2. Content :-
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Definition
Categories
Benefits of certification
Steps involve in certification
cGMP requirement for vendor certification
Standard procedure for conducting Quality Audit
References
3. Vendor certification is a supplier-customer partnership and can
only be successful with the full involvement and agreement of
both partners
OR
It is the combination of activities required to ensure that a
vendor will meet the professional and regulatory expectation of
the sponsor
OR
It is the system that assure that a supplier’s product is produced
under controlled condition, resulting in consistent quality
conformance
DEFINATION :-
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5. Vendors are mainly categorized in to four different parts:-
Category – 1
Generally regarded as EXPERTS
Short lived’ in development cycle
Contracted to perform limited scope of work
Minimal monitoring
Example: Supplier customizes a formulation tank. Sponsor
reviews and approves the blueprints prior to manufacturing.
Then IQ and OQ is planned upon receipt to verify acceptability
Characteristic of vendor categories
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6. Category – 2
Well known suppliers of standard containers ,closures ,raw
materials and excipients .
Certified to an International Standards Organization (ISO)-
9000 quality management system
Enhanced monitoring is suggested
Example: Well-known supplier of containers/closures supplies
multiple lots per year of vials to the sponsor. The sponsor has no
historical quality concerns with the supplier. Testing will be
conducted upon receipt to verify acceptability of materials.
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7. Category – 3
Category 3 vendors may be category 2 vendors who are
experiencing quality issues with current incoming inventory or
have shown a trend of non-conformance over the last 12
months.
Can be contract laboratory operations that provide routine
analysis, sometimes in large quantities.
The risk of non-conformance of these vendors is greater than
with category 2 vendors.
Advanced monitoring program and an annual audit schedule
are recommended.
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8. Category – 4
They are sole-source API manufactures.
Intense monitoring is suggested in this category.
Examples: A contract manufacture is supplying clinical trials
supplies. Since this is the first time that the product is being
manufactured at a larger scale, the sponsor has elected to be on
site for each event for monitoring and consultation.
100% of the lot will be visually inspected for release upon
receipt by the sponsor.
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9. Why to qualify vendors ?
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Used to determine if the vendor is appropriate for the scope of
work.
Critical attributes of a partner relationship are Supplier or
customer commitment to a long term relationship.
Information sharing.
Joint agreement on specifications and performance standards.
Performance measurement and feedback.
Customer confidence in the supplier’s manufacturing capability,
quality, cost, and development.
These attributes will vary depending on the status of the
supplier-customer relationship.
10. Pharma firms will then not have to carry out their own quality
audit of the vendor.
Vendors will be assured that customers of the product will not
expect to carry out their own quality audit of their systems or
products.
Rapid and efficient qualification process prior to sale and
delivery/acceptance of a system.
Reduced cost
Benefits of the Certification Process :10
11. Vendor selection criteria:-
1. Quality
2. Delivery
3. Performance history
4. Warranties and claim polices
5. Production facilities and capacity
6. Financial position
7. Price
8. Technical capability
9. Procedural compliance
10.Communication system
11.Reputation and position in industry
12.Desire for business
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12. 13. Management and organization
14. Operating controls
15. Repair service
16. Packaging ability
17. Labor relation record
18. Geographical location
19. Amount of past business
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13. The supplier must have suitable equipment to monitor the process.
This equipment must be routinely calibrated and test methods validated.
Statistical process control techniques will usually be applied to demonstrate
that the process remained under control, within acceptable operating ranges,
throughout each production run.
Process control data for several batches, chosen at random, should be
reviewed to confirm supplier compliance.
Process Evaluation
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14. 14
vendor certification requires assurance that the supplier’s
process is under control and that the required quality standards
are not being achieved by inspecting out substandard material.
Increasingly, vendors are being requested to demonstrate that
their production processes are validated, especially for the
manufacture of bulk pharmaceutical chemicals.
To demonstrate commitment to quality for other components,
some vendors have opted for ISO 9000 certification. This
certification does not necessarily assure consistent quality.
15. Any proposed changes must be clearly documented, with reasons and
supporting data, and be reviewed and accepted by the customer prior to
introduction.
Some changes may require customer evaluation and even FDA approval
before acceptance Changes require, prior review and agreement with the
supplier.
For example, if the customer wants to make any replacement of a
packaging line, there would need to be discussions with the supplier of the
packaging components and the customer regarding changes
Process and Specification Changes:-
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16. Customer Inspection
After it has been confirmed that a supplier has a controlled
process, there usually will be a period when both parties evaluate
material quality and compare data.
This provides the needed assurance that supplier and customer
have comparable evaluation ability and minimizes future
potential for disagreements that are due to test results.
Vendor certification provides a strong basis for the application of
reduced testing by the customer.
If the supplier’s process is under control, evaluation by the
customer Is necessary to evaluate any changes during shipment.
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17. Decertification
Certification results in a high level of reliance on the supplier :
reduced incoming inspection, reduced inventories, higher output.
