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International Journal of Pharmaceutical Compounding
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The Essentials of United States 	
Pharmacopeia Chapter <51>
Antimicrobial Effectiveness Testing
and Its Application in Pharmaceutical Compounding
QualityControlanalytical methods
Introduction
Antimicrobial preservatives are excipi-
ents added to multi-dose formulas of both
sterile and nonsterile drug products for
inhibition of microbial growth. Microbial
contamination may occur during nonsterile
processing or during the period of use due to
the repeated withdrawal of individual doses
from multi-dose containers.1 Multi-dose
pharmaceutical products containing preser-
vatives offer several advantages over single-
dose packages. Multi-dose drugs minimize
product wastage and allow flexibility for
dosage adjustments; repeated doses may be
obtained from the same container without
concerns for microbial growth during use;
and their packaging is reduced because mul-
tiple doses are supplied in a single con-
tainer.2 It is general knowledge that
unit-dose packaging is the most optimal
with respect to the maintenance of sterility,
but it is not efficient and cost effective as
preserved multi-dose preparations.
Antimicrobial preservatives can be
microcidal, microstatic, and sporicidal.
Nicole Vu and
Thomas C. Kupiec
are affiliated with
Analytical Research
Laboratories, Inc.,
Oklahoma City, Okla-
homa. Kevin Nguyen
is a PharmD Candi-
date and is affiliated
with the Oklahoma
University Health
Science Center, Okla-
homa City, Oklahoma.
Abstract Antimicrobial preservatives are excipients
added to multi-dose containers of both sterile and non-
sterile drug products. Antimicrobial preservatives are
used primarily to inhibit growth of microbial contamina-
tion occurring during the period of use. Demonstration of
antimicrobial preservative effectiveness is required for
Nicole Vu, PhD
Kevin Nguyen
Thomas C. Kupiec, PhD
these functional excipients. This article reviews key factors
for consideration in the selection of preservatives, princi-
ples of the preservative-effectiveness test, and the signifi-
cance of requirements for preservative-effectiveness
testing in the compounding practice.
photo source:
Analytical
research
laboratories
& Pickens
photography
124
International Journal of Pharmaceutical Compounding
Vol. 18 No. 2 | March | April | 2014
www.ijpc.com
QualityControl
They interfere with various mechanisms in microbial cells causing
cellular damage or cell lysis. The mechanisms for antimicrobial
effects are not always specific and can be difficult to elucidate.
Some preservatives may act at the cell wall, others may target the
cytoplasmic membrane or cytosolic components. Their activities
may lead to irreversible cell membrane damage, precipitation of cel-
lular proteins, or inhibition of critical pathways for signal induction
and cellular transport. Preservatives may also act synergistically
with other preservatives or with other components of the formula
to enhance the total effects for microbial control. Due to the cyto-
toxic effects they exert against microbial cells, these preservatives
can not be regarded simply as inactive ingredients. Their inclusion
in pharmaceutical preparations should be at a concentration that is
effective but nontoxic to humans.3 An ideal preservative should be
active against a broad spectrum of microorganisms but nontoxic to
human cells and should be tolerable by the intended patient groups;
it must also be stable and compatible with the other components of
the drug product to be effective. Activities of commonly used anti-
microbial agents, which are relatively safe for use in pharmaceuti-
cal compounding, will be discussed in the following sections. The
principle of antimicrobial effectiveness testing and its require-
ments in the compounding practice will also be discussed.
General Considerations in the
Selection of Antimicrobial
Preservatives
Most viable cells function optimally within a narrow pH range
around neutrality, and growth is slow at pH beyond 6 or 8.4 This pH
range may not always be optimal due to solubility and stability of for-
mulation ingredients. Hence, the pH of a formula is often adjusted to
enhance product quality. In terms of solubility, the optimum pH for
formulation ingredients can be deduced from their dissociation con-
stants (pKa) and their oil-water partition coefficients (LogPo/w).
Both parameters are related to their aqueous solubility, where the
antimicrobial effect is required, and their concentration in different
phases of a multiphasic system. However, the relationship between
pH and antimicrobial activities is more complex. For example, the
antifungal activity of benzoic acid is less susceptible to pH than its
antibacterial activity. Similarly, sorbic acid has significant antifun-
gal but little antibacterial activity at pH 6.0.4
Antacid formulations and multiphase systems are more difficult
to preserve than simple aqueous formulas. Such products require
additional ingredients that have a high potential for interactions.
Interactions of preservatives with formulation ingredients and con-
tainers may compromise product stability and preservative effi-
cacy. Interactions do not always lead to structural modification of
the preservatives but may occur in the form of complex formation,
precipitation, or adsorption to surfaces. Incompatibility among
components occurs in the presence of strong oxidizing agents, or
between a strong base and acidic preservatives. Cationic preserva-
tives are incompatible with anionic surfactants, and non-ionic sur-
factants (e.g., polysorbate 80) are incompatible with some alcohol
phenolic preservatives. The parabens, benzoic acid, chlorobutanol,
m-cresol, etc. are relatively volatile and can be lost during process-
ing and storage. Preservative precipitation in the presence of poly-
valent cations was observed with sorbic acid, butylated
hydroxyanisole, chlorhexidine, etc. Additionally, reconstitution of
Activase, Proleukin, and Leukine with diluents containing preser-
vatives may denature protein and peptide molecules.4,5 Lab tech-
niques such as size exclusion chromatography (SEC), dynamic light
scattering (DLS), fourier transform infrared (FTIR), electron
microscopy, histologic analysis, and immunological assay have been
used to characterize interactions in small-molecule drug products
and in biopharmaceuticals.2
In addition to in vitro formulation issues, in vivo adverse effects
may further limit the availability of suitable agents for preserved
products. As previously discussed, most preservatives are cytoxic
to microbial cells, and their use may impart unintended side effects
in patients. Notably, benzyl alcohol is not recommended in neona-
tal parenteral products, as it has been linked to fatal toxic syn-
drome in premature neonates. Irritants, such as parabens, were
determined unsuitable for ophthalmic preparations, and benzalko-
nium chloride may not be appropriate for soft contact lenses solu-
tions. Concerns over neurotoxicity have lead to the declined usage
of organomecuric compounds in parenteral products, and hexa-
chlorophene in topical products.5,6
The above discussion highlights formulation and external factors
that must be considered in the preparation of preserved products.
Optimization of the preservative system is often conducted during
pre-formulation studies, which are not usually performed for com-
pounded preparations, thus emphasizing the requirements for the
demonstration of antimicrobial efficacy in dispensing and beyond-
use dating (BUD).
Commonly Utilized Antimicrobial
Preservatives
In a review conducted by Meyer, et al,2 the authors observed that
macromolecular biotech products such as peptides and proteins
usually contain phenol and benzyl alcohol as preservatives.
