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Process Analytical Process Analytical Technologies Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services, In

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Page 1: Process Analytical Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services,

Process Analytical Process Analytical TechnologiesTechnologies

Process and Method

Validation

February 2002 FDA Subcommittee

Meeting

Leon Lachman, Ph.D.PresidentLachman Consultant Services, Inc.

Page 2: Process Analytical Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services,

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ValidationValidation

“Establishing documented evidence which provides a high degree of assurance that a specific process will consistently produce a product meeting its pre-determined specifications and quality attributes.”

Page 3: Process Analytical Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services,

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Qualification / Validation of Qualification / Validation of Pharmaceutical ProcessesPharmaceutical Processes

IQ and OQ and Calibrations need to be performed prior to use of

equipment for process validation.

Page 4: Process Analytical Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services,

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European Agency Guidance European Agency Guidance for Process Validationfor Process Validation

• Validation is the act of demonstrating and documenting that a procedure operates effectively.

• Process validation is the means of ensuring and providing documentary evidence that processes (within their specified design parameters) are capable of consistently producing a finished product of the required quality.

Page 5: Process Analytical Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services,

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European Agency Guidance European Agency Guidance for Process Validationfor Process Validation

• Change Control: Clearly defined procedures are needed to control changes proposed in production processes. Such procedures should tightly control planned changes, ensure that sufficient supporting data are generated to demonstrate that the revised process will result in a product of the desired quality, consistent with the approved specification and ensure that all aspects are thoroughly documented and approved.

Page 6: Process Analytical Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services,

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Representative Dosage FormsRepresentative Dosage Forms

• Solids: Tablets & Capsules• Liquids – Solution

SuspensionsEmulsions

• Lyophilized• Ointments / Creams

Page 7: Process Analytical Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services,

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Solids: Tablets & CapsulesSolids: Tablets & Capsules

• Size Reduction• Blending• Granulating

• Compressing• Encapsulation• Coating

Page 8: Process Analytical Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services,

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Powder Blending OperationPowder Blending Operation

• Equipment: Blender geometry; use of intensifier bars; operating principle; size; recommended powder capacity for efficient blending

• Blend: Order of addition of ingredients; volume• Parameters: RPMs; time• Homogeneity: Blender; post-discharge; post-storage;

sampling (number; location; size)

Page 9: Process Analytical Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services,

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Liquids - SolutionLiquids - Solution

• Solution Studies of Ingredients

• Fill Uniformity• Filter Compatibility• Product Tubing

Interaction• Flush Volumes

• Cleaning / Sanitization• Inert Gas

Effectiveness• Bioburden• Pyroburden

Page 10: Process Analytical Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services,

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SuspensionsSuspensions

• Milling• Mixing• Viscosity• Resuspendability• Agglomeration• Caking

Page 11: Process Analytical Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services,

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EmulsionsEmulsions

• Homogenation / Emulsification• Viscosity• Creaming• Reemulsify• Coalesce• Globule Growth

Page 12: Process Analytical Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services,

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LyophilizedLyophilized• Freezing

Temperature Rate

• Drying Temperature Vacuum

• Cake Appearance• Dissolution• Melt Back

Page 13: Process Analytical Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services,

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Ointments / CreamsOintments / Creams

• Active Distribution• Particle Size• Mixing• Emulsification• Viscosity

Page 14: Process Analytical Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services,

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Method ValidationMethod ValidationMethod validation is the process of demonstrating that analytical procedures are suitable for their intended use and that they support the identity, strength, quality, purity and potency of the drug substances and drug products.

Page 15: Process Analytical Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services,

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Method ValidationMethod ValidationPublished Guidances

ICH-Q2A “Text on Validation of Analytical Procedure:(1994) ICH-Q2B “Validation on Analytical Procedures: Methodology:

(1995) CDER “Reviewer Guidance: Validation of Chromatographic

Method” (1994) CDER “Submitting Samples and Analytical Data for Method

Validations” (1987) CDER Draft “Analytical Procedures and Method Validation”

(2000) CDER “Bioanalytical Method Validation for Human Studies”

(1999) USP<1225> “Validation of Compendial Methods” (current

revision)

Page 16: Process Analytical Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services,

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ICH Topic Q2BICH Topic Q2BValidation of Analytical ProceduresValidation of Analytical Procedures

• The main objective of validation of an analytical procedure is to demonstrate that the procedure is suitable for its intended purpose.

