Validation Tutorial

Validation Tutorial
This tutorial is designed to enhance knowledge of

biotechnological/pharmaceutical processes. The
topics covered within this tutorial will give preliminary
explanations and conclusions. However, references
for more in depth study will be provided. It is strongly
suggested that you investigate these references.
Overview
What is Validation?
– This section will define validation and will put its meaning in terms
pertinent for a chemical engineer.
Food and Drug Administration (FDA)
– This section will explain the role of the FDA in validation and the
guidelines it sets forth.
Equipment Validation
– This section will explain what role unit operations equipment plays in
validation and why that is important.
Process Validation
– This section will explain the implications of validation in the overall
manufacturing process.
Applications to Facility Design
– This section will discuss considerations to facility design in light of
validation.
What is Validation?
According to the Food and Drug Administration (FDA), the goal of

validation is to:
“establish documented evidence which provides a high degree of

assurance that a specific process will consistently produce a
product meeting its predetermined specifications and quality
attributes.” [1]
What is Validation?
What does this mean?

– An quantitative approach is needed to prove quality,
functionality, and performance of a
pharmaceutical/biotechnological manufacturing process.
– This approach will be applied to individual pieces of equipment

as well as the manufacturing process as a whole.
– Guidelines for validation are set by the FDA, but the specifics of
validation are determined by the pharmaceutical/biotech
company.
What is Validation?
Phases of Validation
– Validation is broken down into three phases:
Installation Qualification (IQ)
Operational Qualification (OQ)
Performance Qualification (PQ)
– These three protocols are used to define tests that will

demonstrate that the process consistently and repeatedly
produces the desired product.
What is Validation?
Installation Qualification (IQ)

– This is the first step in validation.
– This protocol insures that the system/equipment and its

components are installed correctly and to the original
manufacturer’s specifications.
– Calibration of major equipment, accessory equipment, and/or

utilities should be performed in this step as well.
What is Validation?
Operational Qualification (OQ)

– This step proceeds after the IQ has been performed.
– In the OQ, tests are performed on the critical parameters of the

system/process. These are usually the independent and/or
manipulated variables associated with the system/equipment.
– All tests’ data and measurements must be documented in order

to set a baseline for the system/equipment.
What is Validation?
Performance Qualification (PQ)

– This is the third and final phase of validation.
– This phase tests the ability of the process to perform over long
periods of time within tolerance deemed acceptable.
– PQ is performed on the manufacturing process as a whole.

Individual components of the system are not tested individually.
What is Validation?
An example validation protocol can be seen here: sample validation

protocol.
FDA
The FDA is a federal science-based law enforcement agency

mandated to protect public health.
The validation process is regulated by the guidelines and

restrictions set forth by the FDA. However, the actual validation
protocol, documentation, and execution is the responsibility of the
manufacturer. More specifically, this is the responsibility of the
engineer.
FDA
Code of Federal Regulations (CFR)

– This is the body of regulations, created by the US government,
that sets forth the guidelines pertaining to food and drugs.
– 21 CFR Part 210 concerns current good manufacturing practice

in manufacturing, processing, packing, or holding of drugs.
– 21 CFR Part 211 concerns current good manufacturing practice

for finished pharmaceuticals
FDA
– 21 CFR Part 600 pertains to the safe production of biological

derived products.
– 21 CFR Part 610 pertains to the safe distribution of biologically

derived products.
As mentioned earlier, each piece of must be validated in order to

legally operate within the facility.
The goal is to produce consistent results with minimal variation

without compromising the integrity of the product and the persons
operating the equipment.
A plan of validation should be drafted and executed by engineers in

order to satisfy guidelines. The validation plan generally consists of
IQ and OQ sections.
Any major equipment changes after the initial validation will result in
the need for subsequent revalidation.
In the end, equipment validation will create specification ranges and

tolerances that will be applied to the normal operation of equipment.
Process Validation
The manufacturing process, in addition to the individual equipment,