Whereas a combination of parabens are found in small molecule
parenterals, and phenoxyethanol is often found in vaccines. M-cre-
sol and chlorobutanol are present in fewer products, and older prod-
ucts may also contain thimerosal or phenylmercurric salts although
they are no longer preferred agents in new formulas. Most intraoc-
cular and intrathecal products are preservative-free because of
safety considerations.7
A list of common antimicrobial preservatives with proven perfor-
mance characteristics in various dosage forms is provided in Table
1. Although limited in content, the table contains historical data
that may be useful as a quick reference in a busy pharmacy environ-
125
International Journal of Pharmaceutical Compounding
Vol. 18 No. 2 | March | April | 2014
www.ijpc.com
QualityControl
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ment. The Handbook of Pharmaceutical Excipients3 is a comprehen-
sive source of data describing physicochemical properties and
safety profiles of available excipients, including antimicrobial pre-
servatives. Interested readers are directed to this reference for
additional information.
Antimicrobial Effectiveness Testing
(United States Pharmacopeia
Chapter <51>)
Summary of Test
The USP Chapter <51> Antimicrobial Effectiveness Test1 is con-
ducted by adding specified microorganisms individually to the test
product at relatively high concentrations to simulate contamina-
tion. The product is held for 28 days, during which time the added
microorganisms are enumerated at defined intervals to determine
any change in microbial content. Inoculated microorganisms
include Candida albicans, Aspergillus niger, Escherichia coli, Pseu-
domonas aeruginosa, and Staphylococcus aureus. The acceptance
criteria are specified for each drug product categories. In general, a
1 to 3 log reduction in bacteria from the initial level should occur in
one to two weeks, with no further increase in bacteria thereafter at
28 days. For yeast and mold, no increase from the initial inoculum
level is permitted at all sampling intervals.
Product Categories and Specifications
Pharmaceutical products are divided into four categories based
on product risk.8 As shown in Table 2,1 shorter sampling intervals
during a 28-day period, and more stringent criteria are associated
with Category 1 products, which includes sterile parenteral in
aqueous base or emulsions (e.g., injections, otic products, ophthal-
mic products, nasal products). Adequate preservation is indicated
by not less than 1 and 3 log reduction in bacterial count from the
initial value at day 7 and day 14, respectively. Subsequently, bacte-
rial counts at day 28 should not increase from counts at day 14. Less
stringent criteria are applied to topical and oral products in catego-
ries 2 and 3. For oral and topical products, at least 1 log (oral prod-
ucts) and 2 log (topical products) reduction from initial bacterial
count at day 14 should be observed, and no increase relative to
day-14 counts at day-28 testing. Antacid products are qualified by
126
International Journal of Pharmaceutical Compounding
Vol. 18 No. 2 | March | April | 2014
www.ijpc.com
Table 1. Common Pharmaceutical Preservatives.
	 	Concentration	Optimal
Preservative	Formulation	(Percentage)	 pH	Spectrum
4-Chlorocresol	 Oral, Topical	 Up to 0.2	 <9.0	 •  Bacteria, spores, molds, and yeasts
	 	 	 	 •  Active in acidic media
4-Chloroxylenol	 Topical	 0.1 to 0.8	 –––––	 •  Gram (+) bacteria
	 	 	 	 •  Less active vs Gram (-) bacteria
	 	 	 	 •  Synergistic with EDTA
Benzalkonium	 Oral, Ophthalmic, 	 0.01 to 0.02	 4 to 10	 •  Gram (+) > Gram (-) bacteria
	 Topical	 	 	 •  Ineffective vs resistant P. aeruginosa strains
	 	 	 	 •  Minimal activity vs bacterial endospores, acid-fast bacteria
Benzethonium	 Topical, Ophthalmic	 Up to 0.5	 4 to 10	 •  Bacteria, fungi, and molds
chloride	 	 	 	 •  Synergistic with ethanol
	 	 	 	 •  Reduced efficacy by soaps and other anionic surfactants
Benzoic acid	 Oral, Parenteral, 	 0.1 to 0.2	 2.5 to 4.5	 •  Moderate activity vs Gram (+) < Gram (-)
	 Topical	 	 	 •  Moderate activity vs fungal
	 	 	 	 •  Moderate activity vs mold
Benzyl alcohol	 Oral, Parenteral	 Up to 2.0	 <5.0	 •  Moderate activity vs Gram (+) < Gram (-)
	 	 	 	 •  Effective vs molds and yeasts
Boric acid	 Ophthalmic, Topical	 –––––	 3.5 to 4.1	 •  Weak bacteriostatic
	 	 	 	 •  Weak fungistatic
Cetrimide	 Ophthalmic, Topical	 • Ophthalmic: 0.005	 Neutral or	 •  Gram (+) > Gram (-) bacteria
	 	 • Topical: 0.1 to 1.0	 slightly alkaline	 •  Synergistic with alcohols
	 	 	 	 •  Variable activity vs fungi
	 	 	 	 •  Synergistic with EDTA vs resistant strains of P. aeruginosa,
				 A. niger, C. albicans
Chlorhexidine	 Ophthalmic	 0.01	 5 to 7	 •  Gram (+) > Gram (-)
	 	 	 	 •  Weak activity vs Proteus and Pseudomonas
	 	 	 	 •  Inactive vs acid-fast bacilli
	 	 	 	 •  Weak activity vs molds, yeasts
Chlorobutanol	 Parenteral	 Up to 0.5	 <5.5	 •  Activity Gram (+), Gram (-), and some fungi
Imidurea	 Topical, Ophthalmic	 0.03 to 0.5	 3 to 9	 •  Broad-spectrum antibacteria
	 	 	 	 •  Some antifungal properties
	 	 	 	 •  Synergistic with parabens vs fungi
m-Cresol	 Parenteral	 0.15 to 0.3	 <9.0	 •  Moderately Gram (+) > Gram (-)
	 	 	 	 •  Weak activity vs yeasts and molds
Methylparaben	 Oral, Parenteral	 0.0018	 4 to 8	 •  Broad spectrum antimicrobial activity
	 	 	 	 •  Most effective vs yeasts and molds
Phenols 0.5%	 Parenteral	 0.01	 <9	 •  Moderate activity vs Gram (+) < Gram (-)
	 	 	 	 •  Weak activity vs yeasts and molds
Phenoxyethanol	 Parenteral, Topical	 0.5 to 2.2	 <7	 •  Antibacterial vs P. aeruginosa < Proteus vulgaris
	 	 	 	 •  Weak activity vs Gram (-)
	 	 	 	 •  Frequently used in combination with other preservatives
Potassium sorbate	 Oral, Topical	 0.1 to 0.2	 <6	 •  Predominantly antifungal
	 	 	 	 •  Moderate antibacterial
Propionic acid	 Oral, Topical	 –––––	 3.9	 •  Bacteria, fungi, and molds
Propylparaben	 Oral, Parenteral	 0.0002	 4 to 8	 •  Activity vs yeasts and molds > bacteria
	 	 	 	 •  Gram (+) > Gram (-) bacteria
Sodium benzoate	 Oral, Parenteral	 • Oral: 0.02 to 0.5	 2 to 5	 •  Bacteriostatic
	 	 • Parenteral: 0.5	 	 •  Antifungal
Sorbic acid	 Oral, Topical	 0.05 to 0.2	 4.5	 •  Primarily antifungal
	 	 	 	 •  Weak antimicrobial
	 	 	 	 •  Synergy with glycol
Thimerosal	 Ophthalmic, 	 0.001 to 0.01	 7 to 8	 •  Bactericidal at acidic pH
	 Parenteral	 	 	 •  Bacteriostatic and fungistatic at alkaline or neutral pH
	 	 	 	 •  Ineffective vs spore-forming organisms
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separate criteria in Category 4 due to the inherent issues with this
product (e.g., high pH, interactions of preservatives with formula-
tion ingredients). Effective antimicrobial activities in antacid prod-
ucts are indicated by no increase in bacterial, yeast, and mold from
initial counts when tested at day 14 and day 28. No increase or no
change is equivalent to not more than a 0.5 log change from the
initial inoculum level to account for variability of the test.
