White Paper How To Implement A QMS

White paper:
How to implement a Quality

Management System
This whitepaper will help you to implement a Quality

Management System (QMS), based on Good Manufacturing
Practice (GMP), ISO 9001 or ISO 13485 within your
organisation.
This document was prepared in February 2016, any content including links and quoted regulation may be out of date. Please refer to the
appropriate source for the most recent information. We endeavour to keep an up-to-date record of information at www.pharmout.net.
©2016 PharmOut. This document has been prepared solely for the use of PharmOut and its clients. Copying is prohibited.
MKT_TMP200_01_r06
PharmOut white paper: How to implement a Quality Management System
Introduction
This whitepaper is intended as a guide to implementing a Quality Management System (QMS)
within your organisation. As the size, type and nature of organisations vary, this whitepaper may
not cover all circumstances unique to your company. It does however detail the typical process
that PharmOut consultants use when implementing a QMS at a client site.
The QMS discussed in this whitepaper is based on the ISO 9001 framework as it provides an
excellent and practical QMS model. Specific Good Manufacturing Practice (GMP) requirements
for a pharmaceutical organisation (ICH Q10 and/or PIC/s) can easily be integrated with this
model, as can ISO 13485. PharmOut recommends careful consideration of the relevant
compliance standards to ensure all requirements are included.
Managing the change

Migrating an organisation from a pre-QMS state to one that operates with the rigors of quality
and control necessary for an ISO-based QMS is not a casual task. There is a tightening of how
processes are managed, and often changes in staff interactions, responsibilities and
accountability. Such a change is unlikely to succeed without the dedicated support of both the
executive and operational management.
The greatest resource of a quality company are its people, so strategies for managing both real
and perceived change, or concerns and attitudes, should be addressed during the initial
planning of the QMS.
It is likely that during the first 6 to 12 months, executive management will need to positively
reinforce the QMS requirements on a routine basis to ensure that staff maintain motivation and
do not lapse back into old habits.
Tweaking of the QMS documents should also be expected as staff become accustomed to the
requirements and begin to suggest improvements in usability. Instant business or quality
improvements may be initially observed, however PharmOut’s experience suggests that there is
a lag phase before consistent improvements become the norm.
The benefits to the organisation of a properly functioning QMS are not just restricted to the
knowledge that it complies with regulatory requirements, but that it has the discipline to
manage customer requirements effectively.
PharmOut Pty Ltd, ABN: 85 117 673 766, Unit 10, 24 Lakeside Drive, Burwood East, Victoria 3151.
Ph: +61 3 9887 6412, Fax: +61 3 8610 0169, Email: [email protected] Web: www.pharmout.net
Page 2 of 14 MKT_TMP200_01_r06
The quality management framework

The QMS is structured on the following ISO 9001 lifecycle framework. All quality, safety and
customer requirements are included showing their interaction to continually improve the QMS.
Continual improvement of the quality

management system
5.0 Management
Responsibility
5.1 Management
commitment
5.2 Customer focus
5.3 Quality policy
5.4 Planning
5.5 Responsibility, authority

and communication
5.6 Management review
6.0 Resource 8.0 Measurement

Management Satisfaction
Analysis & Improvement
(ISO 9001
only)
8.2 Monitoring and

Customers 6.1 Provision of resources 4.0 Quality Customers
measurement
Management System
8.3 Control of non-
6.2 Human resources
conforming product
4.2 Documentation
requirements
6.3 Infrastructure 8.4 Analysis of data
6.4 Work environment 8.5 Improvement
7.0 Product Realisation
Requirements
Input Output
7.1 Planning of product
realisation
7.2 Customer related

