LIFECYCLE APPROACH

TO CLEANING VALIDATION PROGRAMS

Paul L. Pluta, PhD

Journal of Validation Technology
Journal of GXP Compliance
University of Illinois at Chicago (UIC) College of Pharmacy
Chicago, IL, USA

1
 PRESENTATION OUTLINE
Process Validation Lifecycle Approach
PV Guidance comparison to current practice
Lifecycle Approach Applied to Cleaning Validation
Stage 1 Activities
• Cleaning Method Development
• Analytical Method Development
• Site equipment
Stage 2 Activities
• Cleaning documentation
• Validation conformance lots
Stage 3 Activities
• Maintaining Validation
• Change Control
• Management review
Documentation
Implementation
Interactions – throughout discussion
Please comments and questions any time during the above.
2
 OBJECTIVES
1. Lifecycle approach principles and description
2. Application of lifecycle approach to cleaning
validation
3. Cleaning lifecycle stage details
• Process development and understanding
• Process qualification
• Maintaining the validated state
4. Cleaning validation problems

3
 LIFECYCLE APPROACH TO CLEANING VALIDATION

Key point: Application of lifecycle approach to process

validation to cleaning validation.
– Value in this approach?
– Does it make sense?

Three stages in lifecycle approach

1. Design and development (understanding)
2. Validation performance (conformance lots)
3. Monitoring and maintenance (ongoing verification)
Actual experiences should lead to process improvements

Reference: FDA. Guidance for Industry. Process Validation: General

Principles and Practices. January, 2011.

4
 Lifecycle Approach to Cleaning Validation –
Value? Does this make sense?
• Cleaning is a process

• Validation lifecycle concepts being applied to equipment,

facilities, utilities, computers, etc., by validation and
technical experts

• Who can argue with understanding, performing, and

maintaining the validated state?

• Consistent with QbD and ICH approaches

• Lifecycle approach (i.e., understanding, performing,

maintaining) vs. traditional approach – Which would
you rather present to an auditor?
5
 TERMINOLOGY: PROCESS VALIDATION

Process Validation – Process Qualification –

Process Performance Qualification (PPQ)

Qualification Qualification
Equipment #1 HVAC
Utilities
UO #1
Equipment #2 Process steps Facilities
UO #2 Computers
Equipment #3 Process steps
UO #3
Process steps

Analytical methods validation

Cleaning process validation
Packaging process validation

Acceptable lots = Process is validated

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 FDA PROCESS VALIDATION GUIDANCE (2011)

Definition: Collection and evaluation of data, from the process design

stage throughout commercial production, which establishes
scientific evidence that a process is capable of consistently
delivering quality products. Process validation involves a series of
activities over the lifecycle of the product and process.

Three stages of activities:

• Stage 1 – Process Design – Development and scale-up activities
• Stage 2 – Process Qualification – Reproducible manufacturing
• Stage 3 – Continued Process Verification – Maintaining the
validated state during ongoing manufacturing

Other topics in Guidance

• Concurrent release
• Documentation
• Analytical methodology
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 VALIDATION GUIDANCE TRANSITION

1987
Development  Performance  Maintenance

2004-2011
Development  Performance  Maintenance
Above based on RISK

8
 FDA PROCESS VALIDATION GUIDANCE (1-2011)
Stage 1. Process design
• R&D / technical development work
Stage 2. Process qualification
• Equipment considerations
• PPQ protocol, testing, results
Stage 3. Continued process verification
• Monitoring and maintaining validation
• Change control
Analytical considerations
Documentation

EXPANDED SCOPE OF PROCESS VALIDATION

CLEANING IS A PROCESS --
APPLICATION OF THE ABOVE TO CLEANING

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 WHAT IS THE CLEANING PROCESS?
Cleaning Process Performance Qualification
Automated CIP System

Process steps Qualification

1. Residue on equipment Equipment
2. Water procedure Purified Water
3. Cleaning agent procedure Computer / software
4. Water procedure Compressed air
5. Purified Water procedure Conductivity analysis
6. Dry TOC analysis

Equipment is clean -- Process is validated

Process parameters  Quality attributes

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 WHAT IS THE CLEANING PROCESS?
Cleaning Process Performance Qualification
Manual Cleaning

Process steps Qualification

1. Residue on equipment Personnel
2. Water rinse Purified Water
3. Scrub with cleaning agent Compressed air
4. Water rinse
5. Scrub
6. Water rinse
7. Purified Water rinse
8. Dry
Equipment is clean -- Process is validated