Test Organisms and Preparation of
Standardized Cell Suspensions
A panel of five challenge organisms are used in USP <51>, includ-
ing Candida albicans (yeast), Aspergillus niger (mold), Escherichia
coli (Gram-negative enterobacillus), Pseudomonas aeruginosa
(Gram-negative bacillus), and Staphylococcus aureus (Gram-posi-
tive coccus). Fresh cultures of each organism are harvested in
sterile saline and standardized to about 108 colony forming units
per mL (cfu/mL). Extensive propagating of microbial cells is dis-
couraged because it could lead to changes in phenotypic expression
and antimicrobial susceptibility. Therefore, seed-stock techniques
are recommended for long-term storage, and stock cultures of each
organism are limited to no more than five passages removed from
the original seed stock.1,9
The microbial enumeration test is performed to determine the
number of viable cells in each cell suspension. Bacteria are grown at
30°C to 35°C on Soybean-Casein Digest Agar, while yeast and mold
are grown at 20°C to 25°C on Sabouraud Dextrose Agar. Table 3
describes the culture conditions for the preparation of standardized
cell suspensions and microbial recovery study.
Challenge Test
The standardized cell suspensions are added to the test product
in five separate containers, one container for each challenge
organism. The concentration of challenge organisms in product
Categories 1 through 3 is between 105 and 106 cfu/mL. The prod-
ucts in Category 4 (antacids) contain between 103 to 104 cfu/mL of
each challenge organism. The inoculum volume should not exceed
1% of the total volume of the product to be tested. Inoculated
samples are incubated at 20°C to 25°C for 28 days. The microbial
enumeration test is performed at days 7, 14, and 28 by the vali-
dated method.
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Method Suitability Test
The antimicrobial preservatives in the
drug product must be neutralized to recover
viable cells in the microbial enumeration
test. This neutralization can be accom-
plished by neutralizing agents, membrane
filtration, dilution, or any combination of
these methods. Neutralization conditions
must be validated for efficiency and suit-
ability by the counting method. All organ-
isms used in the challenge test must be
included in the validation of methods. The
validation protocol should follow guidelines
elaborated in USP General Chapters <61>
and <1227>. Briefly, the validation study
must show that recovery of an inoculum
containing ≤100 cfu of the challenge organ-
ism is not inhibited by the test sample and
by the neutralization method. This is
accomplished by comparing recovery
results for three treatment groups:
1.	 The test group: Neutralized product
inoculated with 100 cfu of the challenge
organism
Table 2. Four Categories of Drug Products and Specifications for
Antimicrobial Efficacy.1
	 Product	 Criteria for	 Criteria for Yeast 	
Category	 Description	 Bacteria	and Mold
1	 •  Parenterals (injections, 	 •  ≥1.0 log reduction at day	 No increase at days 7, 14, and 28
	 emulsions)	 7 relative to initial count	 relative to initial count
	 •  Otic, ophthalmic, and 	 •  ≥3.0 log reduction at day
	 sterile nasal products 	 14 relative to initial count
	     in aqueous base	 •  No increase at day 28    
		 relative to day-14 count 	
2	 •  Topical products in 	 •  ≥2.0 log reduction at day	 No increase at days 7, 14, and 28
	 aqueous base 	 14 relative to initial count	 relative to initial count
	 •  Nonsterile nasal 	 •  No increase at day 28
	 products	 relative to day-14 count
	 •  Nonsterile emulsions
	 •  Products for mucosal
	 application	
3	 Oral products in aqueous 	 •  ≥1.0 log reduction at day	 No increase at days 7, 14, and 28
	 base (excluding antacids)	 14 relative to initial count	 relative to initial count
	 	 •  No increase at day 28
		 relative to day-14 count 	
4	 Antacids in aqueous base	 No increase at days 14 and 28 relative to initial count
Table 3. Incubation Temperature and Incubation Time for Preparation
of Standardized Cell Suspensions and Microbial Recovery Study.1
			 Time	
	 Culture	 Temperature	 (Cell 	 Time
Organism	 Medium	 (°C)	 Suspension)	(Recovery)
E. coli	 Soybean-Casein 	 30 to 35	 18 to 24 hours	 3 to 5 days
	 Digest (broth, agar)	
P. aeruginosa	 Soybean-Casein 	 30 to 35	 18 to 24 hours	 3 to 5 days
	 Digest (broth, agar)	
S. aureus	 Soybean-Casein 	 30 to 35	 18 to 24 hours	 3 to 5 days
	 Digest (broth, agar)	
C. albicans	 Sabouraud Dextrose 	 20 to 25	 44 to 52 hours	 3 to 5 days
	 (broth, agar)	
A. niger	 Sabouraud Dextrose 	 20 to 25	 6 to 10 days	 3 to 7 days
	 (broth, agar)	
2.	 The peptone control group: The same
treatment as in the test group but peptone
is used instead of the test product
3.	 Inoculum control containing 100 cfu of
the challenge organism, but no neutral-
ization and no product present
The validation study is conducted in
three independent experiments. In each
experiment, average recovery of viable cells
in the test group should be at least 70% rela-
tive to the inoculum control.
Comparison Among
Compendia Microbial-
Efficacy Tests
Procedures for antimicrobial efficacy
determination are described in three
major compendia: the USP (Chapter <51>
Antimicrobial Effectiveness Testing), the
European Pharmacopoeia (EP) (Chapter
<5.1.3> Efficacy of Antimicrobial Preser-
vation), and the Japanese Pharmacopoeia
(JP) (Chapter <19> Preservative Effective-
ness Test). These chapters are essentially
harmonized in principles, but minor dif-
ferences exist with respect to the challenge
organisms, test intervals, and acceptance
criteria.9 In situations where compliance
to three compendia are required, these dif-
ferences should be incorporated into the
test protocol.
Preparation of Challenge
Microorganisms
The EP does not include E. coli in the
panel of challenge microorganisms, but
does allow supplementing the panel with
additional species “that may represent
likely contaminants,” and recommends the
addition of E. coli for all oral preparations.10
USP <51> listed only the strains of challenge
organisms sourced from American Type
Culture Collection (ATCC), while both the
EP and JP recognize additional source
strains besides those listed in USP <51>.
The incubation temperatures of subcul-
tures are harmonized, but the incubation
durations are slightly varied for yeast and
mold. To comply with three compendia, C.
