Sie sind auf Seite 1von 8

GENERAL

Review of Batch Production Records


David Jones

The review of batch production records coupled with


pharmaceutical ingredients (APIs) used to manufacture
the trending of yields and deviations are key parts of
drug products, many of the concepts presented herein
the quality assurance process for the manufacturing
are also applicable to the review of other types of manu-
of drug products. Batch record review is typically a
facturing records.
verification step that confirms the acceptability of the
manufacturing and packaging processes. If, however,
Regulatory Basis
a pattern of corrections or deviations emerges, a firm
Before discussing the various records required for the
gains valuable information from investigation that can
manufacture of finished drug products as identified in
lead to both corrective and preventive action—even
the current good manufacturing practices (CGMPs) reg-
process improvement. Process drift can be detected
ulation as published by the US Food and Drug Admin-
before yield or other parameters exceed alert or action
istration, it is useful to cite a key section of the Federal
limits. Because the review process is so common, its
Food, Drug, and Cosmetic Act (1). The act states the
importance may be overlooked beyond the regulatory
following:
requirement found in the current good manufacturing
A drug or device shall be deemed to be adulterated
practices regulation. Proper controls and corrective
…if it [the product] is a drug and the methods used in,
action can prevent well-intentioned manufacturing
or the facilities or controls used for, its manufacture,
steps from creating products that are adulterated.
processing, packing, or holding do not conform to or are
Useful suggestions are offered and several scenarios
not operated or administered in conformity with cur-
illustrate what can happen when the review process
rent good manufacturing practice to assure that such
is not standardized and monitored.
drug meets the requirements of this Act as to safety and
has the identity and strength, and meets the quality
and purity characteristics, which it purports or is rep-
INTRODUCTION resented to possess.
This article provides background on the importance of This excerpt should remove any misunderstanding
the records that support manufacturing of finished drug about the need for appropriate controls. In fact, in most
products. It focuses on the batch record review process cases when a compliance officer for FDA District Office
and its importance as a vital step in the quest for quality sends a warning letter to a firm for identified deficien-
in manufactured drug products. For those new to this cies, the cause is typically for lack of controls or inad-
industry, a bit of background may be useful to put the equate records and reports to support proper manufac-
importance of the review of batch production records ture. It most often is not for a contaminated product
(BPRs) and other production and control records into as the term “adulterated product” is frequently misin-
practical and regulatory perspective before discussing terpreted. Both from a regulatory requirement and a
the various facets of the review process. While this ar- practical management of the processes perspective, re-
ticle is aimed at BPRs for drug products and the active cords and reports corroborate that appropriate controls

Autumn 2010 Volume 14 Number 4 71


General

were in place and were followed when a subject product the many activities that support compliant drug prod-
was manufactured. uct manufacturing as well as the direct manufacturing,
packaging, and labeling steps that may be reviewed.
CGMP Requirements Records are the proof of what was done, when it was
Key requirements for production and control records done, and who did it. Laboratory records then provide
are found in Subpart J of 21 CFR Part 211, which is one confirmation that active ingredients are detected in the
of the larger sections of the FDA CGMP regulation (2). correct amounts from samples taken from the produc-
This section contains the following specific sections: tion lot and that the dosage form will deliver the active
• §211.180. General requirements ingredients as designed.
• §211.182. Equipment cleaning and use log Production and control records are among the most
• §211.184. Component, drug product con- reviewed records in any typical regulatory inspection
tainer, closure, and labeling records or audit. This emphasis on the importance of produc-
• §211.186. Master production and control records tion and control records should not be misconstrued as
• §211.188. Batch production and control records justification to omit any of the other required records.
• §211.192. Production record review Each provides the detail required for a complete picture
• §211.194. Laboratory records of the manufacturing process and testing process.
• §211.196. Distribution records
• §211.198. Complaint files. MASTER PRODUCTION RECORD
The master production record (MPR) (requirements
Each of the listed records or group of records fulfills found in 21CFR 211.186) identifies both the sequential
a portion of the overall quality assurance goal. These steps for the manufacturing process along with any pro-
records, in total, identify approved materials, the status cess parameters that must be met. These parameters,
of each component, the cleaning status, and previous often expressed as an acceptable range, are the same as
use of each piece of equipment. Those who manufacture those confirmed during the validation of the process
and package drug products are guided in the execution and, of necessity, are consistent with the regulatory fil-
of each manufacturing step and the recording of data; ing that supports the manufacturing of the product. The
likewise for those who package and label product. Re- MPR is usually the culmination of technology transfer,
sults from samples taken at various points in the process scale-up, successful validation batches, and verification
confirm that the finished product contains the correct that the manufacturing steps align with any regulatory
active ingredient or ingredients in the proper amounts. filings. The Chemistry, Manufacturing, and Controls
When environmental monitoring is required, data are (CMC) section of a New Drug Application (NDA) or an
recorded to verify that the manufacturing area or suite is Abbreviated New Drug Application (ANDA) filed in the
suitable. Balances and scales require metrology records US represents a “promise to make the product in the
for their testing and calibration. Further, records of ver- stated manner.” The implications of any significant de-
ification of balances or scales with known weights be- parture from this master production record should be
fore use is typical industry practice. Even more records self-evident.
may be required for some operations. One can quickly
understand the responsibility for keeping records is an BATCH PRODUCTION RECORD
important one, and the list is extensive for manufactur- Whether called batch record, batch production record
ing drug products. (BPR), production control record, production record,
One is well advised to understand the importance production batch record, or some other term, this docu-
of these various records from a regulatory perspective ment refers to the step-wise procedure that operators
based on the emphasis placed on them in the CGMP or technicians follow to manufacture a drug product.
regulation. Note the length of the section and the level Batch production and control records are described in
of detail provided. Batch production records capture §211.188, as follows: “Batch production and control re-

