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Developing a Risk-Based Design Space for Analytical Methods
Ying Verdi
IVT LAB WEEK EUROPE
June 2017
Partners in Health Since 1919
Term and Definitions
ATP and CQA
Risk Assessment, Design Space, and DoE
Control Strategy
Case Study
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Uncertainty, Error, and Risks
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•A parameter associated with the result of a measurement, that characterizes the dispersion of the values that could reasonably be attributed to the measurand
EURACHEM/CITAC Guide Quantifying Uncertainty in Analytical Measurement 3rd Edition, 2012
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•Uncertainty of measurement does not imply doubt about the validity of a measurement
•Knowledge of the uncertainty implies increased confidence in the validity of a measurement result
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Sample Preparation
Standard Preparation
Instrument Calibration
Analytical Measurement
Data Output(Acquisition and Processing)
Results Presentation
Manufacturing ProcessLaboratory
Sample
Test Portion
Drying & Weighing
Dispensing & Weighing
Representative
Homogeneity
IntegritySelectivity
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• Error of Measurement• Difference between an individual result and the true value of
the measurand
• Types of Error• Random Error• Systematic Error• Gross Error
EURACHEM/CITAC Guide Quantifying Uncertainty in Analytical Measurement 3rd Edition, 2012
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• Random Error (Noise)• In replicate measurements varies in an
unpredictable manner
• Systematic Error (Bias)• In replicate measurements remains
constant or varies in a predictable manner
• Gross errors• Only abandonment of the experiment
and a fresh start is an adequate cure
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Error Uncertainty
A single value A range or interval
The value of a known error can be applied as a correction to the result
The value of the uncertainty cannot be used to correct a measurement result
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DistributionRectangular (Uniform)
Triangular Normal
Shape
Most Conservative
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• Type A Method of evaluation of uncertainty by the statistical analysis of series of observations• Normal distribution
• Type B Method of evaluation of uncertainty by means other than the statistical analysis of series of observations• Rectangular distribution
• Triangular distribution
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• Accurately weigh approximately 100mg of reference standard into a 250-mL volumetric flask• Reference standard; Purity (99.46 ±0.25)
• Dissolve in water at a laboratory temperature of 20 ± 4°C
• Dilute to Volume and mix well
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Define
• Process Elements
Identify
• Error Sources
Estimate
• Individual Contributions
Combine
• Overall Uncertainty
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“ There are known knowns; there are things we know that we know. There are known unknowns; that is to say, there are things that we now know we don't know. But there are also unknown unknowns – there are things we do not know we don't know. ”
— United States Secretary of Defense, Donald Rumsfeld
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Analytical Process
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• “The ATP is based on the understanding of the target measurement uncertainty, which is the maximum uncertainty that the data should have in order to maintain acceptable levels of confidence in data quality”
USP Stimuli articles: Lifecycle Management of Analytical Procedures: Method Development, Procedure Performance Qualification, and Procedure Performance Verification
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• Assay: The procedure must be able to quantify [analyst] in [presence of X, Y, Z] over a range of A% to B% of the nominal concentration with an accuracy and uncertainty so that the reportable result falls within +/- C% of the true value with at least a 90% probability determined with 95% confidence
Specificity
Range
Accuracy
Precision (Repeatability, Intermediate Precision, Reproducibility)
Acceptable Risk
Acceptable Uncertainty
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Test Method
Noise Inputs Temp & Humidity Equipment Aging Analyst Day of Week Season of Year
Shift
Controllable Inputs Reagent Grade Apparatus Class Mixing Technique Materials Software Setting
Process Inputs Sample and Std Prep Test Solutions Instruments
Parameters
Process Outputs System Suitability Test Results
Other CQAs
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Analytical Procedure
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•Cause and Effect Diagram
• Failure Modes Effect Analysis (FMEA)
• Traffic Light Chart
• Flow Down Map
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• FMEA is used for identifying the critical method variables, and the impact of the variables on the CQAs of the analytical method• Evaluated variables using Probability, Detectability, and Severity
• Rank each variable’s (P), (S) and (D)
• Calculate the Risk Score (Risk Priority Number, RPN)
• Prioritize
P S D RPN
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Response 1 Response 2 Response 3 Response 4 Response 5
Buffer Conc. Low
%Organic High
Column Temp.