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International Journal of Pharmaceutical Compounding
Vol. 18 No. 2 | March | April | 2014
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albicans should be harvested at about 48
hours, and A. niger should be harvested
after 6 to 7 days “when good sporulation is
obtained.” Standardized cell suspensions
should be used within 8 hours, and stored at
2°C to 8°C when not in use.9
Test Intervals and
Acceptance Criteria
The acceptance criteria expressed in the
EP are the most stringent compared to the
USP and JP. The EP has two criteria (A
and B) for products in Categories 1 (paren-
teral intrauterine, intramammary prepara-
tions) and 2 (ear, nasal, inhalation,
cutaneous preparations). The A criteria
are “the recommended efficacy to be achieved,” and “In justified
cases where the A criteria cannot be attained…, the B criteria must
be satisfied.” The EP Category 1-A has approval criteria at 6 hours
and 24 hours in addition to days 7, 14, and 28. The JP has accep-
tance criteria expressed as a percentage recovery for days 14 and
28.9 To comply with three compendia requirements, sampling
intervals should start at 6 hours for products in Category 1, and
day 2 for products in Category 2. Table 4 shows sampling frequen-
cies and acceptance criteria expressed by the EP, JP, and USP for
sterile parenteral products.9,10
Significance of Antimicrobial-
Effectiveness Test
The purpose of USP <51> is to provide a guide to antimicrobial-
effective testing. Preservatives are not meant to replace but to com-
pliment current good manufacturing processes. USP <51> testing
ensures the efficacy of pharmaceutical products containing preser-
vatives in original, unopened containers made and distributed by
the manufacturer. Measurement of preservation during in-use is
outside the scope of the current protocol and requires different
experimental designs (e.g., broaching study designs). In addition,
the panel of five organisms employed in the challenge study does
not represent resistant phenotypes that have acquired the ability to
withstand the activity of the preservative. The standard preserva-
tive test may then be insufficient to demonstrate the survival capac-
ity in pharmaceuticals of strains adapted to low-nutrient
environment and low storage temperatures.11
When Antimicrobial-Effectiveness
Test is Performed
The antimicrobial-effectiveness test is often performed during
drug development for optimization of formulation ingredients. The
International Conference on Harmonization (ICH) requires12:
Time
6 Hours
24 Hours
7 Days
14 Days
28 Days
JP (% Reduction)
Bacteria
NT
NT
NT
0.1% or less
reduction
≤ at day 14
Fungal
and Mold
NT
NT
NT
≤ at day 14
≤ at day 14
USP (Log Reduction)
Bacteria
NT
NT
1
3
NI
Fungal
and Mold
NT
NT
NI
NI
NI
EP (Log Reduction)
Bacteria
A	
2
3
NT
NT
NR
Fungal
and Mold
A
NT
NT
2
NT
NI	
B
NT
1
3
NT
NI
B
NT
NT
NT
1
NI
Table 4. Comparison of Acceptance Criteria for Parenteral Products
by JP, USP, and EP.
Antimicrobial preservative effectiveness should be demonstrated
during development, during scale-up, and throughout the shelf-
life…, although chemical testing for preservative content is the
attribute normally included in the specification.
QualityControl
USP <797>
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EP = European Pharmacopoeia; JP = Japanese Pharmacopoeia; USP = United States Pharmacopeia
130
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The ICH Q6A further specifies12:
The testing for antimicrobial preserva-
tive content should normally be per-
formed at release. Acceptance criteria for
preservative content should be based
upon the levels of antimicrobial preser-
vative necessary to maintain microbio-
logical quality of the product at all stages
throughout its proposed usage and shelf
life. The lowest specified concentration
of antimicrobial preservative should be
demonstrated to be effective in control-
ling microorganisms by using a pharma-
copeial antimicrobial preservative
effectiveness test.
The ICH further states13:
A single primary stability batch of drug
product should be tested for antimicrobial
preservative effectiveness (in addition to
preservative content) at the proposed
shelf life for verification purpose.
In pharmaceutical compounding, USP
Chapter <51> forms a part of the product
quality test for preserved preparations due
to limited pre-formulation data. Preserva-
tive content and effectiveness testing should
be a part of a stability program for BUD of all
preserved preparations, “when such a test is
performed, the results shall support the
BUD assigned to the compounded prepara-
tions.”1 One strategy is to prepare formulas
with 100% and 70% of the label concentra-
tion for the preservative (limit for assay ±
20% of preservative label content). Preser-
vative effectiveness and content are estab-
lished for these samples at the initial time
point, and then content testing will be con-
ducted for the remainder of the stability
time intervals. It is also prudent to confirm
the preservative effectiveness at the BUD
according to USP Chapter <51>. Based on
the stability results, only the content test
will need to be conducted for future batches
unless fundamental changes occur in the
formulation or compounding procedure.
The above discussion pertains to antimicro-
bial-preservative testing only and does not
address other testing requirements for com-
pounded preparations.
Conclusion
The USP Chapter <51> Antimicrobial
Effectiveness Testing is a culture-based
method and accuracy of results is depen-
dent upon adequate neutralization of anti-
microbial activities in test samples for
enumeration testing. The efficiency of the
neutralization method employed must be
validated for all five challenge organisms.
Alternative methods can be substituted if
proventobeequivalenttocompendiatesting.
USP <51> does not address contamination
by end users. Evaluating the efficacy of the
preservative system for these in-use condi-
tions requires different experimental
designs that simulate in-use. The three
major compendia (EP, JP, USP) are harmo-
nized in principles but different in some
aspects, which must be incorporated into
the test protocol for compliance.
References
1.	 United States Pharmacopeial Convention,
Inc. United States Pharmacopeia 36–
National Formulary 31. Rockville, MD:
U.S. Pharmacopeial Convention, Inc.;
2012: 54–55, 885– 889.
2.	 Meyer BK, Ni A, Hu B et al. Antimicrobial
preservative use in parenteral products:
Past and present. J Pharm Sci 2007;
96(12): 3155–3167.
3.	 Rowe RC, Sheskey PJ, Quinn ME, eds.
Handbook of Pharmaceutical Excipients.
6th ed. Washington, DC: American Phar-
maceutical Association; 2009.
4.	 Elder DP, Crowley PJ. Antimicrobial Pre-
servatives Part Two: Choosing a Preserva-
tive. [American Pharmaceutical Review
Website.] January 1, 2012. Available at:
www.americanpharmaceuticalreview.
com/Featured-Articles/38885-Antimicro-
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12.	 International Conference on Harmonisa-
tion of Technical Requirements for Regis-
tration of Pharmaceuticals for Human
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line. Specifications: Test procedures and
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stances and new drug products: chemical
substances Q6A (4). October 1999.
13.	 International Conference on Harmonisa-
tion of Technical Requirements for Regis-
tration of Pharmaceuticals for Human Use.
ICH Harmonised Tripartite Guideline. Sta-
bility testing of new drug substances and
products Q1A (R2). February 2003.
