purchasing controls - food and drug administration · pdf filequality system internal quality...
TRANSCRIPT
![Page 1: Purchasing Controls - Food and Drug Administration · PDF fileQuality System internal quality audit. –Affiliated companies –supplier affiliated with the device manufacturer, a](https://reader030.vdocuments.mx/reader030/viewer/2022020214/5a78858e7f8b9a1f128c3cff/html5/thumbnails/1.jpg)
Purchasing Controls
FDA Small Business
Regulatory Education for Industry (REdI) Conference
Silver Spring, MD
September 30, 2015
Aileen I. Velez CabassaPostmarket Programs Branch
Division of Industry and Consumer Education
Office of Communication and Education
Center for Devices and Radiological Health
U.S. Food and Drug Administration
![Page 2: Purchasing Controls - Food and Drug Administration · PDF fileQuality System internal quality audit. –Affiliated companies –supplier affiliated with the device manufacturer, a](https://reader030.vdocuments.mx/reader030/viewer/2022020214/5a78858e7f8b9a1f128c3cff/html5/thumbnails/2.jpg)
2
Learning Objectives
• Define Product, Component, Service
• Background on Purchasing Controls
• Explain Requirements and Best Practices
• Note Links Between Purchasing Controls and
Other QS Requirements
• Review Compliance Data
![Page 3: Purchasing Controls - Food and Drug Administration · PDF fileQuality System internal quality audit. –Affiliated companies –supplier affiliated with the device manufacturer, a](https://reader030.vdocuments.mx/reader030/viewer/2022020214/5a78858e7f8b9a1f128c3cff/html5/thumbnails/3.jpg)
3
When are Purchasing Controls
Applicable?
• Supplied Products & Components
• Supplied Services
• Consultants
§ 820.50 - Purchasing Controls.
![Page 4: Purchasing Controls - Food and Drug Administration · PDF fileQuality System internal quality audit. –Affiliated companies –supplier affiliated with the device manufacturer, a](https://reader030.vdocuments.mx/reader030/viewer/2022020214/5a78858e7f8b9a1f128c3cff/html5/thumbnails/4.jpg)
4
Definition: Product
Product means components, manufacturing
materials, in-process devices, finished devices,
and returned devices. § 820.3(r)
![Page 5: Purchasing Controls - Food and Drug Administration · PDF fileQuality System internal quality audit. –Affiliated companies –supplier affiliated with the device manufacturer, a](https://reader030.vdocuments.mx/reader030/viewer/2022020214/5a78858e7f8b9a1f128c3cff/html5/thumbnails/5.jpg)
5
Definition: Component
Component means any raw material,
substance, piece, part, software, firmware,
labeling, or assembly which is intended to be
included as part of the finished, packaged, and
labeled device. § 820.3(c)
There are no “FDA approved” materials
Components ≠ accessories
![Page 6: Purchasing Controls - Food and Drug Administration · PDF fileQuality System internal quality audit. –Affiliated companies –supplier affiliated with the device manufacturer, a](https://reader030.vdocuments.mx/reader030/viewer/2022020214/5a78858e7f8b9a1f128c3cff/html5/thumbnails/6.jpg)
6
Definition: Service
Service (Contractors) means parts of the
manufacturing or quality system that are
contracted to others, for example, plating of
metals, testing, and sterilizing, among others.
-Preamble, Comment #102
![Page 7: Purchasing Controls - Food and Drug Administration · PDF fileQuality System internal quality audit. –Affiliated companies –supplier affiliated with the device manufacturer, a](https://reader030.vdocuments.mx/reader030/viewer/2022020214/5a78858e7f8b9a1f128c3cff/html5/thumbnails/7.jpg)
Intent of Purchasing Controls
The intent of § 820.50 is to ensure that device
manufacturers select only those suppliers,
contractors, and consultants who have the
capability to provide quality product and services.
-Preamble, Comment #106
Goal: Provide quality products beyond what can be
achieved through inspection and testing
7
![Page 8: Purchasing Controls - Food and Drug Administration · PDF fileQuality System internal quality audit. –Affiliated companies –supplier affiliated with the device manufacturer, a](https://reader030.vdocuments.mx/reader030/viewer/2022020214/5a78858e7f8b9a1f128c3cff/html5/thumbnails/8.jpg)
8
Why Does This Matter?
Quality of the finished medical device depends on the quality of the components, raw materials and services
Poor Quality Can Cause:
-Injuries from the medical device
-Recalls
-Customer dissatisfaction
![Page 9: Purchasing Controls - Food and Drug Administration · PDF fileQuality System internal quality audit. –Affiliated companies –supplier affiliated with the device manufacturer, a](https://reader030.vdocuments.mx/reader030/viewer/2022020214/5a78858e7f8b9a1f128c3cff/html5/thumbnails/9.jpg)
9
Why is FDA Concerned about
Purchasing Controls?