72   Journal of GXP Compliance


David Jones

cords shall be prepared for each batch of drug product expected results of the process. Each batch has been
produced and shall include complete information relat- manufactured with process controls. The BPR provides
ing to the production and control of each batch” (2). a step-by-step documentation of these manufacturing
Each BPR is a controlled document from the time it is controls. The completed BPR becomes the verification
issued until it can eventually be destroyed. It contains that all critical steps were performed as prescribed and,
the same information as found in the MPR because it when combined with laboratory results, the manufac-
is “an accurate reproduction of the appropriate master turing firm has adequate documentation for batch dis-
production or control record” that has been checked position. The practical need for good documentation
for accuracy, dated, and signed. The record will be ex- parallels the requirements of the CGMP regulation.
ecuted by various operators to “document that each sig-
nificant step in the manufacture, processing, packing, BACKGROUND ON THE REVIEW PROCESS
or holding of the batch was accomplished” (2). These Once the manufacturing or packaging has been com-
include, among other things, the following: pleted and the record has been returned to those in the
• Dates; many firms also require times quality unit that log in such documents, the next task is
• Identity of individual major equip- to review the batch production record for accuracy and
ment and lines used conformance to established documentation standards.
• Specific identification of each batch of com- The author recommends the review of a BPR or packag-
ponent or in-process material used ing record by manufacturing or packaging supervisory
• Weights and measures of components personnel before returning the record to the quality as-
used in the course of processing surance (QA) department.
• In-process and laboratory control results Just as manufacturing and packaging are subject to
• Inspection of the packaging and label- standard operating procedures (SOPs), so should the
ing area before and after use review process. The regulatory requirement for BPR re-
• A statement of the actual yield and a state- view is found in 21CFR 211.192 and states:
ment of the percentage of theoretical yield “All drug product production and control records,
at appropriate phases of processing including those for packaging and labeling, shall be
• Complete labeling control records, includ- reviewed and approved by the quality control unit to
ing specimens or copies of all labeling used determine compliance with all established, approved
• Description of drug product con- written products before a batch is released or distrib-
tainers and closures uted. Any unexplained discrepancy (including a per-
• Any sampling performed centage of theoretical yield exceeding the maximum or
• Identification of the persons perform- minimum percentages established in master production
ing and directly supervising or checking and control records) or the failure of a batch or any of
each significant step in the operation its components to meet any of its specifications shall be
• Any investigation made according to 211.192 thoroughly investigated, whether or not the batch has
• Results of examinations made in already been distributed. The investigation shall extend
accordance with 211.134. to other batches of the same drug product and other
drug products that may have been associated with the
It is noteworthy to emphasize that “control” is at the specific failure or discrepancy. A written record of the
heart of the current good manufacturing regulation and investigation shall be made and shall include the con-
this control extends to every critical step in the manu- clusions and follow up.”
facturing and packaging process. The BPR for each Each batch record is typically specific to the product
batch is an extension of this control because it is not and product strength because of the quantities of the
sufficient to rely solely on laboratory results to release active pharmaceutical ingredients and excipients re-
a product for sale. Laboratory data should confirm the quired. In the case of tablets, the batch record may in-