Address correspondence to Nicole Vu, PhD,
Analytical Research Laboratories, Inc., 840
Research Parkway, Suite 546, Oklahoma
City, OK 73104. E-mail: nvu@arlok.com
QualityControl

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The Essentials of USP chapter 51 antimicrobial effectiveness testing

  • 1. 123 International Journal of Pharmaceutical Compounding Vol. 18 No. 2 | March | April | 2014 www.ijpc.com The Essentials of United States Pharmacopeia Chapter <51> Antimicrobial Effectiveness Testing and Its Application in Pharmaceutical Compounding QualityControlanalytical methods Introduction Antimicrobial preservatives are excipi- ents added to multi-dose formulas of both sterile and nonsterile drug products for inhibition of microbial growth. Microbial contamination may occur during nonsterile processing or during the period of use due to the repeated withdrawal of individual doses from multi-dose containers.1 Multi-dose pharmaceutical products containing preser- vatives offer several advantages over single- dose packages. Multi-dose drugs minimize product wastage and allow flexibility for dosage adjustments; repeated doses may be obtained from the same container without concerns for microbial growth during use; and their packaging is reduced because mul- tiple doses are supplied in a single con- tainer.2 It is general knowledge that unit-dose packaging is the most optimal with respect to the maintenance of sterility, but it is not efficient and cost effective as preserved multi-dose preparations. Antimicrobial preservatives can be microcidal, microstatic, and sporicidal. Nicole Vu and Thomas C. Kupiec are affiliated with Analytical Research Laboratories, Inc., Oklahoma City, Okla- homa. Kevin Nguyen is a PharmD Candi- date and is affiliated with the Oklahoma University Health Science Center, Okla- homa City, Oklahoma. Abstract Antimicrobial preservatives are excipients added to multi-dose containers of both sterile and non- sterile drug products. Antimicrobial preservatives are used primarily to inhibit growth of microbial contamina- tion occurring during the period of use. Demonstration of antimicrobial preservative effectiveness is required for Nicole Vu, PhD Kevin Nguyen Thomas C. Kupiec, PhD these functional excipients. This article reviews key factors for consideration in the selection of preservatives, princi- ples of the preservative-effectiveness test, and the signifi- cance of requirements for preservative-effectiveness testing in the compounding practice. photo source: Analytical research laboratories & Pickens photography
  • 2. 124 International Journal of Pharmaceutical Compounding Vol. 18 No. 2 | March | April | 2014 www.ijpc.com QualityControl They interfere with various mechanisms in microbial cells causing cellular damage or cell lysis. The mechanisms for antimicrobial effects are not always specific and can be difficult to elucidate. Some preservatives may act at the cell wall, others may target the cytoplasmic membrane or cytosolic components. Their activities may lead to irreversible cell membrane damage, precipitation of cel- lular proteins, or inhibition of critical pathways for signal induction and cellular transport. Preservatives may also act synergistically with other preservatives or with other components of the formula to enhance the total effects for microbial control. Due to the cyto- toxic effects they exert against microbial cells, these preservatives can not be regarded simply as inactive ingredients. Their inclusion in pharmaceutical preparations should be at a concentration that is effective but nontoxic to humans.3 An ideal preservative should be active against a broad spectrum of microorganisms but nontoxic to human cells and should be tolerable by the intended patient groups; it must also be stable and compatible with the other components of the drug product to be effective. Activities of commonly used anti- microbial agents, which are relatively safe for use in pharmaceuti- cal compounding, will be discussed in the following sections. The principle of antimicrobial effectiveness testing and its require- ments in the compounding practice will also be discussed. General Considerations in the Selection of Antimicrobial Preservatives Most viable cells function optimally within a narrow pH range around neutrality, and growth is slow at pH beyond 6 or 8.4 This pH range may not always be optimal due to solubility and stability of for- mulation ingredients. Hence, the pH of a formula is often adjusted to enhance product quality. In terms of solubility, the optimum pH for formulation ingredients can be deduced from their dissociation con- stants (pKa) and their oil-water partition coefficients (LogPo/w). Both parameters are related to their aqueous solubility, where the antimicrobial effect is required, and their concentration in different phases of a multiphasic system. However, the relationship between pH and antimicrobial activities is more complex. For example, the antifungal activity of benzoic acid is less susceptible to pH than its antibacterial activity. Similarly, sorbic acid has significant antifun- gal but little antibacterial activity at pH 6.0.4 Antacid formulations and multiphase systems are more difficult to preserve than simple aqueous formulas. Such products require additional ingredients that have a high potential for interactions. Interactions of preservatives with formulation ingredients and con- tainers may compromise product stability and preservative effi- cacy. Interactions do not always lead to structural modification of the preservatives but may occur in the form of complex formation, precipitation, or adsorption to surfaces. Incompatibility among components occurs in the presence of strong oxidizing agents, or between a strong base and acidic preservatives. Cationic preserva- tives are incompatible with anionic surfactants, and non-ionic sur- factants (e.g., polysorbate 80) are incompatible with some alcohol phenolic preservatives. The parabens, benzoic acid, chlorobutanol, m-cresol, etc. are relatively volatile and can be lost during process- ing and storage. Preservative precipitation in the presence of poly- valent cations was observed with sorbic acid, butylated hydroxyanisole, chlorhexidine, etc. Additionally, reconstitution of Activase, Proleukin, and Leukine with diluents containing preser- vatives may denature protein and peptide molecules.4,5 Lab tech- niques such as size exclusion chromatography (SEC), dynamic light scattering (DLS), fourier transform infrared (FTIR), electron microscopy, histologic analysis, and immunological assay have been used to characterize interactions in small-molecule drug products and in biopharmaceuticals.2 In addition to in vitro formulation issues, in vivo adverse effects may further limit the availability of suitable agents for preserved products. As previously discussed, most preservatives are cytoxic to microbial cells, and their use may impart unintended side effects in patients. Notably, benzyl alcohol is not recommended in neona- tal parenteral products, as it has been linked to fatal toxic syn- drome in premature neonates. Irritants, such as parabens, were determined unsuitable for ophthalmic preparations, and benzalko- nium chloride may not be appropriate for soft contact lenses solu- tions. Concerns over neurotoxicity have lead to the declined usage of organomecuric compounds in parenteral products, and hexa- chlorophene in topical products.5,6 The above discussion highlights formulation and external factors that must be considered in the preparation of preserved products. Optimization of the preservative system is often conducted during pre-formulation studies, which are not usually performed for com- pounded preparations, thus emphasizing the requirements for the demonstration of antimicrobial efficacy in dispensing and beyond- use dating (BUD). Commonly Utilized Antimicrobial Preservatives In a review conducted by Meyer, et al,2 the authors observed that macromolecular biotech products such as peptides and proteins usually contain phenol and benzyl alcohol as preservatives. Whereas a combination of parabens are found in small molecule parenterals, and phenoxyethanol is often found in vaccines. M-cre- sol and chlorobutanol are present in fewer products, and older prod- ucts may also contain thimerosal or phenylmercurric salts although they are no longer preferred agents in new formulas. Most intraoc- cular and intrathecal products are preservative-free because of safety considerations.7 A list of common antimicrobial preservatives with proven perfor- mance characteristics in various dosage forms is provided in Table 1. Although limited in content, the table contains historical data that may be useful as a quick reference in a busy pharmacy environ-
