Escolar Documentos
Profissional Documentos
Cultura Documentos
net/publication/265040471
CITATIONS READS
11 78
4 authors, including:
Pranshu Tangri
GRD Global Education
16 PUBLICATIONS 140 CITATIONS
SEE PROFILE
All content following this page was uploaded by Pranshu Tangri on 22 January 2016.
REVIEW ARTICLE
ABS TRACT
The current objective of this review is to understand the types of validation, its basic concept and applicability in the
pharmaceutical industry. M ethod validation is the process by which it is established that performance characteristics of the
method meet the requirements for the intended analytical applications. M ethods need to be validated or revalidated before their
introduction into routine use. The most compelling reasons to optimize and validate pharmaceutical productions and
supporting processes are quality assurance and cost reduction .the basic principles of quality assurance has as their goal and
the production of articles that are fit for there intended use. These principles are Quality, safety, and effectiveness must be
designed and built in to the product, quality cannot be inspected or tested in the finished products and each step of the
manufacturing process must be controlled to maximiz e the probability that the finished product meets all quality and design
specification. Through this review the authors make an effort to explain the concept of validation and provide an insight to its
importance in the pharmaceutical industry.
Key words: validation, process, analytical, qualification, quality control.
INTRODUCTION
Method validation is the process by which it is established approach, developed for computerized systems, to the
that performance characteristics of the method meet the validation and revalidation of methods. Green 13 gave a
requirements for the intended analytical applications. practical guide for analytical method validation with a
Methods need to be validated or revalidated before their description of a set of min imu m requirements for a
introduction into routine use.1 The International method. Renger and his colleagues 14 described the
Conference on Harmon ization (ICH) of Technical validation of a specific analytical procedure for the
Requirements for the Registration of Pharmaceuticals for analysis of theophylline in a tablet using high performance
Hu man Use2 has developed a text on the validation of thin layer chromatography (HPTLC). The validation
analytical procedures. The United States Food and Drug procedure in that article is based on requirements for
Admin istration (USFDA) have proposed guidelines on European Union mult istate registration. Wegscheider 15
submitting samples and analytical data for methods has published procedures for method validation with
validation 5-7 . The United States Pharmacopoeia (USP) has special focus on calibration, recovery experiments, method
published specific guidelines for method validation for comparison and investigation of ruggedness. The
compound evaluation 8 . The document includes definitions Association of Official Analytical Chemists (AOAC) 16 has
for eight validation characteristics. An extension with developed a Peer-Verified Methods validation program
more detailed with detailed guidelines on what parameters should be
validated. This article gives a review and a strategy for the
Methodology is in preparation and nearly completed 3 . The
validation of analytical methods for both in-house
United States Environmental Protection Agency (US EPA)
developed as well as standard methods and a
prepared a guidance for methods development and
recommendation on the documentation that should be
validation for the Resource Conservation and Recovery
produced during and at the end of method validation.
Act (RCRA)4 . The pharmaceutical industry uses
methodology published in the literature 9,10 . The most Definiti on:
comprehensive document was published as the
•Docu mented evidence that the manufacturing process
„Conference Report of the Washington Conference on
consistently produces product that meets predetermined
Analytical Methods Validation: Bioavailability,
specifications.
Bioequivalence and Pharmacokinetic Studies held in 1990
(sponsored by the American Association of •Manufacturing process validation consists of successfully
Pharmaceutical Scientists, the AOAC and the US FDA, manufacturing at least threefull-scale batches in
among others)10 . The report presents guiding principles for succession, which pass all in -process and product quality
validation of studies in both human and animal subjects attributes.
that may be referred to in developing future formal
VALIDATION PROCESS
guidelines. Representatives of the pharmaceutical and
chemical industry have published papers on the validation The validation process consists of identifying and testing
of analytical methods. Hokanson 11,12 applied the life cycle all aspects of a process that could affect the final test or
© 2011, JDDT. All Rights Reserved ISSN: 2250-1177 CODEN: JDDTAO
Tangri et al Journal of Drug Delivery & Therapeutics; 2012, 2(3): 34-40 35
product. Prior to the testing of a process, the system must This step proceeds after the IQ has been performed. In the
be properly qualified. Qualification includes the following OQ, tests are performed on the critical parameters of
steps: (These steps are common practice for equipment IQ, thesystem/process. These are usually the independent
OQ and PQ).17 and/or manipulated variables associated with the
system/equipment.5-7 All tests data and measurements must
Design qualification (DQ)- Defines the functional be documented in order to set a baseline for the
and operational specification of the instrument, system/equipment. OQ provides documented evidence that
program, or equip ment and details the rationale for
the equipment operates as intended throughout the
choosing the supplier. specified design, operational or approved acceptance range
Installation qualification (IQ) – Demonstrates that the of the equipment, as applicable. In cases where process
process or equipment meets all specifications, is steps are tested, a suitable placebo batch will be used to
installed correctly, and all required components and demonstrate equipment functionality. All new equip ment
documentation needed for continued operation are should be fully commissioned prior to commencing OQ to
installed and in place. ensure that as a minimu m the equipment is safe to operate,
all mechanical assembly and pre-qualification checks have
Operational qualificat ion (OQ) – Demonstrates that been completed, that the equipment is fully functional and
all facets of the process or equipment are operating that documentation is comp lete.13-15
correctly.