Wavelength
Mixing Time
Diluent Strength
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Raw Data
Filtered Std Solution
H2O
Filtering
UV Analysis Software
Disposable Syringe
Syringe Filter
Standard Solution
Glass Tube
Analytical Balance
Mixing Dissolving
Flow Cell
Result
Weighed Ref. Standard
WeighingVolumetric
FlaskReference Standard
Intermediate
Process
Softgood Raw Material
Hardgood Raw Material
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Typical DoE for Test Method:
• One Factor at a Time (OFAT)
• Screening
• Optimization
• Robustness
pH
Res
olu
tio
n
2 4 6
1.5
2.5
2.0
3.0
1.0
53 pH
Res
olu
tio
n
2 4 6
1.5
2.5
2.0
3.0
1.0
53 pH
Res
olu
tio
n
2 4 6
1.5
2.5
2.0
3.0
1.0
5
Blue Line = Screening
3 pH
Res
olu
tio
n
2 4 6
1.5
2.5
2.0
3.0
1.0
5
Blue Line = ScreeningOrange Line = Reality
3 pH
Res
olu
tio
n
2 4 6
1.5
2.5
2.0
3.0
1.0
5
Blue Line = ScreeningOrange Line = RealityGreen Line = Optimization
3 pH
Res
olu
tio
n
2 4 6
1.5
2.5
2.0
3.0
1.0
5
Blue Line = ScreeningOrange Line = RealityGreen Line = Optimization
3 pH
Res
olu
tio
n
2 4 6
1.5
2.5
2.0
3.0
1.0
5
Blue Line = ScreeningOrange Line = RealityGreen Line = OptimizationRed line = Robustness Study
3 pH
Res
olu
tio
n
2 4 6
1.5
2.5
2.0
3.0
1.0
5
Blue Line = ScreeningOrange Line = RealityGreen Line = OptimizationRed line = Robustness Study
3 pH
Res
olu
tio
n
2 4 6
1.5
2.5
2.0
3.0
1.0
5
Blue Line = ScreeningOrange Line = RealityGreen Line = OptimizationRed line = Robustness Study
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• Start with Screening DoE• Study a large number of variables• Pareto rule (80/20 rule)• Factors
• linear (1st order) relationship
• Two levels (high vs low)
• Main effect interaction and quadratic relationship (2nd order)
•Optimization with fewer factors• Identify the method design space – best performance
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• Independent variables of a process
• Parameters or aspects of the process that we can set or change independently
• Type of Factors• Continuous vs Categorical Factors (HPLC flow rate, HPLC column, etc.)
• Controlled Factors (reagent grade, glassware class, etc.)
• Uncontrolled Factors (mother nature, instrument aging, vendors, etc.)
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• Dependent variables of a process
• The responses are the outputs of the process
• Response vs CQAs
• More than one response can be studied in a DoE
• Characteristic of response• Goal (minimize, maximize, on target)
• Limit
• Importance
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•Choose samples based on method category• Standard• Forced Degradation• Spiked • Precision
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• The multidimensional combination and interaction of input variables (e.g., material attributes) and process parameters that have been demonstrated to provide assurance of quality
• Working within the design space is not considered as a change
• Movement out of the design space is considered to be a change
• Design space is proposed by the applicant and is subject to regulatory assessment and approval
- (ICH Q8)
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Analytical Procedure
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• A planned set of controls, derived from current product and process understanding, that assures process performance and product quality (ICH Q10)
• Drug Product• Designed to ensure that a product of required quality will be produced consistently
• Derives from management of risk and should lead to assurance of consistent quality of product in alignment with the QTPP
• Analytical Procedure• Designed to ensure that the required performance of a analytical method will be
produced consistently
• Derived from method understanding, and aligned with ATP
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• Every analytical procedure has an associated control strategy• Overall method performance control strategy, e.g. System Suitability
• Unit operations control strategy, e.g., Buffer Conc. and pH
• Instrument operations control strategy, e.g., temperature, IQ, OQ, and PD, maintenance and calibration, etc.