Autumn 2010 Volume 14 Number 4 73


General

dicate by picture, line drawing, or description the size, of BPRs including any need for corrections. Some firms
shape, color, and any embossing on the tablet. If the allow 30 days from the time the record is received in
tablet is film coated, the lettering on the tablet and its QA. Possible exceptions may be allowed if a deviation is
color may be shown. In the case of oral liquids, prod- cited and must be investigated. Here, too, a reasonable
ucts can be described by color and any flavoring that limit for investigations will ensure that they are closed
may impart a characteristic odor to the product. These in a timely manner.
details will be found in the MPR. The BPR review should be more than a robotic han-
Within the firm’s QA group responsible for reviewing dling of paper or a purely mechanical process of looking
BPRs, three documents are useful in guiding the review for missing or incorrect information. Importantly, does
process: the BPR review SOP, a checklist to ensure com- the BPR tell a complete and correct story for the steps or
pleteness, and a summary of exceptions that may also be processes involved in the BPR?
termed a “corrections sheet.” In some firms, the last two The BPR review SOP may specifically refer to a sepa-
documents may be combined into a single document. rate policy, standard, or another internal SOP that de-
Just as the manufacture of products is guided by pro- fines good documentation practice (GDP) requirements
cedures and the BPR, the review of BPRs should also for the firm. These basic requirements typically include,
be the subject of an SOP. Even though the review of but may not be limited to, the following:
batch records may be less complicated than the manu- • Entries must be legible.
facturing or packaging of drug products, an SOP should • Entries must be in ink (typically ball-
make the process more consistent and the checklist will point and, unless otherwise specified, dark
ensure that critical steps and parameters are reviewed. blue or black ink are good choices).
• Entries must be dated (by page or by entry).
THE BPR REVIEW SOP • Time entries should be consistent with internal
While this SOP does not need to be lengthy, it does need standards (e.g., AM/PM time or 24-hour time).
to emphasize the importance of an accurate and thor- • Entries are typically initialed by the operator
ough review of each BPR. Examples, which are provid- or operators who performed (or observed) the
ed within the SOP, help reviewers understand the scope step. A log of names and initials will be a valu-
and boundaries of their responsibility. The SOP should able resource for reviewers, but a better option is
identify the key steps of the review process. These will to have each person who performs any step on a
include, but are not limited to, the following: subject batch sign the BPR on a signature page.
• Verifying that all pages of the BPR • Calculations, weighing of materials, and addi-
and any required supplemental pages tion of materials to the process must be verified.
or attachments are present The initials and date—and usually time—of the
• Verification of the chronology of events, person who performs the step and the initials
processing and hold times, are evi- and date of the person who observes the step
dent and within prescribed ranges are entered onto the BPR. If data are recorded
• Critical process parameters, specific to automatically, a single signature may suffice.
each subject product, should be reviewed • Corrections, if any, must bear initials
to ensure that time, temperature, pres- and date of correction. An explana-
sure, etc. are within specification tion of the correction is required by many
• Yield at each step in the process has been accu- firms and is a recommended step.
rately calculated and is within specification (3) • Cited attachments are present and legible.
• Good documentation practices (GDPs) have
been followed by those who made entries and This SOP should provide details on when and how
corrections to the BPR or any attachment. a reviewer should inform those who are responsible for
The SOP typically sets a timeline for the completion initiating and investigating deviations if vital informa-

