D a model quality assurance system for procurement agencies

1 This publication is intended to assist procurement agencies to procure safe, effective pharmaceuticals of suitable quality . The model described here focuses on four key agency activities: prequalification, purchase, storage and distribution of pharmaceutical products. The long-term goal of the recommendations made is the design and implementation of a uniform and harmonized system that will ensure procurement of pharmaceutical products of defined quality for supply to patients. The system should be based on a mutually recognized process of prequalification of products and manufacturers. The publication is divided into six modules, with the first addressing the general requirements for the quality assurance system that should be in place at all procurement agencies .

2 Module II sets out recommendations for agencies when they are evaluating their product needs, assessing the products offered, and the manufacturing and supply arrangements provided by the manufacturers. The next module describes principles of purchasing pharmaceutical products, and is followed by recommendations on how to receive and store them. Good distribution practices are covered in Module V, while the final module describes monitoring and reassessment of products and contracted-out activities. In addition to a useful glossary, the publication includes a number of appendices with sample forms and questionnaires to use when implementing the model , as well as the text of relevant WHO is an interagency document published by the WHO Department of Medicines Policy and Standards on behalf of the organizations listed.

3 The text was previously included as Annex 6 of the 40th Report of the WHO Expert Comittee on Specifications for Pharmaceutical Preparations (WHO Technical Report Series No. 937, Geneva, World Health Organization, 2006).a model quality assurance system for procurement agenciesWorld BankI NTERAGENCY G UIDELINESa model quality assurance system for procurement agenciesa model quality assurance system for procurement agenciesRecommendations for quality assurance systems focusing on prequalification of products and manufacturers, purchasing, storage and distribution of pharmaceutical productsWorld HealtH organizationUnited nations CHildren s FUndUnited nations development programmeUnited nations popUlation FUndWorld BankWHO/PSM/ This document was previously published as Annex 6 of the 40th Report of the WHO Expert Comittee on Specifications for Pharmaceutical Preparations (WHO Technical Report Series No.)

4 937, Geneva, World Health Organization, 2006). WHO is grateful to the Committee members and to all of those acknowledged in that Technical Report. World Health Organization 2007 All rights reserved. Publications of the World Health Organization can be obtained from WHO Press, World Health Organization, 20 Avenue Appia, 1211 Geneva 27, Switzerland (tel.: +41 22 791 3264; fax: +41 22 791 4857; e-mail: Requests for permission to reproduce or translate WHO publications whether for sale or for noncommercial distribution should be addressed to WHO Press, at the above address (fax: +41 22 791 4806; e-mail: designations employed and the presentation of the material in this publication do not imply the expression of any opinion whatsoever on the part of the World Health Organization concerning the legal status of any country, territory, city or area or of its authorities, or concerning the delimitation of its frontiers or boundaries.)

5 Dotted lines on maps represent approximate border lines for which there may not yet be full mention of specific companies or of certain manufacturers products does not imply that they are endorsed or recommended by the World Health Organization in preference to others of a similar nature that are not mentioned. Errors and omissions excepted, the names of proprietary products are distinguished by initial capital letters. All reasonable precautions have been taken by the World Health Organization to verify the information contained in this publication. However, the published material is being distributed without warranty of any kind, either expressed or implied. The responsibility for the interpretation and use of the material lies with the reader.

6 In no event shall the World Health Organization be liable for damages arising from its use. This publication contains the collective views of an international group of experts and does not necessarily represent the decisions or the stated policy of the World Health Organization. Physical resources ..15 Premises ..15 Equipment ..16 Materials and consumables ..17 Financial systems ..17 Human resources .. Documentation of policies and standards ..19 quality manual ..20 Standard operating procedures ..20 Change control policy ..22 Code of Guidelines on conflict of interest ..23 List of prequalified products and manufacturers ..23 Maintenance of records.

7 Principles for prequalification ..25 WHO model List of Essential Medicines .. Standards for prequalification .. Key persons and responsibilities ..26 Staff responsible for prequalification ..26 Staff responsible for evaluation of product information ..27 Staff responsible for inspection of manufacturing sites .. Key steps in prequalification ..28 Step 1: solicit and receive expressions of interest ..28 Step 2: receive product information ..32 Contents A model quality assurance system for procurement agencies Step 3: screen product information ..33 Step 4: evaluate product information ..33 Step 5: plan, prepare and perform inspections ..35 Step 6: finalize assessment process and update prequalification list.

8 Requalification and monitoring .. Monitoring of complaints .. Cost recovery .. Strategies for health systems .. procurement methods ..42 Restricted tender ..43 Competitive negotiation ..43 Direct procurement ..43 Open tender .. quality assurance in purchasing .. Key activities in purchasing ..44 Product selection and specification ..44 Product quantification ..44 Selection of suppliers ..45 Adjudication of tenders .. Organization and responsibilities ..46 procurement agency structure ..46 Responsibilities .. Monitoring of performance of prequalified manufacturers .. Patents .. Donations .. Pre-shipment quality control .. Receipt of stock .. Post- procurement quality control.

9 51 Sampling ..51 Rejected materials .. Storage of materials and Staff ..52 Storage areas ..52 Storage conditions ..52 Labelling and containers ..53 Miscellaneous and hazardous materials ..54 Stock control ..54 Documentation: written instructions and records .. Transport conditions .. Cold chain .. Temperature monitoring and records .. Delivery order .. Dispatch procedures and policies .. Dispatch containers .. Dispatch records .. Traceability .. Port of entry .. Packaging of products and materials .. Re-evaluation of manufacturers .. Re-evaluation of products .. Monitoring of contracted-out services ..59 Storage and distribution ..59 quality control laboratories.

10 60 Contract research organizations ..62 Contents A model quality assurance system for procurement agenciesAppendix 1 Example of a code of conduct ..65 Appendix 2 Example of a guideline on confidentiality ..71 Appendix 3 Example of a guideline on conflict of interest ..72 Appendix 4 Example of a standard operating procedure (SOP) for writing an SOP ..78 Appendix 5 Example of an invitation for expression of interest ..83 Appendix 6 Pharmaceutical product questionnaire ..88 Appendix 7 Example of a standard operating procedure for screening and assessing product information ..93 Appendix 8 Technical questionnaire for pharmaceutical manufacturers ..106 Appendix 9 Example of a standard operating procedure for planning of inspections.