  • 3. 125 International Journal of Pharmaceutical Compounding Vol. 18 No. 2 | March | April | 2014 www.ijpc.com QualityControl EMD Millipore is a division of Merck KGaA, Darmstadt, Germany Do you need guidance on complying with USP <797>? Sterile compounding solutions from EMD Millipore. • Sterility Testing • Media Fill • Environmental Monitoring • Consulting Services www.emdmillipore.com/sterilecompounding Contact us for a free consultation sterilecompounding@emdmillipore.com or 800-645-5476 IACP Print ad half_P1.indd 1 12/12/12 11:38 AM ment. The Handbook of Pharmaceutical Excipients3 is a comprehen- sive source of data describing physicochemical properties and safety profiles of available excipients, including antimicrobial pre- servatives. Interested readers are directed to this reference for additional information. Antimicrobial Effectiveness Testing (United States Pharmacopeia Chapter <51>) Summary of Test The USP Chapter <51> Antimicrobial Effectiveness Test1 is con- ducted by adding specified microorganisms individually to the test product at relatively high concentrations to simulate contamina- tion. The product is held for 28 days, during which time the added microorganisms are enumerated at defined intervals to determine any change in microbial content. Inoculated microorganisms include Candida albicans, Aspergillus niger, Escherichia coli, Pseu- domonas aeruginosa, and Staphylococcus aureus. The acceptance criteria are specified for each drug product categories. In general, a 1 to 3 log reduction in bacteria from the initial level should occur in one to two weeks, with no further increase in bacteria thereafter at 28 days. For yeast and mold, no increase from the initial inoculum level is permitted at all sampling intervals. Product Categories and Specifications Pharmaceutical products are divided into four categories based on product risk.8 As shown in Table 2,1 shorter sampling intervals during a 28-day period, and more stringent criteria are associated with Category 1 products, which includes sterile parenteral in aqueous base or emulsions (e.g., injections, otic products, ophthal- mic products, nasal products). Adequate preservation is indicated by not less than 1 and 3 log reduction in bacterial count from the initial value at day 7 and day 14, respectively. Subsequently, bacte- rial counts at day 28 should not increase from counts at day 14. Less stringent criteria are applied to topical and oral products in catego- ries 2 and 3. For oral and topical products, at least 1 log (oral prod- ucts) and 2 log (topical products) reduction from initial bacterial count at day 14 should be observed, and no increase relative to day-14 counts at day-28 testing. Antacid products are qualified by
  • 4. 126 International Journal of Pharmaceutical Compounding Vol. 18 No. 2 | March | April | 2014 www.ijpc.com Table 1. Common Pharmaceutical Preservatives. Concentration Optimal Preservative Formulation (Percentage) pH Spectrum 4-Chlorocresol Oral, Topical Up to 0.2 <9.0 • Bacteria, spores, molds, and yeasts • Active in acidic media 4-Chloroxylenol Topical 0.1 to 0.8 ––––– • Gram (+) bacteria • Less active vs Gram (-) bacteria • Synergistic with EDTA Benzalkonium Oral, Ophthalmic, 0.01 to 0.02 4 to 10 • Gram (+) > Gram (-) bacteria Topical • Ineffective vs resistant P. aeruginosa strains • Minimal activity vs bacterial endospores, acid-fast bacteria Benzethonium Topical, Ophthalmic Up to 0.5 4 to 10 • Bacteria, fungi, and molds chloride • Synergistic with ethanol • Reduced efficacy by soaps and other anionic surfactants Benzoic acid Oral, Parenteral, 0.1 to 0.2 2.5 to 4.5 • Moderate activity vs Gram (+) < Gram (-) Topical • Moderate activity vs fungal • Moderate activity vs mold Benzyl alcohol Oral, Parenteral Up to 2.0 <5.0 • Moderate activity vs Gram (+) < Gram (-) • Effective vs molds and yeasts Boric acid Ophthalmic, Topical ––––– 3.5 to 4.1 • Weak bacteriostatic • Weak fungistatic Cetrimide Ophthalmic, Topical • Ophthalmic: 0.005 Neutral or • Gram (+) > Gram (-) bacteria • Topical: 0.1 to 1.0 slightly alkaline • Synergistic with alcohols • Variable activity vs fungi • Synergistic with EDTA vs resistant strains of P. aeruginosa, A. niger, C. albicans Chlorhexidine Ophthalmic 0.01 5 to 7 • Gram (+) > Gram (-) • Weak activity vs Proteus and Pseudomonas • Inactive vs acid-fast bacilli • Weak activity vs molds, yeasts Chlorobutanol Parenteral Up to 0.5 <5.5 • Activity Gram (+), Gram (-), and some fungi Imidurea Topical, Ophthalmic 0.03 to 0.5 3 to 9 • Broad-spectrum antibacteria • Some antifungal properties • Synergistic with parabens vs fungi m-Cresol Parenteral 0.15 to 0.3 <9.0 • Moderately Gram (+) > Gram (-) • Weak activity vs yeasts and molds Methylparaben Oral, Parenteral 0.0018 4 to 8 • Broad spectrum antimicrobial activity • Most effective vs yeasts and molds Phenols 0.5% Parenteral 0.01 <9 • Moderate activity vs Gram (+) < Gram (-) • Weak activity vs yeasts and molds Phenoxyethanol Parenteral, Topical 0.5 to 2.2 <7 • Antibacterial vs P. aeruginosa < Proteus vulgaris • Weak activity vs Gram (-) • Frequently used in combination with other preservatives Potassium sorbate Oral, Topical 0.1 to 0.2 <6 • Predominantly antifungal • Moderate antibacterial Propionic acid Oral, Topical ––––– 3.9 • Bacteria, fungi, and molds Propylparaben Oral, Parenteral 0.0002 4 to 8 • Activity vs yeasts and molds > bacteria • Gram (+) > Gram (-) bacteria Sodium benzoate Oral, Parenteral • Oral: 0.02 to 0.5 2 to 5 • Bacteriostatic • Parenteral: 0.5 • Antifungal Sorbic acid Oral, Topical 0.05 to 0.2 4.5 • Primarily antifungal • Weak antimicrobial • Synergy with glycol Thimerosal Ophthalmic, 0.001 to 0.01 7 to 8 • Bactericidal at acidic pH Parenteral • Bacteriostatic and fungistatic at alkaline or neutral pH • Ineffective vs spore-forming organisms QualityControl