Performance Qualificati on (PQ):
Performance qualification (PQ) – Demonstrates that
the process or equipment performs as intended in a This is the third and final phase of validation. This phase
consistent manner over time. tests the ability of the process to perform over long periods
of time within tolerance deemed acceptable. PQ is
Co mponent qualification (CQ) – is a relat ively new performed on the manufacturing process as a whole.
term developed in 2005. This term refers to the Individual co mponents of the system are not tested
manufacturing of au xiliary co mponents to ensure that individually. The purpose of PQ is to provide documented
they are manufactured to the correct design criteria. evidence that the equipment can consistently achieve and
This could include packaging components such as maintain its performance specifications over a prolonged
folding cartons, shipping cases, labels or even phase operating period at a defined operating point to produce a
change material. All of these components must have product of pre-determined quality. The performance
some type of random inspection to ensure that the specification will reference process parameters, in-process
third party manufacturer's process is consistently and product specifications.20-22 PQ requires three product
producing components that are used in the world of batches to meet all acceptance criteria fo r in -process and
GM P at drug or b iologic manufacturer. product testing. For utility systems, PQ requires the utility
TYPES OF VALIDATION med iu m to meet all specifications over a prolonged
sampling period.3-5
Equip ment validation
PROCESS VALIDATION
Process validation
Analytical method validation “Process validation” is establishing documented evidence
Cleaning validat ion whichprovides a high degree of assurance that a specific
process consistentlyproduce a product meeting it‟s
EQUIPMENT VALIDATION predetermined specifications and quality attributes”5,6
Installation Qualificat ion(IQ) Types of Process Validation
Operational Qualificat ion(OQ) o Prospective validation
Performance Qualification(PQ) o Retrospective validation
o Concurrent validation
Installati on Qualification (IQ) o Revalidation
This is the first step in validation. This protocol insures Prospecti ve vali dation:
that the system/equipment and its components areinstalled
correctly and to the original manufacturer‟s specifications. Is defined as the establishment of documented evidence
Calibrat ion of major equipment, accessory equipment, that a system does what it purports to do based on pre-
and/or utilities shouldbe performed in this step as well planned protocol. This validation is usually carried out
prior to the introduction of new drugs and their
IQ provides documented evidence that the equipment or manufacturing process. This approach to validation is
system has been developed, supplied and installed in normally undertaken whenever a new formula, process or
accordance with design drawings, the supplier's facility must be validated before routine pharmaceutical
recommendations and In-house requirements. formulat ion commences.20,21 In Prospective Validation,
Furthermore, IQ ensures that a record of the principal the validation protocol is executed before the process is put
features of the equipment or system, as installed, is into commercial use. During the product development
available and that it is supported by sufficient adequate phase the production process should be broken down into
documentation to enable satisfactory operation, individual steps. Each step should be evaluated on the
maintenance and change control to be imp lemented.18 basis of experience or theoretical considerations to
Operational Qualificati on (OQ) determine the critical parameters that may affect the
© 2011, JDDT. All Rights Reserved ISSN: 2250-1177 CODEN: JDDTAO
Tangri et al Journal of Drug Delivery & Therapeutics; 2012, 2(3): 34-40 36
quality of the finished product. A series of experiments 4. Trim the data by eliminating test results from noncritical
should be designed to determine the crit icality of these processing steps and delete all gratuitous numerical
factors. Each experiment should be planned and informat ion.
documented fully in an authorized protocol. All
5. Subject the resultant data to statistical analysis and
equipment, production environment and the analytical
evaluation.
testing methods to be used should have been fully
validated. Master batch documents can be prepared only 6. Draw conclusions as to the state of control of the
after the critical parameters of the process have been manufacturing process based on the analysis of
identified and machine settings, component specifications retrospective validation data.
