Industrial Pharmacy II PDF
Industrial Pharmacy II PDF
INDUSTRIAL PHARMACY - II
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N4372
A Text Book of Industrial Pharmacy - II ISBN 978-93-89944-89-1
First Edition : June 2020
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Preface
Industrial Pharmacy is the branch of Pharmacy that deals with scientific and technological
aspects related to design and development of dosage forms. Pharmaceutical industry is
made of hundreds of firms involved in discovery, development, production, and selling of
drug products that meet regulatory requirements. The current curriculum implemented by
Pharmacy Council of India, New Delhi as Regulation 2014 has Industrial Pharmacy-II subject
at Semester-VII of final year of the B. Pharm. course.
This theory book covers whole of the topics specified in the syllabus. The book has been
divided into five main chapters covering all the aspects related to Pharma Industry which
include Pilot Plant Scale-up Techniques, WHO guidelines for Technology Transfer and various
regulatory requirements for Drug Approval. All these chapters have been designed in very
easy language, to the point coverage of all the topics, in pictorial/graphical manner so that
every student can easily understand. After completion of this course students will able to
understand Dosage forms and their Manufacturing Techniques and all the related and
practical aspects of dosage form development. This also helps the students to correlate the
theoretical knowledge with professional and practical need of Pharmaceutical industry.
Taking this as an opportunity, we have tried our level best to give detail insight of the
subject expectations with respect to various regularity procedures followed for the final drug
approval and WHO guidelines for transfer of technology. This book is first of its kind that it
covers huge data on manufacturing techniques of various dosage forms. The course is
beneficial for teachers, students and the industry personals. Efforts have been taken to
elaborate basic concepts of pharmaceutical manufacturing and are supported with flow
diagrams, figures, equations and data tables.
At the end of each Module a Review Questions which include MCQs, short answer
questions and long answer questions are given that well help the students to assess the
knowledge gained after reading all the modules.
Our sincere thanks are to Shri Dineshbhai Furia and Shri Jignesh Furia of Nirali
Prakashan, Pune, for their co-operation and interest taken in publishing this book. We are
also thankful to the staff of Nirali Prakashan, especially Roshan Khan, Mrs. Varsha Bodake,
Mr. Malik Shaikh and Mr. Ravindra Walodare of Nirali Prakashan for bringing out this nicely
printed book.
Authors
Syllabus
BP 702 T. INDUSTRIAL PHARMACY-II (Theory) (45 Hours)
UNIT-I (10 Hours)
Pilot Plant Scale-up Techniques: General considerations - including significance of
personnel requirements, Space requirements, Raw materials, Pilot plant scale-up
considerations for solids, liquid orals, semi solids and Relevant documentation, SUPAC
guidelines, Introduction to platform technology.
UNIT-II (10 Hours)
Technology Development and Transfer: WHO guidelines for Technology Transfer (TT):
Terminology, Technology transfer protocol, Quality risk management, Transfer from R & D to
production (Process, packaging and cleaning), Granularity of TT Process (API, excipients,
finished products, packaging materials) Documentation, Premises and equipments,
Qualification and validation, Quality control, Analytical method transfer, Approved regulatory
bodies and agencies, Commercialization - practical aspects and problems (case studies),
TT agencies in India - APCTD, NRDC, TIFAC, BCIL, TBSE / SIDBI; TT related documentation -
Confidentiality agreement, Licensing, MoUs, Legal issues.
UNIT-III (10 Hours)
Regulatory Affairs: Introduction, Historical overview of regulatory affairs, Regulatory
authorities, Role of regulatory affairs department, Responsibility of regulatory affairs
professionals.
Regulatory Requirements for Drug Approval: Drug development teams, Non-clinical
drug development, Pharmacology, Drug metabolism and Toxicology, General considerations
of Investigational New Drug (IND) Application, Investigator’s Brochure (IB) and New Drug
Application (NDA), Clinical research / BE studies, Clinical research protocols, Biostatistics in
pharmaceutical product development, Data presentation for FDA submissions, Management
of clinical studies.
UNIT-IV (08 Hours)
Quality Management Systems: Quality management and Certifications: Concept of
quality, Total quality management, Quality by Design (QbD), Six-sigma concept, Out of
Specifications (OOS), Change control, Introduction to ISO 9000 series of quality systems
standards, ISO 14000, NABL, GLP.
UNIT-V (07 Hours)
Indian Regulatory Requirements: Central Drug Standard Control Organization (CDSCO)
and State Licensing Authority: Organization, Responsibilities, Certificate of Pharmaceutical
Product (CoPP), Regulatory requirements and approval procedures for new drugs.