74   Journal of GXP Compliance


David Jones

tion is missing or if a parameter, including yield, is out for BPR review, which should be a controlled doc-
of specification. ument, must be issued by an authorized person in
the quality unit or if it may be printed as needed
THE BPR REVIEW CHECKLIST from an electronic folder whose access is con-
The BPR review checklist highlights the key points that trolled by password or other computer permission.
the BPR review should cover and typically requires the • Relying on established documentation stan-
reviewer to initial each section that has been reviewed. dards, verify that all entries and corrections
These signoffs are particularly useful if the review pro- conform to internal expectations. These
cess is interrupted by a need to obtain clarification or basic requirements were cited earlier.
correction or if a second reviewer is required to com- • A bill of materials (BOM) will indicate what
plete a particular BPR review. components and what quantities are expec-
A specific checklist should be prepared for each type ted for a particular batch against which the
of finished drug product because the manufacture of reviewer will compare entries in the BPR.
tablets, capsules, and oral liquids vary by process and • The yield of product in terms of dosage units
parameters. Products for parenteral administration typi- or in total mass should match the expected
cally require extensive environmental testing and mi- yield within specified limits. These limits are
crobiological testing to confirm sterility. typically absolute and a reviewer should be
Such a checklist, even a specific one, supplements the instructed to cite any values that fall outside
SOP. It is not a replacement for an SOP. For illustration, the specified range. See 21CFR 211.188(b).
the following steps may be found in a generic checklist • The BPR should be signed by an authorized
or review summary that some firms use to document person, typically one who is responsible for
the review of each batch record. These steps are both the manufacturing step. The reviewer should
generic and very basic; such steps should be adapted be able to determine from internal documents
to meet the needs of a particular firm and its products. those who are authorized to sign BPRs.
Some firms create checklists that are specific to a BPR • If any in-process generated charts or data
or process. While this adds the responsibility of creat- are to be included as part of the BPR, verify
ing and maintaining additional checklists, the review is their existence (examples include but are not
enabled by a checklist that identifies critical steps and/ limited to room environment charts, com-
or other relevant parameters for the operation under pression data such as compression force and
review. The following are steps typically found in re- rpm, temperature reading from solutions,
view checklists: cleaning records, maintenance records).
• Enter the name of the product, the product • If any exception is noted in the review
strength (packaging size if applicable), and the of the BPR, initiate steps for correction
batch number on the checklist or review summary. or, if it warrants, verify that an appropri-
• Perform a page count and verify that the pages that ate investigation has been initiated.
are an integral part of the record are present and • If the BPR is for packaging, verify that a sample
in order. Typically, BPR pages are numbered “Page label matches the image of the expected label.
x of xx.” Look also, during the review, for any Label reconciliation must be performed or
additional pages such as copies of logs or added confirmed. Counts of labels are more accu-
pages based on cited needs. While the bare BPR rate than weighing of labels and convert-
will be a copy of the MPR, the BPR and its supple- ing them to an approximate number.
mental pages will likely exceed those of the MPR. • If applicable, the reviewer should indicate on
• Verify that an authorized person properly issued a separate sheet or by electronic entry that
the BPR and that it bears a signature and date of exceptions have been noted and clarifica-
issue. Each firm must determine if the checklist tion is being sought within a firm’s devia-

