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34
REVIEW ARTICLE
VALIDATION: A CRITICAL PARAMETER FOR QUALITY CONTROL OF
PHARMACEUTICALS
Tangri Pranshu*, Rawat Prakash Singh, Jakhmola Vikash, Lakshmayya
Grd(pg)imt, department of pharmacy, Dehradun, uttarakhand-248001, INDIA
Corresponding Authors Email: prianshu_tangri@yahoo.co.in, Phone: 09927760066
Received 11 M arch 2012; Revised 16 April 2012; Accepted 01 M ay 2012, Available online 15 M ay 2012
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
that performance characteristics of the method meet the
requirements for the intended analytical applications.
Methods need to be validated or revalidated before their
introduction into routine use.1 The International
Conference on Harmon ization (ICH) of Technical
Requirements for the Registration of Pharmaceuticals for
Hu man Use2 has developed a text on the validation of
analytical procedures. The United States Food and Drug
Admin istration (USFDA) have proposed guidelines on
submitting samples and analytical data for methods
validation 5-7 . The United States Pharmacopoeia (USP) has
published specific guidelines for method validation for
compound evaluation 8 . The document includes definitions
for eight validation characteristics. An extension with
more detailed
Methodology is in preparation and nearly completed 3 . The
United States Environmental Protection Agency (US EPA)
prepared a guidance for methods development and
validation for the Resource Conservation and Recovery
Act (RCRA)4 . The pharmaceutical industry uses
methodology published in the literature 9,10 . The most
comprehensive document was published as the
Conference Report of the Washington Conference on
Analytical
Methods
Validation:
Bioavailability,
Bioequivalence and Pharmacokinetic Studies held in 1990
(sponsored
by
the
American
Association
of
Pharmaceutical Scientists, the AOAC and the US FDA,
among others)10 . The report presents guiding principles for
validation of studies in both human and animal subjects
that may be referred to in developing future formal
guidelines. Representatives of the pharmaceutical and
chemical industry have published papers on the validation
of analytical methods. Hokanson 11,12 applied the life cycle
2011, JDDT. All Rights Reserved
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
of the equipment, as applicable. In cases where process
Installation qualification (IQ) Demonstrates that the
steps are tested, a suitable placebo batch will be used to
process or equipment meets all specifications, is
demonstrate equipment functionality. All new equip ment
installed correctly, and all required components and
should be fully commissioned prior to commencing OQ to
documentation needed for continued operation are
ensure that as a minimu m the equipment is safe to operate,
installed and in place.
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
This is the third and final phase of validation. This phase
the process or equipment performs as intended in a
tests the ability of the process to perform over long periods
consistent manner over time.
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
med iu m to meet all specifications over a prolonged
TYPES OF VALIDATION
sampling period.3-5
Equip ment validation
PROCESS VALIDATION
Process validation
Process validation is establishing documented evidence
Analytical method validation
whichprovides a high degree of assurance that a specific
Cleaning validat ion
process consistentlyproduce a product meeting its
EQUIPMENT VALIDATION
predetermined specifications and quality attributes5,6
Installation Qualificat ion(IQ)
Types of Process Validation
Operational Qualificat ion(OQ)
Performance Qualification(PQ)
Installati on Qualification (IQ)
This is the first step in validation. This protocol insures
that the system/equipment and its components areinstalled
correctly and to the original manufacturers specifications.
Calibrat ion of major equipment, accessory equipment,
and/or utilities shouldbe performed in this step as well
o
o
o
o
Prospective validation
Retrospective validation
Concurrent validation
Revalidation
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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
In-process monitoring of critical processing steps and endvalidation of the process. It is a confirmation on the
product
testing of current production can provide
commercial three batches before marketing. Upon
documented
evidence to show that the manufacturing
complet ion of the review, reco mmendations should be
process
is
in
a state of control. Is similar to prospective,
made on the extent of monitoring and the in-process
except
the
operating
firm will sell the product during the
controls necessary for routine production. These should be
qualification
runs,
to
the public at its market price. 19 This
incorporated into the batch manufacturing and packaging
validation involves in process monitoring of critical
record or into appropriate standard operating procedures.
processing steps and product testing. Retrospective
Limits, frequencies and actions to be taken in the event of
validation is only acceptable for well established detailed
the limits being exceeded should be specified. It may be
processes that include operational limits for each critical
possible and acceptable in particular circu mstances for a
step of the process and will be inappropriate where there
manufacturer that uses the same process for several related
have been recent changes in the formulat ion of the
products to develop a scientifically sound validation plan
product, operating procedures, equipment and facility. The
for that process rather than different plans for each product
13,14
source of data for retrospective validation should include
manufactured by that process.
