JANUARY 2013

CLEANING VALIDATION
CLEANING VALIDATION JANUARY 2013

1. PRINCIPLE

1.1 Pharmaceutical products and active pharmaceutical ingredients

(APIs) can be contaminated by other pharmaceutical products or
APIs, by cleaning agents, by micro-organisms or by other
material (e.g. air-borne particles, dust, lubricants, raw materials,
intermediates, auxiliaries). In many cases, the same equipment
may be used for processing different products. To avoid
contamination of the following pharmaceutical product, adequate
cleaning procedures are essential.

1.2 Cleaning procedures must strictly follow carefully established

and validated methods of execution. This applies equally to the
manufacture of pharmaceutical products and active
pharmaceutical ingredients (APIs). In any case, manufacturing
processes have to be designed and carried out in a way that
contamination is reduced to an acceptable level.

1.3 Cleaning Validation is documented evidence that an approved

cleaning procedure will provide equipment that is suitable for
processing of pharmaceutical products or active pharmaceutical
ingredients (APIs).

1.4 The objective of the Cleaning Validation is the confirmation of a

reliable cleaning procedure so that the analytical monitoring may
be omitted or reduced to a minimum in the routine phase.

2. PURPOSE AND SCOPE

2.1 These guidance notes describe the validation of cleaning

procedures for the removal of contaminants associated with the
previous products, residues of cleaning agents as well as the
control of potential microbial contaminants.

2.2 These guidance notes apply to the manufacture of

pharmaceutical products (final dosage forms) and of active
pharmaceutical ingredients (APIs).

3. GENERAL

3.1 Normally only cleaning procedures for product contact surfaces

of the equipment need to be validated. Consideration should be
given to non-contact parts into which product may migrate. For
example, seals, flanges, mixing shaft, fans of ovens, heating
elements etc.

3.2 Cleaning procedures for product changeover in the case of

marketed products should be fully validated.

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3.3 Generally in case of batch-to-batch production it is not

necessary to clean after each batch. However, cleaning intervals
and methods should be determined.

3.4 Several questions should be addressed when evaluating the

cleaning process. For example:

- At what point does a piece of equipment or system become

clean?

- What does ‘visually clean’ mean?

- Does the equipment need to be scrubbed by hand?

- What is accomplished by hand scrubbing rather than just a

solvent wash?

- How variable are manual cleaning processes from batch to

batch and product to product?

- What is the most appropriate solvent or detergent?

- Are different cleaning processes required for different

products in contact with a piece of equipment?

- How many times need a cleaning process be applied to

ensure adequate cleaning of each piece of equipment?

3.5 Cleaning procedures for products and processes, which are very
similar, do not need to be individually validated. It is considered
acceptable to select a representative range of similar products
and processes concerned and to justify a validation program,
which addresses the critical issues relating to the selected
products and processes. A single validation study under
consideration of the “worst case” can then be carried out which
takes account of the relevant criteria. This practice is termed
"Bracketing".

3.6 At least three consecutive applications of the cleaning procedure

should be performed and shown to be successful in order to
prove that the method is validated.

3.7 Raw materials sourced from different suppliers may have

different physical properties and impurity profiles. Such
differences should be considered when designing cleaning
procedures, as the materials may behave differently.

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3.8 Control of change to validated cleaning procedures is required.
Re-validation should be considered under the following
circumstances:

3.8.1 Re-validation in cases of changes to equipment, products

or processes; and

3.8.2 Periodic re-validation at defined intervals.

3.9 Manual methods should be reassessed at more frequent

intervals than clean-in-place (CIP) systems.

3.10 It is usually not considered acceptable to "test until clean". This

concept involves cleaning, sampling and testing, with repetition
of this sequence until an acceptable residue limit is attained.
For the system or equipment with a validated cleaning process,
this practice of "test until clean" should not be required. The
practice of "test until clean" is not considered to replace the
need to validate cleaning procedures.

3.11 Products that simulate the physicochemical properties of the

substance to be removed may be used instead of the
substances themselves, where such substances are either toxic
or hazardous.