Autumn 2010 Volume 14 Number 4 75


General

tion reporting and investigation process. sible due to shifts, person on vacation, etc., then the re-
• The BPR checklist or review summary should viewer must inform the person who needs to review the
be signed and dated when completed and then BPR to identify a time this may be done. Corrections to
returned with the BPR to the appropriate secure records compete for the time of operating personnel so
area once the results of the review have been com- it is helpful to be very specific on what the question or
municated to the appropriate personnel, which needed correction is. Partially completed BPRs pose a
is frequently accomplished by updating the sta- logistical and document control challenge. A procedure
tus of a BPR in an electronic tracking system. is needed to describe how and where such records are
to be stored and who is responsible for completion if
CORRECTIONS TO THE BATCH RECORD the reviewer who started the review is not available for
The ultimate goal of batch record review is not merely to completion in a timely manner.
identify exceptions (e.g., mistakes, oversights, illegible There are occasions when vital information is miss-
entries, etc.), but to have the record corrected in a timely ing and cannot be corroborated through electronic or
manner so that it provides accurate documentation of other records. The reviewer then has the responsibility
the steps that comprise the manufacturing or packag- to inform those who are responsible for internal devia-
ing of the cited batch. Batch records may be reviewed tions and investigations. This step should be noted on
for information again in weeks, months, or years after the BPR so that record is complete with a link to the
a subject batch has been manufactured or packaged or investigation. Completion of the BPR review will be
may be identified for review as part of a regulatory in- delayed until the investigation has been completed and
spection. They need to be corrected before being stored. the disposition of the deviation is determined. The re-
Although the importance of BPRs is undisputed, view should be completed and signed even if the batch
there are logistical challenges in the correction process. is to be reworked—if allowed—or destroyed. The BPR
These arise from the need to control the BPR and the and the checklist and corrections sheet should then be
availability of the required personnel to make correc- returned to the QA storage area and the review status
tions. Ideally, all entry mistakes should be identified in updated in the BPR status log or database.
the departmental review before the record is returned
to QA for the quality review. If such a review is con- PERIODIC REVIEW OF THE BPR REVIEWS
ducted, the instructions must be clear that the review is The author suggests periodic supervisory or managerial
to identify any missing information and that entries are reviews within the quality unit to determine that the de-
correct and within established parameters. The author sired consistency is being achieved. A review of correc-
has observed that this review can deteriorate to nothing tions sheets from various reviewers will provide useful
more than a check for blank spaces in the records—a insight into the number of exceptions cited and/or re-
process of limited value. quired corrections, the types of exceptions noted or cor-
Assuming, however, there is a question or required rections sought, and a comparison of the findings by the
correction at the QA review level, the person who made various reviewers. Just as trending production results
the original entry (or failed to make the entry) on the is a useful tool to detect any drift in the manufacturing
BPR meets with the reviewer who identified the ex- process, it is useful to examine the reviews of BPRs to
ception. This question or required correction will be detect drift or other trends that may identify corrective
noted on the “corrections sheet” in sufficient detail to steps that should be taken. If the number of corrections
allow any subsequent person to understand the con- is high, then one must question if manufacturing per-
cern. After discussion, if needed for clarification, the sonnel and BPR reviewers have the same understanding
BPR correction or corrections are made by the opera- of what constitutes accurate and sufficiently complete
tions person and verified by the reviewer. This assumes BPR documentation. If a misunderstanding exists, per-
a departmental supervisory signature or initials are not haps the initial training for manufacturing personnel,
required. When an immediate correction is not pos- quality personnel, or both was not sufficiently detailed.

76   Journal of GXP Compliance


David Jones

Or, is the language in the BPR ambiguous and thus mis- Inconsistency Scenario 2: Drift (Unintentional)
interpreted? The goal is to ensure that manufacturing Closely associated with the first scenario is a phenom-
personnel and reviewers are working toward the same enon we’ll call drift. This scenario may be likened to
goal of good documentation. instruments that are periodically calibrated to ensure
From a slightly different perspective, if the type of ex- that the accuracy of their measurements is reliable. In
ceptions or required corrections is high for a particular this scenario, a well-trained and experienced reviewer
BPR, then the language of that BPR should be carefully has reviewed so many records that they have uninten-
examined. If the language appears to be clear, then the tionally “drifted” from the internal standard. While this
documentation sought should be reviewed with affected reviewer has access to the relevant SOP and checklist for
manufacturing personnel. Is the variation noted pri- record review, those guiding documents are no longer
marily on one shift? Is additional training required? If needed, even though the checklist may be signed. The
the language is ambiguous, perhaps the next step is to review process has taken on a somewhat robotic activity
follow the firm’s change control procedure to modify the during which the mental process is not fully engaged.
SOP followed by retraining. This drift can introduce inconsistency by unfortunately
Finally, is there a discrepancy among individual re- missing critical gaps in data or incorrect entries. Dis-
viewers on the number and types of exceptions noted covery of such drift in the review process can be un-
or corrections sought? This determination can lead to nerving to those in quality management because it is
useful discussion and “fine tuning” to make the review difficult to determine how many record reviews are sus-
process more consistent among all reviewers. pect and potentially unreliable. This inconsistency may
Inconsistency in the review process may include the surface when periodic audits of the reviews conducted
scenarios provided, but this is not complete. Each type by various reviewers show very different findings. The
of inconsistency can be detected through periodic as- feedback to manufacturing can be confusing because
sessment and corrected by supervisory intervention. there is a lack of consistency in the way particular parts
of records are routinely completed.
Inconsistency Scenario 1: Expediency
Versus Accuracy Inconsistency Scenario 3: Overkill
As anyone who has spent time reviewing BPRs can tell While the lack of full attention to the review process is
you, the task is tedious, repetitive, and demanding. Be- one source of consistency, so is the reviewer who goes
cause the steps required to obtain corrections to docu- far beyond the internal standard. In this scenario, the
ments requires additional time and follow-up, a reviewer reviewer insists that every detail, however inconsequen-
may fall into the habit of minimizing the number of cor- tial, be corrected to her/his standard. This may even
rections required on a document as a way to close them include challenging the grammar and spelling of those
faster. This is a dangerous trend because shortcuts tend who have otherwise written a satisfactory comment or
to become habits, and the inconsistency introduced by correction in the record. One will hear justification for
not reviewing all prescribed parts of a BPR or related this overly zealous approach in statements such as, “If
record can leave gaps that should have been addressed. you want me to sign this record, then it must be abso-
Useful feedback to manufacturing may be missed when lutely correct,” or, “I’m just not comfortable with this re-
such shortcuts are routinely taken. When “just getting cord.” Not only does this overkill in the review process
through the record” becomes the goal instead of ensur- consume additional effort on the part of manufacturing
ing that the record provides correct and reliable infor- personnel to make the corrections, it sends an unfortu-
mation about the process, two results are likely. First, nate message to those who make the product. The ac-
the accuracy of the record and the information it pro- ceptability of a record seemingly depends more on who
vides becomes suspect. Second, manufacturing person- reviews the BPR than on how the record was completed.
nel are deprived of the opportunity to learn of mistakes Any inconsistency in the BPR review process challenges
or misunderstanding that could lead to improvement. the reputation of the quality unit and its management

