Pharmaceutical Out-of-Specification (OOS) Investigation Checklist
Uncover the root cause and ensure swift corrective action with our Pharmaceutical OOS Investigation Checklist. Navigate complex investigations, maintain compliance, and safeguard product quality - all with a structured, easy-to-use guide.
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Initial Assessment & Containment
Actions taken immediately upon identification of an OOS result, including quarantine and notification.
Date of OOS Result
Time of OOS Result
Batch Number Affected
Test Parameter OOS
Actual Result Value
Specification Limit (Upper)
Specification Limit (Lower)
Brief Description of OOS Result
Material Status (Quarantine)
Root Cause Investigation
Detailed examination of all potential factors contributing to the OOS result, including raw materials, equipment, processes, and personnel.
Description of OOS Result & Associated Data
Batch Record Review Status
Potential Contributing Factors (Select All That Apply)
Raw Material Lot Number
Date of Raw Material Receipt
Details of Equipment Maintenance Records Review
Analytical Method Validation Status
Corrective Action Plan (CAP)
Specific steps to address the root cause and prevent recurrence of the OOS result.
Detailed Description of Corrective Action
Estimated Cost of Corrective Action
Planned Completion Date
Responsible Department
Action Priority
Affected Areas/Equipment
Prepared By (CAP Initiator)
Verification & Validation
Confirmation that the implemented CAP effectively resolved the issue and the process is back in control.
Verification Start Date
Verification End Date
Number of Batches Verified
Number of Failed Batches (During Verification)
Verification Outcome
Detailed Verification Results & Observations
Verification Lead Signature
Documentation & Records
Ensuring complete and accurate documentation of all investigation activities, findings, and actions taken.
Investigation Protocol Number
Date of OOS Result
Time of OOS Result
Batch Number
Raw Data/Analytical Records
Supporting Documentation (e.g., Certificates of Analysis)
Investigator Signature
Document Review Status
Trend Analysis & Preventative Actions
Reviewing historical data and identifying opportunities to prevent future OOS occurrences.
Number of OOS results in last 12 months
Identified trends from OOS data?
Description of identified trends and potential root causes.
Potential preventative actions considered (select all that apply)
Estimated cost of implementing preventative actions
Target completion date for preventative actions
Justification for selected preventative actions and their expected impact
Preventative actions deemed sufficient?
Closure & Sign-off
Formal review and approval of the OOS investigation by designated personnel, ensuring all requirements are met.
Date of Final Review
Time of Final Review
Overall Assessment (Satisfactory/Unsatisfactory)
Summary of Review Findings & Justification (if applicable)
Reviewer Signature
Reviewer Name (Printed)
Reviewer ID (Employee Number)
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