4. DOCUMENTATION

4.1 A Cleaning Validation Protocol is required laying down the

procedure on how the cleaning process will be validated. It
should include the following:

- The objective of the validation process;

- Responsibilities for performing and approving the validation

study;

- Description of the equipment to be used;

- The interval between the end of production and the

beginning of the cleaning procedures;

- Cleaning procedures to be used for each product, each

manufacturing system or each piece of equipment;

- The number of cleaning cycles to be performed

consecutively;

- Any routine monitoring equipment;

- Sampling procedures, including the rationale for why a

certain sampling method is used;
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- Clearly defined sampling locations;

- Data on recovery studies where appropriate;

- Analytical methods including the limit of detection and the

limit of quantitation of those methods;

- The acceptance criteria, including the rationale for setting the

specific limits;

- Other products, processes, and equipment for which the

planned validation is valid according to the “bracketing”
concept; and

- When Re-validation will be required.

4.2 The Cleaning Validation Protocol should be formally approved

by the Plant Management, to ensure that aspects relating to the
work defined in the protocol, for example personnel resources,
are known and accepted by the management. Quality
Assurance should be involved in the approval of protocols and
reports.

4.3 A Final Validation Report should be prepared. The conclusions

of this report should state if the cleaning process has been
validated successfully. Limitations that apply to the use of the
validated method should be defined (for example, the analytical
limit at which cleanliness can be determined). The report should
be approved by the Plant Management.

4.4 The cleaning process should be documented in an SOP.

4.5 Records should be kept of cleaning performed in such a way

that the following information is readily available:

- The area or piece of equipment cleaned;

- The person who carried out the cleaning;

- When the cleaning was carried out;

- The SOP defining the cleaning process; and

- The product, which was previously processed on the

equipment being cleaned.

4.6 The cleaning record should be signed by the operator who

performed the cleaning and by the person responsible for
Production and should be reviewed by Quality Assurance.
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5. PERSONNEL

5.1 Operators who perform cleaning routinely should be trained in

the application of validated cleaning procedures. Training
records should be available for all training carried out.

5.2 It is difficult to validate a manual, i.e. an inherently

variable/cleaning procedure. Therefore, operators carrying out
manual cleaning procedures should be supervised at regular
intervals.

6. EQUIPMENT

6.1 The design of the equipment should be carefully examined.

Critical areas (those hardest to clean) should be identified,
particularly in large systems that employ semi-automatic or fully
automatic clean-in-place (CIP) systems.

6.2 Dedicated equipment should be used for products, which are

difficult to remove (e.g. tarry or gummy residues in the bulk
manufacturing), for equipment which is difficult to clean (e.g.
bags for fluid bed dryers), or for products with a high safety risk
(e.g. biologicals or products of high potency which may be
difficult to detect below an acceptable limit).

7. MICROBIOLOGICAL ASPECTS

7.1 The existence of conditions favorable to reproduction of micro-

organisms (e.g. moisture, temperature, crevices and rough
surfaces) and the time of storage should be considered. The aim
should be to prevent excessive microbial contamination.

7.2 The period and when appropriate, conditions of storage of

equipment before cleaning and the time between cleaning and
equipment reuse, should form part of the validation of cleaning
procedures. This is to provide confidence that routine cleaning
and storage of equipment does not allow microbial proliferation.

7.3 In general, equipment should be stored dry, and under no

circumstances should stagnant water be allowed to remain in
equipment subsequent to cleaning operations.

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8. SAMPLING

8.1 Samples should be drawn according to the Cleaning Validation

Protocol.

8.2 There are two methods of sampling that are considered to be

acceptable, direct surface sampling (swab method) and indirect
sampling (use of rinse solutions). A combination of the two
methods is generally the most desirable, particularly in
circumstances where accessibility of equipment parts can
mitigate against direct surface sampling.