processes
7.3 Design and

development
7.4 Purchasing
Key
Value adding activity 7.5 Product and service

provision Note: The numbering of the key quality
elements and their composite parts
Information flow
7.6 Control of monitoring reflect the ISO 9001 numbering within the
and measuring devices Quality Manual.
QMS requirements
A company requiring GMP and/or ISO compliance must establish, document, implement and
maintain a QMS, as well as maintain its effectiveness in accordance with the required
compliance standard.
A QMS requires:
 documented statements of a quality policy and quality objectives
 a Quality Manual that includes:
o the scope of the QMS and justification for exclusions
o documented procedures for the QMS or reference to them
o a description of the interactions between the processes of the QMS
 documented procedures required by the compliance standard (if not located within
the Quality Manual)
 documents needed by the company to ensure effective planning, operation and
control of its processes
 records required by the compliance standard such as evidence of conformity to
requirements and the effective operation of the QMS.
Defining ‘controlled’
Documents should detail QMS processes to ensure that they meet the compliance standard.
Using a documented procedure ensures that:
 all staff perform the same duty in the same way, every time
 all data is recorded in a similar manner
 new staff are trained to a consistent standard.
Records, including monitoring data, batch records, audit findings, labels, QC testing results,
non-conformance reports, corrective actions, etc. are evidence that the QMS is being used and
that processes are effective.
Both documents and records should be controlled, typically by the Quality Assurance (QA)
department.
Controlled documents
Documents within the QMS must be controlled so that only the current version is available to
staff while performing their duties. Procedures must be in place to reflect the day-to-day
management of all controlled documents.
Documents must have the following key elements to be compliant:
 a unique identifier, typically a letter code for the type of document (for example,
SOP, WI, FRM, LST) and a sequential number.
 version control where each update to the document must result in an incremental
increase in the version (revision, edition etc.) number
 a change history that summarises the changes made to a document each time it is
updated
 signatures from the preparer and authoriser (or approver) of the document. A
verifier signature is also usually required to confirm that the contents of the
document is accurate, whereas the authoriser gives general approval for the
document and confirms that compliance requirements are met
 the date of revision, if not updated before a specified review period.
Controlled records
Records should be controlled and managed by assigning unique identifiers to individual record
types. This ensures that they are traceable and retrievable. Appropriate systems must be in
place and documented to manage records.
QMS controlled document hierarchy

Controlled documents are typically organised and written according to a hierarchy.
Document Type Description
Quality Manual A high level document that provides policy on the QMS. It details:
 QMS requirements
 management responsibilities
 management of resources for all aspects of the company
 how manufacture will be designed, validated and
conducted
 customer-related processes
 Quality Assurance processes.
Policies A high level document that details overall business decisions or

strategy. Policies are usually shorter documents without detailed
description. They describe why something is done or high level rules
required for all staff.
It is acceptable to document policy-type material in either the Quality
Manual or a procedure if preferred.
Procedures Details all procedures required by the company to plan, operate and
control its product and processes.
Smaller procedures or simpler QMS may prefer to incorporate some
procedures into the Quality Manual or to combine multiple, related
procedures (as appropriate).
Work instructions Details all instructions required to perform a section of a procedure.
Lists Used to list information as required. Lists can also be incorporated into
the back of a procedure as additional information (Appendix,
Attachments etc).
Forms Captures records for all data/information required to support or

confirm processes.
You may prefer to capture forms either as separate controlled
documents and/or within the appropriate procedure.
Note: Multiple page forms at the end of a procedure must ensure that
form page numbering is separate to the procedure page numbering.
Additional controlled document types may also be used at the discretion of the company
depending on requirements or preferences. These may include:
 manuals
 training assessments (or other training documents)
 engineering drawings or plans
 logbooks
 templates.
Where do I start?
The following sections outline a general approach for installing a QMS. You may also use the
QMS Preparation Checklist at the end of this whitepaper to ensure that the documentation
requirements have been met.
Generate templates for the controlled documents

Templates should be written for all the controlling document types intended to be used. All
templates should have consistent styles and formats so that the documents are easy to navigate
and to read.
Each template must meet controlled document requirements (unique identifier, version control
etc). Procedures and instructions should have Purpose, Scope and Responsibilities sections (or
equivalent).
A company logo can be included with the document header details if required. This is optional
depending on preference or concerns regarding logo size, colour, file size or whether the
documents will be primarily used online or hardcopy.
Identify current procedures