• FDA authority applies to the finished device
manufacturer
• Outsourcing of critical components and
manufacturing of medical devices
FDA does not perform routine inspections of
component manufacturers
![Page 10: Purchasing Controls - Food and Drug Administration · PDF fileQuality System internal quality audit. –Affiliated companies –supplier affiliated with the device manufacturer, a](https://reader030.vdocuments.mx/reader030/viewer/2022020214/5a78858e7f8b9a1f128c3cff/html5/thumbnails/10.jpg)
10
What is unique about medical
devices?
Wide range in type of supplied products and services
– Raw materials, Components, Software
– Laboratories, Sterilizers, Calibration, Installers and Service Providers, Auditors, Consultants
![Page 11: Purchasing Controls - Food and Drug Administration · PDF fileQuality System internal quality audit. –Affiliated companies –supplier affiliated with the device manufacturer, a](https://reader030.vdocuments.mx/reader030/viewer/2022020214/5a78858e7f8b9a1f128c3cff/html5/thumbnails/11.jpg)
11
What else is unique about
medical devices?
Wide range in risk associated with supplied
products and services
– Same supplied product or service may have
different risks based on use
– Same supplier may have different
risks for different supplied product
or service
![Page 12: Purchasing Controls - Food and Drug Administration · PDF fileQuality System internal quality audit. –Affiliated companies –supplier affiliated with the device manufacturer, a](https://reader030.vdocuments.mx/reader030/viewer/2022020214/5a78858e7f8b9a1f128c3cff/html5/thumbnails/12.jpg)
12
Supplier
• Internal (In house) – only when the supplier is under the same Quality System internal quality audit.
• External – supplier is not under the same Quality System internal quality audit.
– Affiliated companies – supplier affiliated with the device manufacturer, a “sister company,” or another division
**Need to qualify external suppliers
![Page 13: Purchasing Controls - Food and Drug Administration · PDF fileQuality System internal quality audit. –Affiliated companies –supplier affiliated with the device manufacturer, a](https://reader030.vdocuments.mx/reader030/viewer/2022020214/5a78858e7f8b9a1f128c3cff/html5/thumbnails/13.jpg)
13
Purchasing Controls Apply
Regardless of Monetary
TransactionEach manufacturer shall establish and maintain
procedures to ensure that all purchased or
otherwise received product and services
conform to specified requirements.
-§ 820.50
![Page 14: Purchasing Controls - Food and Drug Administration · PDF fileQuality System internal quality audit. –Affiliated companies –supplier affiliated with the device manufacturer, a](https://reader030.vdocuments.mx/reader030/viewer/2022020214/5a78858e7f8b9a1f128c3cff/html5/thumbnails/14.jpg)
14
Supplier Requirements
Establish requirements, including quality
requirements, that suppliers, contractors
and consultants must meet.
Best Practice:
– Ensure consultants have the right experience.
![Page 15: Purchasing Controls - Food and Drug Administration · PDF fileQuality System internal quality audit. –Affiliated companies –supplier affiliated with the device manufacturer, a](https://reader030.vdocuments.mx/reader030/viewer/2022020214/5a78858e7f8b9a1f128c3cff/html5/thumbnails/15.jpg)
15
Purchasing Evaluation &
SelectionEvaluate and select potential suppliers,
contractors, and consultants on the basis of their
ability to meet specified requirements,
including quality requirements. The evaluation
shall be documented. § 820.50(a)(1)
Best Practices:
– Create contractual agreements regarding supplier
expectations
![Page 16: Purchasing Controls - Food and Drug Administration · PDF fileQuality System internal quality audit. –Affiliated companies –supplier affiliated with the device manufacturer, a](https://reader030.vdocuments.mx/reader030/viewer/2022020214/5a78858e7f8b9a1f128c3cff/html5/thumbnails/16.jpg)
16
Type/Extent of Control & Records
• Define the type and extent of control to be
exercised over product, services, suppliers,
contractors, and consultants based on the
evaluation results § 820.50(a)(2)
• Establish and maintain records of acceptable
suppliers, contractors, and consultants. § 820.50(a)(3)
Best Practices:
– Keep lists of both qualified and disqualified suppliers
![Page 17: Purchasing Controls - Food and Drug Administration · PDF fileQuality System internal quality audit. –Affiliated companies –supplier affiliated with the device manufacturer, a](https://reader030.vdocuments.mx/reader030/viewer/2022020214/5a78858e7f8b9a1f128c3cff/html5/thumbnails/17.jpg)