A. Direct Surface Sampling

(i) The suitability of the material to be used for sampling and

of the sampling medium should be determined. The
ability to recover samples accurately may be affected by
the choice of sampling material. It is important to ensure
that the sampling medium and solvent are satisfactory
and can be readily used.

B. Rinse Samples

(i) Rinse samples allow sampling of a large surface area. In

addition, inaccessible areas of equipment that cannot be
routinely disassembled can be evaluated. However,
consideration should be given to the solubility of the
contaminant.

(ii) A direct measurement of the product residue or

contaminant in the relevant solvent should be made when
rinse samples are used to validate the cleaning process.

9. DETERGENTS

9.1 The efficiency of cleaning procedures for the removal of

detergent residues should be evaluated. Acceptable limits
should be defined for levels of detergent after cleaning. Ideally,
there should be no residues detected. The possibility of
detergent breakdown should be considered when validating
cleaning procedures.

9.2 The composition of detergents should be known to the

manufacturer. If such information is not available, alternative
detergents should be selected whose composition can be
defined. As a guide, food regulations may be consulted. The
manufacturer should ensure that he is notified by the detergent
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supplier of any critical changes in the formulation of the
detergent.

10. ANALYTICAL METHODS

10.1 The analytical methods should be validated before the Cleaning

Validation Study is carried out.

10.2 The analytical methods used to detect residuals or contaminants

should be specific for the substance to be assayed and provide
a sensitivity that reflects the level of cleanliness determined to
be acceptable by the company.

10.3 The analytical methods should be challenged in combination

with the sampling methods used, to show that the contaminants
can be recovered from the equipment surface and to show the
level of recovery as well as the consistency of recovery. This is
necessary before any conclusions can be made based on the
sample results. A negative result may also be the result of poor
sampling techniques.

11. ESTABLISHMENT OF LIMITS

11.1 The pharmaceutical company's rationale for selecting limits for

product residues should be logically based on a consideration of
the materials involved and their therapeutic dose. The limits
should be practical, achievable and verifiable.

11.2 The approach for setting limits can be:

- product specific Cleaning Validation for all products,

- grouping into product families and choosing a ‘worst-case’
product,
- grouping into groups of risk (e.g. very soluble products,
similar potency, highly toxic products, difficult to detect).

11.3 Carry-over of product residues should meet defined criteria. For

example, the most stringent of the following three criteria:

(a) No more than 0.1%of the normal therapeutic dose of any

product will appear in the maximum daily dose of the
following product,

(b) No more than 10ppm of any product will appear in another

product,

(c) No quantity of residue should be visible on the equipment

after cleaning procedures are performed. Spiking studies
should determine the concentration at which most active
ingredients are visible,
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(d) For certain allergenic ingredients, penicillins,

cephalosporins or potent steroids and cytotoxics, the limit
should be below the limit of detection by best available
analytical methods. In practice this may mean that
dedicated plants are used for these products.

11.4 One cannot ensure that the contaminate will be uniformly

distributed throughout the system. It is also an invalid conclusion
to make the assumption that a residual contaminant would be
worn off the equipment surface uniformly or that the
contamination might only occur at the beginning of the batch.

11.5 In establishing residual limits, it may not be adequate to focus

only on the principal reactant since chemical variations (active
decomposition materials) may be more difficult to remove.

12. REFERENCE

12.1 PIC/S document, PI 006-3: Recommendations on Validation

Master Plan, Installation and Operational Qualification, Non-
Sterile Process Validation, Cleaning Validation.

END OF DOCUMENT

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Contact Officers:

Jessica Teo
GMP Audit Branch
Audit & Licensing Division
Health Products Regulation Group
Health Sciences Authority

150 Cantonment Road, Cantonment Centre,

Block A #01-02 Singapore 089762
www.hsa.gov.sg

T: 68663509
F: 64789068

Goh Choon Wee

GMP Audit Branch
Audit & Licensing Division
Health Products Regulation Group
Health Sciences Authority

150 Cantonment Road, Cantonment Centre,

Block A #01-02 Singapore 089762
www.hsa.gov.sg

T: 68663520
F: 64789068