GAMP 5 as a Suitable Framework for Validation of Electronic Document Management Systems On Premise and 'In the Cloud' Keith Williams CEO GxPi

Transcription

1 GAMP 5 as a Suitable Framework for Validation of Electronic Document Management Systems On Premise and 'In the Cloud' Keith Williams CEO GxPi

2 Disclaimer The views and opinions expressed in the following PowerPoint slides are those of the individual presenter and should not be attributed to Drug Information Association, Inc. ( DIA ), its directors, officers, employees, volunteers, members, chapters, councils, Special Interest Area Communities or affiliates, or any organization with which the presenter is employed or affiliated. These PowerPoint slides are the intellectual property of the individual presenter and are protected under the copyright laws of the United States of America and other countries. Used by permission. All rights reserved. Drug Information Association, DIA and DIA logo are registered trademarks or trademarks of Drug Information Association Inc. All other trademarks are the property of their respective owners. Drug Information Association 2

3 History and evolution of GAMP Group founded in 1991 in the UK from life sciences manufacturing (not called GAMP ) First GAMP (Good Automated Manufacturing Practice) guide published in 1994 Partnered with ISPE (International Society for Pharmaceutical Engineering) in 1994 GAMP 4 (2001) included a lot of detail in terms of checklists, templates, proposed V model etc. Replaced by a Quality Risk Management approach in GAMP 5 (2008) plus IT related best practice guides ( ) It s a guideline, not a Regulation, but still widely followed Drug Information Association 3

4 Context Trend of EDMS over the last Years- Matching the Evolution of GAMP 1994 Mostly In-house developed EDMS or bespoke by supplier (OP) 2002 Validation approaches have had to adapt to this change as more of the activities transfer to Outsourcing companies (OP= On-Premise ; Hosted may = Cloud) Configured EDMS on platforms- still some development (OP) 2010 COTS or Preconfigured (OP and Hosted EDMS) Drug Information Association 4

5 Can you Use GAMP 5 for Validation of an EDMS for On Premise and Hosted in the Cloud deployment? In short, Yes it is suitable (otherwise this would be a short talk). It is a framework designed to ensure that computerised systems are fit for purpose and compliant with current regulatory requirements BUT It should be employed as part of, and alongside your Validation Master Plan (VMP) A specific Validation Plan (VP) should be produced for each GxP regulated system VP should focus on aspects related to patient safety, product quality and data integrity You need to have a deep understanding of the underlying technologies that are being employed in the Hosting of the Infrastructure, Platforms and Software applications You should leverage as much of the Suppliers expertise, testing and documentation as possible (see examples later) Drug Information Association 5

6 Why is GAMP 5 useful now? Drug Information Association 6

7 Click to edit Master title style RISK ASSESSMENT AND OVERVIEW OF TOOLS Drug Information Association 7

8 How can a risk based approach cut costs? High Level Risk Assessment do you need to validate at all? Functional Risk Assessment where should you focus your efforts in terms of documentation and testing? Drug Information Association 8

9 Assessment- do you have a GxP Critical system? Drug Information Association 9

10 GAMP 5 Risk based approach at a functional level Drug Information Association 10

11 What does GAMP 5 suggest? Clear separation of Regulated Company and Supplier Responsibilities Advice on managing the interface with suppliers, including assessments / audits Full proposed set of documents, including templates Acknowledges differences between Information Systems and computer-controlled equipment. Application of a Risk-based approach Categorisation of Software or Components Emphasis on the Validation Plan and Validation Report The end-result should be not just be an auditable set of documents, but hopefully a computer system that does what it is meant to do! Drug Information Association 11

12 Click to edit Master title style VALIDATION OF AN EDMS ON-PREMISE VS CLOUD Drug Information Association 12

13 GAMP 5 Compliance by adopting a life cycle approach to Computerised Systems Drug Information Association 13

14 The Main Components of an EDMS that need to be managed Platform Hardware (Servers and clients) Server Software (Platform and Application) Client Software EDMS Processes (Process Owner) EDMS Community (People, SME, System Owner- may also be Process Owner) Drug Information Association 14