Process parameters  Quality attributes

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 CLEANING VALIDATION OVERVIEW
1990s present

1. Defined cleaning procedure (SOP) – basis?

2. Product A batch does not contaminate subsequent
Product B batch
3. Acceptance limit calculated
4. Assume uniform contamination of all equipment
5. Three conformance lots = Validated cleaning procedure
6. Validated analytical method (original API)
7. Worst-case matrix approach

One-time event

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 FDA PROCESS VALIDATION GUIDANCE
LIFECYCLE APPROACH TRANSITION
APPPLICATION TO CLEANING VALIDATION

Pre Lifecycle

Cleaning development (?)  PQ  change control

________________________

Lifecycle Approach
Development  PQ  Maintenance
EXPANDED SCOPE OF VALIDATION
INCREASED SPECIFIC STAGE REQUIREMENTS
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 LIFECYCLE APPROACH TO CLEANING VALIDATION
Scientific and technical approach
Design and development
– Residue + cleaning agent + cleaning procedure  Clean equipment
Performance demonstration
Monitoring and maintenance
Rationale, responsibility, and accountability
Future process improvements
Not the following:
– Standard site method (no basis or rationale)
– Personnel driven (no control)
– “Do whatever it takes” (high variation)
– SOP (no accountability)
– Validation (?) – One-time event.

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 STAGE 1, PROCESS DESIGN (PROCESS UNDERSTANDING)
APPLICATION TO CLEANING
FDA Guidance Topics
1. Building and capturing process knowledge and understanding.
2. Establishing a strategy for process control.

Application to Cleaning
Understand residue chemistry (solubility, stability)
Determine cleaning agent based on residue chemistry
Determine cleaning process
• Identify sources of variability
• Establish methods to control variability
– Process Analytical Technology

Rational analytical method and supporting work

Characterization of equipment to be cleaned and supporting work
Trained sampling personnel

DOCUMENT ALL OF THE ABOVE

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 DEVELOPMENT (STAGE 1)
CLEANING PROCESS DEVELOPMENT
• Physical and chemical properties of the residue is basis for cleaning
process
• Considerations for determination of most difficult-to-clean residue
• Residue solubility and stability in determining worst-case soils
• Residue chemistry critical for analytical method
• Cleaning agent chemistry consistent with residue chemistry
• Cleaning process chemistry and engineering and consistent with
residue and cleaning agent.

RESIDUE CHEMISTRY
– BASIS FOR CLEANING PROGRAM
– BASIS FOR ANALYICAL METHOD

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 RESIDUE PROPERTIES -- BASIS FOR CLEANING PROCESS

Case study: Antibiotic suspension containing insoluble API (base)

Original cleaning method: Water, PurW, dry
• No documented cleaning validation for many years
• Unknown peaks on original cleaning validation attempts
• API insoluble

Second method: Alkaline soap wash, water, PurW, dry

• Unknown peaks again
• API insoluble

Final method: Acid wash, alkaline soap wash, water, PurW, dry
• No residues
• Unknown peaks determined to be degradants and flavors.
• API dissolves (acid-base neutralization)

Consider active drug and other residue chemistry in development

of cleaning process
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 DETERMINATION OF
MOST DIFFICULT TO CLEAN RESIDUE
BASIS FOR CLEANING PROGRAM

Water solubility – USP Tables

• Is this adequate? NO!
pH effect – API with ionizable groups?
Solubility in cleaning agent?

• Determine solubility at range pH 1-12

• Understand solubility at pH of cleaning liquid
• Understand solubility in cleaning agent liquid

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 pH SOLUBILITY PROFILE, pH 1-12

Solubility
mg/ml

Drug A

Drug B

pH 1 7 12

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 RESIDUE SOLUBILITY AND STABILITY FOR
DETERMINING WORST-CASE SOILS
Solubility considerations
• Hydrophilic and hydrophobic molecules
• Ionization – Effect of pH
• Effect of temperature
• Surface active molecules
• Liquid and semisolid product vehicle polarity

Stability considerations
• Hydrolysis, oxidation, photolysis, physical changes

What residue is really present?