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
it is considered acceptable that data from a minimu m of
considered stable and when on the basis of economic
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
are not sufficient to demonstrate retrospectively that the
undertaking retrospective validation, wherein 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
concurrent or prospective validation.7-9
analysis, the equipment, facilit ies and subsystems used in
connection with the manufacturing process must be
qualified in conformance with CGM P requirements. 14-17
The basis for retrospective validation is stated in 21CFR
211.110(b): Valid in-process specifications for such
characteristics shall be consistent with drug product final
specifications and shall be derived fro m previous
acceptable process average and process variability
estimates where possible and determined by the
application of suitable statistical procedures where
appropriate. Using either data-based computer systems or
manual methods, retrospective validation may be
conducted in the following manner:18
1. Gather the numerical data fro m the completed batch
record and include assay values, end-product test results,
and in-process data.
2. Organize these data in a chronological sequence
according to batch manufacturing data, using a spreadsheet
format.
Some of the
Validation are:
essential elements
for Retrospective
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
Cycle of anal ytical methods
are listed as follows:11
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
development of an active pharmaceutical ingredient (API)
Change or replacement in a critical piece of modular
or drug product. As drug development progresses from
(capital) equip ment.
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
product and transferred to the quality control laboratory for
Significant (usually order of magn itude) increase or
the launch of the drug product. However, if there are any
decrease
in
batch
size
changes in the manufacturing process that have the
Sequential batches that fail to meet product and
potential to change the analytical profile o f the drug
process specifications.
substance and drug product, this validated method may
Benefits of process validation
need to be revalidated to ensure that it is still suitable to
analyze the API or drug product for its intended purpose.5-8
Increased throughput
Reduction in rejections and reworks
relevant
performance
characteristics
of
internal (and
external)
validation
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Tangri et al
Journal of Drug Delivery & Therapeutics; 2012, 2(3): 34-40
38
Parameters For Method Vali dati on:
different concentrations should be done and the relative
standard deviation calculated.
The parameters as defined by the ICH2, 3 and by other
organizations and authors are Specificity, selectivity,
Intermediate precision is a term that has been defined by
precision,
repeatability,
intermediate
precision,
ICH2 as the long-term variab ility of the measurement
reproducibility, accuracy, trueness, bias, linearity range,
process and is determined by comparing the results of a
limit of detection, limit of quantitation, robustness and
method run within a single laboratory over a number of
ruggedness.
weeks. A methods intermediate precision may reflect
discrepancies in results obtained by different operators,
Selectivity / S pecificity
fro m different instruments, with standards and reagents
fro m different suppliers, with colu mns from different
The terms selectivity and specificity are often used
interchangeably. A detailed discussion of this term as
batches or a combination of these.
defined by different organizat ions has been made by
Objective of intermed iate precision validation is to verify
Vessmann 17 . Even inconsistent with ICH, the term
that in the same laboratory the method will provide the
specific generally refers to a method that produces a
same results once the development phase is over.
response for a single analyte only, while the term selective
refers to a method which provides responses for a number
Reproducibility as defined by ICH2, 3 represents the
of chemical entities that may or may not be distinguished
precision obtained between laboratories. Objective is to
fro m each other. If the response is distinguished from all
verify that the method will prov ide the same results in
other responses, the method is said to be selective. Since
different laboratories.
there are very few methods that respond to only one
Accuracy and recovery
analyte, the term selectivity is usually more appropriate.