✱✱✱
Contents
1. Pilot Plant Scale-Up Techniques 1.1 – 1.24
1.1 Introduction 1.1
1.2 General Considerations during Pilot Plant Scale-up 1.2
1.3 Need of Pilot Plant Studies 1.4
1.4 State Drug Control Organization 1.4
1.5 Uses of Pilot Plant 1.5
1.6 General Requirements for Pilot Scale and Scale-up 1.5
1.7 GMP Considerations 1.7
1.8 Scale-up 1.8
1.9 Pilot Plant Design for Tablets 1.8
1.10 Pilot Plant Scale-up Techniques for Capsules 1.12
1.10.1 Manufacturing of Hard Gelatin Capsules 1.13
1.10.2 Manufacturing of Soft Gelatin Capsules 1.15
1.10.3 Soft/Liquid-filled Hard Gelatin Capsules 1.16
1.11 Scale-up Liquid Orals 1.17
1.11.1 Formulation Aspects of Suspensions 1.17
1.11.2 Formulation Aspects of Emulsions 1.18
1.11.3 Formulation Aspects of Solutions 1.18
1.12 Semi-solid Dosage Forms 1.19
1.13 Pilot Plant Operation 1.19
1.14 Scale-up and Post Approval Changes (SUPAC) 1.21
1.15 Introduction to Platform Technology 1.22
• Questions 1.23
2. Technology Development and Transfer 2.1 – 2.14
2.1 Who Guideline for Technology Transfer (TT) 2.1
2.2 Different Terminologies of Technology Transfer (TT) 2.1
2.3 General Principles of Technology Transfer (TT) 2.3
2.4 Technology Transfer Protocols 2.4
2.5 Quality Risk Management (QRM) 2.4
2.5.1 Introduction 2.4
2.5.2 Principle 2.4
2.5.3 QRM Process 2.5
2.6 Information Required for Technology Transfer 2.6
2.6.1 Starting Materials 2.6
2.6.2 Process Information 2.8
2.6.3 Finished Products 2.9
2.6.4 Packaging 2.9
2.6.5 Documentation 2.9
2.6.6 Premises 2.10
2.6.7 Equipments 2.10
2.6.8 Qualification and Validation 2.10
2.6.9 Analytical Method Transfer 2.10
2.7 Agencies for Technology Transfer in India 2.11
2.7.1 Asian and Pacific Centre for Transfer of Technology (APCTT) 2.11
2.7.2 National Research Development Corporation (NRDC) 2.11
2.7.3 Technology Information, Forecasting & Assessment Council (TIFAC) 2.11
2.7.4 Biotech Consortium India Limited (BCIL) 2.12
2.7.5 Technology Bureau for Small Enterprises (TBSE) 2.12
2.7.6 Small industrial Development Bank of India (SIDBI) 2.13
2.8 Technology Transfer Related Documents 2.13
2.8.1 Confidentiality Agreement 2.13
2.8.2 Licensing 2.13
2.8.3 MoUs 2.13
• Questions 2.13
3. Regulatory Affairs & Regulatory Requirements for Drug Approval 3.1 – 3.24
3.1 Introduction 3.1
3.2 Historical Aspect 3.1
3.3 Regulatory Authorities 3.3
3.4 Role of Regulatory Affairs Department 3.4
3.5 Responsibility of Regulatory Affairs Professionals 3.6
3.6 Regulatory Requirements for Drug Approval 3.6
3.7 Drug Development Teams 3.7
3.8 Non-clinical Drug Development 3.8
3.9 Various Pharmacological Approaches to Drug Discovery 3.9
3.10 Safety Pharmacology 3.10
3.11 Toxicological Approaches to Drug Discovery 3.10
3.12 Investigational New Drug (IND) Application 3.12
3.13 Types of IND Applications 3.13
3.14 Investigator’s Brochure (IB) 3.14
3.14.1 Purpose of Investigator’s Brochure (IB) 3.14
3.14.2 Contents of Investigator’s Brochure 3.15
3.15 New Drug Application (NDA) 3.16
3.15.1 Aim of NDA 3.16
3.15.2 NDA Review Process 3.17
3.16 Bio Equivalence Studies 3.18
3.17 Clinical Research Protocols 3.18
3.18 Data Presentation for FDA Submissions 3.21
3.19 Management of Clinical Studies 3.21
• Questions 3.22
4. Quality Management Systems 4.1 – 4.28
4.1 Quality Management System: Concept of Quality 4.1
4.1.1 Introduction 4.1
4.1.2 Quality 4.1
4.1.3 Quality in Pharma Industry 4.1
4.1.4 Quality Assurance (QA) 4.2
4.1.5 Quality Control (QC) 4.2
4.1.6 Scope of Pharmaceutical QMS 4.2
4.1.7 ICH Guidelines 4.2
4.1.8 Sources of Quality Variation 4.4
4.1.9 Control of Quality Variation 4.5
4.2 Total Quality Management 4.5
4.2.1 Introduction 4.5
4.2.2 Definition 4.5
4.2.3 Focus of TQM 4.5
4.2.4 Statistical Quality Control 4.6
4.2.5 Advantages 4.7
4.3 Quality by Design (QbD) 4.7
4.3.1 Introduction 4.7
4.3.2 Definition 4.7
4.3.3 Objectives of QbD 4.7
4.3.4 Elements of QbD 4.8
4.3.5 Quality Target Product Profile (QTPP) 4.8
4.3.6 Critical Quality Attributes (CQA) 4.8
4.3.7 Risk Assessment: CMAs (Critical Material Attributes) and CPPs
(Critical Process Parameters) 4.8
4.3.8 Control Strategy 4.8
4.4 Six-Sigma Concepts 4.9
4.4.1 Introduction 4.9
4.4.2 Aim of Six-Sigma Concept 4.9
4.4.3 Six-Sigma Process 4.10
4.5 Out of Specifications (OOS) 4.11
4.5.1 Introduction 4.11
4.5.2 Identification of OOS: Reports of Laboratory Investigation 4.11