and environmental conditions have been determined. It is
7. Issue a report of your findings (documented evidence).
generally considered acceptable that three consecutive
batches/runs within the finally agreed parameters, giving Concurrent vali dati on:
product of the desired quality would constitute a proper
validation of the process. It is a confirmation on the In-process monitoring of critical processing steps and end-
commercial three batches before marketing. Upon product testing of current production can provide
complet ion of the review, reco mmendations should be documented evidence to show that the manufacturing
made on the extent of monitoring and the in-process process is in a state of control. Is similar to prospective,
controls necessary for routine production. These should be except the operating firm will sell the product during the
incorporated into the batch manufacturing and packaging qualification runs, to the public at its market price. 19 This
record or into appropriate standard operating procedures. validation involves in process monitoring of critical
Limits, frequencies and actions to be taken in the event of processing steps and product testing. Retrospective
the limits being exceeded should be specified. It may be validation is only acceptable for well established detailed
possible and acceptable in particular circu mstances for a processes that include operational limits for each critical
manufacturer that uses the same process for several related step of the process and will be inappropriate where there
products to develop a scientifically sound validation plan have been recent changes in the formulat ion of the
for that process rather than different plans for each product product, operating procedures, equipment and facility. The
manufactured by that process. 13,14 source of data for retrospective validation should include
amongst others, batch documents, process control charts,
Retrospecti ve vali dati on: maintenance log books, process capability studies, finished
product test results, including trend analyses, and stability
The retrospective validation option is chosen for
results. For the purpose of retrospective validation studies,
established products whose manufacturing processes are
considered stable and when on the basis of economic it is considered acceptable that data from a minimu m of
ten consecutive batches produced be utilized. When less
considerations alone and resource limitations, prospective
than ten batches are available, it is considered that the data
validation programs cannot be justified. Prior to
undertaking retrospective validation, wherein the are not sufficient to demonstrate retrospectively that the
process is fully under control. In such cases the study
numerical in-process and/or end-product test data of
should be supplemented with data generated with
historic production batches are subjected to statistical
analysis, the equipment, facilit ies and subsystems used in concurrent or prospective validation.7-9
connection with the manufacturing process must be Some of the essential elements for Retrospective
qualified in conformance with CGM P requirements. 14-17 Validation are:
The basis for retrospective validation is stated in 21CFR
211.110(b): “Valid in-process specifications for such • Batches manufactured for a defined period (minimu m of
characteristics shall be consistent with drug product final 10 last consecutive batches).
specifications and shall be derived fro m previous • Nu mber of lots released per year.
acceptable process average and process variability
estimates where possible and determined by the • Batch size/strength/manufacturer/year/period.
application of suitable statistical procedures where • Master manufacturing/packaging documents.
appropriate.” Using either data-based computer systems or
manual methods, retrospective validation may be • Current specifications for active materials/fin ished
conducted in the following manner:18 products.
1. Gather the numerical data fro m the completed batch • List of process deviations, corrective actions and changes
record and include assay values, end-product test results, to manufacturing documents.
and in-process data. • Data for stability testing for several batches.
2. Organize these data in a chronological sequence • Trend analyses including those for quality related
according to batch manufacturing data, using a spreadsheet complaints.
format.
Revali dation:
3. Include data from at least the last 20–30 manufactured
batches for analysis. If the number of batches is less than Almost all GM P texts recommend that whenever there are
20, then include all manufactured batches and commit to significant changes in the facility, equipment or process,
obtain the required number for analysis. revalidation should be carried out. The FDA process
validation guidelines refer to a quality assurance system in
place that requires revalidation whenever there are changes
© 2011, JDDT. All Rights Reserved ISSN: 2250-1177 CODEN: JDDTAO
Tangri et al Journal of Drug Delivery & Therapeutics; 2012, 2(3): 34-40 37
in packaging (assumed to be the primary container-closure Whenever the conditions or method parameters for
system), formu lation, equip ment or processes (mean ing which the method has been validated change (for
not clear) which could impact on product effectiveness or example, an instrument with different characteristics
product characteristics and whenever there are changes in or samples with a different matrix) and the change is
product characteristics. outside the original scope of the method.7
Conditions requiring revalidation study and documentation
are listed as follows:11 Cycle of anal ytical methods
The analytical method validation activity is not a one -
Change in a critical co mponent (usually refers to raw
time study. An analytical method will be developed and
materials).
