the dryer by pressing ON/OFF button.
[][]If the dryer is stopped for a longer period, keep the external inlet and outlet valve closed to avoid the moisture from entering the dryer.

Maintenance Procedure:

Safety Instruction:
[][]Hang the Maintenance tag prior to any maintenance activity.
[][]Use protective clothing.
[][]Use proper tools.
[][]Isolate the system electrically and mechanically prior to maintenance.

General Instruction:

[][]Plan and procure spares and manpower prior to the maintenance works.
[][]Only trained personnel are to be engaged in maintenance work.
[][]After finishing the maintenance work, the area & the equipment should be cleaned & tagged out.
[][]Functional/operational checks are to be conducted after maintenance works have been done.
[][]Maintenance Log Book has to be filled up by the operator after performing scheduled maintenance.

Maintenance Program:

Daily Maintenance

[][]Clean the machine exterior and its surroundings.
[][]Check that condensate is discharged during loading.
[][]Check the oil level. Before starting, the level should be in the middle of the sight-glass.
[][]Check the display panel for information and service messages.

Weekly Maintenance

[][]Clean the inner side of the machine.
[][]Clean the air filters thoroughly.
[][]Check for possible leaks.
[][]Clean the condenser unit of Air Dryer with compressed air.
[][]Clean the cooler surface.
[][]Check the tightness of v-belt.

After 3000 hrs

[][]Clean the air filter elements.
[][]Check the viscosity of the oil and change it if necessary.
[][]Check for oil leakage.

After 5000 hrs

[][]Check for damaged wiring or loose connections.
[][]Check and replace the air hoses if necessary.
[][]Check and replace the oil hoses.
[][]Clean the air/oil separator tank.

After 10000 hrs

[][]Clean the intake air filter and change it if necessary.
[][]Clean the intake control valve.
[][]Clean the intake control valve o-ring and rubber pad and change it if necessary.
[][]Clean the air/oil pipe gasket and change it if necessary.
[][]Check the V-belt and change it if necessary.

After 20000 hrs

[][]Replace the electric motor bearings if it is necessary.

Annexure:

Annexure – I: Operational Log Sheet.
Annexure – II: Maintenance Log Book of Air Compressor and Air Dryer.

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