15 Some definitions of Cloud and Hosting (outsourcing) Cloud Computing -SaaS, Paas, Iaas, Cloud computing is a model for enabling ubiquitous, convenient, ondemand network access to a shared pool of configurable computing resources (e.g. networks, servers, storage, applications, and services) that can be rapidly provisioned and released with minimal management effort or service provider interaction. Software as a Service (SaaS). The capability provided to the consumer is to use the provider s applications running on a cloud infrastructure Platform as a Service (PaaS). The capability provided to the consumer is to deploy onto the cloud infrastructure consumer-created or acquired applications created using programming languages, libraries, services, and tools supported by the provider. Infrastructure as a Service (IaaS). The capability provided to the consumer is to provision processing, storage, networks, and other fundamental computing resources where the consumer is able to deploy and run arbitrary software, which can include operating systems and applications Drug Information Association 15

16 Some further definitions of Cloud and Hosting (outsourcing) Cloud-, Private, Public, Community, and Hybrid Private cloud: The cloud infrastructure is provisioned for exclusive use by a single organization comprising multiple consumers (e.g., business units). It may be owned, managed, and operated by the organization, a third party, or some combination of them, and it may exist on or off premises. Public cloud: The cloud infrastructure is provisioned for open use by the general public. It may be owned, managed, and operated by a business, academic, or government organization, or some combination of them. It exists on the premises of the cloud provider. Community cloud: The cloud infrastructure is provisioned for exclusive use by a specific community of consumers from organizations that have shared concerns (e.g., mission, security requirements, policy, and compliance considerations). It may be owned, managed, and operated by one or more of the organizations in the community, a third party, or some combination of them, and it may exist on or off premises. Hybrid cloud: The cloud infrastructure is a composition of two or more distinct cloud infrastructures (private, community, or public) that remain unique entities, but are bound together by standardized or proprietary technology that enables data and application portability (e.g., cloud bursting for load balancing between clouds). Drug Information Association 16

17 GAMP 5 Categories and what to do Infrastructure and OS are treated as GAMP Category 1 whether On Premise or Hosted The EDMS will be 3 if it is Pre-configured and deployed without any major changes (not likely) The EDMS will be 4 if it is configured Category 5 we won t cover here but your Software Application provider should have validated their core product to this Drug Information Association 17

18 Service and Deployment models for On Premise and Hosted and who controls and manages them Hybrid Clouds can be combinations of On-premise, Private or Public Drug Information Association 18

19 Example Component Categorisation for EDMS Cloud Implementation Service Components GAMP Category What to do? Who? IaaS Hardware, Internet Connectivity, Power, Servers, Storage and RAM, VMWare, Hyper-V 1 Qualify and manage infrastructure. Audit procedures. Infrastructure Vendor (IV). Application Vendor(AV) or Sponsor. PaaS O/S, Windows Server, SharePoint and SQL 1 Qualify the stack. Manage / control ongoing changes. Audit procedures. Platform Vendor (PV) PV. AV or Sponsor SaaS e.g. Hosted EDMS 4 Validate the hosted application. URS and UAT AV Sponsor Drug Information Association 19

20 All the areas below will have difference between On- Premise and Hosted implementation For EDMS Projects, the supplier involvement varies with On-Premise or Hosted Variations in these areas Drug Information Association 20

21 On Premise qualification and validation management Regulated Company handles everything in-house Owns and manages corporate IT infrastructure, relying on in-house IT department Sets up and qualifies separate machines / platforms / environments for informal development, formal testing and for live use Audits the software supplier Validates the application / system Drug Information Association 21

22 Hosted Cloud qualification and validation management Regulated company uses private/public cloud-based Software as a Service for submissible or inspectable data Allows IaaS provider to manage infrastructure flexibly, adjusting capacity and even location, as needed Relies on SaaS provider s validation documentation and testing of functionality Carries out minimal validation of software configuration to meet basic user requirements Carries out audits of service providers Drug Information Association 22

23 Click to edit Master title style EXAMPLE OF CATEGORY 4 EDMS QUALIFICATION Drug Information Association 23

24 Area examined for a CAT4 EDMS example EDMS Projects, the supplier involvement varies with On-Premise or Hosted Variations EDMS CAT 4 DETAILED PLAN EXAMPLE Drug Information Association 24

25 Category 4- Configuration of the EDMS Drug Information Association 25

26 EDMS Cat 4: Project Activities, Deliverables and Responsibilities Regulated Company and Supplier Drug Information Association 26

