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Validationbootcamp1 121207100012 Phpapp02
Validationbootcamp1 121207100012 Phpapp02
LIFECYCLE APPROACH TO
PHARMACEUTICAL VALIDATION –
PRINCIPLES, IMPLEMENTATION, AND PRACTICE
1
OUTLINE
• Process Validation Lifecycle Approach Overview
• FDA PV Guidance
• Documentation
• Lifecycle Approach to Cleaning Process Validation
• Lifecycle Approach to Equipment Qualification
• Lifecycle Approach to Validation Quality System
• Implementation Strategy
• Interactive Discussion. Attendees discuss lifecycle
approach to process, other applications, positives/
negatives, and impediments to implementation
throughout day.
PLEASE PARTICIPATE
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OBJECTIVES
• Validation lifecycle approach basic understanding
– Terminology
– Validation and qualification
– History and basis
– Stages and activities
• Documentation for lifecycle approach
– Comprehensive
– New specific expectations
• Applications according to lifecycle approach
– Processes, Cleaning, EFU
– Validation quality system
– Other quality systems
• Implementation strategy
QUESTIONS:
DOES THIS MAKE SENSE?
HOW DO YOU APPROACH VALIDATION?
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SCHEDULE
8:15 Registration, welcome and opening remarks
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INTRODUCTION, BASIS, LIFECYCLE STAGES
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PROCESS VALIDATION LIFECYCLE APPROACH
OVERVIEW
2004 – Health Canada guidance
2005 – FDA initial presentations
2007 – ICH Q10
2008 – FDA draft guidance
2009 – ICH Q8(R2)
2009 – Health Canada revision
2011 – FDA guidance issued
2012 – EMA draft guidance
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HISTORY AND DEVELOPMENT –
LIFECYCLE APPROACH
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HEALTH CANADA -- VALIDATION GUIDELINES FOR
PHARMACEUTICAL DOSAGE FORMS (GUI-0029)
6.0 Interpretation
Validation protocol
Validation Master Plan
Installation and Operational Qualification
IQ
OQ
Re-Qualification
Process validation
Prospective validation
Matrix or family approaches to prospective process validation
Concurrent validation
Retrospective validation
Process Re-Validation
Change control
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ICH Q8 (R2) PHARMACEUTICAL DEVELOPMENT
Objectives
Harmonized regulatory submissions (CTD)
Principles of Quality by Design (QbD)
Consistent with Q9 Risk Management
Problems addressed
Inconsistency between all regions
Inconsistent content
Inclusion of development information
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ICH Q8 PHARMACEUTICAL DEVELOPMENT
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ICH Q8 PHARMACEUTICAL DEVELOPMENT
Key points
“Information and knowledge gained from development
studies and manufacturing experience provides scientific
understanding to support the establishment of the design
space, specifications, and manufacturing controls.”
“Pharmaceutical development section should describe the
knowledge…”
“At a minimum, those aspects of drug substances,
excipients, … that are critical to product quality should be
determined and control strategies justified.”
“…demonstrate a higher degree of understanding of
material attributes, manufacturing processes …”
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ICH Q8 PHARMACEUTICAL DEVELOPMENT
Key points
Examination
Understanding
Evaluation
Identification
Rationale and justification
Others
Discussion in submission
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ICH Q8 PHARMACEUTICAL DEVELOPMENT
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ICH Q9 QUALITY RISK MANAGEMENT
Objectives:
• Effective application of risk management
• Consistent science-based decisions
Incorporate risk management into practice
Problems addressed:
• Inconsistent risk-management application
• Common understanding
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ICH Q9 QUALITY RISK MANAGEMENT
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ICH Q9 QUALITY RISK MANAGEMENT
• Initiate risk management process
• Risk assessment
• Risk identification
• Risk analysis
• Risk evaluation
• Risk control
• Risk reduction
• Risk acceptance
• Output
• Risk review
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ICH Q9 QUALITY RISK MANAGEMENT
Risk Management Methods and Tools
• Basic methods: Flow charts, process maps, cause and
effect (fishbone) diagrams
• FMEA / FMECA
• FTA
• HAACP
• HAZOP
• PHA
• Risk ranking and filtering
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ICH Q9 QUALITY RISK MANAGEMENT
Applications
• Integrated quality management: Documentation,
training, defects, auditing, periodic review, change
control, improvements
• Regulatory operations
• Development: Process knowledge, PAT development
• Facilities, equipment, utilities: Design, qualification,
cleaning, calibration, PM
• Materials management: Material variation
• Production: Validation, in-process testing
• Laboratory control and stability
• Packaging and labeling
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ICH Q9 QUALITY RISK MANAGEMENT
Key points
• Methods of evaluation
• Potential applications – every function, every
activity, entire product lifecycle
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ICH Q9 QUALITY RISK MANAGEMENT
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ICH Q10
PHARMACEUTICAL QUALITY SYSTEMS
Objectives
• Global harmonization of quality systems
• Consistency with ICH Q8 and Q9
• Application throughout product lifecycle
Problems addressed
• Inconsistent application
• Inconsistent definitions of common terms
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ICH Q10
PHARMACEUTICAL QUALITY SYSTEMS
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ICH Q10
PHARMACEUTICAL QUALITY SYSTEMS
Key points:
• Quality system application throughout product lifecycle
• Pharmaceutical development
• Technology transfer
• Manufacturing
• Product discontinuation
• Product realization, maintain control, improvements
• Enable by knowledge and risk management
• Management responsibility: Commitment, policy,
planning, resources, communication, review, outsourcing
oversight
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ICH Q10
PHARMACEUTICAL QUALITY SYSTEMS
Key points:
• Continual improvement
• Product performance / quality monitoring system
• Control strategy, identify variation, problem feedback,
enhance process understanding
• CAPA system
• Enhance process understanding
• Change management system
• Risk management, evaluation, technical justification
• Management review
• Audits, inspections, changes, CAPA, etc.
