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Reduced-Method Robustness
Testing of Analytical Methods
Driven by a Risk-Based Approach
Phil Borman, Marion Chatfield, Patrick Jackson, Alice Laures, and George Okafo
T
he development of robust and rugged analytical meth-
ods is a vital part of the drug-development process (1,
2). It is essential to ensure that levels of critical quality
attributes (CQAs) present in batches of drug substance
or drug product are accurately and precisely quantified, thus
assuring patient safety. This paper, in particular, focuses on
C1 …Cn
AUTHORS
Scoping. *This corresponds to the most limited form of RMR. Typically, four experiments make up
4 Scoping
a scoping study, two center points and two extreme sets of conditions.
8 2 lll7-4 Resolution III. Indicates that main effects may be aliased with two factor interactions. (1+2=3)
Might require further experimentation.
16 2 lV7-3 A resolution-IV design indicates that main effects may be aliased with three factor interactions.
Runs
And two-factor interactions may be aliased with other two-factor interactions. (2+2=4)
64 2 Vll7-1 Resolution V or higher (7 in this case) designs. Assuming that no three-factor (and higher)
interactions occur; all the main effects and two-factor interactions can be estimated. (2+3=5)
128 2
7 Full design. All the main effects and interactions can be estimated.
Not really practical for analytical methods due to the number of experiments to be performed.
Figure 1: Statistical resolutions available for a 7-factor design and scoping experiment. RMR is reduced-method robustness.
umn batch and column age) can also be combined. Although, The most limited form of RMR is a scoping study (17, 18).
the effect of these parameters is often the hardest to predict. Typically, four experiments make up a scoping study: two
Studies using these concepts have been termed RMR because center points and two extreme sets of conditions. At one ex-
they do not investigate all method parameters separately. The treme, the parameters are set to their chosen levels (Level + 1
parameters with the highest risk are included as single factors or — 1) which, for all parameters together, form the condition
in the design. most likely to produce that extreme response. At the other
extreme, the parameters are set to their alternative level. The
Reducing the statistical resolution of the design extremes depend on prior knowledge of the parameters and
Reducing the statistical resolution of the design is another way are not necessarily set at all the low and high settings—similar
to decrease the number of experiments required. Reducing to that described earlier with respect to the effect of pH and
the resolution means that not all of the terms (single param- percent organic on the resolution. The center points repre-
eters or interactions) are estimated independently. As a result, sent the nominal method conditions and give an indication
some terms are aliased (statistically combined), wherein the of repeatability; the extremes are thought to lead to the lowest
estimated effect is the combination of the true effect of each and highest expected results. Scoping experiments are often
of the aliased terms. Depending on the number of factors used to check the repeatability and experimental design space
included, several resolutions may be available (see Figure 1). (i.e., assessment of whether the factor range settings are ap-
In Design Expert (R) 7.1 software, or DX7 (Stat-Ease, Min- propriate) before committing resources to a more detailed
nesota), statistical resolution is indicated by colors and no- study. A scoping study is extremely unlikely to be suitable for
tation. In the notation 2k-p, 2 indicates that the design is a determining robustness of most analytical methods.
2-level fractional factorial design; k represents the number For RMR, a resolution-III design is most often used. Al-
ALL FIGURES ARE COURTESY OF THE AUTHORS
of factors, and p is the fraction exponent. Suppose there are though this design does not allow direct estimation of in-
seven factors (k=7): teractions, it tests the entire design space. In addition, if an
• When p=0, 2k is a full design and corresponds to 27, which important interaction exists, it will generally be identified
equals 128 experiments (runs) even though more experiments (e.g., by “folding over” the
• When p=1, the notation corresponds to a fractional de- design) may be required to clarify whether it is the interaction
sign of 2-1, which equals 0.5. The design is cut in half, or an aliased main effect. As robustness is tested, few, if any,
which equates to 27-1 to 64 experiments (runs) significant effects are expected, which reduces the likelihood
• When p=2, the notation also corresponds to a fractional of needing to clarify aliases. Scientific judgement can be used
design of 2-2 , which equals 0.25 or a quarter of the full to assign the likely main effect or interaction. In addition, if
design. This equates to 27-2 or 32 experiments (runs). And an interaction exists, usually one, if not both, of the main ef-
so on. fects will also be demonstrated (i.e., there will be hierarchical
76 Pharmaceutical Technology APRIL 2010 P h a r mTe c h . c o m
Risk Assessment
evidence). Within each category
Table I: Example of resolution and aliasing considerations.
of resolution, the extent of the
aliasing increases as the number Effect Design A*: 7 factors, 16 Design B*: 7 factors, 8 runs, Design C*: 6 factors, 8 runs,
runs, res IV res III res III
of experiments is reduced. In
addition to accepting a higher Aliases** Aliases** Aliases**
degree of aliasing, careful alloca- A BD,CE,FG BD, CE
tion of parameters, or groups of B AD,CF,EG AD, CF
parameters, to each main factor C AE,BF,DG AE, BF
(denoted by a letter in DX7) can D AB,CG,EF AB, EF
assist with retaining separation of
E AC,BG,DF AC, DF
important effects.
F AG,BC,DE BC, DE
Consider a specific example in
which there are seven parameters Not used
(parameter
to evaluate and there is some risk G AF,BE,CD
grouped with
of an interaction between two pa- Allocate G
one above)
to lowest-
rameters here allocated to Factors
Allocate risk
A and F. Ideally, the design would B,D,E,G to parameter
estimate AF separately from the AF BG, DE lower-risk G,BE,CD BE, CD
main effects. Table I illustrates parameters
some considerations and choices than C
to be made for a specific example * Ignoring center points; res is resolution.