27 How could this breakdown into activities for a multisupplier Cloud delivery? Activities: Validation Plan & Report Organisations: User Requirements & Acceptance Testing Functional & Design Documentation Installation Qualification Regulated Company Software Developer SaaS Provider IaaS Provider Incident Management Infrastructure Qualification Operational Change Control Periodic Review Note: Can use separate matrices for Project activities and Ongoing Service Drug Information Association 27

28 Summary of Compliance Risk Management in the Cloud You can t mitigate risks unless: You know what you are managing You know what the risks are Biggest problems with Cloud are: Lack of understanding of what the Cloud is (and is not!) and to what the consistent terms are that apply to your company by Quality AND IT staff Lack of understanding of the enabling technologies, how they work and interactions between them and other applications Suppliers Sell Cloud services: Without understanding what the regulated company needs and where the risk is Without defining responsibilities Without appreciating and the cost of compliance the Life Science company requires *this is not unique to Cloud suppliers, this is general outsourcing and Supplier management misunderstanding, usually after the contracts have been signed by procurement and variations occur Drug Information Association 28

29 Click to edit Master title style SOME PRACTICAL EXAMPLES Drug Information Association 29

30 Example 1 Small Pharma Company (500 users) using on-premise EDMS software for document management. Company keen to minimise IT costs so they set up their server farm as virtual machines. Software supplier contractually responsible for software Change Management, including regression testing. Software supplier using IaaS provider to host virtual test environments, as part of the support provided.

31 Example 1: Lessons Learned Traditional On-premise model project went to plan on time and budget BUT; the capability to rapidly set-up an identical qualified test environment greatly speeded up the testing of an unrepeatable fault, the fix and then release of controlled changes Good support from a specialised IaaS provider, keen to explore ways of supporting Pharma clients Qualification of new virtual environments can also be greatly speeded up, via use of executable scripts to install the relevant files and to confirm that the installation meets specifications

32 Example 2 New virtual Pharma company using hosted SaaS for electronic document management. The Software Product is highly configurable (as distinct from customisable) to meet client business requirements Specialised software application / SaaS provider with auditable development documentation ready for Pharma clients. Extensive auditing carried out by Pharma Companyleveraged the document set and experince of the supplier Separate IaaS provider used for actual hosting, audited by the SaaS provider

33 Example 2 : Lessons Learned Niche service providers do understand needs of Pharma Clients, and expect to be audited hard as part of supplier selection SaaS provider can take on responsibility to audit and manage the IaaS provider, including Infrastructure and Installation Qualification and that can be audited by Pharma Company. Suppliers need to be pragmatic when faced with multiple opinions on compliance details from different clientsmake sure that they have a robust but cost effective system Configuration of the application needs to be managed carefully by the SaaS provider, with maximum input from actual users

34 Click to edit Master title style WHAT THE REGULATORS HAVE SAID ABOUT CLOUD USAGE THIS YEAR Drug Information Association 34

35 What are regulators interested in when they discover IT is in the Cloud? That the Integrity of the Data is assured Risks have been clearly identified & mitigated Client/Provider Contracts cover off key elements Supplier Quality Systems are adequate QMS, validation, change control, training Cybersecurity has been tested (ethical hacking?) Data Backup/Recovery processes are robust and fit for requirements Evidence of Audits of Providers by FDA/ other Clients Drug Information Association 35

36 SUMMARY GAMP 5 is widely used and referenced in our Industry It can help both Suppliers and Users of EDMS It can be applied to both on-premise and hosted environments I would advocate closer ties with DIA and ISPE so experiences and guidance can be shared and knowledge built Drug Information Association 36

37 Thanks for material and thoughts contributing to this presentation go to: Phil Harrison of GXPi Thana Subramanian of GE Randy Perez of Novartis (and Chair of ISPE) David Stokes of Business Decision ISPE for use of GAMP material Fujitsu Drug Information Association 37

38 Thanks for listening!! Keith Williams ) Drug Information Association 38

39 Click to edit Master title style REFERENCE MATERIAL Drug Information Association 39

40 Other Resources- Best Practice Guides Operation of GxP Computerized Systems (2010) Regulators usually focus on the integrity, consistency, and completeness of controls required to maintain compliance. Highlights the importance of the operation phase of the system lifecycle When the return on investment for the significant time and resource expended in implementing new computerized systems can be achieved. IT Infrastructure Control & Compliance Guide The validated status of EDMS applications that are dependent upon an underlying IT Infrastructure Being updated for Cloud elements ID and assessment of components Qualification Maintenance of the Qualified State Drug Information Association 40