Consider chemistry of residues
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 CLEANING MATRIX
Determine Worst-Case Soil
SOLUBILITY (mg / ml)
pH 1 Water pH 12 Alkaline
Cleaning Agent
Drug A 25 25 25 25

Drug B 15 15 15 15

Drug C 5 5 150 250

Drug D 150 10 10 50

Drug E 125 10 100 250

Consider acid cleaning agent for drugs D and E

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 WORST CASE CLEANING

Determination of worst-case cleaning based

on API toxicity, worst-case dose, etc.
– Standard calculation
Cleaning procedure may be based on
excipients having greatest effect on
cleaning
– Hydrophilic polymers
– Dyes
– Hydrophobic vehicles

22
 BIOTECH CLEANING CHEMISTRY -- API
Protein molecules degrade in alkaline conditions
Degradation rate is milder in acidic conditions
Degradation rate increases with temperature
API residues typically consist of protein fragments and
aggregates
Analytical method: Non-specific analysis

Reference: Kendrick, Canhuto, and Kreuze. Analysis of

Degradation Products of Biopharmaceutical API Caused
by Cleaning Agents and Temperature. Journal of
Validation Technology, V15, #3, Summer 2009.

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BIOTECH CLEANING CHEMISTRY – GROWTH MEDIUM

Medium Composition
• Acids or bases
• Monovalent salts
• Polyvalent salts
• Amino acids
• Proteins (polypeptides)
• Carbohydrates
• Aqueous soluble organics
• Non-aqueous soluble organics

Consider medium composition at end of cycle.

Reference: Azadan and Canhoto. A Scientific Approach to the Selection of

Cleaning Validation Worst-Case Soils for Biopharmaceutical manufacturing.
Cleaning and Cleaning Validation, Volume 1. 2011.

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 CLEANING CHEMISTRY MECHANISMS
• Wetting
• Emulsification
• Dispersion
• Solubility
• Chelation
• Oxidation
• Hydrolysis

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 CLEANING AGENT OPTIONS
• Water
• Commodity alkalis and acids
• Organic solvents
• Surfactants
– Anionic
– Cationic
– Amphoteric
– Nonionic
• Formulated detergents

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 COMPONENTS OF FORMULATED DETERGENTS
• Surfactants
• Alkalis
• Acids
• Sequestrants / chelants
• Dispersants / anti-redeposition agents
• Corrosion inhibitors
• Oxidizing agents
• Enzymes
• Buffers / builders
• Preservatives

MUST HAVE CONTROL OF CLEANING AGENT

HAVE CONFIDENTIALITY AGREEMENT WITH SUPPLIER

27
 CLEANING ENGINEERING
Factors affecting cleaning
• Soil residue
– Soil levels, soil condition, hold times, soil mixing,
water quality and residue,
• Cleaner and parameters (TACT)
– Time, Action, Concentration, Temperature
– Others
• Surface and equipment design

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 CLEANING PROCESS
SOURCES OF VARIATION

• Cleaning agent preparation – must be exact

• Automated cleaning vs. manual cleaning
• Manual cleaning process variation
• Human physical strength variation
• “Cleaning” between same-product batches in
campaign – residue level build-up
• Campaign length – residue level build-up
• Time to initiate cleaning (dirty hold time)
• Residue chemical and physical changes
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 EQUIPMENT TO BE CLEANED
Cleaning-related qualification
• Product-contact materials
• Compatibility with cleaning agents
• Surface areas – need for residue calculations
• Equipment equivalence
• Most-difficult-to-clean locations on equipment -- Highest
risk locations for sampling
• Non-uniform contamination equipment
• Non-uniform contamination sampling locations
• Sampling methods (swab / rinse)
Part of IQ/OQ/PQ for manufacturing equipment

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 NON-UNIFORM CONTAMINATION
Typical calculation considers total surface area of all
product contact equipment, and assumes all lot A
residue from total surface area transferred uniformly to
all lot B product

Usually no consideration for residue that is not uniformly

transferred
Examples: Filling neededs, encapsulation equipment,
compressing equipment, others post final mixing

Consider and justify residue concerns in non-uniform

contamination equipment

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 EQUIPMENT TO BE CLEANED
SAMPLING LOCATIONS
UNIFORM AND NON-UNIFORM CONTAMINATION
Product A = X
Product B = X
Product B flushes filling lines with A residue

xxxxxxxxxx x x x x x x x
xxxxxxxxxx x
xxxxxxxxxx x
xxxxxxxxxx
xxxxxxx
MANUFACTURING TANK PRODUCT
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 PROCEDURE TO DETERMINE SAMPLING
LOCATIONS

Specific documented procedure recommended

• Equipment technical evaluation
• Observation of equipment after processing
• Equipment disassembly review
• Cleaning procedure review
• Equipment evaluation review
• Operator interviews
SOP describing above
Documentation of above for equipment sampling
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 TIME TO INITIATE CLEANING
“DIRTY HOLD TIME”
1. Make Product A
2. Clean
3. Make Product B
How long between end of #1 and start #2?
Is residue same? Does residue change?
What can happen to the residue?
• Wet and dry processes

• Chemical changes (hydrolysis, oxidation, etc.)

