This document discusses equipment qualification using a lifecycle approach. It recommends qualifying equipment based on stages of design/understanding, demonstration, and monitoring/maintenance. The key points are: 1) Equipment qualification is vital for validation and FDA expectations have changed, 2) Qualification should use a lifecycle approach in three stages, 3) Qualification is not a one-time event but ongoing, 4) Principles like risk analysis and documentation are important, 5) Traditional IQ/OQ/PQ or ASTM E2500 approaches can be used, and 6) Documentation must be consistent, complete and retrievable. Model documents and a documentation hierarchy are also recommended.
User specification requirements (urs) rashRASHMINasare
user specification requirements, factory acceptance test, & design qualification is the part of validation it is doing because the satisfaction of the customer & full filled the user requirement
A comprehensive presentation on GMP systems and integration. This includes validations, vendor qualification, preventative maintenance, audits, CAPA, and utilization of system results.
M.pharm (Pharmaceutics) Modern Pharmaceutics unit- Validation Part-1 introduction, scope and merits of validation, Validation and calibration of Master plan, ICH & WHO guidelines for calibration and validation of equipment.
Process Validation Master Planning DMAIC FusionGENEO
Process validation is a risk management verification activity for medical device and pharma companies. DMAIC is a well established methodology for improving process reliability, improving businesses and solving problems. This presentation discussed a logical fusion of these approaches. It includes a description of the validation life cycle. The business case for good validation is illustrated graphically. Contact us at ARVExcellence.com if you would like a copy.
ARV Excellence is a training and consulting firm based in Galway, Ireland with specialities in medical devices, and drug device combination product processes and process related problem solving
User specification requirements (urs) rashRASHMINasare
user specification requirements, factory acceptance test, & design qualification is the part of validation it is doing because the satisfaction of the customer & full filled the user requirement
A comprehensive presentation on GMP systems and integration. This includes validations, vendor qualification, preventative maintenance, audits, CAPA, and utilization of system results.
M.pharm (Pharmaceutics) Modern Pharmaceutics unit- Validation Part-1 introduction, scope and merits of validation, Validation and calibration of Master plan, ICH & WHO guidelines for calibration and validation of equipment.
Process Validation Master Planning DMAIC FusionGENEO
Process validation is a risk management verification activity for medical device and pharma companies. DMAIC is a well established methodology for improving process reliability, improving businesses and solving problems. This presentation discussed a logical fusion of these approaches. It includes a description of the validation life cycle. The business case for good validation is illustrated graphically. Contact us at ARVExcellence.com if you would like a copy.
ARV Excellence is a training and consulting firm based in Galway, Ireland with specialities in medical devices, and drug device combination product processes and process related problem solving
In this presentation from IVT's GMP Week, Journal of Validation Technology Editor-in-Chief, Paul Pluta, Ph.D., asks "can compliance be improved by using quality by design [QbD] concepts?" Pluta discussed the QbD application, development of validation master plans, and the lifecycle approach to process validation. Furthermore, he discusses how to incorporate these essential parts of the validation process to implement effective, and efficient, compliance by design into the quality system.
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ICH guidelines for validation Of Equipments by Nikita Sahu[1].pptxNikitaSahu39
VALIDATION- As per WHO,
Validation means providing documented evidence that any procedure, process, activity or system actually leads to the expected results.
As per FDA , Validation is establishing documented evidence, which provides a high degree of assurance that a specific process will produce a product meeting its pre determined specification & quality attributes.
Process Validation is Key important factor for the Pharmaceutical Industry to maintain Consistent Quality in product which claimed by the manufacturer.
QUALIFICATION & VALIDATION.Validation is an essential part of GMP, and an element of QA.Critical steps in the process need to be validated.Need for confidence that the product will consistently meet predetermined specifications and attributes.
In this presentation from, Janeen Santorosa discusses the best practices for harmonization of GMP auditing, domestic and international regulations for supplier auditing, integration of risk-based practices, and supplier audit practice tools.
In this presentation from IVT's 4th Annual Validation Week EU, Paul Pluta, discussed the differences between the traditional approach to cleaning validation and the lifecycle approach, applicable regulatory guidance, current industry trends, the necessary phases of the lifecycle approach (design and definition, cycle development, validation, and implementation), how to continously monitor the process, change control, and common obstacles to compliance.
This session from the Institute of Validation Technology's 14th Annual CSV Conference looks at B. Braun’s journey in moving from an in-house validated training tracking system to learning management in the cloud.
In this session from the Institute of Validation Technology's Validation Week Europe, Kurtis Epp and John Kandl discuss how to implement QbD to all three stages of process validation.