17
Control Over Suppliers
... may choose to provide greater in-house controls
to ensure that products and service meet
requirements… or may require the supplier to adopt
measures necessary to ensure acceptability…
-Preamble , Comment #99
For example: audits, review historical data,
monitoring, trending, inspection testing
![Page 18: Purchasing Controls - Food and Drug Administration · PDF fileQuality System internal quality audit. –Affiliated companies –supplier affiliated with the device manufacturer, a](https://reader030.vdocuments.mx/reader030/viewer/2022020214/5a78858e7f8b9a1f128c3cff/html5/thumbnails/18.jpg)
18
Purchasing Data
Each manufacturer shall establish and maintain data that clearly describe or reference specified requirements, including quality requirements, for purchased or otherwise received products and services. § 820.50(b)
– Approve in accordance with Document Controls in § 820.40
Best Practice:
– Ensure that all staff are aware of the requirement(s)
![Page 19: Purchasing Controls - Food and Drug Administration · PDF fileQuality System internal quality audit. –Affiliated companies –supplier affiliated with the device manufacturer, a](https://reader030.vdocuments.mx/reader030/viewer/2022020214/5a78858e7f8b9a1f128c3cff/html5/thumbnails/19.jpg)
19
Purchasing DataPurchasing documents shall include, where
possible, an agreement that suppliers, contractors,
and consultants agree to notify the manufacturer
of changes in the product or service so that
manufacturers may determine whether the
changes may affect the quality of a finished
device. § 820.50(b)
Best Practice:
– Ensure that suppliers notify manufacturers about
changes prior to implementation
![Page 20: Purchasing Controls - Food and Drug Administration · PDF fileQuality System internal quality audit. –Affiliated companies –supplier affiliated with the device manufacturer, a](https://reader030.vdocuments.mx/reader030/viewer/2022020214/5a78858e7f8b9a1f128c3cff/html5/thumbnails/20.jpg)
20
Ongoing Supplier Reviews
…Product or service suppliers should be reviewed
at intervals consistent with the significance of the
product or service provided …demonstrate
conformance to specified requirements.-Preamble , Comment # 105
FDA reviews procedures for supplier audits, not actual results of supplier audits.
Best Practice:
– If your procedures state that audits are conducted at a
particular frequency, stick to it!
![Page 21: Purchasing Controls - Food and Drug Administration · PDF fileQuality System internal quality audit. –Affiliated companies –supplier affiliated with the device manufacturer, a](https://reader030.vdocuments.mx/reader030/viewer/2022020214/5a78858e7f8b9a1f128c3cff/html5/thumbnails/21.jpg)
21
Ongoing Communication
• Supplier’s complaint handling system -
identify defects in product that could result in
problems with the device
• Supplier’s willingness to provide information
during investigation of a Corrective and
Preventive Action (CAPA)
![Page 22: Purchasing Controls - Food and Drug Administration · PDF fileQuality System internal quality audit. –Affiliated companies –supplier affiliated with the device manufacturer, a](https://reader030.vdocuments.mx/reader030/viewer/2022020214/5a78858e7f8b9a1f128c3cff/html5/thumbnails/22.jpg)
22
GHTF QMS - Medical Devices - Guidance on
Control of Products and Services Obtained
from Suppliers
• Good reference document
• Contains flowchart of activities
![Page 23: Purchasing Controls - Food and Drug Administration · PDF fileQuality System internal quality audit. –Affiliated companies –supplier affiliated with the device manufacturer, a](https://reader030.vdocuments.mx/reader030/viewer/2022020214/5a78858e7f8b9a1f128c3cff/html5/thumbnails/23.jpg)
23
Purchasing Controls Link to
other Regulations
• Design Controls § 820.30
– Product design drives purchasing decision-making
– Quality established through design and proper
manufacturing
• Acceptance activities of incoming product § 820.80
– Inspections, tests and other verification activities
![Page 24: Purchasing Controls - Food and Drug Administration · PDF fileQuality System internal quality audit. –Affiliated companies –supplier affiliated with the device manufacturer, a](https://reader030.vdocuments.mx/reader030/viewer/2022020214/5a78858e7f8b9a1f128c3cff/html5/thumbnails/24.jpg)
2014 FDA Inspectional Data
FDA 483 Observations
Time frame 1/1/2014 to 12/31/2014
• 3,740 observations cited for 21 CFR 820
• 1,197 observations cited for Production and Process
Controls (e.g. Receiving device acceptance, traceability,
etc.)