• Physical changes

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 CAMPAIGN LENGTH

How many lots in manufacturing campaign before

cleaning must be done?

What about “cleaning” between batches?

• Equipment should be visually clean
• Terminology: “Between lot procedure”
• How much residue “build-up?”

DO NOT IDENTIFY AS “BETWEEN LOT CLEANING”

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 MANUAL CLEANING
• Manual cleaning procedures should be
monitored and maintained with increased
scrutiny compared to non-manual procedures
• More frequent training of cleaning personnel
• Increased supervision
• Periodic (annual?) revalidation batches

Manual cleaning is high risk

36
 ANALYTICAL METHOD DEVELOPMENT
Early stage 1 (development) analysis –
validation not required but must be sound
Validated method when used for Stage 2
cleaning validation and post-validation
testing (change control)

All methods and data (including stage 1) subject to

regulatory audit

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 ANALYTICAL METHOD DEVELOPMENT
Analytical method must measure actual residue –
what residue is actually present on equipment
surfaces?
• Small molecules
– API
– API degraded – specific or non-specific method
• Biotech molecules
– API degraded – non-specific method

UNDERSTAND RESIDUE CHEMISTRY

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 ANALYTICAL METHOD DEVELOPMENT

Cleaning agent residue

• Analytical method to determine residual cleaning
agent.
• Information from cleaning agent vendor

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 ANALYTICAL METHOD DEVELOPMENT
Recovery studies
Can sampling procedure adequately recover residue
from equipment surfaces?
• Product contact materials
• High % of total surface area
• Obtain representative coupons from equipment
fabricators
• High (e.g., >80%) acceptance criteria
• Factor may be used in calculation
– Multiple approaches
– Factor every calculation?

All sampled surfaces must have recovery data

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 SAMPLING
Sampling methods
• Sampling (swab) critical activity
• Training program
• Trained sampling personnel
– Demonstrated acceptable performance
• Documented training and retraining
• Worst case compounds / procedures in training
– Volatile solvents (importance of rapid technique)
• Worst case sampling equipment
– Extension poles
• Retraining considerations
– Who does sampling? Personnel skills

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 SAMPLING TRAINING

Sampling is extremely critical to cleaning

validation program
Inadequate sampling = false negative
– Insufficient pressure on surface
– Swab solvent evaporation
– Insufficient area sampled

Auditors routinely ask for sampling program training

methods and training records

42
 STAGE 2, PROCESS QUALIFICATION –
(VALIDATION PERFORMANCE)
APPLICATION TO CLEANING
1. Design of a facility and qualification of utilities and equipment
2. Process performance qualification
3. PPQ protocol
4. PPQ protocol execution and report
Qualification of equipment, utilities, facilities
• Cleaning equipment (CIP)

Process Performance Qualification (PPQ) – commercial scale

Conclusion that process consistently produces clean equipment
Conformance batches
• All support systems, documents, training, personnel, etc. in place
• Target / nominal operating parameters within design space
• Additional testing (swab / rinse)
• Decision to “release cleaning process” for routine commercial use
• Post validation monitoring plan – Based on risk
– Drug residue properties
– Manual or CIP

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 CLEANING EQUIPMENT

CIP system must be qualified (IQ/OQ/PQ or ASTM

E2500)
Riboflavin (or other) coverage testing
Temperature controls
Flow rates, etc.
PAT inline systems
– Drug disappearance – spectrophotometry, other methods
– Cleaning agent rinse -- conductivity

44
 CLEANING PROCEDURE DOCUMENTATION
(Cleaning Batch Record)
SOP
• Fill tank half full
• Add half scoop of soap
• Scrub as needed
• Rinse until clean
• Re-scrub and re-rinse if needed