validated for use to analyze samples during the early
Change or replacement in a critical piece of modular development of an active pharmaceutical ingredient (API)
(capital) equip ment. or drug product. As drug development progresses from
phase 1 to co mmercializat ion, the analytical method will
Change in a facility and/or plant (usually location or follow a similar progression. The final method will be
site). validated for its intended use for the market image drug
Significant (usually order of magn itude) increase or product and transferred to the quality control laboratory for
decrease in batch size the launch of the drug product. However, if there are any
Sequential batches that fail to meet product and changes in the manufacturing process that have the
process specifications. potential to change the analytical profile o f the drug
substance and drug product, this validated method may
Benefits of process validation need to be revalidated to ensure that it is still suitable to
• Increased throughput analyze the API or drug product for its intended purpose.5-8
• Easier maintenance of the equipment 2. Define the applicat ion, purpose and scope of the method
• Imp roved emp loyee awareness of processes 3. Define the perfo rmance parameters and acceptance
criteria
• More rapid automat ion
4. Define validation experiments
ANALYTICAL METHOD VALIDATION:
5. Verify relevant performance characteristics of
There are many reasons for the need to validate analytical equipment
procedures. Among them are regulatory requirements,
good science, and quality control requirements. The Code 6. Qualify materials, e.g. standards and reagents
of Federal Regulations (CFR) 311.165c exp licitly states 7. Perform pre -validation experiments
that “the accuracy, sensitivity, specificity, and
reproducibility of test methods employed by the firm shall 8. Adjust method parameters or/and acceptance criteria if
be established and documented.”Of course, as scientists, necessary
we would want to apply good science to demonstrate that 9. Perfo rm full internal (and external) validation
the analytical method used had demonstrated accuracy, experiments
sensitivity, specifi city, and reproducibility. Finally
management of the quality control unit would definitely 10. Develop SOPs for executing the method in the routine
want to ensure that the analytical methods that the 11. Define criteria for revalidation
department uses to release its products are properly
validated for its intended use so the product will be safe for 12. Define type and frequency of sys tem suitability tests
human use.1-3 and/or analytical quality control (AQC) checks for the
routine
Analytical methods need to be validated, verified, or
revalidated in the fo llo wing instances: 13. Document validation experiments and results in the
validation.
Before in itial use in routine testing
When transferred to another laboratory
REFERENCES
1. Agalloco J. Validation: an unconventional review and 12. US EPA, Guidance for methods development and methods
reinvention, PDA J Pharm Sci Tech, 1995, 49, 175–179. validation for the Resource Conservation and Recovery Act
2. Aleem H, Zhao Y, Lord S, M cCarthy T and Sharratt P. (RCRA) Program, Washington,1995.
Pharmaceutical process validation: an overview, J Proc M ech 13. US FDA Technical Review Guide: Validation of
Eng, 2003, 217, 141-151. Chromatographic M ethods, Center for Drug Evaluation and
3. Lambert J. Validation Guidelines For Pharmaceutical Dosage Research (CDER), Rockville, M D, 1993.
Forms. Health Canada / Health Products and Food Branch 14. US FDA, General principles of validation, Rockville, M D,
Inspectorate, 2004, 7-15. Center for Drug Evaluation and Research (CDER), M ay 1987.
4. Lingnau J. Optimization and Validation of M anufacturing 15. G uidance for Indust ry ; P roces s Validat ion:
Processes, Drug Dev Ind Pharm, 1989, 15, 1029-1046. G eneral P rincip les and P ract ices 2008.
5. Nash R. A. and Wachter A. H. Pharmaceutical Process 16. Robert A .Nash, Alfred H. Wachter, Pharmaceutical Process
Validation An International Third Edition. Revised and Validation, Vol.129, Third Edition, M arcel Dekker, Inc, New
Expanded, M arcel Dekkar, Inc., New York; 2003,129, P. 760- York, 2003.
792. 17. James Agalloco, Frederick J. Carleton, Validation of
6. Ramamurthy, M . and Sarvanakumar, K., The Eastern Pharmaceutical Processes, Third Edition, Informa Healthcare
Pharmacist., 1997, XL, 476, 45-47. USA, Inc., New York, 2008.
7. UK Orange Guide, Guide to Good Pharmaceutical 18. United States Pharmacopoeia and the National Formulary
M anufacturing Practices, 1983, 10. XXIII, 18th ed,. Rockville, M D: The United States
8. Zutshi, R. and Dagar, V, The Eastern Pharmacist., 1991, Pharmacopoeia Convention Inc., 1995, pp 1982 – 1984.
34(401), 37-38. 19. Chapman GM , Amer G, Boyce C, Brower G, Green C, Hall
9. Code of Federal Regulations, 1989, Title 21 part 211.40. WE, Harpaz D, M ullendore B. Proposed Validation Standard
10. International Conference on Harmonization (ICH) of VS1: Non-aseptic Pharmaceutical Processes. J Val Technol
Technical Requirements for the Registration of Pharmaceuticals 2000, 6, 502-20.
for Human Use, Validation of analytical procedures, ICH-Q2A, 20. LeBlane DA. Establishing scientifically justified acceptance
Geneva 1995. criteria for cleaning validation of finished drug product. Pharm
11. International Conference on Harmonization (ICH) of Technol, 1998, 23(10), 136-48.
Technical Requirements for the Registration of Pharmaceuticals 21. WHO Expert Committee on Specifications for
for Human Use, Validation of analytical procedures: Pharmaceutical Preparations, 34th Report. WHO Technical
M ethodology, ICH-Q2B, Geneva 1996. Report Series no. 863, Annex 6, Geneva: WHO, 1966, P. 80-96.