QUALITY ASSURANCE AND VALIDATION FOR BIOMANUFACTURING

1. QUALITY ASSURANCE AND VALIDATION FOR BIOMANUFACTURING WELCOME TO THE COURSE

2. CHAPTERS • THE FUNDAMENTALS OF QUALITY ASSURANCE AND VALIDATION • IMPLEMENTATION OF VALIDATION • HOW VALIDATION GETS DONE • THE VALIDATION MASTER PLAN • REVALIDATION AND CHANGE CONTROL • AUDITS

3. CHAPTERS - CONTINUED • PROCESS VALIDATION • VALIDATION OF PACKAGING • RECEIPT, HANDLING AND USE OF MATERIALS • QUALITY ASSURANCE INVESTIGATIONS • DOCUMENTATION RESPONSIBILITIES OF QUALITY ASSURANCE

4. CHAPTERS - CONTINUED • RECALL PROCEDURE • ELECTRONIC RECORDS • CORRECTIVE AND PREVENTIVE ACTIONS

5. Designing Quality into the product • A central concept is that quality cannot be tested for! • Testing programs are based on testing a statistically significant number of samples • However to be absolutely sure that all of your product meets specifications you would have to test everything. • Testing by itself will not insure quality and is inefficient • Testing is required under the GMP’s • Raw materials • In-process samples • Final Product • Quality (identity, safety, efficacy, potency, purity, stability, consistency) must be designed into the production process • Begins with predetermined specifications • Raw material specifications • In-process material specifications • Final Product Specifications

6. What is Validation Validation – An Essential Part of GMPs! Validation is the scientific study of a system • To prove that the facility/system/equipment/method is consistently doing what it is supposed to do (i.e., that the process is under control). • We want to make decisions based on good science and not hunches and assumptions! • To determine the process variables and acceptable limits for these variables, and to set-up appropriate in-process controls. • Is it ok if the wash from a chromatography column is pH 6.8 vs. 7.0 ?

7. Validation in Biomanufacturing • Biomanufacturing is a complex process involving multiple unit operations many of which are critical to insuring patient safety and product efficacy

8. Inoculum Seed Fermentation Production Fermentation Harvest UPSTREAM DOWN-STREAM Ultrafiltration 1 Chrom. 1 1 Ultrafiltration 2 Chrom. 2 Viral Filtration VIRAL NON-VIRAL Chrom. 3 Ultrafiltration 3 Final Formulation/ Sterile Filtration Sterile Fill Block Flow Diagram of a typical Production Process

9. Validation in Biomanufacturing • A central concept in quality is that quality cannot be tested for. Quality must be designed and built into the production process. • Requires careful attention to raw material specifications, in process material specifications, and final product specifications.

10. Validation • The FDA’s definition of validation: “Validation is a process of demonstrating, through documented evidence, that a process, procedure, method, piece of equipment, or facility will consistently produce a product or result that meets predetermined specifications and quality attributes.”

11. Quality Attributes • Identity • 21 CFR 211.84 (d) at least one test shall be conducted to verify the identity of each component of a drug product. • Chemical, biological, immunological • Raw materials, in-process intermediates, final products. • Safety • 21 CFR 600.3 (p) safety as the relative freedom from harmful effect to persons affected, directly or indirectly, by a product when prudently administered, taking into consideration the character of the product in relationship to the condition of the recipient at the time. • Activity of active ingredients • Activity of the excipients or additives • Activity of process related impurities • Efficacy • Effectiveness of the product in achieving its medicinal purpose (therapeutic, prophylactic, diagnostic). Gathered at Phase II and Phase III trials. • Potency • 21 CFR 600.3 (s) specific ability or capacity of the product, as indicated by its appropriate laboratory tests or by adequately controlled clinical data obtained through the administration of the product in the manner indicated to effect the given result. • Purity • 21 CFR 600.3 (r) relative freedom from extraneous matters in the finished product, whether or not harmful to the recipient or deleterious to the product. • Cleaning Procedures • Stability • 21 CFR 211.137 (a) to assure that a drug product meets applicable standards of identity, quality, and purity at the time of use; it shall bear an expiration date determined by stability testing. Drugs may use accelerated time studies, biologics must use real time studies. • Consistency • The ability of the product and/or process to reliably possess specified quality attributes on an ongoing basis. 3 consecutive batches of product meeting predetermined specifications is accepted as proof that a process is consistent. However, in NDA data from up to twenty batches may be submitted.

12. Validation in Biomanufacturing • Validating the performance of unit operations, analytical methods, and critical process points (sterilization, viral inactivation, cleaning procedures) is essential in ensuring that the process generates a quality product.