4.5.3 Identification of OOS: Reports of Full-Scale Investigation 4.12
4.5.4 Analysis of Investigated Results 4.12
4.6 Change Control 4.13
4.6.1 Introduction 4.13
4.6.2 Definition 4.14
4.6.3 Function 4.14
4.6.4 Area of Change 4.14
4.6.5 Written Procedures and Documentation 4.15
4.7 ISO Quality Standards 4.15
4.7.1 Quality Management System (QMS) 4.15
4.7.2 ISO Quality Standards 4.16
4.7.3 ISO 9000 4.16
4.7.4 ISO 9000 Series 4.16
4.7.5 Requirements of ISO 9000 Series 4.17
4.7.6 Advantages of ISO Certification 4.18
4.8 ISO 14000 4.18
4.8.1 Introduction 4.18
4.8.2 Principle of ISO 14000 4.18
4.8.3 Features of ISO 14000 4.19
4.8.4 Advantages of ISO 14000 4.19
4.8.5 ISO 14000 Series 4.20
4.8.6 Process of ISO 14001 Certification 4.20
4.8.7 Environmental Management System (EMS) 4.21
4.8.8 Features of EMS 4.21
4.9 NABL (National Accreditation Board for Testing
and Calibration Laboratories) 4.21
4.9.1 Introduction 4.21
4.9.2 NABL and ISO Principles 4.21
4.9.3 Need of NABL 4.22
4.9.4 Recognition of NABL in International Level 4.22
4.9.5 Scope of NABL 4.22
4.9.6 Advantages of NABL 4.23
4.10 GLP (Good Laboratory Practice) 4.24
4.10.1 Introduction 4.24
4.10.2 Definition 4.24
4.10.3 Fundamentals of GLP 4.24
4.10.4 GLP Principles 4.26
4.10.5 Aim of GLP 4.27
• Questions 4.27
5. Indian Regulatory Requirements 5.1 – 5.12
5.1 Introduction 5.1
5.2 Central Drug Standard Control Organization (CDSCO) 5.2
5.3 State Drugs Control Organization 5.3
5.4 Approval of New Drug 5.3
5.5 Requirements for Import and Registration 5.5
5.6 Central Drugs Testing Laboratory (CDTL) 5.5
5.7 Certificate of Pharmaceutical Product (COPP) 5.8
• Questions 5.12
✱✱✱
Chapter ... 1
PILOT PLANT SCALE-UP TECHNIQUES
♦ LEARNING OBJECTIVES ♦
After completing this chapter, students will be able to understand:
It is a part of the pharmaceutical industry where a lab scale formula is transformed
into a viable product by the development of liable practical procedure for
manufacture.
Bench studies (Product characterization purity).
Animal studies (toxicology, Pharmacokinetics PME, efficiency).
Clinical Studies.
Increasing compliance with regulations as product moves through testing and
exaction.
Increasing knowledge about the product.
Increasing knowledge about the possible problems, snags, pitfalls with manufacture
processing, packing, storing and installing the product.
Ultimately facilitation of the transfer of product from laboratory into production.
1.1 INTRODUCTION
Pilot plant scale-up techniques involve reproducible manufacture of an experimental
formulation on high-speed production equipment, in a cost-effective manner. It is a part of
the pharmaceutical industry, where the same processes used during Research and
Development (R & D) of dosage forms are applied to different output volumes; usually
greater than that obtained during R & D.
In every emerging pharmaceutical industry or an already existing one, there is always a
need to have an intermediate batch scale representing procedures and simulating that used
for commercial manufacturing. It is achieved by determining the ability of formula to
withstand batch scale and process modification.
There is equally a need for equipment evaluation and validation to ensure that the aim of
your company which is the mass production of the drug in question is not defeated. For a
pilot scale-up to be successful, a product must be capable of being processed in a large scale
(1.1)
Industrial Pharmacy - II 1.2 Pilot Plant Scale-Up Techniques
often with equipment that only remotely resembles that used in the development laboratory.
The idea is that you understand what makes these processes are similar, identify and
eliminate many scale-up problems before investing large sum of money on a production
unit.
Maintain the chemical attributes of the product, its quality and efficacy even though the
production processes are modified as a result of sample size increase and equipment
changes.
Pilot Plant Scale-up must include:
1. A close examination of the formula to determine its ability to withstand large scale
and process modification.
2. A review of a range of relevant processing equipment to determine which would be
most compatible with the formulation as well as the most economical, simple and
reliable in producing the product.