CLEANING PROCEDURE RECORD

• Fill tank with 500 L water. Sign/date __________
• Add 20.0 kg cleaning agent. Sign/date __________
• Disassemble Part A. Steps 1,2,3,4,5
• Scrub for 20 minutes. Sign/date __________
• Disassemble Part B. Steps 1,2,3,4,5
• Soak Part B in cleaning liquid for 10 minutes. Sign/date __________
• Rinse Part A and Part B with 50 L water. Sign/date __________
• Rinse with 50 L Purified Water. Sign/date __________
• Dry with compressed air

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 CLEANING PROCEDURE RECORD
• Fill tank with 500 L water. Sign/date __________
• Add 20.0 kg cleaning agent. Sign/date __________
• Disassemble Part A. Steps 1,2,3,4,5
• Scrub for 20 minutes. Sign/date __________
• Disassemble Part B. Steps 1,2,3,4,5
• Soak Part B in cleaning liquid for 10 minutes. Sign/date __________
• Rinse Part A and Part B with 50 L water. Sign/date __________
• Rinse with 50 L Purified Water. Sign/date __________
• Dry with compressed air

KEY POINTS
Exact concentration of cleaning agent liquid
Signature on quantitative steps
Grouping non-quantitative steps (e.g., disassembly)

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 MANUAL CLEANING -- Do you really know what is happening?

Q to operator: “Why is there so much foam in the tub?”

A: “I put in extra soap because the equipment was really dirty.”

Q to operator: “Why is there powder on the (clean) equipment?”

A: “No problem -- We’ll get the residue when we set up.”

Q to operator: “Why don’t you follow the cleaning procedure?”

A: “The cleaning procedure really doesn’t work.”

ABOVE NOT ACCEPTABLE – TRAINING NEEDED

47
 MANUAL CLEANING -- Do you really know what is happening?
Q to operator: “Why is there powder on the clean equipment?”
A: “It’s clean enough.”
Q to QA (equipment inspection person): “Did you approve that the equipment
is clean?”
A: “It’s clean enough.”
Q to management: “Do you know that your equipment is not clean?”
A: “It’s clean enough.”

Q to operator: “You cleaned the gasket with pure soap – this is not the
procedure? Also it is dangerous – these are corrosive chemicals.”
A: “That is the only way to get it clean.”
Q: “So why don’t you tell someone to change the procedure?”
A: “We don’t have time.”

ABOVE NOT ACCEPTABLE – TRAINING NEEDED

48
 MANUAL CLEANING -- Do you really know what is happening?

Q to management: “Did you finish cleaning the equipment? We are

here to swab for cleaning validation.”
A (very proudly): “We cleaned the equipment three times so that we
won’t have any problems.”

Q to validation person: “Did you know that the manufacturing people

always clean the equipment multiple times before it is swabbed?”
A: “Sure, we knew.
Q: “Why didn’t you stop this?”
A: “These people are our friends. We have to work with these people.”

ABOVE NOT ACCEPTABLE – TRAINING NEEDED

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 VALIDATION REQUEST / PLAN
Initiates cleaning validation
• New cleaning validation or change control process
improvements
• Strategy and approach
• Scientific and technical basis
• Specify required protocols and other work to accomplish
validation
• Risk-based
• References: Stage 1 Design / development reports

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 VALIDATION PROTOCOL
Cleaning validation protocols and other work
as specified in Validation Plan
– Risk based
Include sampling pages indicating worst
case sampling locations.
Specify acceptance criteria

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 VALIDATION RESULTS / REPORT

Test results as required in validation protocol.

• Discussion. Consistency with Stage 1
development work.
• Clear statement the cleaning process is (or is
not) validated.
• Recommendations for Stage 3 monitoring and
maintenance.
– Additional limited testing based on data and risk
– Routine monitoring based on risk

52
 STAGE 3, CONTINUED PROCESS VERIFICATION
(VALIDATION MONITORING AND MAINTENANCE)
APPLICATION TO CLEANING
Activities to assure process remains in validated state
Change control -- evaluate impact of change and validate (test) as
necessary
Trend and assess data
– PAT rinse times
– Conductivity data
Study OOS and OOT (Out of Trend) data
Improve process
Improve control to detect and reduce variability
Cleaning non-conformances and deviations
Re-validation – definition: Actual batch or “paper”
• Is re-testing necessary?
• When should re-testing be considered?
Periodic Management Review
• Documentation reviewed by management
• Documented review
53
POST-VALIDATION MONITORING AND MAINTENANCE

1. Stage 2 specific requirements

– Additional testing based on actual data
– Ex: One location has high (acceptable result)
2. Routine monitoring and maintenance
– Risk based
3. Change control program

CHANGE CONTROL MOST IMPORTANT AND

DIFFICULT TO ADMINISTER
PERSONNEL MUST RECOGNIZE “CHANGE”
54
POST-VALIDATION MONITORING AND MAINTENANCE

Residue toxicity risk

• Residue that can be visually seen
– Room lighting must be adequate
– Provide additional lighting if necessary

• Residue that cannot be visually seen

– Swab after each batch?