13. Historical Basis for Validation • Assumptions concerning virus inactivation resulted in ten deaths and 200 children becoming paralyzed, from a supposedly “inactivated” polio vaccine. • Assumptions about sterilization caused severe infections among burn victims given supposedly sterile solutions. • Validation eliminates assumptions and relies on experimental proof!

14. Validation in Biomanufacturing • Validation does not replace testing, but it does reduce the testing burden for raw materials, in-process materials, and final product

15. Validation in Biomanufacturing • Validation itself is a process that evolves with the product. • Validation requirements for production of pre-clinical material much less stringent then for phase III clinical material. • Critical operations: raw materials, analytical methods, viral clearance, sterilization, cleaning.

16. Critical Operations in Biomanufacturing • Some operations are more critical than others. • Viral filtration, sterilization, cleaning, analytical methods. • These operations will require greater validation efforts then less critical operations (media blending).

17. Critical Systems • How critical is the system being validated to final product quality? • Media blending systems for cell growth vs. final fill & finish operations • Demonstrating that the device which fills, labels, and caps the final product will require more extensive validation then the blenders used to prepare media for bioreactors. • Validation of complex devices can take years!

18. Validation • Proceeds in stages with new facilities / equipment. • Planning for validation should start with the design process. • Leaving validation to the last minute is asking for trouble.

19. Stages of Validation • Starts with Design & Receipt: • Does the equipment meet the needs (is the autoclave big enough?) • Do you have the manuals, spare parts, can you plug it in? • Is it installed properly (drain lines, vents, etc) • Does it work? • Does the autoclave reach the necessary temp. and pressure? • Can the autoclave sterilize your equipment (worse case situation)? • How does it work in the manufacturing process? • Can it handle production quantities? • Will failure compromise product quality?

20. What does “validation of any sterilization process” mean ? • What parameters are critical to sterilization? • Temperatures, pressures, time, pore size (filtration), radiation dosage, chemical concentration. • Must demonstrate that your autoclave reaches the temperatures, pressures, and times necessary for sterilization. • Must demonstrate that items representing real world samples achieve those conditions (20 ft of 1 ½ hose; a 20 L carboy; a 500 ml bottle). • Must challenge with worse case scenario (may take place in pilot plant if scalability demonstrated).

21. Regulatory requirement for validation 21 CFR 211 Subpart F –Production and Process Controls • 211.100 –Written procedures; deviations • (a) Requires written procedures for production and process control designed to assure that products possess the quality attributes that they purport or are represented to possess. • (b) Requires that any deviations from written production and process control procedures be recorded and justified. • 211.101 – Change in of components • 211.103 – Calculation of yield • 211.105 – Equipment identification • 211.110 – Sampling and testing of in-process materials and drug products • “Requires that control procedures be established to monitor the output and validate the performance of those manufacturing processes that may be responsible for causing variability of in process material and drug product.” • 211.111 – Time limit on production • 211.113 – Control of microbiological contamination • “Requires that sterilization processes be validated” • 211.115 – Reprocessing 21 CFR 211 Subpart H- Holding and Distribution • 211.165 – Testing and release for distribution • “Requires that the accuracy, sensitivity, specificity, and reproducibility of test methods employed by the firm shall be established and documented. Such validation and documentation may be accomplished in accordance with 21 CFR 211.194 (a)(2)” 21 CFR 211 Subpart I- Laboratory Controls 21 CFR 211 Subpart J – Record and Reports 21 CFR 820 Quality Systems Regulations

22. Regulatory requirement for validation • Sec. 211.113 Control of microbiological contamination. • (a) Appropriate written procedures, designed to prevent objectionable microorganisms in drug products not required to be sterile, shall be established and followed. • (b) Appropriate written procedures, designed to prevent microbiological contamination of drug products purporting to be sterile, shall be established and followed. Such procedures shall include validation of any sterilization process.

23. Validation in Biomanufacturing • A fully validated process is “locked in” • Any change outside of the validated space invalidates process • Change must be evaluated for effect on patient safety and product efficacy Validated Production Process Δ

24. The Validation Life Cycle

25. Validation Protocol • Specific protocols (SOP’s) that provide detailed information on what is to be validated. • Validation Protocols consist of: • A description of the process, equipment, or method to be validated. • A description of the validation method. • A description of the sampling procedure including the kind and number of samples. • Acceptance criteria for test results. • Schedule or criteria for revalidation.

