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Guidance for Sponsors: Lot Release Program for Schedule D (Biologic) Drugs (PDF Version, 138 kb)
Date: 2005-06-01
Published by authority of the Minister of Health
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Catalogue No. E
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Guidance documents are meant to provide assistance to industry and health care professionals on how to comply with the policies and governing statutes and regulations. They also serve to provide review and compliance guidance to staff, thereby ensuring that mandates are implemented in a fair, consistent and effective manner.
Guidance documents are administrative instruments not having force of law and, as such, allow for flexibility in approach. Alternate approaches to the principles and practices described in this document may be acceptable provided they are supported by adequate scientific justification. Alternate approaches should be discussed in advance with the relevant program area to avoid the possible finding that applicable statutory or regulatory requirements have not been met.
As a corollary to the above, it is equally important to note that Health Canada reserves the right to request information or material, or define conditions not specifically described in this guidance, in order to allow the Department to adequately assess the safety, efficacy or quality of a therapeutic product. Health Canada is committed to ensuring that such requests are justifiable and that decisions are clearly documented.
This document should be read in conjunction with the accompanying notice and the relevant sections of other applicable guidances.
The purpose of this document is to outline the Lot Release Program for Schedule D (biologic) drugs and the extent of the review and testing of biologic drugs prior to their release for sale in Canada by the Biologics and Genetic Therapies Directorate (BGTD).
Each lot of a Schedule D (biologic) drug is subject to the Lot Release Program before saleFootnote 1 in Canada. The risk-based Lot Release Program covers both pre- and post-market stages. The Lot Release Program derives its legislative authority from section C.04.015 of the Food and Drug RegulationsFootnote 2. Products are assigned to one of four Evaluation Groups, with each group having different levels of regulatory oversight (testing and/or protocol review) based on the degree of risk associated with the product. The graduated risk-based approach to testing and oversight allows BGTD to focus ongoing testing on products for which enhanced surveillance is indicated such as vaccines and blood products. The criteria used to determine the appropriate Evaluation Group include, but are not limited to, the nature of the product, the target population, the lot testing history in BGTD, and the manufacturer's production and testing history.
In general, the outcome of testing and/or protocol review is communicated to the manufacturer via a Release Letter prior to the product's release for sale in Canada. In certain situations, a Fax-back process is used. A Fax-back form (Appendix I) which is submitted by the manufacturerFootnote 3 attests that all specifications have been met; receipt is acknowledged by Fax-back within 48 hours.
1.3.1 This guidance document is applicable to all Schedule D (biologic) drugs regulated by BGTD.
1.3.2 In this guidance document, "shall" is used to express a requirement, i.e., a provision that the user is obliged to satisfy in order to comply with the regulatory requirements; "should" is used to express a recommendation or that which is advised but not required; and "may" is used to express an option or that which is permissible within the limits of the guidance document.
All products under review as a Clinical Trial Application (CTA), or New Drug Submission (NDS), and in some cases a Supplementary New Drug Submission (S/NDS), are assigned to Evaluation Group 1 during the review period. Group 1 has two distinct sub-groups.
This Evaluation Group consists of clinical trial materials associated with authorized CTAs. Sponsors are required to complete and file a Fax-back form (Appendix IA) and await a signed response from BGTD prior to use of the clinical trial material. For prophylactic vaccines, BGTD issues a formal release letter for use of the vaccine lot in the clinical trial; the protocol of tests and usually samples are required to be submitted to BGTD.
2.1.2 Group 1B: Consistency Testing
This Evaluation Group is intended for consistency samples associated with an NDS or S/NDS. Generally, samples from 3 to 5 consecutively manufactured lots are tested by BGTD to ensure consistency of the manufacturing process. Upon request, consistency lots may be released for sale in Canada once an NOC is issued; a formal release letter is required from BGTD.
Evaluation Groups 2 to 4 apply to biologic products for which an NOC has been issued.
Products requiring the highest level of assessment after issuance of an NOC are assigned to this Evaluation Group. Products in this group are subjected to Targeted Testing (Appendix II). A formal Release Letter which approves the sale of the lot in Canada is required from BGTD before each lot is sold. The targeted timeframe for products in this Group to be released is 6 weeks after receipt of all required information and samples. The timeframe for some products, such as those with long bioassays, may be longer. Expedited release may be granted in exceptional cases and upon appropriate justification (such as product shortage in Canada).
Products requiring a moderate level of assessment after issuance of an NOC are assigned to this Evaluation Group. A formal Release Letter which approves the sale of the lot in Canada is required from BGTD before each lot is sold. For products in this Group, BGTD reviews testing protocols but samples are not routinely submitted by the manufacturer for Targeted Testing. Instead, at the discretion of BGTD, samples may be requested for Periodic Testing (Appendix III). The targeted timeframe for products in this Group to be released for sale is two weeks from the date that all required information is received.