This presentation from the Institute of Validation Technology's first annual Validation and cGMP Compliance Week Singapore discusses the obstacles to quality such, the key components to improve quality, and the tools for strategic teamwork.
This session from the Institute of Validation Technology's Contamination and Control Week discusses regulatory expectations and industry drivers for aseptic cleaning and environmental monitoring, regulatory expectations for cleanrooms, and current FDA and EU expectations during inspection of sterile and aseptic operations.
In this presentation from the Institute of Validation Technology's Life Sciences Aseptic Processing, Kim Van Antwerpen discusses collecting environmental data, methods for trending, and interpreting and sharing environmental monitoring data.
Regulatory inspections have had a significant impact on the number of drug shortages and companies facing adverse regulatory actions.
Review of the inspection trends can be useful in assessing the regulatory status of your own company and help aid in the preparation for upcoming inspections. This session from IVT's Contamination and Control Week provides an in-depth, practical look at some of the recent Warning Letters and discusses current trends.
The Validation Master Plan is a a valuable opportunity to provide an overview of your company’s validation process, including organization structure, content, and planning.
Regulatory guidelines on stability testing are mainly designed to address studies that will be applied to support NDAs. However, in any pharmaceutical development program, a number of other stability studies are also required, for example, to help select appropriate formulations and to support regulatory applications for clinical programs. This session from the Institute of Validation Technology's Stability Programs Forum outlines a number of examples of early development stability studies.
This presentation from IVT's 4th Annual reviews what to do when you have an exception, critical vs. non-critical exceptions, and learning how to prevent exceptions.
This presentation from IVT's 4th Annual Validation Week Europe provided a thorough explanation of developing a gap analysis, areas in validation that are issues of concern, and FDA expectations of a manufacturer's gap analysis.
In this presentation from Validation Week Europe, Karen Ginsbury discusses the rigors, preparations, strategies, and the do's and the don't of the FDA Inspection process.
This workshop examines the approach to Continued Process Verification and demonstrating that your product and process are operating in a state of control and continue to do so over the life of the product. Without any prior coordination, the theme was elaborated by the afternoon speakers once the conference itself was underway. The concept of “step up step down” for adjusting the level of product scrutiny both for process parameters monitoring and for sampling and testing quality attributes was explored and developed.
This presentation from IVT's 2nd Annual Validation Week Canada covers the 2011 FDA Process validation and the subsequent statistical processes. Statistics in process validation is introduced as well as the integration with six sigma and solutions to common mistakes.
This presentation from IVT Network's Method Validation Conference covers required and suggested regulations and guidances for biological process specifications. It also covers dosage form considerations and specifications for other components.
This presentation from the Institute of Validation Technology's 7th Annual Method Validation covers regulatory expectations for deviations and out-of-specification results and protocol exceptions, change control, handing investigations and CAPAs, and avoiding common pitfalls.
Handling deviations & unexpected results during method validation
Validation boot camp 4
1. VALIDATION
BOOT
CAMP
#4
LIFECYCLE
APPROACH
TO
PHARMACEUTICAL
VALIDATION
–
PRINCIPLES,
IMPLEMENTATION,
AND
PRACTICE
EQUIPMENT QUALIFICATION –
LIFECYCLE APPROACH
Paul L. Pluta, PhD
1
3. EQUIPMENT QUALIFICATION – LIFECYCLE APPROACH
KEY POINTS SUMMARY
1. Equipment qualification is a vital part of validation.
2. New FDA process validation guidelines has changed expectations
for equipment qualification.
3. Approach equipment qualification by lifecycle approach stages
• Stage 1. Design / understand
• Stage 2. Demonstrate
• Stage 3. Monitor / maintain.
4. Equipment qualification must not be considered a one-time event.
5. Key validation principles identified -- Confirmation, risk analysis,
documentation, others.
6. Qualification options: IO/OQ/PQ or ASTM E2500.
7. Model documents recommended.
8. Documentation is vital: Consistency, content, good documentation
practices, and document retrieval.
3
4. INTRODUCTION -- VALIDATION AND QUALIFICATION
PROCESS VALIDATION – PROCESS QUALIFICATION
PROCESS PERFORMANCE QUALIFICATION
Qualification Qualification
Unit
Equipment #1 Opera.on
HVAC
#1
Utilities
Equipment #2
Facilities
#2
Computers
Equipment #3
#3
Analytical methods validation
Cleaning process validation
Packaging process validation
PROCESS IS VALIDATED
ALL SUPPORTING EQUIPMENT, FACILITIES, UTILITIES, CONTROL SYSTEMS,
ANALYTICAL, ETC. MUST BE QUALIFIED.