must be validated.
The goal is to create a robust manufacturing process that

consistently produces a drug product with minimal variation that
adheres to quality criteria of purity, identity, and potency.
A validation plan for the manufacturing process should be drafted

and executed by engineers in order to satisfy guidelines. The
validation plan usually involves just a PQ section.
Process Validation
Just as equipment validation, major changes after the initial

validation will result in the need for subsequent revalidation.
In the end, process validation will ensure a robust product that is

highly reproducible over time.
Applications to Facility Design
Facilities should be designed in order to facilitate any changes that

may arise after initial validation.
In the case of retrofitting, current facilities services (WFI, CIP, SIP,

HVAC, etc.), equipment, and instrumentation should be assessed
for revalidation. This assessment will be based on age of the
individual system and the needs of the new process.
Resources
[1] www.fda.gov
– 21 CFR Part 210:
http://www.accessdata.fda.gov/scripts/cdrh/cfdocs/cfcfr/CFRSearch.cfm?CFRPar
t=210&showFR=1
– 21 CFR Part 211:
t=211&showFR=1
– 21 CFR Part 600:
t=600&showFR=1
– 21 CFR Part 610:
http://www.accessdata.fda.gov/scripts/cdrh/cfdocs/cfcfr/CFRSearch.cfm?
CFRPart=610&showFR=1
Resources
[2] www.validationworld.com
– Information concerning IQ: http://www.cqionline.com/knowledge/iq.html
– Information concerning OQ: http://www.cqionline.com/knowledge/oq.html
– Information concerning PQ: http://www.cqionline.com/knowledge/pq.html
[3] Patricia Stewart-Flaherty. Performance Validation. Presentation. 13 Apr.

2003.
[4] Sofer, Gail and Zabriskie, Dane W., ed. Biopharmaceutical Process
Validation. New York: Marcel Dekker, 2000.
[4] Avis, Kenneth E., Wagner, Carmen M., Wu, Vincent L., ed.
Biotechnology: Quality Assurance and Validation. Buffalo Grove, Illinois:
Interpharm Press, Inc., 1999.
Resources
[5] Carleton, Fredrick J. and Agalloco James P. ed. Validation of

Pharmaceutical Processes. New York: Marcel Dekker, Inc., 1999.

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Validation Tutorial

This tutorial is designed to enhance knowledge of

According to the Food and Drug Administration (FDA), the goal of

“establish documented evidence which provides a high degree of

What does this mean?

– This approach will be applied to individual pieces of equipment

– These three protocols are used to define tests that will

Installation Qualification (IQ)

– This protocol insures that the system/equipment and its

– Calibration of major equipment, accessory equipment, and/or

Operational Qualification (OQ)

– In the OQ, tests are performed on the critical parameters of the

– All tests’ data and measurements must be documented in order

Performance Qualification (PQ)

– PQ is performed on the manufacturing process as a whole.

An example validation protocol can be seen here: sample validation

The FDA is a federal science-based law enforcement agency

The validation process is regulated by the guidelines and

Code of Federal Regulations (CFR)

– 21 CFR Part 210 concerns current good manufacturing practice

– 21 CFR Part 211 concerns current good manufacturing practice

– 21 CFR Part 600 pertains to the safe production of biological

– 21 CFR Part 610 pertains to the safe distribution of biologically

As mentioned earlier, each piece of must be validated in order to

The goal is to produce consistent results with minimal variation

A plan of validation should be drafted and executed by engineers in

In the end, equipment validation will create specification ranges and

The manufacturing process, in addition to the individual equipment,

The goal is to create a robust manufacturing process that

A validation plan for the manufacturing process should be drafted

Just as equipment validation, major changes after the initial

In the end, process validation will ensure a robust product that is

Facilities should be designed in order to facilitate any changes that

In the case of retrofitting, current facilities services (WFI, CIP, SIP,

[3] Patricia Stewart-Flaherty. Performance Validation. Presentation. 13 Apr.

[5] Carleton, Fredrick J. and Agalloco James P. ed. Validation of

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