CONSIDER PATIENT RISK AND COMPANY RISK

55
 CHANGE CONTROL
• All associated personnel must be aware of
change control
• Change control system developed
• Process improvements expected based on
ongoing experience
• Process improvements should be evaluated by
technical people (i.e., Stage 1)
• Stage 2 PPQ conducted when appropriate
based on Stage 1 technical evaluation.

56
 POST-VALIDATION MONITORING

Periodic review of cleaning performance

• Deviations
• Non-conformances (dirty equipment)
• Re-cleaning
• Change control
• Other monitoring (CIP data)
• Product APR data
• Statistical Process Control data treatment
• Management review -- documented

57
 CLEANING DOCUMENTATION
• High level documents
• Specific cleaning validation documents
– Design/Development, performance, monitoring/maintenance
• Specific cleaning validation support documents (equipment
qualifications)
• Cleaning validation approach documents (Worst case matrix,
calculations, sampling locations, etc.)
• Production documents (Cleaning Procedure Records)
– Production cleaning policies
• Management review documents
• Associated documents
– Personnel training in direct and associated areas
– HR records

58
 CLEANING DOCUMENTATION
High level documents
• Corporate policy
• VMP (Cleaning VMP)
Stage 1 documents
• Cleaning process development report
• Analytical method development report
• Supporting equipment documents (materials, surface areas, equivalent equipment,
sampling, etc.)
Stage 2 documents
• Validation PPQ request, protocol, results
• Cleaning equipment qualification
• Cleaning procedure record
Stage 3 documents
• Change control documents
• Process monitoring
• Management review

CONSISTENT LIFECYCLE STRATEGY AND APPROACH

59
 IMPLEMENTATION – LIFECYCLE APPROACH
1. Plan implementation strategy
Deliberate program – guarantee success
Prioritize problems
2. Get upper management agreement
Management sets direction
3. Get Validation Approval Committee agreement
Standards and responsibilities
4. Get QA agreement
QA has GMP responsibility
5. Train development group (Stage 1)
6. Train Annual Product Review group (Stage 3)
7. Train site on validation lifecycle approach
8. Train protocol writers
9. Start slowly  Pilot approach  Build on continuing success

60
 IMPLEMENTATION – LIFECYCLE APPROACH

Change to the lifecycle approach is a culture

change for the organization.
Management change experts recommend
“crisis” approach.
Risk of failure greater with “crisis” approach.
Opportunity for validation leadership.

61
SUMMARY: WHERE WE ARE -- CURRENT PRACTICE

R&D Validation Commercialization

VALIDATION ONE-TIME EVENT

62
 SUMMARY -- WHERE WE ARE GOING –
LIFECYCLE APPROACH TO PROCESS VALIDATION

Objectives:
• Scientific and technical process
• Demonstrate process works as intended
• Process must remain in control throughout lifecycle
• Cleaning equipment
• Equipment to be cleaned
• Effective documents consistent with the above
• Analytical methods validated (includes sampling)

Lifecycle approach:
• Validation is never completed
• Validation is always ongoing

63
 SUMMARY: VALIDATION -- FUTURE

Development Performance Maintenance

Stage 1  Stage 2  Stage 3

VALIDATION CONTINUUM
64
 SUMMARY
VALIDATION TRANSITION
1987
Development  Performance  Maintenance

2011
Development  Performance  Maintenance
Above based on RISK

65
 SUMMARY
STAGE 1 -- DESIGN AND DEVELOPMENT
INCLUDING COMMON PROBLEMS

Understanding cleaning process

• Residue properties
– Residue degradation
• Rational cleaning process based on residue
• Scientific and technical cleaning matrix
Understand and control sources of variation
• Dirty hold time
• Campaigns
Rational analytical method based on residue properties
Equipment to be cleaned characterized
• Worst case sampling