During pilot plant scale-up ensure the:
1. Determination of the availability of raw materials that consistently meet the
specifications required to produce the product.
2. Determination of the physical space required and the layout of related functions to
provide short-term and long-term efficiency.
3. Evaluation, validation and finalizing of production and process controls.
4. Issuing of adequate records and reports to support Good Manufacturing Practices
(GMPs) and provision of the historical development of the production formulation
process, equipment train and specifications.
5. Development and validation of meaningful product reprocessing procedures.
6. Identification of all critical, features of a scale up process, so that it can be adequately
monitored to provide assurance that the process is under control and that the
process at each level of the scale up maintains the specified attributes originally
intended.
7. Production rate and future market requirements.
1.2 GENERAL CONSIDERATIONS DURING PILOT PLANT SCALE-UP
Pilot plant scale-up is of practical interest to formulation scientist/ production managers
and should be considered from the inception of a development project. This is because a
process using the same type of equipment can perform quite differently when the size of the
equipment and the amount of material involved is significantly increased. The chemical
attributes of the product, its quality and efficacy should be maintained even though the
production processes modified as a result of sample size increase and equipment changes.
You should also bear in mind that pilot plant scale-up, in itself, does not guarantee a smooth
transition. A well-defined process may fail quality assurance tests in full manufacturing scale
even after generating a perfect product in both the laboratory and the pilot plant.
Plant: It is place were the 5M’s like Money, Material, Man, Method and Machine are
brought together for the manufacturing of the products.
Industrial Pharmacy - II 1.3 Pilot Plant Scale-Up Techniques
Pilot Plant: It is the part of the Pharmaceutical Industry where a lab scale fortune is
transferred into a viable product by development of liable and practical procedure of
manufacture.
Scale-up: It is the art for designing of prototype using the data obtained from the pilot
plant model.
Objectives of Scale-up:
1. To try the process on a model of proposed plant before committing large sum of
money on product unit.
2. To examine of the formula for determination of the ability to withstand batch scale.
3. Evaluation and validation for process and equipments.
4. To identify the critical features of the process.
5. To provide guidelines for production and process controls.
6. To provide master manufacturing formula with instruction for manufacturing
produces.
7. To avoid the scale-up problems.
Steps in Scale-up:
Industrial Pharmacy - II 1.4 Pilot Plant Scale-Up Techniques
1.8 SCALE-UP
It is the art for designing of prototype using the data obtained from the pilot plant
model.
Objectives:
1. Formulation related: Identification and control of critical components and another
variable.
2. Equipments related: Identification and control of critical parameters and operating
range.
3. Production and process related: Evaluation, validation and finalization of controls.
4. Product related: Development and validation of reprocessing procedures.
5. Documentation: Records and reports according to C-GMP.
Need of Scale-Up:
1. A well-defined process.
2. A perfect product in laboratory and pilot plant.
3. But may fail in QA tests.
4. Because processes are scale dependent.
5. Processes have differently on a small scale and a large scale.
6. Scale up is necessary to determine the effect of scale on product quality.
1.9 PILOT PLANT DESIGN FOR TABLETS
The primary responsibility of the pilot plant staff is to ensure that the newly formulated
tablets developed by product development personnel will prove to be efficiently,
economically and consistently reproducible on a production scale. The design and
construction of the pharmaceutical pilot plant for tablet development should incorporate
features necessary to facilitate maintenance and cleanliness. If possible, it should be located
on the ground floor to expedite the delivery and shipment of supplies.
1. Formulation and process development.
2. Technology evaluation, scale-up and transfer.
3. Clinical supply manufacture.
Control Pilot Plant Studies:
1. A pilot plant allows investigation of a product and process on an intermediate
scale before large amounts of money are committed to full-scale production.
2. It is usually not possible to predict the effects of a many-fold increase in scale.
3. It is not possible to design a large-scale processing plant from laboratory data alone
with any degree of success.
Product Considerations:
1. Material Handling:
In the laboratory, materials are simply scooped or poured by hand, but in intermediate or
large-scale operations, handling of these materials often become necessary. If a system is
used to transfer materials for more than one product, steps must be taken to prevent cross
Industrial Pharmacy - II 1.9 Pilot Plant Scale-Up Techniques
contamination. Any material handling system must deliver the accurate amount of the
ingredient to the destination. More sophisticated methods of handling materials are vacuum
loading systems, metering pumps, screw feed system.
2. Dry Blending:
Dry blend should take place in granulation vessel. Larger batch may be dry blended and
then subdivided into multiple sections for granulation. All ingredients should be free of
lumps, otherwise it causes flow problems. Screening and/or milling of the ingredients prior to
blending usually makes the process more reliable and reproducible. The equipments used for
blending are: V-blender, Double cone blender, Ribbon blender, Slant cone blender, Bin
blender, Orbiting screw blenders, Vertical and horizontal high intensity mixers, etc.
Scale-up Considerations;
• Powders to be used for encapsulation or to be granulated prior to tableting must
be well blended to ensure good drug distribution.