Autumn 2010 Volume 14 Number 4 77


General

because it demonstrates a lack of appropriate oversight ARTICLE ACRONYM LISTING


of its staff. Oversight is one of the key roles of the quality ANDA Abbreviated New Drug Application
unit in most organizations. Quality unit management APIs Active Pharmaceutical Ingredient
must ensure that its personnel also consistently meet BOM Bill of Materials
established standards. BPR Batch Production Record
CGMP Current Good Manufacturing Practice
SUMMARY CMC Chemistry, Manufacturing, and Controls
The types of controls and the records and reports that FDA US Food and Drug Administration
support them for the manufacture of finished drug GDP Good Documentation Practice
products are well defined both in terms of regulatory NDA New Drug Application
requirements and in industry practice. Adequate review QA Quality Assurance
of executed BPRs serves at least two important purpos- SOPs Standard Operating Procedures
es. The process satisfies the regulatory requirement for
such a step, and the process provides useful feedback to ABOUT THE AUTHOR
the functional group responsible for the manufacturing David Jones is an independent consultant who works with pharma-
ceutical clients to improve their document control and their docu-
step. As noted, a high error rate may indicate improper
mentation practices. He has guided teams for the review of batch
training or inadequate supervision, but it may also in- production records and has learned by experience the challenges of
dicate a poorly written procedure. Properly trained re- the BPR review process. Having learned how to make the review
viewers and approvers of BPRs provide a valuable ser- process both effective and efficient, he shares these tips with clients
vice to the quality assurance unit of a manufacturing and readers. David also assists clients by guiding the improvement
of production records to make them more operator-friendly, thus
organization. Their training should include a goal of
reducing errors and deviations, and wherever possible, reducing the
consistency in the review process in addition to accu- size of such records. David can be reached via e-mail cgmpman@
racy and thoroughness; this can best be determined by aol.com or by telephone at 804.350.5410.
periodic supervisory review of the findings of reviewers.

REFERENCES
1. Federal Food, Drug, and Cosmetic Act (the Act) [21 U.S.C. §
331(a)(2)(B).
2. FDA, Code of Federal Regulations, Title 21, Food and Drugs,
Part 211, Current Good Manufacturing Practice for Finished
Pharmaceuticals, 43 Federal Register 45077, Sept. 29, 1978.
3. For a more detailed discussion of what can and should be
learned for yields, see Pluta, Paul L. and Poska, Richard, “GMP
Yield—Considerations Beyond Percent Theoretical Yield,” Jour-
nal of GXP Compliance, Vol. 14, No. 3, pp 76-83, Summer 2010.
GXP

78   Journal of GXP Compliance

Das könnte Ihnen auch gefallen