66
 SUMMARY – EQUIPMENT TO BE CLEANED
INCLUDING COMMON PROBLEMS

• Equipment characterization
• Residue calculations
• Materials of product contact
• Surface areas
• Worst-case areas for sampling based on risk
– Non-uniform contamination
• Equivalent equipment

67
 SUMMARY – ANALYTICAL
INCLUDING COMMON PROBLEMS

Understand residue
• Solubility and stability
• Validated analytical method for actual residue
– Specific or non-specific analytical methods
• API and cleaning agent residue
Recovery studies from product contact materials
• API and cleaning agent
Swab / rinse testing on equipment
• Most difficult to clean sampling sites
• Use of auxiliary sampling equipment (extension pole)
Swab / rinse training of sampling personnel

68
 SUMMARY
STAGE 2 – PERFORMANCE
INCLUDING COMMON PROBLEMS

Cleaning Process Conformance Lots

Cleaning equipment qualified
Cleaning procedure specified (Not SOP)
Cleaning documentation
– Request
– Protocol
– Results / Report

Manual cleaning – high risk

69
 SUMMARY
STAGE 3 -- MAINTAINING VALIDATION

Change control -- evaluate impact of change

and validate (test) as necessary
Improve process
Improve control to detect and reduce
variability
Cleaning non-conformances and deviations
Periodic Management Review

70
 SUMMARY
DOCUMENTATION

Consistent approach – High level documents through

protocols and post validation monitoring
Scientific and technical basis
Document everything – Stages 1, 2, 3.
Documentation must be readily available

Documentation must be
• Scientific and technical
• Thorough and clear
• Simple sentences, good grammar

71
 SUMMARY -- IMPLEMENTATION

1. Plan implementation strategy

– Deliberate program – guarantee success
2. Approvals and agreements
– Upper management
– Validation Approval Committee
– Functional Management
– QA
3. Training
4. Start slowly  Pilot approach  Build on continuing success

Opportunity for validation leadership!

72
 SUMMARY FINAL

1. Lifecycle approach principles and description

2. Lifecycle approach to cleaning validation
3. Cleaning lifecycle stage details
Stage 1. Design and development
Stage 2. Process qualification
Stage 3. Continued process verification
4. Cleaning validation problems
Residue focus
Equipment
Analytical
Cleaning Record Documentation
Monitoring

73
 SUMMARY FINAL – CLEANING PROBLEMS
1. Residue and process understanding
– Technical approach
– Worst-case matrix
– Important ingredients
– Variation – Dirty hold time, campaigns
2. Equipment
– Worst-case sampling
– Non-uniform contamination
– Compatibility with cleaning agent
3. Analytical
– Residue degradation
– Recovery
– Sampling training
4. Cleaning Procedure Record
– Cleaning process culture
5. Post-validation Monitoring

74
 REFERENCES

LeBlanc, Destin A.
Validated Cleaning Technologies for Pharmaceutical Manufacturing.
Interpharm/CRC Press, 2000.
Cleaning Validation – Practical Compliance Solutions for Pharmaceutical
Manufacturing. PDA and DHI Publishing, 2006.
Cleaning Validation – Practical Compliance Solutions for Pharmaceutical
Manufacturing, Volume 2. PDA and DHI Publishing, 2010.
www.cleaningvalidation.com
Pluta, editor. Cleaning and Cleaning Validation, Volume 1. Basics,
Expectations, and Principles. PDA and DHI Publishing, 2009.
“Cleaning Validation Forum.” Coordinated by Jennifer Carlson. Journal of
GXP Compliance.
“New Perspectives on Cleaning:” Coordinated by Rizwan Sharnez. Journal of
Validation Technology.
Pluta and Sharnez. Avoiding Pitfalls in Cleaning Validation. Journal of GXP
Compliance, V 14, #3, Summer 2010.

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PAUL L. PLUTA, PhD
Editor-in-Chief
Journal of Validation Technology
Journal of GXP Compliance
IVT / CBI / UBM
Associate Professor
University of Illinois at Chicago (UIC) College of Pharmacy
Chicago, IL, USA
Editor and Chapter Author
Cleaning and Cleaning Validation, Volume 1. Basics, Expectations, and
Principles, 2009
Cleaning and Cleaning Validation, Volume 2. Application of Basics and
Principles, 2013
PDA and Davis Healthcare International (DHI) Publishing
Contact: ppluta@uic.edu

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