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FACILITIES & EQUIPMENT INFORMATION SYSTEMS MANAGEMENT PRODUCT DEVELOPMENT QUALITY
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PHARMACEUTICAL ENGINEERING / JANUARY / FEBRUARY 2017 /
ESTIMATING PROCESS CAPABILITY IN DEVELOPMENT & LOW-VOLUME MANUFACTURING
Engineering of a
Pharmaceutical Project
1 September 2023
Pharmaceutical Industry
Trends
The process capability index (Ppk) 1 is a widely used summary statistic that 1 September 2023
describes how well a process produces output within specification limits. For The Next Generation of Pat
these indices to have predictive meaning, contain adequate estimates of the Tools To Measure the Advance
mean and standard deviation, and provide value in process improvement, of the Sublimation Front in a
the process must have demonstrated adequate statistical control with Freeze-Drying Process
approximately normally distributed data prior to their calculations. This effort 1 September 2023
requires a sufficient number of lots (n), usually equal to or greater than 25.
The %OOS contour plot is based on the mean standard deviation and
specification of an attribute. Ppk is calculated following manufacture of at
least 25 lots of data; several mathematical principles must be demonstrated
and the %OOS contours are based on limited direct lot data, along with QbD
development experience and fundamental knowledge. Although this
experience and knowledge could be substantial, it may not directly translate
to a large quantity of lot data during development or in transition to
manufacturing.
The tabled data indicates that all values are within specifications. Although
this is a good start, the process robustness contour plot (Figure 1) visualizes
much more information for the six attributes in Table A: content uniformity
ICH UDU acceptance value (AV), percent dissolved (at 4 hours), impurity 1,
potency, total impurities, and yield (%).
On a process robustness contour plot, the horizontal axis represents the
between-lot average and the vertical axis represents the between-lot
standard deviation for a quality attribute. An Χ marks the calculated average
and standard deviation for each attribute. The calculated average and 90%
confidence bound 6 on the predicted %OOS are shown in a plot footnote.
* Quality by design (ICH Q8 [R2]): A systematic approach to development that begins with
predefined objectives and emphasizes product and process understanding and process
control, based on sound science and quality risk management
Content
Dissolution Impurity Total
Attribute Uniformity Potency Yield
(4 hour) 1 Impurities
(AV)
95– >
Specs < 15% 35–55% <0.2% < 1%
105% 90%
Content
Dissolution Impurity Total
Attribute Uniformity Potency Yield
(4 hour) 1 Impurities
(AV)
Standard
3.02 2.54 0.03 1.47 0.04 0.69
Deviation
The contour plots can be partitioned into regions of estimated %OOS (for
given product specifications); they also help compare actual product
performance based on estimated product mean and standard deviation
across lots. These partitioned contour regions are colored as:
Figure 1 shows that for this set of specifications, total impurities, impurity 1,
and yield are situated well within the green region; potency and content
uniformity approach the yellow region; and dissolution is in the red region.
Compared to examining the data spreadsheet, this contour visualization
approach offers more and better information for understanding both the
data and the process.
In this assessment, it’s important that the location of the attribute of interest
and the ultimate goal for the product be emphasized, not simply if the Χ falls
within one specific color zone. Its relative location can indicate, for example,
how sensitive the attribute may be to a sample mean change and sample
standard deviation; this can indicate potential product performance
improvements or a need to modify the data-driven specifications.
As shown in Figure 1, the Χ is in the green region for total impurities, impurity
1, and yield. The Χ is closer to the green/yellow boundary for potency and
content uniformity, and is in the red region for dissolution.
If the specifications are correct, the assumptions hold, and the variability
estimate appears to be reasonable compared to historic estimates (e.g.,
other similar products) or variance component analysis (e.g., analytical
method development data), the %OOS improvement is achieved through
adjusting the mean. In other cases, the standard deviation might need to be
reduced, or the underlying process behavior may not produce normally
distributed data, so the calculation assumptions should change.
Contour levels of 3%, 1%, 0.27%, 0.006%, and 6e-5% OOS are displayed on
the plots. As with any summary statistic, there is variability in the %OOS
estimates. This variability is represented in the plot footnote by an upper
confidence estimate on the %OOS.
Figure 2 illustrates the effect of the number of lots on the confidence bound.
For this example, the average and standard deviations were engineered to
remain constant, hence in all cases the average %OOS is estimated as 0.13%
even as the number of lots increases. For a sample of six lots, there is 90%
confidence that the %OOS will be no more than 5.6%, given the specification
and an expectation that the process will operate as it did in development.