• The Analytical Control Strategy plays a key role in ensuring that the ATP is realized throughout the lifecycle and also should be considered throughout the lifecycle as part of development, continual improvement, and change management (USP/PF <1220>)
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• What are the method performance criteria (ATP)
• Prior knowledge on analyst, chemicals, reagents, and procedure
• Knowledge gained during method development
• Risk Assessment for process steps and variables• Assure all critical method parameters (CMPs) are identified
• Design Space
• Knowledge gained during method validation
• Control Strategy implementation, maintenance, and updating
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Acetaminophen Tablet Assay (USP38-NF33 S2)
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Procedure:
Mobile phase Methanol and water (1:3)
Standard solution 0.01 mg/mL of USP Acetaminophen RS in Mobile phase
Sample stock solution Nominally 0.5 mg/mL of acetaminophen prepared as follows:
Weigh, and finely powder NLT 20 Tablets
Transfer 100 mg of acetaminophen from a portion of powdered
Tablets to a 200-mL volumetric flask
Add 100 mL of Mobile phase
Shake by mechanical means for 10 min
Sonicate for 5 min
Dilute with Mobile phase to volume
Sample solution Nominally 0.01 mg/mL of acetaminophen in Mobile phase from
the Sample stock solution
Pass a portion of this solution through a filter of 0.5-µm or finer
pore size, discarding the first 10 mL of the filtrate
Use the clear filtrate42
Analysis:
Mode LC
Detector UV 243 nm
Column 3.9-mm × 30-cm; packing L1
Flow rate 1.5 mL/min
Injection volume 10 µL
System suitability
Column efficiency NLT 1000 theoretical plates
Tailing factor NMT 2
Relative standard deviation NMT 2.0%
Acceptance criteria
90.0%–110.0%
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Mobile Phase/Diluent
Sample Stock Solution
Sample Analysis
Filtered Sample Solution
Mobile Phase/Diluent
Standard Solution
Glass Container
Graduate Cylinder
H2O
Mixing
Sonicator
Mechanical Shaker
Sample Tablets (n=20)
VolumetricFlask, 200mL
Balance
Dissolving/Mixing
Mortar/pestle
Filtering
AutosamplerVial
Autosampler
Software
Detector
Injector
Column
Thermo Control Unit
Disposable Syringe
Methanol
Syringe Filter
Glass Container
Graduate Cylinder
H2O
Mixing
Methanol
AutosamplerVial
Balance
Reference Standard
Dissolving/Mixing
VolumetricFlask
Sample Solution
VolumetricFlask
Pipet
Mixing
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• Factors• %Organic: 20 – 30%
• Flow Rate (mL/min): 1.3 – 1.7
• Column Temp. (°C): 25 - 45
• Grinding Technique: Coffee Grinder vs Mortar & Pestle
• Sonicating Duration (min): 5 - 20
• Sonicating Temp. (°C): 25 - 40
• Responses• Accuracy
• Precision
• Specificity
• Retention Time
• Samples• Diluent
• Placebo
• Spiked Sample
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Accuracy Precision SpecificityRentention
Time
pH Low Low Low Low
Counterion Type Low Low Low Low
Concentration Low Low Low Low
%Organic Low Low High High
Pump (Isocratic) Flow Rate Low Low Low High
Column Temp Low Low Low High
Wavelength Low Low Low Low
Sampling Rate Low Low Low Low
Draw speed Low Low Low Low
Injection Speed Low Low Low Low
Injection Volume Low Low Low Low
Grinding High High Low Low
Mixing Temperature High High Low Low
Mixing Duration High High Low Low
Diluent Strength Low Low Low Low
Filtration Low Low Low Low
Mixing Low Low Low Low
Mobile Phase
Grinding/Mixing
Filtering/Diluting
Sample
Preparation
Injector
HPLC
Conditions
Detector
Process Parameters
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Factors Critical (y/n) MODR%Organic y 20 - 30%
Flow Rate (mL/min) y 1.4 - 1.6Column Temp. (°C) n NAGrinding Technique n NA
Sonicating Duration (min) y 10 – 20 minSonicating Temp. (C) n NA
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CQA Unit operation How to control? Set-Point (Range) Reference
Retention Time
HPLC Setting%Organic
Content in MP 25% (20 - 30%) Screening DoE
Specificity HPLC Setting%Organic
Content in MP25% (20 - 30%) Screening DoE
Accuracy Sample Prep Sonication Time 10 min (10 - 20 min) Screening DoE
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