** Main effects or 2-factor interactions.
as follows:
• Design A is a resolution-IV
design that separates all main effects from two fac- lating to cause of effects and any additional experimenta-
tor interactions, but requires 16 runs (ignoring center tion (e.g., folding over the original design) required to de-
points). alias effects or separate effects of grouped parameters.
• Design B is a resolution-III design, meaning AF will be
aliased with a main effect, but only requires eight runs. If Case study: The application of RMR to a gas
this design is used, AF should be aliased with the lowest chromatographic–flame ionization detection analysis
risk parameter (letter G in this case). A gas chromatographic (GC) method with flame ioniza-
• If it is appropriate to group two parameters, this leads to tion detection (FID) for the analysis of a starting material
six factors and design C which, despite being resolution (N-acetyl piperazine, NAP) had been observed in the past to
III, does separate out AF from main effects. produce variable results; the cause for this variation, however,
If no two parameter interactions are of particular risk, then was unknown. Therefore, it was deemed necessary to conduct
design B rather than design C should be used because there robustness testing to identify and control any parameters that
would only be disadvantages from grouping parameters. might responsible for the variation. Robustness testing was
The literature suggests the use of supersaturated designs, planned and conducted using the RMR principals outlined
that is, designs where the number of main effects exceeds the above. Details of the chromatographic conditions and a typi-
number of runs, in process development (19). This approach cal sample chromatogram are shown in the expanded, online
is a group-factor screening-type design. Risk assessment version of this article.
combined with scientific understanding is used to provide Parameter risk assessment and prioritization. Parameters for the
the grouping scheme, an aspect that Lin suggests is seldom method were brainstormed and categorized on a fishbone
discussed, but crucial (20). Although supersaturated designs using mind-mapping software (see the expanded online ver-
have been suggested for analytical methods,these focus on sion of this article for a demonstration). The fishbone catego-
designs, which have factors partially correlated in the design ries were as follows: equipment, environment, measurement,
rather than using grouping (21, 22). Consequently, the sta- method, materials, and people. The parameters were given a
tistical analysis is not straightforward and Dejaegher and variable classification of C, N, or X as described by Borman
Heyden even suggest it should not be used for estimating et al (4). The X (experimental) parameters are the parameters
effects in analytical method robustness testing (22). Although that will be considered for inclusion in the robustness study.
there may be situations where those designs are useful, the These include instrumental parameters such as flow rate and
approach of grouping factors used in this paper has the fol- temperature, which are given a set point in the method, but
lowing advantages: will vary in line with the precision of the instrument. These
• Easy for analysts to use existing knowledge of fractional parameters could also be related to the sample preparation
factorial design and software (e.g., heating of NAP or sonication time) where variability
• Careful grouping of parameters reduces ambiguities re- is derived from how the operator follows the method proce-
78 Pharmaceutical Technology APRIL 2010 P h a r mTe c h . c o m
Risk Assessment
Table II: Risk-scoring of X parameters and RMR decision based on risk-scoring for GC–FID method parameters.
Method Resolution % area % area % Area LOQ RT imp C RT NAP Importance RMR Range in RMR
characteristic imp A to imp A imp B imp C score strategy study
in columns/ imp B
Parameters in rows
Type of liner 5 9 9 9 5 1 1 39 Single A or B
Initial oven temperature 9 5 5 5 3 5 5 37 Group 1 137–143 °C
Temperature program 9 3 3 3 5 5 5 33 Single 28–32 °C/min
(gradient)
Injection 1 7 7 7 5 1 1 29 Group 4 240–260 °C
temperature
Final oven temperature 1 1 1 1 5 9 9 27 Group 2 235–245 °C
Split ratio 3 5 5 5 5 1 1 25 Group 2 1:13–1:17
Split time 3 5 5 5 5 1 1 25 Excluded n/a
Column flow 3 5 5 5 5 1 1 25 Group 3 1.0–1.4 mL/min
Age 7 3 3 3 5 1 1 23 Group 5 Used or new
(analytical column)
Column loading 3 3 3 3 9 1 1 23 Group 3 0.2–2 uL
Heating time 1 5 5 5 5 1 1 23 Separate n/a
(no sonication) study
Heat and 1 5 5 5 5 1 1 23 Separate n/a
sonication time study
Reheating sample 1 5 5 5 5 1 1 23 Separate n/a
study
Sample size for 1 5 5 5 1 1 1 19 Separate n/a
melting in sonic bath study
Batch 3 1 1 1 3 1 1 11 Group 5 X or Y
(analytical column)
Final oven hold time 1 1 1 1 1 5 1 11 Group 3 3–5 min
Injection speed 1 1 1 1 1 1 1 7 Excluded n/a
Temperature (detector) 1 1 1 1 1 1 1 7 Group 1 270–290 °C
Initial oven hold 1 1 1 1 1 1 1 7 Group 4 3–5 min
RMR is reduced-method robustness; GC is gas chromatographic; FID is flame-ionization detection; imp is impurity; LOQ is limit of quantitation; RT is retention time; NAP is N=acetyl
piperazine.
Interaction
Design-Expert Software D: Group 5 (column)
0.2
% area Impurity B 4
D1 D1
D2 D2
% area Impurity B
0.2
X1 = Group 4 2
X2 = Group 5 (column)
Actual 0.2
A: Group 3 = 0
0
B: Group 2 = 0
C: Type of liner = C1
F: Temp gradient = 30
G: Group 1 = 0 0.1
8
0.1
6
E: Group 4