26. Validation Protocol • Validation Protocols may consist of multiple SOP’s each describing specific steps in the validation process

27. Stages of Validation • Starts with Design & Receipt: • Does the equipment meet the needs (is the autoclave big enough?) • Do you have the manuals, spare parts, can you plug it in? • Is it installed properly (drain lines, vents, etc) • Does it work? • Does the autoclave reach the necessary temp. and pressure? • Can the autoclave sterilize your equipment (worse case situation)? • How does it work in the manufacturing process? • Can it handle production quantities? • Will failure compromise product quality?

28. IQ, OQ, PQ ? Installation Qualification (IQ) A process used to document that the piece of equipment was supplied and installed properly and that appropriate utilities, i.e., electrical, steam, gas, etc. are available to operate the equipment according to the manufacturers specifications. Operational Qualification (OQ) A process designed to supply the documented evidence that a piece of equipment operates as it is intended through all anticipated operational ranges. Performance (Process) Qualification (PQ) Verifies that a process / piece of equipment performs as it is intended to in the manufacturing process and produces product (in process or final) meeting predetermined specifications.

29. Example of a protocol for the IQ component of validating a pH meter As with all other SOP’s this document will contain an Objective, Scope, and Responsibility Section.

30. Typical information in an IQ protocol • Name and description of equipment, including model numbers • Identification, including model and serial numbers • Location of the equipment • Any utility requirements, i.e. electrical voltage, steam or water pressure, etc. • Any safety features of the equipment, including alarms, interlocks, or relief valves. • That all documentation, including manufacturers contact information, spare parts inventory, operational manual, and installation drawings are available on site.

31. OQ Protocol Example of a protocol for the OQ component of validating a pH meter O As with all other SOP’s this document will contain an Objective, Scope, and Responsibility Section.

32. OQ Protocol Example of a protocol for the OQ component of validating an autoclave As with all other SOP’s this document will contain an Objective, scope, and responsibility Section.

33. Typical OQ Protocol Components • Objective • Responsibility • Equipment required (Calibration verification & Traceability) • SOP(s) used • Equipment Identification • Parameters measured (Specifications) • Documentation

34. Validation • Ideally validation takes place prior to actual production runs, however in some cases validation may take place as product is produced, or past production runs may be used to provide validation data. • Prospective Validation • Concurrent Validation • Retrospective Validation

35. IQ Calibration OQ PQ protocol approval PQ protocol execution Data Analysis Validation Report Approve Conclusions A prospective validation study

36. Data Analysis No Are systems qualified? Calibrations Correct ? A concurrent / retrospective validation study No Qualify system Calibrate system Yes Yes Approval

37. The V-Model

38. Planning for Validation Project Plan Agreed by team members Details phases, activities, and milestones Gantt Chart most commonly used

39. Putting it all together

40. Validation Plan • Organizations must define an approach towards validation • What is to be validated • How is it to be validated • Who is to validate it • Who is to approve the validation • When it must be revalidated

41. Validation Plan • Regulatory agencies (FDA, EMEA, WHO, etc) identify minimum components of validation. • “Industry standards” (the c in cGMP) can increase validation requirements. • New & Novel processes / equipment require greater scrutiny then established processes / equipment. • Validation requirements increase as a product moves through development (phase I, phase II, phase III).

42. Validation Plans The Validation Master Plan • A high level document that outlines the organizations philosophical approach to validation and revalidation. The validation master plan becomes a guideline by which individual validation protocols are developed and implemented. • May contain a flow chart or other diagram of the validation process

43. Revalidation • Is the initial validation for a piece of equipment the end? • No! • Periodic revalidation may be necessary depending on the criticality of the equipment • Changes need to be evaluated for their impact on validation • Deviations from specifications may require revalidation • Revalidation should be spelled out in Validation Master Plan

44. Revalidation Changes that require revalidation • Software changes;Controllers • Site changes; Operational changes • Change of source of material • Change in the process • Significant equipment change • Production area changes • Support system changes

45. Change Control • Must assess impact of changes on FDA compliance and validation state. • Change control is a formal process defined in company SOP on how process/equipment changes are evaluated. • Any change that takes place outside the change control process can jeopardize product quality (patient safety).

46. Validation-Change Control VMP should contain change control statement • Policy and procedure • Risk assessment • Authorization • Failure to properly document changes to the system means invalidation of the process

47. CHAPTER 6 - AUDITS • Introduction • What is an Audit?

48. CHAPTER 6 - CONTINUED • What is an Internal Audit? • What is an External Audit? • The Quality Systems Approach • Example of a Quality Audit • Medical Device Regulations • Detecting Potential Problems • The Audit Program

49. COLOR CODING FOR QUARANTINE SYSTEM QUARANTINE EXPERIMENTAL APPROVED REJECTED

50. CHAPTER THIRTEEN Electronic Records