• Inadequate blending could result in drug content uniformity variation, especially
when the tablet or capsule is small and the drug concentration is relatively low.
• Ingredients should be lumps free, otherwise it could cause flow problems.
3. Granulations:
The most common reasons given to justify granulating are: to impart good flow
properties to the material, to increase the apparent density of the powders, to change the
particle size distribution, uniform dispersion of active ingredient, etc. Traditionally, wet
granulation has been carried out using, sigma blade mixer, heavy-duty planetary mixer:
• to improve the flow properties.
• to increase the apparent density of the powder.
• to change the particle size distribution so that the binding properties on compaction
can be improved.
Direct compression method: A small amount of potent active ingredient can be
dispersed most effectively in a carrier granulation, when the drug is dissolved in granulating
solution and added during the granulating process.
Wet granulation has been carried out by using:
• Sigma blades.
• Heavy-duty planetary mixture.
• High speed chopper blades used in mixing of light powders.
• Multifunctional processors, dry blending, wet granulation, drying, sizing and
lubricating.
• Effect of binding agent.
4. Drying:
The most common conventional method of drying a granulation continues to be the
circulating hot air oven, which is heated by either steam or electricity. The important factor to
consider as part of scale up of an oven drying operation are airflow, air temperature, and the
depth of the granulation on the trays.
Industrial Pharmacy - II 1.10 Pilot Plant Scale-Up Techniques
Both tablets and capsules are produced from ingredients that may be either dry blended
or wet granulated to produce a dry powder or granule mix with uniformly dispersed active
ingredients. To produce capsules on high speed equipment, the powder blend must have the
uniform particle size distribution, bulk density and compressibility required to promote good
flow properties and result in the formation of compact of the right size and sufficient
cohesiveness to be filled into capsule shells.
1.10.1 Manufacturing of Hard Gelatin Capsules
Shell Composition:
• Gelatin: It is prepared by the hydrolysis of collagen. There are two basic types of
gelatin: Type-A and Type-B. The two types can be differentiated by their isoelectric
points (7.0 - 9.0 for type-A and 4.8 - 5.0 for type-B) and by their viscosity and film
forming characteristics.
Combination of pork skin and bone gelatin is often used to optimize shell
characteristics. The physicochemical properties of gelatin of most interest to shell
manufactures are the bloom strength and viscosity.
• Colorants: Various soluble synthetic dyes (coal tar dyes) and insoluble pigments are
used. Colorants not only play a role in identifying the product, but also play a role in
improving patient compliance. For example, white - analgesia, lavender -
hallucinogenic effects, orange or yellow - stimulants and antidepressants.
• Opaquing agents: Titanium dioxide may be included to render the shell opaque.
Opaque capsules may be employed to provide protection against light or to conceal
the contents.
• Preservatives: When preservatives are employed, parabens are often selected.
Shell Manufacturing:
• Dipping: Pairs of the stainless-steel pins are dipped into the dipping solution to
simultaneously form the caps and bodies. The pins are at ambient temperature;
whereas the dipping solution is maintained at a temperature of about 50oC in a
heated, jacketed dipping pan. The length of time to cast the film has been reported
to be about 12 sec.
• Rotation: After dipping, pins are elevated and rotated 2-1/2 times until they are
facing upward. This rotation helps to distribute the gelatin over the pins uniformly
and to avoid the formation of a bead at the capsule ends.
• Drying: The racks of gelatin coated pins are then passed into a series of four drying
ovens. Drying is mainly done by dehumidification. A temperature elevation to only a
less degrees is permissible to prevent film melting. Under drying will leave the films
too sticky for subsequent operation.
• Stripping: A series of bronze jaws strip the cap and body portions of the capsules
from the pins.
Industrial Pharmacy - II 1.14 Pilot Plant Scale-Up Techniques
• Trimming: The stripped cap and body portions are delivered to collects in which
they are firmly held. As the collects rotate, knives are brought against the shells to
trim them to the required length.
• Joining: The cap and body portions are aligned concentrically in channels and the
two portions are slowly pushed together.
• Sorting: The moisture content of the capsules as they are from the machine will be in
the range of 15-18% w/w. During sorting, the capsules passing on a lighted moving
conveyor are examined visually by inspectors. Defects are generally classified
according to their nature and potential to cause problems in use.
• Printing: In general, capsules are printed before filling. Generally, printing is done on
offset rotary presses having throughput capabilities as high as three-quarter million
capsules per hour.
• Sizes and Shapes: For human use, empty gelatin capsules are manufactured in eight
sizes, ranging from 000 to 5.
The largest size normally acceptable to patient is a No. 0. Three larger sizes are
available for veterinary use: 10, 11, and 12 having capacities of about 30, 15, and
7.5 gm, respectively. The standard shape of capsules is traditional, symmetrical bullet
shape. Some manufactures have employed distinctive shapes. For example, Lilly’s
pulvule tapers to a bluntly pointed end, Smith Kline Beacham’s spansule capsules
taper at both the cap and body ends.