Products in this Evaluation Group do not undergo sample testing or protocol review by BGTD. When a Schedule D (biologic) drug has been assigned to Evaluation Group 4, the manufacturer of that drug is required to notify BGTD via Fax-back (Appendix I) when a lot is to be sold in Canada. A Release Letter is not required prior to sale. At the discretion of BGTD, products in Evaluation Group 4 may also be subjected to Periodic Testing (Appendix III).
The factors considered when assigning products to Evaluation Groups are outlined in sections 3.1 to 3.6.
The degree of oversight to which a Schedule D (biologic) drug is subjected to during Lot Release is associated with its indication and risk/benefit assessment. Considerations include the following:
All Schedule D (biologic) drugs are assessed as to their nature, which is a consideration for Evaluation Group assignment. Considerations in evaluating the nature of the product include the following:
Consistency of manufacturing and the ability to consistently produce a drug without reworking is a consideration in the assignment of products to Evaluation Groups.
Information on the incidence of lot failures and severity of cause of aborting a lot during production contributes to the assignment of a product to an Evaluation Group.
Changes in the incidence and extent of reprocessing are an indication of the degree of control in the manufacturing process and contributes to the information used for the assignment of products to Evaluation Groups.
Quality and safety issues found during On-Site Evaluations and other inspections contribute to the assignment of products to the Evaluation Groups.
The test results submitted by or for the manufacturer, as well as test results obtained by BGTD are also part of the considerations used in assigning products to an Evaluation Group. Additional data may be derived from test protocol review during inspection and the exchange of inspection reports through Mutual Recognition Agreements (MRA), and other sources. In addition to actual test results, the rate of re-test due to test failures and invalid tests is also considered.
Information from adverse drug reaction reports, product complaints, product recalls, and withdrawals contribute to the post-market safety profile of the drug product. This information is also used in the assignment of products to Evaluation Groups.
The initial assignment of a product to an Evaluation Group upon receiving approval is at the discretion of BGTD, taking into account considerations outlined in Section 3. Usually, with the exception of vaccines which may remain in Evaluation Group 2 indefinitely, products assigned to Evaluation Group 2 remain in that group for a period of one year, or until such time as five lots have been tested and released, whichever is longest. Following the one year or period where five lots have been tested satisfactorily, the product may be re-assigned into Evaluation Group 3 or 4 providing there have been consistent and reliable testing outcomes observed while in Group 2 and that there have been no changes in the manufacturing process that may have an impact on the quality of the drug.
Products that are produced from well controlled raw materials through reliable and consistent processes, and that can be readily assessed with respect to identity, purity and potency through reliable test protocols may be assigned to Evaluation Group 4 at the time of approval.
Movement through the Evaluation Groups may be bi-directional. For example, quality issues detected by Periodic Testing during Evaluation Groups 3 and 4 may result in product re-assignment to Group 2 or 3 until such time that sufficient evidence to support re-assignment of the product is available. Information obtained during routine inspections or from other sources may also affect the Evaluation Group assignment.
Re-assignment of a product to a different Evaluation Group occurs in one of two ways:
Under section C.04.015Footnote 1 of the Food and Drug Regulations, the manufacturer shall provide information supporting Lot Release. A summary of the information requirements for the different Evaluation Groups is provided in Appendix IV.
Manufacturers of Schedule D (biologic) drugs in Evaluation Groups 2, 3, and 4 shall provide, under section C.01.014.5Footnote 4, C08.007Footnote 5 and/or C.08.008 of the Food and Drug Regulations, information annually to Health Canada (BGTD). For the Lot Release Program, a Yearly Biologic Product Report (YBPR) is required (See section 5.1). Information from the YBPR may be used to verify the consistency of the process, to assess the on-going safety and quality of the product, and to highlight any trends. The information may also be part of the consideration of re-assignment of a product into a different Evaluation Group.
5.1.1.5 Analysis of Adverse Drug Reaction Reports (Canadian and International) received by the manufacturer attributable to product quality
5.1.1.6 All product recalls including the reason for the recall and a summary of any corrective actions taken
5.1.1.7 If changes affecting the CPID have been made, an updated CPID (annotated and non-annotated, hard copy and electronic) is to be provided with the YBPR
5.1.2 Submission of Yearly Biologic Product Report
A report prepared for another competent regulatory authority that contains the information outlined in sections 5.1.1.1 to 5.1.1.7 may be updated with Canadian-specific information and submitted as the YBPR.
The YBPR should be submitted as an Addendum to the Annual Drug Notification Report no later than October of each year.
Alternatively, the date of first submission may be negotiated with BGTD, after which subsequent reports will be submitted every 12 months to the Regulatory Affairs Division (RAD).
For Schedule D (biologic) drugs containing human-derived excipients (HDE), the sponsor shall maintain a traceable link between the drug product and the lot number(s) of the HDE used for the drug product lotFootnote 6.
The lot number, manufacturer, and other pertinent HDE information must be provided as part of the documentation for the lot for release of products in Evaluation Groups 2 and 3, or via a Fax-back form at time of sale in Canada for products in Evaluation Group 4.
Products in Evaluation Group 1A formulated with HDE must be supported by CTA Fax-back forms.