• In practice, it is usually possible to design the experimental work so that appropriate validation characteristics can be considered simultaneously to provide a sound, overall knowledge of the capabilities of the analytical procedure, for instance: specificity, linearity, range, accuracy and precision.

• Well-characterized reference materials, with documented purity, should be used throughout the validation study.

Page 17: Process Analytical Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services,

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Considerations Prior to Method Considerations Prior to Method ValidationValidation

• Suitability of Instrument Status of Qualification and Calibration

• Suitability of Materials Status of Reference Standards, Reagents, Placebo Lots

• Suitability of Analyst Status of Training and Qualification Records

• Suitability of Documentation Written analytical procedure and proper approved

protocol with pre-established acceptance criteria

Page 18: Process Analytical Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services,

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Examples of Methods That Require Examples of Methods That Require Validation DocumentationValidation Documentation

• Chromatographic Methods – HPLC, GC, TLC, GC/MS, etc. Pharmaceutical Analysis – In support of CMC. Bioanalytical Analysis – In support of PK/PD/Clinical Studies.

• Spectrophotometric Methods – UV-VIS, IR, NIR, AA, NMR, XRD, MS, etc.

• Capillary Electrophoresis Methods – Zone, Isoelectric Focusing, Isotachophoresis, etc.

• Particle Sizer Analysis Methods – Laser, Microscopic, Photozone, Sieving, SEC, etc.

• Dissolution Methods – Method of Analysis – HPLC, UV, Automated, etc.

• Titration Methods.• Automated Analytical Methods – Robots, Automated Analysis.

Page 19: Process Analytical Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services,

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Method Characteristics to Be Method Characteristics to Be Considered for ValidationConsidered for Validation

• Specificity (Selectivity)• Linearity• Range• Accuracy• Precision

Repeatability Intermediate Precision Reproducibility

(Ruggedness)

• Detection Limit• Quantitation Limit• Robustness• System Suitability

Testing

Page 20: Process Analytical Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services,

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SpecificitySpecificity

• Specificity is the ability to assess unequivocally the analyte in the presence of components which may be expected to be present. Typically these might include impurities, degradants, matrix, etc.

Page 21: Process Analytical Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services,

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SpecificitySpecificity• It is not always possible to

demonstrate that an analytical procedure is specific for a particular analyte (complete discrimination). In this case a combination of two or more analytical procedures is recommended to achieve the necessary level of discrimination.

Page 22: Process Analytical Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services,

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LinearityLinearity

• The linearity of an analytical procedure is its ability (within a given range) to obtain test results which are directly proportional to the concentration (amount) of analyte in the sample.

Page 23: Process Analytical Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services,

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RangeRange

• The range of an analytical procedure is the interval between the upper and lower concentration (amounts) of analyte in the sample for which it has been demonstrated that the analytical procedure has a suitable level of precision, accuracy and linearity.

Page 24: Process Analytical Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services,

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AccuracyAccuracy

• The accuracy of an analytical procedure expresses the closeness of agreement between the value which is accepted either as a conventional true value or an accepted reference value and the value found.

Page 25: Process Analytical Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services,

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PrecisionPrecision

• Repeatability expresses the precision under the same operating conditions over a short interval of time. Repeatability is also termed intra-assay precision.

• Intermediate Precision expresses within-laboratories variations: different days, different analysts, different equipment, etc.

• Reproducibility expresses the precision between laboratories (collaborative studies, usually applied to standardization of methodology).

Page 26: Process Analytical Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services,

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Detection LimitDetection Limit

• The detection limit of an individual analytical procedure is the lowest amount of analyte in a sample which can be detected but not necessarily quantitated as an exact value.

Page 27: Process Analytical Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services,

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Quantitation LimitQuantitation Limit

• The quantitation limit of an individual analytical procedure is the lowest amount of analyte in a sample which can be quantitatively determined with suitable precision and accuracy. The quantitation limit is a parameter of quantitative assays for low levels of compounds in sample matrices, and is used particularly for the determination of impurities and/or degradation products.

Page 28: Process Analytical Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services,

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Impurities (Quantitation)Impurities (Quantitation)

• Accuracy should be assessed on samples (substance / product) spiked with known amounts of impurities.