• Sealing: Capsules are sealed and somewhat reshaped in the Etaseal process. This
thermal welding process forms an indented ring around the waist of the capsule
where the cap overlaps the body.
• Storage: Finished capsules normally contain an equilibrium moisture content of
13-16% to maintain a relative humidity of 40-60% when handling and storing
capsules.
Filling of Hard Gelatin Capsules:
• Equipments used in capsule filling operations involve one often of two types of filling
systems:
(i) Zanasi or Martelli encapsulator: Forms slugs in a dosatar which is a hollow tube
with a plunger to eject capsule plug.
(ii) Hofliger-Karg machine: Forms compacts in a die plate using tamping pins to
form a compact.
• In both these systems, the scale-up process involves bulk density, powder flow,
compressibility and lubricant distribution. Overly lubricated granules are responsible
for delaying capsule disintegration and dissolution.
• Osaka Model R-180 Semi-Automatic Capsule Filling Machine.
Industrial Pharmacy - II 1.15 Pilot Plant Scale-Up Techniques
• Two plasticized gelatin ribbons are continuously and simultaneously fed with the
liquid or paste fill between the rollers of the rotary die mechanism.
• As the die rolls rotate, the convergence of the matching die pockets seals and cuts
out the filled capsules.
3. Accogel Process:
• In general, this is another rotary process involving a measuring roll, a die roll, and a
sealing roll.
• As the measuring roll and die roll rotate, the measured doses are transferred to the
gelatin-linked pockets of the die roll.
• The continued rotation of the filled die converges with the rotating sealing roll where
a second gelatin sheet is applied to form the other half of the capsule. Pressure
developed between the die roll and sealing roll seals and cuts out the capsules.
4. Bubble Method:
• The Globex Mark II capsulator produces truly seamless, one-piece soft gelatin
capsules by a “bubble method”. A concentric tube dispenser simultaneously
discharges the molten gelatin from the outer annulus and the liquid content from the
tube. By means of a pulsating pump mechanism, the liquids are discharged from the
concentric tube orifice into a chilled-oil column as droplets that consist of a liquid
medicament core within a molten gelatin envelop. The droplets assume a spherical
shape under surface tension forces and the gelatin congeals on cooling. The finished
capsules must be degreased and dried.
1.10.3 Soft/Liquid-filled Hard Gelatin Capsules
• Three formulation strategies based on having a high resting viscosity after filling have
been described:
- Thixotropic formulations,
- Thermal-setting formulations,
- Mixed Thermal-Thixotropic systems.
The more the lipophilic contents, the slower is the release rate. Thus, by selecting
excipients with varying HLB balance, varying release rate may be achieved.
• To produce capsules on high-speed equipment, the powder blend must have,
- Uniform particle size distribution.
- Bulk density.
- Formation of compact of the right size and of sufficient cohesiveness to be filled
into capsule shells.
• Equipments:
- Zanasi or Mertalli – Dosator (hollow tube).
- Hoflinger-Karg – Tamping pins.
Weight variation problem can be encountered with these two methods.
Overly lubricated granules – delaying disintegration.
Industrial Pharmacy - II 1.17 Pilot Plant Scale-Up Techniques
Quality Assurance:
• Dissolution of drugs in solution
• Potency of drugs in suspension
• Temperature uniformity in emulsions
• Microbiological control
• Product uniformity
• Final volume
• Stability
Industrial Pharmacy - II 1.19 Pilot Plant Scale-Up Techniques
Engineering Support:
1. Design of facility.
2. Co-ordination scheduling.
3. Direction of ongoing operations.
4. Validation of facility.
5. Construction of facility.
Maintenance and Calibration:
1. To ensure the integrity and equipment reliability and research.
2. To meet cGMP norms.
Computerized System:
1. Material control
2. Labelling (GMP-GLP)
3. Inventory
4. Orders (FIFO)
Process and Manufacturing Activities:
1. Formulation and process development studies.
2. Technology evaluation scale up and transfer.
3. Clinical supply and manufacture.
Quality Assurance:
1. Auditing pilot plant.
2. Auditing and approval of component supplies.
3. Reviewing approval and mainframe batch records for clinical supplies.
4. Sampling and release of raw material.
5. Release of clinical supplies.
6. Maintaining and distributing facility and operating procedure (SOPS).
7. Review and approval of validation.
8. Engineering documentation.
Quality Control:
1. Release testing of finished product.
2. Physical, chemical and microbiological testing of finished clinical products,
components required for supplies.
3. Testing for validation and revalidation.
4. QC in process testing during development scale-up and technology transfer.
Industrial Pharmacy - II 1.21 Pilot Plant Scale-Up Techniques
Plant: It is a place where the 5M’S like money; material men, method and machine are
brought together for the manufacturing of the products.
1. Last 25-30-year pharmaceutical researches are going in an advanced manner.
2. Have witnessed amazing invention and innovation in pharmaceutical field.
3. NDA and ANDA are all time high.
4. Researchers are motivated to adopt new processes and technology.
5. Scale-up batches are essential for ensuring success in the clinical testing and
bioequivalence study.