4
5. FDA PROCESS VALIDATION GUIDANCE 2011
Validation History
• 1978 – GMP includes Validation
• 1987 – First Validation Guidance
o Equipment IQ
• 2000 à New approaches / documents / presentations
• 2008 – New Process Validation draft guidance
o Equipment and analytical included
• 2011 – New Process Validation Guidance issued
FDA EXPECTATIONS FOR VALIDATION / QUALIFICATION
CONSIDER POTENTIAL APPLICATION TO EQUIPMENT
SAME AUDITORS – PHARMA, DEVICES, PROCESSES, EQUIPMENT
5
6. Definition FDA – 2011
Definition: Collection and evaluation of data, from the
process design stage throughout production, which
establishes scientific evidence that a process is capable
of consistently delivering quality products.
Three stages of activities:
• Stage 1 – Process Design – Development and scale-up activities
• Stage 2 – Process Qualification – Reproducible manufacturing
• Stage 3 – Continued Process Verification – Routine production
1987 VALIDATION -- FOCUS IS PRIMARILY STAGE 2.
2011 VALIDATION -- LIFECYCLE APPROACH
6
7. Medical Device Validation
Comparison to Pharma
• Device IQ = Pharma IQ / OQ / PQ
• Device OQ = Product R&D (Stage 1 development)
• Device PQ = Pharma PV
Reference: Device GHTF
7
8. VALIDATION / QUALIFICATION PRINCIPLES
• Validation is confirmation
• Risk analysis determines everything
• Science and technical basis for design and development
• Lifecycle approach
– Understand, demonstrate, monitor and maintain
• Sampling and testing -- rationale and justification
• Pre-approved acceptance criteria
• Data-based judgments
• Documentation of above
• Document retrieval
• Maintain validation continuously
• Change control
APPLICATION TO EQUIPMENT QUALIFICATION
8
9. VALIDATION IS CONFIRMATION
Successful validation is expected.
Do not initiate validation unless success is
expected.
Validation is not the final step in development,
installation, optimization, fine-tuning, or other
development activities.
Amendments, mistakes, failures scope changes,
etc. all have negative implications.
9
10. RISK MANAGEMENT
Risk defines everything.
Test only critical equipment parameters in
validation. Risk level determines level of testing.
Test non-critical equipment parameters during
commissioning.
Document risk assessment.
10
11. EQUIPMENT QUALIFICATION APPLICATIONS
Lifecycle approach
Risk analysis
Science and technical basis for design and development
Validation confirms equipment design and development
Sampling and testing -- rationale and justification – based on risk
Pre-approved acceptance criteria
Data-based judgments
Document everything – Retrieve documents
Maintain validation continuously throughout lifecycle -- based on risk
• Preventive maintenance
• Calibration
• Change control
DOES THIS MAKE SENSE?
11
13. QUALIFICATION APPROACHES
DQ / IQ / OQ / PQ
Traditional qualification
DQ – Multiple functions and applications
• Purchasing document
• Equipment design document
Documents may be combined
• IQ, OQ, PQ
• IOQ, PQ
• IOQ
13
14. DQ / IQ / OQ / PQ CONTENT
DQ – Design Qualification
• Equipment description
• Equipment design requirements
• Purchase / design specific requirements
IQ – Installation Qualification
• Components
• Drawings
• Operating manuals
• Product-contact material composition
• Surface area calculations (product contact equipment)
• Calibration
• Preventive maintenance
• Equivalence to other equipment
• Most difficult to clean locations
• Other
OQ – Operation Qualification
• Worst case / range parameter operation
PQ – Performance Qualification
• Integrated parameter operation with representative materials
14
15. ISPE EQUIPMENT VALIDATION
User Requirements PQ
Specification
Functional Specification OQ
Design Specifications IQ
System Build
15
15
16. EQUIPMENT QUALIFICATION LIFECYCLE
1. Capital request with design (DQ)
2. Equipment build
3. Factory Acceptance Test (FAT)
4. Site Acceptance Test (SAT)
5. Commissioning
6. IQ
7. OQ
8. PQ
9. Preventive Maintenance and Calibration
10. Change control
11. Decommissioning
CONSISTENT WITH STAGE APPROACH
DOCUMENTATION ON ALL
16
16
17. EQUIPMENT QUALIFICATION
Installation Qualification (IQ)
Operational Qualification (OQ)
Performance Qualification (PQ)
Test and document critical items only.
FAT, SAT, and Commissioning
Test and document non-critical items.