41 Other Resources- Best Practice Guides Testing of GxP Systems (2012) Very Process and prescriptive Driven (around 200 pages) Helps maximize testing efficiency without compromising the quality of GxP Systems focusing testing on areas that have the greatest impact has been recently expanded and updated and reflects ICH Q8, Q9, and Q10 contains new information on Cloud computing Global Information Systems Control & Compliance (2005) Project Management on multiple geographic site Computer system projects Validation and Implementation approaches Global System management of Change Control Record retention Drug Information Association 41

42 Useful References GAMP 5: NIST: ICH: Annex 11: 21CFR Part11: GAMP Community of Practice: Drug Information Association 42

43 How Risk Management ICH maps to GAMP 5 Drug Information Association 43

44 The Advantages of using GAMP 5 Has had a lot of thought gone into it in a pragmatic way Is process driven and risk based so you can use the framework to do as much or as little as you see fit Gives you the latitude to do what is necessary for your business and allocate appropriate resource Establishes a common language and terminology (BUT see Cloud terms for further confusion) Has been harmonised where possible with other standards such as ICH Q8, Q9 and Q10 and various ISO standards Is designed to be compatible with other computer and software models and methods like ITIL, RUP etc. The validation of a computerised system to achieve and maintain GxP compliance throughout the lifecycle of that system It clarifies scalability of and central role of Quality Risk Management in a sensible justifiable approach to what you do (but document it!!) Drug Information Association 44

45 The Disadvantages of using GAMP 5 May not fit well to your existing Quality process Comes from a Manufacturing/Production bias So there may be a feeling of it doesn t apply to me Terminology and nomenclature may be different Less prescriptive than previous GAMP iterations The risk based approach requires complete product, process and technology understanding This in turn means you have to understand deeply the technologies being employed and their quality impact, and/or employ or pay for Subject Matter Experts (SMEs) For Hosting situations, you will require (and may have to educate) your Supplier to manage their QMS and activities in a way commensurate with GAMP (see next slide) Cost- perceived and otherwise, but mostly getting everyone on the same page and with agreed nomenclature Drug Information Association 45

46 Just a reflection on why we bother to validate? Minimise the risk that something goes wrong with the end customer s health and safety Keep the regulators confident in your business and prevent them issuing restrictions and actions against you (note: they require to see documented evidence in Human Readable format) BUT Cost of compliance adds to cost of doing things and ultimately cost of goods (which we want to reduce) Computer System Validation (and GAMP ) was traditionally associated with extra workload and greatly increased costs of compliance Drug Information Association 46

47 Challenges of imposing GAMP 5 on Suppliers of Hosted Services for the Life Sciences sector Change control: Sometimes even minor software tweaks or patching, whether necessary or not, can cause major breakdown. The rigour of change management, impact assessment and testing adds to the work burden and short term cost (and is one that the supplier may not be used to) QMS: Infrastructure suppliers may prefer not to work within the confines of specifications and procedures developed by others (Pharma Sector). If you are going to rely on suppliers, they may not want to bear the cost of implementing a formal QMS that will tick all of your requirements, especially the cloud providers who have many other customers Documentation: Effective documentation management is fundamental to demonstrate compliance, again suppliers may not be able to manage this, or their training records, auditing of their suppliers etc. Drug Information Association 47

48 Some things to look for in a Supplier to ease the implementation of a Cloud EDMS Minimum Documents and schematics that are understandable by the non-expert They manage change in an acceptable manner They have clear contracts and allocation of responsibilities They have been audited by other regulated companies They audit their suppliers Suitable test scripts for their environment to prove security and data integrity Ideally They have detailed experience of the compliance needs of the Life Sciences industry and tools to aid and ensure that compliance is achieved efficiently They have validation documents of a suitable quality that allows you to leverage, using risk-based approach to reduce your validation effort They can clearly communicate and educate complex technology environments to your team so they can understand the operation and design elements They have been audited by other Life Sciences companies They have a robust and suitable QMS that matches Life Sciences industry expectations They have adequate Subject Matter Experts that span IT technical and compliance Drug Information Association 48