6. Pilot plant scale-up is one of the most important stages in the product development.
1.14 SCALE-UP and POST APPROVAL CHANGES (SUPAC)
FDA and American association of pharmaceuticals scientist (AAPS) provided the scientific
foundation for the scale-up and post approval changes required for immediate release
product called SUPAC.
It provides guidelines for post approval changes in the following:
- Components
- Compositions
- Site of manufacturing
- Process and equipment
Significance of Pilot Plant:
1. Examination of formulae.
2. Review of range of relevant processing equipments.
3. Production rate adjustment.
4. Idea about physical space required.
5. Appropriate records and reports to support GMP.
6. Identification of critical features to maintain quality.
Advantages:
1. Members of the production and quality control divisions can readily observe scale-up
runs.
2. Supplies of excipients and drugs, cleared by the quality control division, can be drawn
from the more spacious areas provided to the production division.
3. Access to engineering department personnel is provided for equipment installation,
maintenance and repair.
Disadvantages:
1. The frequency of direct interaction of the formulator with the production personnel
in the manufacturing area will be reduced.
Industrial Pharmacy - II 1.22 Pilot Plant Scale-Up Techniques
QUESTIONS
ANSWERS
Long-Answer Questions:
1. What do you mean by pilot plant scale-up? Give examples.
2. What is the significance of pilot plant scale-up with routine production procedure?
3. Explain the procedure for pilot plant scale-up for liquid orals.
4. Explain the procedure for pilot plant scale-up for semisolid dosage form.
5. Explain the procedure for pilot plant scale-up for liquid dosage form.
6. What do you mean SUPAC?
7. Write a short note on pilot plant scale-up for solid dosage form.
✱✱✱
Chapter ... 2
TECHNOLOGY DEVELOPMENT
AND
TRANSFER
♦ LEARNING OBJECTIVES ♦
After completing this chapter, students will be able to understand:
Different terminologies of Technology Transfer (TT)
Basic principles of TT
TT protocols
Information required for TT
Agencies for Technology Transfer in India
(2.1)
Industrial Pharmacy - II 2.2 Technology Development and Transfer
2. Change Control (CC): Change control can be defined as, “A formal system by which
qualified representatives of appropriate disciplines review proposed or actual changes
that might affect the validated status of facilities, systems, equipments or processes. The
intent is to determine the need for action that would ensure and document that the
system is maintained in a validated state.” (EU GMP Guidelines, Annexure 15).
3. Control Strategy: The proper sets of control obtained from product and process
understanding to assure the process performance and product quality which include
parameters of products, materials, drug substances, facilities, equipment availability,
standardization process, in process control, quality of finished goods, etc.
4. Critical Control Point (CCP): Some controls are mandatory in the pharmaceutical
industry to eliminate or to reduce the quality hazards. CCP is a step at which this control
can be applied.
5. Corrective Actions (CA): Corrective actions are taken at CCP while controlling the
quality hazards.
6. Quality Assurance (QA): According to WHO “Quality Assurance” is a wide-ranging
concept covering all matters that individually or collectively influence the quality of a
product. It is the totality of the arrangements made with the object of ensuring that
pharmaceutical products are of the quality required for their intended use. Quality
assurance therefore incorporates GMP and other factors, including those outside the
scope of this guide such as product design and development.
7. Quality Control (QC): QC is that part of GMP concerned with sampling, specification,
testing, documentation and release procedures which ensure that the necessary and
relevant tests are performed, and the product is released for use only after ascertaining
its quality.
8. Design Qualification (DQ): DQ is a documented verification of the proposed design of
the facilities, systems and equipment that are suitable for the intended purpose.
9. Installation Qualification (IQ): IQ is an evidence of all key aspects of the process
equipment and ancillary system installation adhere to the manufacturer’s approved
specification.
10. Operational Qualification (OQ): OQ is established by objective evidence process for the
control limits and action levels in product of all predetermined requirements.
11. Performance Qualification (PQ): PQ is established by verifying a process, under
anticipated condition, consistently produces a product which meets all predetermined
requirements.
12. Drug Master File (DMF): It is detailed information of a specific facility, process or
product which has been submitted to Medicines Regulatory Authority (MRA) for the
incorporation into the application for the marketing-authorization.
Industrial Pharmacy - II 2.3 Technology Development and Transfer
The process of QRM can be summarized in following different steps (Fig. 2.1):
Step (1) QRM initiation:
To initiate the process of QRM the following plan can be followed:
• Types of risk and problem.
• Questions regarding risks.
• Information regarding quality and potential hazards.
• Information of background and raw data.
• Assessment of required resources.
• Specification of time limit.
Step (2) Risk Assessment:
This may include the following:
• Identification of Hazards: Systematic process to identify the risks and hazards.
• Analysis of Risks: Qualitative and quantitative estimations of hazards.
• Evaluation of Risks: Comparison of identified and analyzed hazards.