Most companies already have written policies and/or procedures of some kind. However, these
may be incomplete, lacking specific detail, out of date, or not integrated with other business
processes.
Make a list of all these documents, including procedures, work instructions, forms and lists and
include their status (such as current, out of date, inaccurate etc).
There may be some areas of the business which you decide are out of scope for the QMS, such
as finance, billing or business strategy documents. Areas deemed out of scope must not have
an impact on product quality or safety as this is controlled by the QMS. However, be careful
when assigning documents as out of scope because you want to avoid creating two document
systems.
Do not include out of scope processes in any further drafting of the QMS and ensure that these
areas are listed in the exclusions in the Quality Manual.
Map your processes

Map the processes used to manage the quality framework, including their sequence and
interaction with each other. Mapping typically looks like a flow chart. Ensure that all
stakeholders are included in this process; consider running a brainstorming session with
multidisciplinary team members (recommended).
Highlight gaps where documents are missing or where a process needs to be updated to meet
an aspect of the quality standard.
Determine where changes may be required. For example, you may need to develop a procedure
for controlling non-conforming product or monitoring customer satisfaction or performing
management reviews.
Map the QMS structure and your documents

Organise the information types that are represented on the process map.
Document Type Information Type Requirements
Procedures Make a list of all the procedural information from the process map. A
procedure is usually a series of stages performed in order over time
often by different people (who, what, when, and sometime why). Define
the top level steps within each procedure from the process map; these
will form the main headings of each procedure.
Work instructions Define any information that belongs in a work instruction, where
detailed instructions are required for a single task (describing how
something is done). Work instructions usually hang off a parent
procedure and include specific details for a single stage of the
procedure. Break this information down into a series of sections (if not
already in the process map); these will form the main headings of each
work instruction.
There may be multiple work instructions for a single procedure. As a
general guide, where the instructions are less than a page or comprise
only one section, then consider placing this information in the
procedure instead of having a work instruction.
Forms Once the procedures and work instructions are mapped, make a list of
all forms and logs that will be needed to support the procedures and
work instructions. Note the type of data required for each form (if
known).
Forms are usually referenced from the controlled document that
requires their use (Quality Manual, procedure, work instruction).
Document Type Information Type Requirements
Lists Make a list of all lists that will be required. Determine whether the
information is dynamic or static and how regularly it will need to be
updated. Consider generating a register or spreadsheet for capturing
dynamic lists (controlled record) instead of having to formally issue a
new version of a controlled list each time a change is required.
Quality Manual Refer to the relevant quality standard for details for section
requirements.
It is very helpful to map the controlled documents in their hierarchy, in a similar fashion to an
organisation chart. Assign document numbering; this can be based on the hierarchy so that
work instructions, forms and list numbering reflects the parent procedure numbering.
Alternate document numbering conventions are also acceptable.
Note: Document names in the following figure are not intended to be document examples nor
represent the total number of controlled documents required.
Draft the documents

Draft all the controlled documents according to the document maps.
Consider the primary audience for the document and use language and vocabulary that are both
appropriate for the company and for the users. For example, if the company has a significant
number of bilingual staff in one area, then write documents that they will need to use in a
manner that reflects their level of literacy.
A plain English style is always best. As a general rule:
 if you stumble over a sentence when reading it aloud, then it is probably too
complicated or poorly worded.
 ensure that the size/type of fonts and page layouts are appropriate for how the
documents will be predominantly used (electronic or hardcopy).
 avoid using colours or backgrounds that can make it difficult for staff with vision or
reading difficulties.
 consider what type of writing style is appropriate. For example, work instructions
lend themselves to very structured, numbered steps whereas procedures may be
more appropriate in a paragraph style.
 don’t mix information types. Keep theory, such as technical background etc.,
procedural steps and rules/warnings separate. Mixing information types can
create confusion or misunderstanding, and lead to a task being performed
incorrectly.
Manage electronic drafts