• 54 Warning Letter citations for 21 CFR 820.5024
![Page 25: Purchasing Controls - Food and Drug Administration · PDF fileQuality System internal quality audit. –Affiliated companies –supplier affiliated with the device manufacturer, a](https://reader030.vdocuments.mx/reader030/viewer/2022020214/5a78858e7f8b9a1f128c3cff/html5/thumbnails/25.jpg)
Commonly Cited Issues, § 820.50
Supplier Evaluations
• No documentation of supplier evaluations
• Inadequate requirements for suppliers
–e.g., control over validated processes, reliance on
supplier self-assessments
25
![Page 26: Purchasing Controls - Food and Drug Administration · PDF fileQuality System internal quality audit. –Affiliated companies –supplier affiliated with the device manufacturer, a](https://reader030.vdocuments.mx/reader030/viewer/2022020214/5a78858e7f8b9a1f128c3cff/html5/thumbnails/26.jpg)
• Failure to clearly define the type and extent of
control to be exercised over suppliers.
-For example, your Supplier Approval Procedure & Process
Map states you will perform ongoing monitoring of Level 1
suppliers. The procedure does not define the frequency and
type of monitoring required for these suppliers.
• Failure to evaluate potential contractors.
–For example, you did not evaluate the company who
conducted steam sterilization validation studies for the XYZ
Screw System to ensure they could conduct the validation
studies in accordance with the specified standard. 26
Example Warning Letter Citation
![Page 27: Purchasing Controls - Food and Drug Administration · PDF fileQuality System internal quality audit. –Affiliated companies –supplier affiliated with the device manufacturer, a](https://reader030.vdocuments.mx/reader030/viewer/2022020214/5a78858e7f8b9a1f128c3cff/html5/thumbnails/27.jpg)
• .. failed to establish and maintain adequate procedures to ensure that all
purchased or otherwise received product and services conform to
specified requirements, as required by 21 CFR §820.50.
–... relies on its PCB supplier to perform a comparison (verification) between
electronic design files ... and the manufacturing files ... the requirement
that this verification be performed and appropriately documented was not
specified in XXX purchasing documentation or supplier agreement.
–... relied on the supplier to perform its own First Article Inspection, but
failed to established any criteria for the supplier to conduct the
verification ...
–... continues to have solder flux contamination issues from a supplier even
after implementing previous corrective actions. ... has not implemented
procedures to adequately control the products from this supplier or to
inspect incoming products to detect contamination 27
Injunction Example
–Shutdown Letter to Firm
![Page 28: Purchasing Controls - Food and Drug Administration · PDF fileQuality System internal quality audit. –Affiliated companies –supplier affiliated with the device manufacturer, a](https://reader030.vdocuments.mx/reader030/viewer/2022020214/5a78858e7f8b9a1f128c3cff/html5/thumbnails/28.jpg)
Summary
• Purchasing controls pertain to products,
components, and services
• Select suppliers based on their capabilities and
manufacturing requirements
• Establish adequate supplier control
• Documentation is important! Establish and
maintain records regarding purchases, data,
reviews, etc.
• Following purchasing control requirements is a
good for business and public health28
![Page 29: Purchasing Controls - Food and Drug Administration · PDF fileQuality System internal quality audit. –Affiliated companies –supplier affiliated with the device manufacturer, a](https://reader030.vdocuments.mx/reader030/viewer/2022020214/5a78858e7f8b9a1f128c3cff/html5/thumbnails/29.jpg)
Providing Industry EducationThree Resources
1. CDRH Learn – Multi-Media Industry Education over 80 modules videos, audio recordings, power point presentations, software-based “how to” modules mobile-friendly: access CDRH Learn on your portable deviceshttp://www.fda.gov/Training/CDRHLearn
2. Device Advice – Text-Based Education comprehensive regulatory information on premarket and postmarket topicshttp://www.fda.gov/MedicalDevices/DeviceRegulationandGuidance
3. Division of Industry and Consumer Education (DICE) Contact DICE if you have a question Email: [email protected] Phone: 1(800) 638-2014 or (301) 796-7100 (Live Agents 9am – 4:30 pm EST) Web: http://www.fda.gov/MedicalDevices/DeviceRegulationandGuidance/ContactUs--
DivisionofIndustryandConsumerEducation/default.htm
29
![Page 30: Purchasing Controls - Food and Drug Administration · PDF fileQuality System internal quality audit. –Affiliated companies –supplier affiliated with the device manufacturer, a](https://reader030.vdocuments.mx/reader030/viewer/2022020214/5a78858e7f8b9a1f128c3cff/html5/thumbnails/30.jpg)
Questions?
Please complete the session survey:
surveymonkey.com/r/DEV-D2S4
30