  • 5. 127 International Journal of Pharmaceutical Compounding Vol. 18 No. 2 | March | April | 2014 www.ijpc.com separate criteria in Category 4 due to the inherent issues with this product (e.g., high pH, interactions of preservatives with formula- tion ingredients). Effective antimicrobial activities in antacid prod- ucts are indicated by no increase in bacterial, yeast, and mold from initial counts when tested at day 14 and day 28. No increase or no change is equivalent to not more than a 0.5 log change from the initial inoculum level to account for variability of the test. Test Organisms and Preparation of Standardized Cell Suspensions A panel of five challenge organisms are used in USP <51>, includ- ing Candida albicans (yeast), Aspergillus niger (mold), Escherichia coli (Gram-negative enterobacillus), Pseudomonas aeruginosa (Gram-negative bacillus), and Staphylococcus aureus (Gram-posi- tive coccus). Fresh cultures of each organism are harvested in sterile saline and standardized to about 108 colony forming units per mL (cfu/mL). Extensive propagating of microbial cells is dis- couraged because it could lead to changes in phenotypic expression and antimicrobial susceptibility. Therefore, seed-stock techniques are recommended for long-term storage, and stock cultures of each organism are limited to no more than five passages removed from the original seed stock.1,9 The microbial enumeration test is performed to determine the number of viable cells in each cell suspension. Bacteria are grown at 30°C to 35°C on Soybean-Casein Digest Agar, while yeast and mold are grown at 20°C to 25°C on Sabouraud Dextrose Agar. Table 3 describes the culture conditions for the preparation of standardized cell suspensions and microbial recovery study. Challenge Test The standardized cell suspensions are added to the test product in five separate containers, one container for each challenge organism. The concentration of challenge organisms in product Categories 1 through 3 is between 105 and 106 cfu/mL. The prod- ucts in Category 4 (antacids) contain between 103 to 104 cfu/mL of each challenge organism. The inoculum volume should not exceed 1% of the total volume of the product to be tested. Inoculated samples are incubated at 20°C to 25°C for 28 days. The microbial enumeration test is performed at days 7, 14, and 28 by the vali- dated method. QualityControl
  • 6. 128 International Journal of Pharmaceutical Compounding Vol. 18 No. 2 | March | April | 2014 www.ijpc.com Method Suitability Test The antimicrobial preservatives in the drug product must be neutralized to recover viable cells in the microbial enumeration test. This neutralization can be accom- plished by neutralizing agents, membrane filtration, dilution, or any combination of these methods. Neutralization conditions must be validated for efficiency and suit- ability by the counting method. All organ- isms used in the challenge test must be included in the validation of methods. The validation protocol should follow guidelines elaborated in USP General Chapters <61> and <1227>. Briefly, the validation study must show that recovery of an inoculum containing ≤100 cfu of the challenge organ- ism is not inhibited by the test sample and by the neutralization method. This is accomplished by comparing recovery results for three treatment groups: 1. The test group: Neutralized product inoculated with 100 cfu of the challenge organism Table 2. Four Categories of Drug Products and Specifications for Antimicrobial Efficacy.1 Product Criteria for Criteria for Yeast Category Description Bacteria and Mold 1 • Parenterals (injections, • ≥1.0 log reduction at day No increase at days 7, 14, and 28 emulsions) 7 relative to initial count relative to initial count • Otic, ophthalmic, and • ≥3.0 log reduction at day sterile nasal products 14 relative to initial count in aqueous base • No increase at day 28 relative to day-14 count 2 • Topical products in • ≥2.0 log reduction at day No increase at days 7, 14, and 28 aqueous base 14 relative to initial count relative to initial count • Nonsterile nasal • No increase at day 28 products relative to day-14 count • Nonsterile emulsions • Products for mucosal application 3 Oral products in aqueous • ≥1.0 log reduction at day No increase at days 7, 14, and 28 base (excluding antacids) 14 relative to initial count relative to initial count • No increase at day 28 relative to day-14 count 4 Antacids in aqueous base No increase at days 14 and 28 relative to initial count Table 3. Incubation Temperature and Incubation Time for Preparation of Standardized Cell Suspensions and Microbial Recovery Study.1 Time Culture Temperature (Cell Time Organism Medium (°C) Suspension) (Recovery) E. coli Soybean-Casein 30 to 35 18 to 24 hours 3 to 5 days Digest (broth, agar) P. aeruginosa Soybean-Casein 30 to 35 18 to 24 hours 3 to 5 days Digest (broth, agar) S. aureus Soybean-Casein 30 to 35 18 to 24 hours 3 to 5 days Digest (broth, agar) C. albicans Sabouraud Dextrose 20 to 25 44 to 52 hours 3 to 5 days (broth, agar) A. niger Sabouraud Dextrose 20 to 25 6 to 10 days 3 to 7 days (broth, agar) 2. The peptone control group: The same treatment as in the test group but peptone is used instead of the test product 3. Inoculum control containing 100 cfu of the challenge organism, but no neutral- ization and no product present The validation study is conducted in three independent experiments. In each experiment, average recovery of viable cells in the test group should be at least 70% rela- tive to the inoculum control. Comparison Among Compendia Microbial- Efficacy Tests Procedures for antimicrobial efficacy determination are described in three major compendia: the USP (Chapter <51> Antimicrobial Effectiveness Testing), the European Pharmacopoeia (EP) (Chapter <5.1.3> Efficacy of Antimicrobial Preser- vation), and the Japanese Pharmacopoeia (JP) (Chapter <19> Preservative Effective- ness Test). These chapters are essentially harmonized in principles, but minor dif- ferences exist with respect to the challenge organisms, test intervals, and acceptance criteria.9 In situations where compliance to three compendia are required, these dif- ferences should be incorporated into the test protocol. Preparation of Challenge Microorganisms The EP does not include E. coli in the panel of challenge microorganisms, but does allow supplementing the panel with additional species “that may represent likely contaminants,” and recommends the addition of E. coli for all oral preparations.10 USP <51> listed only the strains of challenge organisms sourced from American Type Culture Collection (ATCC), while both the EP and JP recognize additional source strains besides those listed in USP <51>. The incubation temperatures of subcul- tures are harmonized, but the incubation durations are slightly varied for yeast and mold. To comply with three compendia, C. QualityControl
  • 7. 129 International Journal of Pharmaceutical Compounding Vol. 18 No. 2 | March | April | 2014 www.ijpc.com albicans should be harvested at about 48 hours, and A. niger should be harvested after 6 to 7 days “when good sporulation is obtained.” Standardized cell suspensions should be used within 8 hours, and stored at 2°C to 8°C when not in use.9 Test Intervals and Acceptance Criteria The acceptance criteria expressed in the EP are the most stringent compared to the USP and JP. The EP has two criteria (A and B) for products in Categories 1 (paren- teral intrauterine, intramammary prepara- tions) and 2 (ear, nasal, inhalation, cutaneous preparations). The A criteria are “the recommended efficacy to be achieved,” and “In justified cases where the A criteria cannot be attained…, the B criteria must be satisfied.” The EP Category 1-A has approval criteria at 6 hours and 24 hours in addition to days 7, 14, and 28. The JP has accep- tance criteria expressed as a percentage recovery for days 14 and 28.9 To comply with three compendia requirements, sampling intervals should start at 6 hours for products in Category 1, and day 2 for products in Category 2. Table 4 shows sampling frequen- cies and acceptance criteria expressed by the EP, JP, and USP for sterile parenteral products.9,10 Significance of Antimicrobial- Effectiveness Test The purpose of USP <51> is to provide a guide to antimicrobial- effective testing. Preservatives are not meant to replace but to com- pliment current good manufacturing processes. USP <51> testing ensures the efficacy of pharmaceutical products containing preser- vatives in original, unopened containers made and distributed by the manufacturer. Measurement of preservation during in-use is outside the scope of the current protocol and requires different experimental designs (e.g., broaching study designs). In addition, the panel of five organisms employed in the challenge study does not represent resistant phenotypes