PharmOut suggests saving your files with a document identifier in the file name. This ensures
that versions and review changes can be tracked and managed.
Possible identifiers may include:
 tracking the draft version - QM001 Quality Manual_v01a, b, c etc.
 tracking the date of draft review (1st Jan 2010) – QM001 Quality Manual_010110
 tracking a reviewer – QM001 Quality Manual_JBloggs
 a combination of the above.
It is important to maintain consistency in the document control mechanism used during the
drafting process.
Make a list (spreadsheet) of all documents with the document number, title, version number,
and status of review. This document can also then easily be amended to form the Master
Document List when the QMS is ready to go-live.
Review the documents

Ensure that all documents are reviewed by subject matter experts (SMEs) from all areas that
are affected by the scope of the document. Issuing a controlled document that affects an area
where staff have not had the opportunity to review may cause unnecessary friction, reduce
compliance and increase the risk of deviation.
Issue the documents

Prepare hard copies of all documents and obtain the appropriate approval as dictated by the
compliance standard. Issued original hardcopies (and usually MS Word versions) must be filed
in a secure location.
Once the QMS documents are approved and are ready to be implemented (issued), save the
electronic files according to your document control procedure using the document revision
number in the file name. Publish the controlled documents (hardcopy or pdf) according to the
document control procedure so that staff can be trained and use the documents.
QMS Preparation Checklist

The following checklist may be used during the preparation of QMS documents.
Step Description Completed? ( / )
1 Generate templates for the controlled documents.
2 Identify your company’s key processes, existing procedures,

and management and control systems needed for the QMS.
3 Map the key processes and procedures so that their sequence

and interaction is clear. Highlight any area that is missing a
document that is required as part of the QMS.
4 Map the document hierarchy structure and high level

document contents for all controlled documents.
5 Draft the controlled documents based on the document maps.
6 Manage electronic drafts and draft a Master Document List.
7 Review the content of all QMS documents with subject matter

experts (SMEs).
8 Finalise the QMS documents for approval and issuing.
9 Go-live! Train all staff on appropriate documents with respect

to their training matrix.
Sources
Links used within this document are prone to change. Please refer to the appropriate source for
the most recent information. We endeavour to keep an up-to-date record of information at
www.pharmout.net
PharmOut is an international GMP consultancy serving the Pharmaceutical, Medical Device and
Veterinary industries. PharmOut specialises in PIC/S, WHO, United States FDA, European EMA,
and Australian TGA GMP consulting, engineering, project management, training, validation,
continuous improvement and regulatory services.
Our team includes international GMP experts who have previously held leadership roles within
regulatory bodies.
For more information please visit www.pharmout.net or contact us at [email protected].

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White paper:

How to implement a Quality

This whitepaper will help you to implement a Quality

Managing the change

The quality management framework

Continual improvement of the quality

5.2 Customer focus

5.3 Quality policy

5.5 Responsibility, authority

5.6 Management review

6.0 Resource 8.0 Measurement

8.2 Monitoring and

6.4 Work environment 8.5 Improvement

7.0 Product Realisation

7.2 Customer related

7.3 Design and

Value adding activity 7.5 Product and service

QMS controlled document hierarchy

Document Type Description

Policies A high level document that details overall business decisions or

Work instructions Details all instructions required to perform a section of a procedure.

Forms Captures records for all data/information required to support or

Generate templates for the controlled documents

Identify current procedures

Map your processes

Map the QMS structure and your documents

Document Type Information Type Requirements

Document Type Information Type Requirements

Draft the documents

Manage electronic drafts

Review the documents

Issue the documents

QMS Preparation Checklist

Step Description Completed? ( / )

1 Generate templates for the controlled documents.

2 Identify your company’s key processes, existing procedures,

3 Map the key processes and procedures so that their sequence

4 Map the document hierarchy structure and high level

5 Draft the controlled documents based on the document maps.

6 Manage electronic drafts and draft a Master Document List.

7 Review the content of all QMS documents with subject matter

8 Finalise the QMS documents for approval and issuing.

9 Go-live! Train all staff on appropriate documents with respect

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