As the number of lots increases to 12, 18, and then 24, more direct
information on the process expectations is collected, and the upper bound
estimates decrease to 2%, 1.24%, and 0.943%, respectively. Note that there
is not consideration in the upper bound for any information external to the
sample size of 6, 12, 18, or 24 alone. This example illustrates that if the
process average and standard deviation remain the same and only the
number of lots change, then the average %OOS will not change. Both the
%OOS confidence bound along with the average %OOS should therefore be
examined.
Using the estimated average and standard deviation from Figure 2, Figure 3
illustrates the change in the estimated %OOS confidence bound as the
sample size and confidence level vary. The change in the estimated %OOS
bound transitions rapidly with an increase in sample size, especially when
estimating the 95% and 99% bounds.
COMPUTATIONAL
CONSTRUCTION
Ranges for the contour plot x and y axes are based on the specification
limits and the value of the Χ to be placed on the plot. If only the lower
specification limit (LSL) or upper specification limit (USL) is provided, the
lower (or upper) range of the x axis is generally set as the LSL (or USL).
Ranges for the two-sided specification are based on the LSL and USL
provided. If only one x axis endpoint is based on the specification provided,
the other x axis endpoint is based on the value of the marked Χ. The lower
value of the y axis is generally set at 0, with the upper range based on the y
axis value of the marked Χ.
Generally speaking, there are three cases associated with the three
specification-setting options (LSL only, USL only, two-sided):
1. The process has only an LSL [e.g., dissolution (Y) with lower limit or Q
value of 80%]. For a set point of (90%, 3%) or 90% average dissolution
with a standard deviation 3%, the average %OOS is equal to the
probability P (Y ≤ LS L) = P (Y ≤ 90%) = P (Z ≤– 3.33) ≈ 0.0004 ,
where Z is the standard normal distribution.
2. The process has only a USL [e.g., impurity A (Y) with an upper limit of 5%].
For a set point at (2%, 1%), then the average %OOS is equal to the
probability
P (Y ≤ LS L or Y ≥ U S L) = P (Y 95% or Y ≥ 105%) = P (Z ≤– 2.5 or Z ≥ 2.5) ≈ 0.0124
η ¯ = Φ (Kη ¯)
L L
, define η and K .
ȳ −LSL
P (Y ≥ U S L) L = P (Y ≥ U S L) =–
s
L
) of η can be solved numerically from
L
+ +
η = Φ (Kη )
L L
L
)
Two-sided specification is the sum of (ηL¯ ) and (η+
L
) using \alpha / 2 in
place of α.
SUMMARY
The %OOS contour plot provides a tool to express product robustness and
to provide an insight into process capability for processes with fewer than
25 lots where traditional process capability indices such as Ppk are not
meaningful. The plot is superior to examining data in a spreadsheet and can
also be applied to greater than 25 lots of data to aid visualization.
Team discussion on the product/process may take the form of whether the
process is currently on track/acceptable, if the process needs further
attention and investigation, and which improvement actions should be
initiated. Additional statistical calculations and modeling could and should
be performed to support discussions and decisions.
In all, this tool and the associated process provide a structure to summarize
and visually predict process capability.
REFERENCES
1 Montgomery, Douglas. Introduction to Statistical Quality Control. New York, New York:
John Wiley & Sons, Inc., 2004.
2 International Conference on Harmonisation of Technical Requirements for Registration of
Pharmaceuticals for Human Use. ICH Harmonized Tripartite Guideline. “Pharmaceutical
Development: Q8 (R2).” Step 4 version, August 2009.
http://www.ich.org/fileadmin/Public_Web_Site/ICH_Products/Guidelines/Quality/Q8_R1/Step4/Q8_R2_Guideline.pdf
3 ———. Quality Risk Management: Q9.” Step 4 version, 9 November 2005.
http://www.ich.org/fileadmin/Public_Web_Site/ICH_Products/Guidelines/Quality/Q9/Step4/Q9_Guideline.pdf
4 ———. “Pharmaceutical Quality System: Q10.” Step 4 version, 4 June 2008.
http://www.ich.org/fileadmin/Public_Web_Site/ICH_Products/Guidelines/Quality/Q10/Step4/Q10_Guideline.pdf
5 ———. “Development and Manufacture of Drug Substances (Chemical Entities and
Biotechnological/Biological Entities): Q11.” Step 4 version, 1 May 2012.
http://www.ich.org/fileadmin/Public_Web_Site/ICH_Products/Guidelines/Quality/Q11/Q11_Step_4.pdf
6 Owen, D.B., and Tsushung A. Hua. “Tables of Confidence Limits on the Tail Area of the
Normal Distribution.” Communication in Statistics—Simulation and Computation 6, no.3
(1977): 285–311.
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