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ICH Q10
PHARMACEUTICAL QUALITY SYSTEMS
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ICH Q11
DEVELOMENT AND MANUFACTURE
OF DRUG SUBSTANCES
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QUALITY BY DESIGN (QbD)
Quality target product profile (QTTP)
Critical quality attributes (CQA), critical material attributes
(CMA)
Critical process parameters (CPP)
Design space
Scale-up and technology transfer
Identify input variables
Input variable control strategy
Continuous improvement
Other considerations: PAT, risk analysis
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SUPPORTING DOCUMENTS
PROCESS VALIDATION – 1987 GUIDANCE
Assurance of product quality:
Quality parts and materials
Adequate product and process design
Control of the process
In-Process and end-product testing.
Basic principles:
Quality, safety, and effectiveness designed and built into the product
Quality cannot be inspected or tested in the product
Each process step must be controlled to maximize meeting quality and design
specifications.
R&D phase: Product definition and characteristics
Equipment and process
Equipment: Installation Qualification
Process: Performance Qualification
Product (devices only): Performance Qualification
Revalidation. Change control
Documentation. Proper maintenance of documentation
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SUPPORTING DOCUMENTS
VALIDATION – MEDICAL DEVICES
Planning the Process Validation Study
Installation and Operational Qualification
Process Performance Qualification
Eliminate controllable causes of variation
Product Performance Qualification
Evaluate routine production process monitoring data for trends
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SUPPORTING DOCUMENTS
PROCESS VALIDATION – API
Critical parameters / attributes identified during
development
Qualification of equipment and systems: DQ, IQ, OQ, PQ.
Process Validation Program
Critical process parameters controlled and monitored
Non-critical parameters not included in validation
Periodic review of validated systems
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SUPPORTING DOCUMENTS
PROCESS VALIDATION – PRODUCTS / API
A validated manufacturing process has a high level of
scientific assurance that it will reliably product acceptable
product.
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SUPPORTING DOCUMENTS
VALIDATION -- PHARMACEUTICAL CGMPS
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SUPPORTING DOCUMENTS
PROCESS VALIDATION – MEDICAL DEVICES
Process evaluation – Validation or verification
Protocol development
Processes well thought out
What could go wrong
Installation Qualification
Operational Qualification
“Worst case” testing
DOE and screening studies
Performance Qualification
Process repeatability
Attributes for continuous post-validation monitoring and maintenance
Eliminate controllable causes of variation.
Maintaining a state of validation – Monitor and control
Change control
Statistical Methods
Risk Analysis Methods
Reference: Global Harmonization Task Force (GHTF) Study Group 3. Quality
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SUPPORTING DOCUMENTS
VALIDATION – INTERNATIONAL
PIC/S PHARMACEUTICAL INSPECTION CONVENTION
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SUPPORTING DOCUMENTS
FDA -- QUALITY BY DESIGN (QbD)
Product is designed to meet patient requirements
Process is designed to consistently meet product critical
quality attributes
Impact of starting materials and process parameters on
product quality is understood
Critical sources of process variability are identified and
controlled
Process is continually monitored and updated to assure
consistent quality over time
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SUPPORTING DOCUMENTS
PROCESS ROBUSTNESS (PQRI)
Robust Process: Able to tolerate expected variability of
raw materials, operating conditions, process equipment,
environmental conditions, and human factors
Development
Maintenance
Process understanding is key to developing a robust
process.
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SUPPORTING DOCUMENTS
ASTM WK 9935 Standard Guide
Continuous Quality Verification (CQV)
A Science and Risk-Based Alternative Approach to
Traditional Process Validation of Biopharmaceutical
and Pharmaceutical Manufacturing Processes
CONTINUOUS QUALITY VERIFICATION
Process design / Risk assessment / Process
understanding
Development phase
Scale-up phase
Commercialization phase
Process capability evaluation
Continuous process improvement
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SUPPORTING DOCUMENTS
PROCESS ANALYTICAL TECHNOLOGY (PAT)
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SUPPORTING DOCUMENTS
PROCESS ANALYTICAL TECHNOLOGY (PAT)
Process Understanding
All critical sources of variability are identified and explained.
