ProSolvr logo

Resolve problems, permanently

Root Cause Analysis of Batch Rejection of Medicines in Pharmaceutical Industry

RCA of Batch Rejection

In the pharmaceutical industry, batch rejection, also referred to as pharmaceutical batch failure, occurs when a manufactured drug product fails to meet predefined standards of quality, safety, or regulatory compliance. These failures may arise due to raw material issues, manufacturing deviations, documentation errors, environmental conditions, or human mistakes.

While batch rejection serves as a safeguard against the release of substandard or unsafe products, the consequences are often costly. Pharmaceutical companies face delayed product availability, financial losses, increased regulatory scrutiny, and reputational damage. In highly regulated environments, repeated or unexplained batch failures can lead to GMP audits, warning letters, or even license suspensions.

Underlying causes such as material contamination, equipment malfunction, or deviation from manufacturing procedures are often not immediately obvious. This makes it critical for pharmaceutical teams to move beyond superficial fixes and conduct a structured investigation using Root Cause Analysis to identify the true contributing factors.

Today, leading quality assurance and manufacturing teams in pharma are turning to AI-powered root cause analysis platforms to accelerate investigations. Tools guided by fishbone diagrams and Six Sigma methodologies help teams systematically map contributing factors across key domains such as materials, methods, machines, environment, measurement, and human behavior.

This structured approach supports the creation of robust Corrective, Preventive, and Investigative Actions (CAPA), not only solving the current issue but also building resilience against future batch failures. An effective CAPA framework is essential for regulatory compliance, continuous improvement, and audit readiness.

This is where ProSolvr offers a powerful advantage. Purpose-built for root cause analysis in pharmaceutical and other regulated industries, the Gen AI powered ProSolvr platform enables teams to visually map root causes, uncover hidden dependencies, and collaborate across functions with ease. Unlike traditional tools, ProSolvr delivers clarity and structure to complex investigations while supporting digital CAPA planning aligned with GMP and quality standards.

With its AI-enhanced fishbone diagrams and intelligent RCA workflow, ProSolvr transforms problem-solving in pharmaceutical manufacturing. It helps ensure that batch rejection causes are not only identified but fully addressed through data-driven actions. The result is a smarter, more confident approach to pharmaceutical quality assurance that aligns with business goals, regulatory expectations, and patient safety requirements.

Batch Rejection

    • Raw Material Quality
      • Material Contamination
        • Impurities during transport or storage
      • Non-compliant Supplier
        • Supplier lacks proper certifications
    • Manufacturing Process
      • Equipment Malfunction
        • Improper calibration
      • Incorrect Mixing Time or Temperature
        • Operator Error
    • Quality Control & Testing
      • Inadequate Sampling
        • Non-representative batch sample
      • Failed Analytical Tests
        • Out-of-specification results
    • Documentation & Compliance
      • Deviation not Documented
        • Lack of deviation training
      • Incomplete Batch Records
        • Missed critical process steps
    • Environmental Conditions
      • Particulate Contamination
        • Cleanroom protocol not followed
      • Uncontrolled Humidity or Temperature
        • HVAC system failure
    • Human Error
      • Failure to follow Procedures
        • Process step skipped unintentionally
      • Inadequate Training
        • Staff unfamiliar with SOPs

Suggested Actions Checklist

Here are some corrective actions, preventive actions and investigative actions that organizations may find useful:

    • Raw Material Quality
      • Material Contamination
        • Corrective Actions:
          • Quarantine and dispose of contaminated materials; clean and sanitize storage areas.
        • Preventive Actions:
          • Implement supplier handling guidelines and regular inspection protocols for incoming materials.
        • Investigative Actions:
          • Trace contamination origin through supply chain and handling logs.
      • Non-compliant Supplier
        • Corrective Actions:
          • Suspend use of non-compliant supplier until corrective measures are taken.
        • Preventive Actions:
          • Maintain a list of pre-approved, certified suppliers with regular audits.
        • Investigative Actions:
          • Review supplier qualification and certification documentation.
    • Manufacturing Process
      • Equipment Malfunction
        • Corrective Actions:
          • Repair or replace faulty equipment immediately.
        • Preventive Actions:
          • Schedule periodic maintenance and calibration checks.
        • Investigative Actions:
          • Analyze maintenance logs and breakdown history.
      • Incorrect Mixing Time or Temperature
        • Corrective Actions:
          • Rework or discard the affected batch if within permissible range.
        • Preventive Actions:
          • Introduce automated mixing control systems with alarms for deviations.
        • Investigative Actions:
          • Review batch logs and SCADA records to confirm exact time and temperature values.
    • Operator Error
      • Failure to Follow Procedures
        • Corrective Actions:
          • Conduct immediate retraining of involved personnel.
        • Preventive Actions:
          • Implement a checklist-based execution system to ensure SOP adherence.
        • Investigative Actions:
          • Interview operator and review batch documentation for skipped steps.
      • Inadequate Training
        • Corrective Actions:
          • Provide targeted training sessions for specific SOPs.
        • Preventive Actions:
          • Design a competency-based training matrix with regular refreshers.
        • Investigative Actions:
          • Audit training records and evaluate employee understanding through assessments.
    • Quality Control & Testing
      • Inadequate Sampling
        • Corrective Actions:
          • Retest batch with correct sampling methodology.
        • Preventive Actions:
          • Standardize sampling procedures and train QC staff accordingly.
        • Investigative Actions:
          • Examine batch sampling logs and interview QC personnel.
      • Failed Analytical Tests
        • Corrective Actions:
          • Investigate out-of-specification result, retest where appropriate, and reject if confirmed.
        • Preventive Actions:
          • Validate analytical methods and calibrate testing equipment regularly.
        • Investigative Actions:
          • Perform root cause analysis of test failure, including method and material review.
    • Documentation & Compliance
      • Deviation not Documented
        • Corrective Actions:
          • File deviation report retrospectively and investigate.
        • Preventive Actions:
          • Make deviation reporting part of routine SOP with real-time logging.
        • Investigative Actions:
          • Conduct internal audit to identify similar undocumented deviations.
      • Incomplete Batch Records
        • Corrective Actions:
          • Identify and reconstruct missing information where possible.
        • Preventive Actions:
          • Implement electronic batch record (EBR) systems with input validations.
        • Investigative Actions:
          • Audit batch records and assess common points of incompleteness.
    • Environmental Conditions
      • Particulate Contamination
        • Corrective Actions:
          • Deep-clean production area and discard exposed products.
        • Preventive Actions:
          • Reinforce cleanroom gowning and entry protocols.
        • Investigative Actions:
          • Analyze environmental monitoring data and entry logs.
      • Uncontrolled Humidity or Temperature
        • Corrective Actions:
          • Stabilize environmental conditions; quarantine and assess affected products.
        • Preventive Actions:
          • Automate climate control systems with alerts for deviation.
        • Investigative Actions:
          • Review HVAC performance data and alarm history.
 

Who can learn from the Batch Rejection template?

  • Quality Assurance (QA) Teams: QA professionals can gain insights into recurring compliance gaps, procedural weaknesses, and quality deviations, helping them improve oversight and reinforce good manufacturing practices.
  • Manufacturing and Operations Teams: These teams can understand how variations in process execution affect product outcomes, enabling them to implement better control measures and refine standard operating procedures.
  • Regulatory and Compliance Officers: RCA outcomes help this group ensure that documented corrective and preventive actions meet regulatory expectations and reduce the risk of non-compliance findings during audits.
  • Training and HR Departments: By reviewing RCAs, training teams can identify knowledge or skill gaps and design focused learning modules that strengthen staff competency and procedural adherence.
  • Procurement and Supplier Management Teams: These stakeholders can use RCA findings to assess and manage supplier performance, ensuring that materials sourced meet stringent quality and reliability standards.
  • Research and Development (R&D) Teams: R&D professionals can use insights from RCAs to improve formulation robustness, process scalability, and design processes that are more resilient to real-world production variables.

Why use this template?

A comprehensive RCA with an application like ProSolvr ensures that CAPA is not merely reactive but strategically preventive. By identifying the root causes pharmaceutical companies can implement targeted training programs, reinforce procedural compliance, or invest in infrastructure upgrades. GEN-AI assisted applications ensure that these actions are not guesswork but data-informed and logic-driven. As a result, future batch rejections can be significantly reduced, ensuring product quality, regulatory compliance, and patient safety.

Use ProSolvr by smartQED to successfully navigate and resolve problems in your organization.

Curated from community experience and public sources:

  • https://www.wisdomlib.org/concept/batch-failure
  • https://www.cytivalifesciences.com/en/us/knowledge-center/reduce-batch-loss