Any failure by the supplier for matching the customer’s
requirement , may lead to decertification of that supplier for that
material.
Depending on the nature of the problem it may be possible to work
with the supplier to reestablish certification.
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18. CGMP REQUIREMENTS FOR VENDOR QUALIFICATION
Divided into two sections
1) Site Qualification
2) Site follow-up
Site Qualification :
Vendors selected are evaluated for compliance with the
appropriate set of regulations.
The results of the audit will be reviewed and the need for
a ‘‘site follow-up visit’’ .
Site qualification visits are generally performed on a
cyclical basis; at least once every 24 months is suggested
unless the supplier becomes problematic.
continuous monitoring program is also an essential component
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19. BENEFIT :
Ability to evaluate the systems that the vendor uses
to produce regulated work product.
If a systems ‘‘gap’’ is detected in any of the quality systems
the sponsor should request corrective action prior to initiating
the work
RISK :
Here the systems review is theoretical, not practical
No ‘‘real’’ data can be reviewed prior to initiating the work
The systems cannot be adequately tested without ‘‘real’’ data
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20. SITE FOLLOW-UP :
Carried out during the course of the project
Examples of issues that will usually result in site follow-up
include:-
1) Lack of adherence to standard operating procedures.
2) Lack of appropriate documentation of training, major
renovations to the physical structure of the facility.
3) If standard operating procedure (SOP) or data integrity
questions arise during the course of the study or project.
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21. 21
BENEFIT :
Ability to evaluate the systems that the vendor uses to produce
regulated work product in ‘‘real time’’ with data generated for a
specific project
RISK :
Any corrections that may be needed will not occur in a timely
manner due to late identification of deficiencies will delay the
project
22. FACTORS TO BE CONSIDER WHEN PLANNING FOLLOW UP VISIT :
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The relationship and experience with vendor
The extent of vendor experience with the sponsor scope of work
The sponsor’s regulatory commitments and compliance requirements
The associated risks if project fails
23. STANDARD PROCEDURE FOR CONDUCTING QUALITY AUDIT :
Standard procedures for conducting the quality audit should be addressed in the
Vendor qualification program
An audit cycle includes
1. The preparation of an audit
2. Performance of the audit
3. Reporting of the results of the audit
4. Audit closure or follow-up requirements
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24. Step1: Preparing for the Audit
Most critical part of the audit
Takes longer to complete than performing the actual audit
By putting more time into the preparation phase, the performance of the
audit will proceed smoothly.
Effective audit plan will include the following elements:
Purpose for the audit
Scope of the audit
Resources required of the sponsor to complete the audit
Number of auditors
Type of auditor or expertise required
Assignment of a lead auditor to take responsibility for the audit.
Reference documents to be used in planning and performing the audit
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25. Step 2: Performing the Audit
The performance of an audit begins with an introductory meeting wherein
all parties are introduced and the agenda is discussed
The performance of an audit is the collection of evidence and verification of
information through the following means:
Interviews
Examination of documents
Direct observation of activities, processes, and conditions
Review of raw data related to critical documents
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26. Step 3: Reporting the Results
Audit report should present a summary of the results or findings
of the audit.
This includes both positive findings and any areas identified for
improvement.
Written summary prior to leaving the vendor’s facility allows the
vendor to begin working on the corrective action plans.
Formal audit report is the product of the audit.
Lead auditor is responsible for submitting the formal report in a
timely fashion.
Final audit report should be prepared within 2 weeks from the
date of the audit
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27. Step 4: Audit Closure, Corrective Action, and Follow-Up
After audit , vendor is responsible for developing a corrective
action plan to address any weaknesses or deficiencies identified
by the sponsor’s auditors
It is the sponsor’s responsibility to ensure that the corrective
actions are effective and implemented in a timely manner
The sponsor must verify all commitments through the course of
routine monitoring
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28. COMMON PITFALLS IN VENDOR QUALIFICATION
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Not establishing the habit of routine update meetings
Overestimating the capabilities of the vendor
Having a false sense of confidence that the vendor will maintain
itself at the same level throughout the contractual relationship
Underestimating the resource-intensiveness of maintaining a
vendor Qualified
Not switching vendors when appropriate
Not dealing with situations of non-conformance in a timely and
effective manner
Overburdening the supplier, as though you were its only client
29. REFERANCE:-
1. Sidney H. Willing, "Good Manufacturing Practices for pharmaceuticals",
Drugs and Pharm. Sci. Series, Vol. 109, Marcel Dekker Inc., N.Y.
2. Charles A. Weber, John R. Current and W.C. Benton “Vendor selection
criteria and methods” European Journal of Operational Research 50 (1991) 2-
18 North-Holland, Faculty of Management Sciences, College of Business,
The Ohio State University, 1775 College Road, Columbus, OH 43210-1399,
USA
3. Elizabeth M. Troll, Karen L. Hughes “The Vendor Qualification Program”
(2004) CHP-10,MARCEL DEKKER Inc.
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