Variability is managed by the process
Product quality attributes can be accurately and reliably predicted
over the design space
Materials used
Process parameters
Manufacturing
Environmental
Other conditions
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TERMINOLOGY: PROCESS VALIDATION
Process Validation – Process Qualification
Process Performance Qualification (PPQ)
Qualification Qualification
Equipment #1 HVAC
UO #1
Utilities
Equipment #2 Facilities
UO #2
Computers
Equipment #3
UO #3
Process is validated
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FDA PROCESS VALIDATION GUIDANCE (2011)
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FDA PROCESS VALIDATION GUIDANCE
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PROCESS DESIGN (PROCESS UNDERSTANDING)
Objective
API and excipient pharmaceutics
Quality attributes
Risk analysis
Process parameters
Design of experiments
Design space
Normal operating range
In-process controls
Product development – key inputs to design stage
Variability by different component lots, production operators,
environmental conditions, and measurement systems
Use risk analysis tools to screen variables
Establish a strategy for process control
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QUALITY BY DESIGN (QbD)
1. Quality target product profile (QTTP)
2. Critical quality attributes (CQA), critical material
attributes (CMA)
3. Critical process parameters (CPP)
4. Design space
5. Scale-up and technology transfer
6. Identify input variables
7. Input variable control strategy
8. Continuous improvement
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STAGE 2, PROCESS QUALIFICATION
Conformance Lots
Procedures
Validation plans
Protocols
Sampling
Testing
Results
Plan to maintain validation
ALL EQUIPMENT, ANALYTICAL, AND SUPPORTING
SYSTEMS MUST BE QUALIFIED.
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PERFORMANCE QUALIFICATION APPROACH
Higher level of sampling, testing, and scrutiny of process performance.
Protocol should address:
• Operating parameters, processing limits, and raw material inputs
• Data to be collected and how evaluated
• Test to be performed and acceptance criteria
• Sampling plan – sampling points, number of samples, frequency
• Statistical methods used
• Statistical confidence levels
• Provisions to address deviations and non-conformances
• Facility, utility, and equipment qualification
• Personnel training
• Status of analytical method validation
• Review and approval by appropriate departments and quality unit
DETAILS FROM PV GUIDANCE
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PERFORMANCE QUALIFICATION APPROACH
“The PPQ lots should be manufacturer under normal conditions by
personnel expected to routinely perform each step of each unit
operation in the process. Normal operating conditions should cover
the utility systems (air handling and water purification), material,
personnel environment, and manufacturing procedures.”
PQ report:
• Discuss all aspects of protocol
• Summarize and analyze data as specified in protocol
• Evaluate unexpected observations and additional data
• Summarize and discuss non-conformances
• Describe corrective actions or changes
• Clear conclusions
• Approval by appropriate departments and quality unit
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CONTINUED PROCESS VERIFICATION
ITEMS TO BE REVIEWED
• Product and process data
• Relevant process trends
• Quality of incoming materials or components
• In-process material
• Finished products
• Defect complaints
• OOS findings
• Deviations
• Yield variations
• Batch records
• Incoming raw material records
• Adverse event reports
• Production operator and quality staff feedback
1978
CGMP includes Validation
1987
Development -- VALIDATION -- Control
2008-2011
Lifecycle approach
Continuum of understanding – validation – maintenance
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SUMMARY
Lifecycle Approach to Process Validation
• New document
• Compilation of concepts pre-2000 to current
• Three stages identified
– Understand
– Demonstrate
– Maintain
• Comprehensive
• Detailed improvements
QUESTIONS:
DOES THIS MAKE SENSE?
HOW DO YOU APPROACH VALIDATION?
60
SUMMARY
WHERE WE ARE -- CURRENT PRACTICE
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SUMMARY -- VALIDATION – CURRENT PRACTICE
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SUMMARY -- WHERE WE ARE GOING –
LIFECYCLE APPROACH TO PROCESS VALIDATION
Lifecycle approach:
• Validation is never completed
• Validation is always ongoing
Objectives:
• Scientific and technical process
• Demonstrate process works as intended
• Process must remain in control throughout lifecycle
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LIFECYCLE APPROACH TO PROCESS VALIDATION
Process Design
• Studies to establish process
• Identify critical process parameters
• Identify sources of variation
• Consider range of variation possible in processes
• Process understanding
Process Qualification
• Equipment, facilities, and utilities
• Confirm commercial process design
• Validation performance
Continued process verification
• Monitor, collect information, assess
• Maintenance, continuous verification, process improvement
• Change control
• Validation maintenance
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SUMMARY
PROCESS VALIDATION HISTORY
1978
CGMP includes Validation
1987
Development -- VALIDATION -- Control
2008-2011
Lifecycle approach
Continuum of understanding – validation – maintenance
66
PAUL L. PLUTA, PhD
Editor-in-Chief
Journal of Validation Technology
Journal of GXP Compliance
Advanstar Communications
Contact: paul.pluta@comcast.net
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