8
The USP monograph defines selectivity of an analytical
The accuracy of an analytical method is the extent to
method as its ability to measure accurately an analyte in
which test results generated by the method and the true
the presence of interference, such as synthetic precursors,
value agree. The true value for accuracy assessment can be
excip ients, enantiomers and known (or likely) degradation
obtained in several ways.
products that may be expected to be present in the sample
Determination:-In case of a drug substance, accuracy may
matrix.
be determined by application of the analytical method to
Determinati on:an analyte of known purity or by co mparison of the results
with well characterized method ,the accuracy of which has
In the case of qualitative analyses, the ability to select
been stated or defined.17,18
between compounds of closely related structure that are
likely to be present should be demonstrated. This should
Linearity and cali bration curve
be confirmed by obtaining positive results from samp les
The linearity of an analytical method is its ability to elicit
containing the analyte, coupled with negative results from
test results that are (directly or by means of well-defined
samples that do not contain the analyte and by confirming
mathematical transformations) proportional to the
that a positive response is not obtained from materials
concentration of analytes in samples within a g iven range.
21
structurally similar to or closely related to the analyte.
Linearity is determined by a series of three to six injections
Selectiv ity in liquid chro matography is obtained by
of five or more standards whose concentrations span 80choosing optimal colu mns and setting chromatographic
120 percent of the expected concentration range. The
conditions such as mobile phase composition, column
response should be (directly or by means of a well-defined
temperature and detector wavelength. It is a difficult task
mathematical
calculation)
proportional
to
the
in chromatography to ascertain whether the peaks within a
concentrations of the analytes. A linear regression equation
sample chromatogram are pure or consist of more than one
applied to the results should have an intercept not
compound. While in the past chromatographic parameters
significantly different fro m zero. If a significant nonzero
such as mobile phase composition or the column has been
intercept is obtained, it should be demonstrated that there
modified. More recently the applications of spectroscopic
is no effect on the accuracy of the method.17,18
detectors coupled on-line to the chromatograph have been
Range
suggested3,5 The principles of diode-array detection in
HPLC and their application and limitations to peak purity
The range of an analytical method is the interval between
are described in the literature 19-21 .
the upper and lower levels (including these levels) that
have been demonstrated to be determined with precision,
Precisions and Reproduci bility
accuracy and linearity using the method as written. The
The precision of a method is the extent to which the
range is normally exp ressed in the same units as the test
individual test results of multiple inject ions of a series of
results (e.g. percentage, parts per million) obtained by the
standards agree. The measured standard deviation can be
analytical method.
subdivided
into
three
categories:
repeatability,
The range of the method is validated by verify ing that the
intermediate precision and reproducibility 2, 3 .
analytical method provides acceptable precision, accuracy
Repeatability is obtained when one operator using one
and linearity when applied to samples containing analyte at
piece of equipment over a relatively short time -span
the extremes of the range as well as within the range.
carries out the analysis in one laboratory. At least 5 or 6
determinations of three different matrices at two or three
2011, JDDT. All Rights Reserved
ISSN: 2250-1177
CODEN: JDDTAO
Tangri et al
Li mit of detection:
39
ISSN: 2250-1177
CODEN: JDDTAO
Tangri et al
Journal of Drug Delivery & Therapeutics; 2012, 2(3): 34-40
40
of quality is derived fro m careful attention to a number of
processes and to improve them ,enables better system
factors including selection of quality materials,
control ,maintains, and improves a high degree of
equipments, adequate product, process design ,selection of
assurance that specific process will consistently produce a
approved vendors, proper GMP inspections , emp loyee
product meetings its predetermined specifications and
training ,technical audit, critical evaluation of market
quality characteristics.
complaints, in-process control of processes, and end
ACKNOWLEDGEMENT:
product testing. Process validation should result in fewer
product recalls and trouble shooting .process consistently
The authors are thankful to Director, Grd(Pg)Imt , Dept. of
under control requires less process support, will have less
Pharmacy, Dr. Lakshmayya for his encouragement for
down time, fewer batch failu res , and may operate more
carrying out this review work.
efficiently with greater output .In addition timely and
CONFLICT OF INTER ES T:
appropriate validation improves quality assurance ,reduces
cost by process optimization ,enables more effect ive and
The authors have no conflict in the publication of this
rapid trouble shooting ,shortens lead time lead ing to low
review work. All the authors are under mutual
inventories ,empowers all emp loyees to control their
understanding
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