Page 29: Process Analytical Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services,

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RobustnessRobustness

• The robustness of an analytical procedure is a measure of its capacity to remain unaffected by small, but deliberate variations in method parameters and provides an indication of its reliability during normal usage.

Page 30: Process Analytical Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services,

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System Suitability Testing System Suitability Testing

• System suitability testing is an integral part of many analytical procedures. The tests are based on the concept that the equipment, electronics, analytical operations and samples to be analyzed constitute an integral system that can be evaluated as such. System suitability test parameters to be established for a particular procedure depend on the type of procedure being validated.

Page 31: Process Analytical Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services,

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Regulatory ApproachesRegulatory Approaches

• Compendial Analytical Procedures• Noncompendial Analytical

Procedures and Validation Requirements

Page 32: Process Analytical Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services,

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Compendial Analytical ProceduresCompendial Analytical ProceduresThe Analytical procedures in the USP 25/NF 20 are legally recognized under section 501(b) of the Federal Food, Drug and Cosmetic Act as the regulatory analytical procedures for the compendial items. The suitability of these procedures must be verified under actual conditions of use. When using USP 25/NF 20 analytical procedures, the guidance recommends that information be provided for the following characteristics:

Specificity of the procedure Stability of the sample solution Intermediate precision

Page 33: Process Analytical Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services,

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Compendial Analytical ProceduresCompendial Analytical Procedures

• Compendial analytical procedures may not be stability indicating, and this concern must be addressed when developing a drug product specification because formulation-based interference may not be considered in the monograph specifications.

Page 34: Process Analytical Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services,

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Appropriate Automation Appropriate Automation Can….Can….

• Reduce variability associated with human

interaction• Increase knowledge of

process• Improve monitoring,

control and decisions

• Improve process and product consistency

• Improve documentation & reporting capabilities

• Reduce costs

Page 35: Process Analytical Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services,

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Advantages…Process Advantages…Process ValidationValidation

Expanded real time monitoring and adjustment of process Enhanced ability to statistically evaluate process

performance and product variablese.g., individuals; mean; range; control limits

Enhanced data and evaluation capabilities and increased confidence about process reproducibility and product quality

Improved ability to set target parameters and control limits for routine production, correlating with validation results

Enhanced reporting capability

Page 36: Process Analytical Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services,

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Consequences of Consequences of Inadequate Inadequate AutomationAutomation

• Acquired data may not be complete, accurate

and/or representative• Improper evaluation• Process assurance and

adjustments based on inadequate information

• Process deviations

• Product quality problems• Avoidable costs:

downtime rejection of in-process and

finished product product recalls eroded goodwill

Page 37: Process Analytical Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services,

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Calibration and MaintenanceCalibration and Maintenance

• Sensors must be calibrated e.g., time; temperature; pressure; wattage; humidity;

weight; force; dimensions

• Controllers must be qualified, calibrated and maintained at appropriate intervals

• Environmental requirements for the computerized system must be defined, maintained and documented

Page 38: Process Analytical Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services,

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Compliance Issues…automated equipmentCompliance Issues…automated equipment

• System for reporting and evaluating deviations hardware software security life cycle management

• Equipment Maintenance• Calibration• Target and Control Limits

versus validated parameters versus historical process performance

Page 39: Process Analytical Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services,

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Compliance Issues…automated equipmentCompliance Issues…automated equipment(continued)(continued)

• Operating Environmentdefined; controlled; documented

• In-Process Control Data…use and retention

• SOPs and Training• Data Integrity• Legacy Systems

Page 40: Process Analytical Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services,

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Closed System ControlsClosed System Controls• Validation• Electronic and Human

readable formats• Protection to ensure

accurate and ready retrieval

• Authorized access only

•Audit trails•Device checks to determine validity of input•Operational system checks, as appropriate

Page 41: Process Analytical Technologies Process and Method Validation February 2002 FDA Subcommittee Meeting Leon Lachman, Ph.D. President Lachman Consultant Services,

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Closed System ControlsClosed System Controls(continued)(continued)

• Written policies & procedures

• Controls over system documentation

• Operational system checks, as appropriate

• Controls over access to system operation and maintenance

•Revision and change control procedures•Documented evolution of changes•Qualified personnel