that have acquired the ability to withstand the activity of the preservative. The standard preserva- tive test may then be insufficient to demonstrate the survival capac- ity in pharmaceuticals of strains adapted to low-nutrient environment and low storage temperatures.11 When Antimicrobial-Effectiveness Test is Performed The antimicrobial-effectiveness test is often performed during drug development for optimization of formulation ingredients. The International Conference on Harmonization (ICH) requires12: Time 6 Hours 24 Hours 7 Days 14 Days 28 Days JP (% Reduction) Bacteria NT NT NT 0.1% or less reduction ≤ at day 14 Fungal and Mold NT NT NT ≤ at day 14 ≤ at day 14 USP (Log Reduction) Bacteria NT NT 1 3 NI Fungal and Mold NT NT NI NI NI EP (Log Reduction) Bacteria A 2 3 NT NT NR Fungal and Mold A NT NT 2 NT NI B NT 1 3 NT NI B NT NT NT 1 NI Table 4. Comparison of Acceptance Criteria for Parenteral Products by JP, USP, and EP. Antimicrobial preservative effectiveness should be demonstrated during development, during scale-up, and throughout the shelf- life…, although chemical testing for preservative content is the attribute normally included in the specification. QualityControl USP <797> COMPLIANT CSP KITS HARDY DIAGNOSTICS Low Risk Medium Risk Compliance was never so easy! HardyVal@ HardyDiagnostics.com | Phone: 800-266-2222, ext. 5609 | Fax: 805-361-2735 Validate the proficiency of your technicians and pharmacists per USP <797> A Culture of Service™ Call today for a quote • www.HardyValKits.com High Risk Microbial Contamination Testing for CSPs Hardy Diagnostics offers all the products you need to easily assess the risk of microbial contamination of your CSPs (Compounded Sterile Preparations) according to USP Chapter <797> requirements. Low, Medium and High Risk kits available. NI = no increase; NR = no recovery; NT = not tested EP = European Pharmacopoeia; JP = Japanese Pharmacopoeia; USP = United States Pharmacopeia
  • 8. 130 International Journal of Pharmaceutical Compounding Vol. 18 No. 2 | March | April | 2014 www.ijpc.com The ICH Q6A further specifies12: The testing for antimicrobial preserva- tive content should normally be per- formed at release. Acceptance criteria for preservative content should be based upon the levels of antimicrobial preser- vative necessary to maintain microbio- logical quality of the product at all stages throughout its proposed usage and shelf life. The lowest specified concentration of antimicrobial preservative should be demonstrated to be effective in control- ling microorganisms by using a pharma- copeial antimicrobial preservative effectiveness test. The ICH further states13: A single primary stability batch of drug product should be tested for antimicrobial preservative effectiveness (in addition to preservative content) at the proposed shelf life for verification purpose. In pharmaceutical compounding, USP Chapter <51> forms a part of the product quality test for preserved preparations due to limited pre-formulation data. Preserva- tive content and effectiveness testing should be a part of a stability program for BUD of all preserved preparations, “when such a test is performed, the results shall support the BUD assigned to the compounded prepara- tions.”1 One strategy is to prepare formulas with 100% and 70% of the label concentra- tion for the preservative (limit for assay ± 20% of preservative label content). Preser- vative effectiveness and content are estab- lished for these samples at the initial time point, and then content testing will be con- ducted for the remainder of the stability time intervals. It is also prudent to confirm the preservative effectiveness at the BUD according to USP Chapter <51>. Based on the stability results, only the content test will need to be conducted for future batches unless fundamental changes occur in the formulation or compounding procedure. The above discussion pertains to antimicro- bial-preservative testing only and does not address other testing requirements for com- pounded preparations. Conclusion The USP Chapter <51> Antimicrobial Effectiveness Testing is a culture-based method and accuracy of results is depen- dent upon adequate neutralization of anti- microbial activities in test samples for enumeration testing. The efficiency of the neutralization method employed must be validated for all five challenge organisms. Alternative methods can be substituted if proventobeequivalenttocompendiatesting. USP <51> does not address contamination by end users. Evaluating the efficacy of the preservative system for these in-use condi- tions requires different experimental designs that simulate in-use. The three major compendia (EP, JP, USP) are harmo- nized in principles but different in some aspects, which must be incorporated into the test protocol for compliance. References 1. United States Pharmacopeial Convention, Inc. United States Pharmacopeia 36– National Formulary 31. Rockville, MD: U.S. Pharmacopeial Convention, Inc.; 2012: 54–55, 885– 889. 2. Meyer BK, Ni A, Hu B et al. Antimicrobial preservative use in parenteral products: Past and present. J Pharm Sci 2007; 96(12): 3155–3167. 3. Rowe RC, Sheskey PJ, Quinn ME, eds. Handbook of Pharmaceutical Excipients. 6th ed. Washington, DC: American Phar- maceutical Association; 2009. 4. Elder DP, Crowley PJ. Antimicrobial Pre- servatives Part Two: Choosing a Preserva- tive. [American Pharmaceutical Review Website.] January 1, 2012. Available at: www.americanpharmaceuticalreview. com/Featured-Articles/38885-Antimicro- bial-Preservatives-Part-Two-Choosing-a- Preservative. Accessed January 16, 2014. 5. Akers, MJ. Excipient-drug interactions in parenteral formulations. J Pharm Sci 2002; 91(11): 2283. 6. Elder DP, Crowley PJ. Antimicrobial Pre- servatives Part Three: Challenges Facing Preservative Systems. [American Pharma- ceutical Review Website.] January 1, 2012. Available at: www.americanpharmaceuti- calreview.com/Featured-Articles/38874- Antimicrobial-Preservatives-Part-Three- Challenges-Facing-Preservative-Systems. Accessed January 16, 2014. 7. Elder DP, Crowley PJ. Antimicrobial Pre- servatives Part One: Choosing a Preserva- tive System. [American Pharmaceutical Review Website.] January 1, 2012. Avail- able at: www.americanpharmaceuticalre- view.com /Featured-Articles/38886- Antimicrobial-Preservatives-Part-One- Choosing-a-Preservative-System. Accessed January 16, 2014. 8. Sutton S. GMP and Compounding Phar- macies. [American Pharmaceutical Review Website.] April 30, 2013. Available at: www.americanpharmaceuticalreview. com/Featured-Articles/135985-GMP- and-Compounding-Pharmacies. Accessed January 16, 2014. 9. Moser CL, Meyer BK. Comparison of com- pendial antimicrobial effectiveness tests: A review. AAPS PharmSciTech 2011; 12(1): 222–226. 10. European Pharmacopoeia. EP 7.0- 01/2011:50103 <5.1.3> Efficacy of antimi- crobial preservatives. 11. Charnock C, Otterholt E. Evaluation of pre- servative efficacy in pharmaceutical prod- ucts: The use of psychrotolerant, low-nutrient preferring microbes in chal- lenge tests. J Clin Pharm Ther 2012; 37(5): 558–564. 12. International Conference on Harmonisa- tion of Technical Requirements for Regis- tration of Pharmaceuticals for Human Use. ICH Harmonised Tripartite Guide- line. Specifications: Test procedures and acceptance criteria for new drug sub- stances and new drug products: chemical substances Q6A (4). October 1999. 13. International Conference on Harmonisa- tion of Technical Requirements for Regis- tration of Pharmaceuticals for Human Use. ICH Harmonised Tripartite Guideline. Sta- bility testing of new drug substances and products Q1A (R2). February 2003. Address correspondence to Nicole Vu, PhD, Analytical Research Laboratories, Inc., 840 Research Parkway, Suite 546, Oklahoma City, OK 73104. E-mail: nvu@arlok.com QualityControl