All HDE used as excipients must meet the regulatory requirements for approval of HDEs as specified by BGTD. Any changes to the manufacturing of HDEs should be appropriately filed to BGTD.
Upon the assignment of a product into an Evaluation Group, manufacturers may appeal the grouping of their product in writing to the Director of CBE or CERB. BGTD will target 60 calendar days to assess the submitted information and provide a written response to the manufacturer. Similarly, requests for re-assignment to another Evaluation Group should be directed to the Director of CBE or CERB.
This Guidance document is effective as of June 1, 2005.
The requirements for sponsors to submit YBPRs and to notify BGTD via Fax-back for all Group 4 products become effective June 1, 2006. Until then, the Fax-back process for Group 4 products will continue to apply only to those products that contain HDE.
If you have any questions or require information regarding this guidance, contact:
Regulatory Affairs DivisionDate Received:
Tracking #:
This certifies that, all release tests for the above Drug Substance and Drug Product lot(s) have been completed as outlined in the above submission; the source and testing of any associated human-derived excipients are consistent with the approved submission; and (check one box only),
If you do not receive all pages or this transmission is not clear please contact (613) 957-1722.
Rev. 1 Rev. Date: March 18, 2005
Effective Date: June 1, 2005
Fax-Back Form - Group 4 Products Containing Human-derived Excipients - Fax Completed Form To Regulatory Affairs Division
Fax: (613) 941-1708
This certifies that the source and testing of the human-derived excipient identified above, and associated with the drug product lot identified above, is consistent with the approved submission for the drug product and/or with subsequent agreements made with the Centre for Biologics Evaluation (CBE) or the Centre for Evaluation of Radiopharmaceuticals and Biotherapeutics (CERB)
If you do not receive all pages or this transmission is not clear please contact (613) 957-1722.
Rev. 1 Rev. Date: March 18, 2005
Effective Date: June 1, 2005
This certifies that the source and testing of the human-derived excipient identified above, and associated with the drug product lot identified above, is consistent with the approved submission for the drug product and/or with subsequent agreements made with the Centre for Biologics Evaluation (CBE) or the Centre for Evaluation of Radiopharmaceuticals and Biotherapeutics (CERB)
If you do not receive all pages or this transmission is not clear please contact (613) 957-1722.
Rev. 1 Rev. Date: March 18, 2005
Effective Date: June 1, 2006
Targeted testing specifies a combination of one or more assays, applied to all lots, for a particular biologic product. It may include a subset of tests ranging from one (1) to the complete set of assays proposed by the manufacturer in the submission of a CTA, NDS, or S/NDS. Routine lot release testing may be restricted to those critical assays in which failure to meet approved specifications may reflect product quality or safety. Certificates of Analyses are also reviewed. The targeted timeframe for products in this Group to be released is 6 weeks after receipt of all required information and samples. Certain products with lengthy bioassays may take longer.
The targeted testing regime developed for Group 2 products is based on:
For products that require lengthy release tests (e.g. animal testing), concurrent testing by BGTD and the manufacturer will be considered. In the case of concurrent testing, prompt notification of any testing failures must be provided to BGTD.
Products in Evaluation Groups 3 and 4 are subject to Periodic Testing. Lot samples may be requested by BGTD for Periodic Testing to confirm that the product meets specifications. Lot samples are selected based on production history, inspection history, testing history and other related factors.
If lot samples have been requested by BGTD for Periodic Testing, the targeted timeframe for release is 6 weeks from the date that all required information is received.
Members of the Working Group who contributed to the original Draft Lot Release Guidance:
Tara Bower, Jacquie Fildes, Sylvia Frenette, Brenda Moffitt, Sharon Mullin, Jean Peart, Mary Podnar (lead), and Walter Yarosh.
"Sell" includes offer for sale, expose for sale, have in possession for sale and distribute, whether or not the distribution is made for consideration.
C.04.015 On written request from the Director, every fabricator, packager/ labeller, tester, distributor referred to in paragraph C.01A.003(b) and importer of a drug shall submit protocols of tests together with samples of any lot of the drug before it is sold, and no person shall sell any lot of that drug if the protocol or sample fails to meet the requirements of these Regulations C.01A.003 b) a distributor of a drug for which that distributor holds the drug identification number.
"Manufacturer" refers to the person in Canada responsible for the sale of the drug which may include, but is not limited to, the establishment licence holder, fabricator, DIN holder, and/or distributor of a drug for which that distributor holds the DIN.
Every manufacturer of a drug shall, annually before the first day of October and in a form authorized by the Director, furnish the Director with a notification signed by the manufacturer or by a person authorized to sign on his behalf, confirming that all the information previously supplied by the manufacturer with respect to that drug is correct.
Where a manufacturer has received a notice of compliance issued in respect of a New Drug Submission or Abbreviated New Drug Submission or a supplement to either submission, the manufacturer shall establish and maintain records, in a manner that enables an audit to be made, respecting
Interpretation 11 of regulations C.02.011 and C.02.012 as outlined in the GMP Annex for Schedule D drugs, Part 1, indicates that "Batch records must document all biological starting materials and in-process materials used, in addition to all relevant test results."