17
18. ASTM E2500. Standard Guide for Specifications, Design, and
Verification of Pharmaceutical and Biopharmaceutical
Manufacturing Systems and Equipment
• Design Input
• Design Review
• Risk Mitigation
• Critical Control Parameters Define
• Acceptance Criteria
• Verification Testing
• Performance Testing
• GEP scope and QA scope have clear boundary
• Process, Product Quality and Patient Safety
• Quality by Design, Design Space and Continuous Improvement
18
21. TRADITIONAL QUALIFICATION VS. E2500
Focused objective
Comprehensive approach
Includes risk analysis
Critical parameters
Less paperwork
• Same content
21
22. DOCUMENTATION HIERARCHY
Company policy
Validation Master Plan
DQ
Design and development
SAT / FAC
Commissioning
Validation / Qualification Request / Plan
IQ /OQ /PQ Protocol / Results / Report
Post Validation Monitoring / Maintenance
Change control
Associated technical document (e.g., manuals, etc.)
Associated documents (e.g., training, HR)
Management Review
CONSISTENT LIFECYCLE APPROACH
22
24. VALIDATION REQUEST OUTLINE
Objective of validation
Why needed?
Impact of validation
• Risk analysis
Why acceptable?
• Compliance to internal requirements, policies, engineering standards, etc.
• Regulatory impact (Prior approval, CBE, CBE30, etc.)
• Other systems or product impacted
• Procedure changes or other document changes
• Notifications to affected groups (internal, external, labs)
Validation plan -- Approach to accomplish validation
Above applicable to equipment and other qualification
HAVE MODEL DOCUMENTS AVAILABLE
24
25. QUALIFCATION PLAN OUTLINE
Introduction
Technical information
Qualification strategy and testing
Qualification documentation
• List of required protocols, reports, procedures, etc.
• Administrative benefit
References
• List of reports and scientific references (including Stage 1
reports)
HAVE MODEL DOCUMENTS AVAILABLE
25
27. RESULTS OUTLINE
Introduction
Data sheets compiled
Data treatment
Results
Deviations, Non-conformances, etc.
Discussion
• “Results pass” is not sufficient.
Validation statement:
“Results indicate that ___ is validated / qualified.”
Post-validation plan
WRITE DISCUSSION SECTION FIRST – MOST IMPORTANT SECTION
HAVE MODEL DOCUMENTS AVAILABLE
27
28. QUALIFICATION REPORT
Combined IQ / OQ / PQ results
Helpful in audit – total summary
“Cut and paste” results and conclusions sections
Consistency and completeness important
28
29. REPORT FORMAT
• Introduction
• Key information from Validation Plan
• Supporting information
• Protocol #1 results – “Cut and paste”
• Protocol #2 results – “Cut and paste”
• Protocol #3 results – “Cut and paste”
• Protocol #n results – “Cut and paste”
• Write transitional narrative
• Project conclusions
• Validation statement
– “Results indicate that ______ is validated / qualified.”
HAVE MODEL DOCUMENTS AVAILABLE
29
30. TEMPLATES vs. MODEL DOCUMENTS
Recommendation:
1. Prepare “perfect” document – make available as
needed
2. Assemble multiple documents from different
applications
3. Upgrade as needed
4. Documents available to technical writers
5. Validation Review Board maintain standards.
30
31. DOCUMENTATION PROBLEMS
• Qualification statement: “________ is qualfied.”
• Documentation content
o Scientific and technical
o Compliance with policies/procedures/regulations
• Errors, mistakes, and omissions
o Sampling and data pages
o Equipment not ready to be qualified
• Original data consistency
o Documentation practices – original data
o Missing results
o Retrieval
• Documentation rules
• Others
31
32. DOCUMENTATION –
THREE SIMPLE RULES
1. Clear, complete, concise, consistent
2. “Stand-alone” documents – written for the
reader
3. Short sentences and simple words
32
33. SUMMARY
1. Equipment qualification is a vital part of validation.
2. New FDA process validation guidelines has changed expectations for
equipment qualification.
3. Approach equipment qualification by lifecycle approach stages
• Stage 1. Design / understand
• Stage 2. Demonstrate
• Stage 3. Monitor / maintain.
4. Equipment qualification must not be considered a one-time event.
5. Key validation principles identified -- Confirmation, risk analysis,
documentation, others.
6. Qualification options: IO/OQ/PQ or ASTM E2500 .
7. Documentation is vital: Consistency, content, good documentation
practices, and document retrieval.
8. Implementation strategies: Management support and document content.
9. Lifecycle change = Reorientation – Not a significant change.
33
34.
PAUL
L.
PLUTA,
PhD
Editor-‐in-‐Chief
Journal
of
Valida-on
Technology
Journal
of
GXP
Compliance
Advanstar
Communica.ons
Adjunct
Associate
Professor
University
of
Illinois
at
Chicago
(UIC)
College
of
Pharmacy
Chicago,
IL,
USA
PharmaceuJcal
industry
experience
Contact:
paul.pluta@comcast.net
34