Industrial Pharmacy - II 2.6 Technology Development and Transfer
between industry and academia. TIFAC released its Vision 2020 under the leadership of
Dr. APJ Abdul Kalam, the former chairman of TIFAC in 16 technology areas and in 2016
Vision 2035 prepared by TIFAC has been inaugurated by Hon’ble Prime Minister of India
Shri. Narendra Modi in 12 thematic areas of national priorities and importance in Mysuru,
Karnataka. The 12 thematic areas are:
1. Education 2. Medical Science and Health Care
3. Food and Agriculture 4. Water
5. Energy 6. Environment
7. Habitat 8. Transportation
9. Infrastructure 10. Manufacturing
11. Materials 12. Information and Communication Technologies (ICT).
2.7.4 Biotech Consortium India Limited (BCIL)
BCIL, public limited company, was inaugurated in 1990 under the Indian Companies
Act, 1956. BCIL is promoted by the Department of Biotechnology (DBT), Ministry of Science
and Technology, Government of India and All India Financial Institutions. BCIL was aimed for
providing the necessary linkages among stakeholders and business support to facilitate the
acceleration of commercialization of biotechnology. BCIL assists scientists, technologies,
research institutions, universities, first entrepreneurs, the corporate sector, national and
international organizations, central government, various state governments, banks and
financial institutions.
BCIL works in the following aspects:
• Technology transfer
• Project consultancy
• Fund syndication
• Information dissemination
• Manpower training and placement related to biotechnology
2.7.5 Technology Bureau for Small Enterprises (TBSE)
TBSE provides the opportunity to the small enterprises to at the global level for
acquisition of technology or establish business collaboration. TBSE works under
Development Commissioner, Ministry of Micro, Small and Medium Enterprises (MSME) and it
is partially funded by office of Development Commissioner (DC), Small Scale Industries (SSI),
and Government of India.
The important features of TBSE are:
1. TBSE offers a professionally managed system for technology and collaboration
search.
2. TBSE builds up confidence between partners.
3. TBSE has proper mechanism for arranging technology and finance.
4. TBSE provides a gateway to global technology market through networking.
5. TBSE takes up project appraisal and preparation o business plan.
Industrial Pharmacy - II 2.13 Technology Development and Transfer
QUESTIONS
Multiple Choice Questions (MCQs):
1. MoU stands for …….
(a) Memorandum of Ubiquitous (b) Memorandum of Understanding
(c) Memorandum of Unpredictable (d) Memorandum of Unprofitable
2. The transfer of technology between sites of different companies is called as …….
(a) Inter-company transfer (b) Intra-company transfer
(c) Technology transfer (d) Technology transfer protocol
3. The basic requirement of Technology Transfer is …….
(a) Sending Unit (SU) (b) Receiving Unit (RU)
(c) Both (a) and (b) (d) None of these
4. The definition of Quality Risk Management (QRM) has been mentioned in ICH
guideline …….
(a) Q7 (b) Q8
(c) Q9 (d) Q10
Industrial Pharmacy - II 2.14 Technology Development and Transfer
ANSWERS
3.1 INTRODUCTION
The present scenario of the pharmaceutical industry is very well co-ordinated, efficient
and docile as per international standards for the manufacturing of various types of Biological
and Chemical drugs (which also include medical devices, traditional herbal products and
cosmetics) used for the human consumption and veterinary purpose. Various challenges
faced by the regulatory system result into current well-defined controlled regulatory
framework. The impact of this framework consequences into systematic manufacturing and
marketing of safe, effective and qualitative drugs. With the vast growth of pharmaceutical
industry, the legislations from each region have become more and more complicated and
created an urgent need for regulatory professionals.
Regulatory affairs is a dynamic and challenging profession which is developed from the
desire of governments and act as an interface between the pharmaceutical company and the
regulatory agencies in order to ensure public health by controlling the safety and efficacy of
products in areas including pharmaceuticals, veterinary medicines, medical devices,
pesticides, agrochemicals, cosmetics and complementary medicines.
and efficacy. This leads to tightening of norms for Marketing Authorization (MA) and Good
Manufacturing Practices (GMPs).
The drug industry in India was at very primitive stage till 20th century. Most of the drugs
were imported from foreign countries.
(a) 1900-1960:
Government passed the Poisons Act, 1919 to check and hold the control on cheap drugs
available in market. This Act helps in the administered possession of substance or sale of
substances as specified as poison. It also stated the safe and protected custody of the
poisons, packaging and labeling of poisons, maximum quantity to be sold and inspection as
well as examination of the poison sold by vendor during the year.
The Poisons Act was followed by The Dangerous Drugs Act, 1930 which includes the
regulation of cultivation, manufacturing, possession and trade of opium.
In 1985, Dangerous Drugs Act, 1930 and Opium Act, 1878 was revoked by passing of the
Narcotics and Psychotropic Substances Act.
Following acts and rules were passed during this era:
• Drugs and Cosmetics Act, 1940: This act regulates the manufacturing, distribution,
import and sale of allopathic, homeopathic, unani and siddha drugs.
• Drugs and Cosmetics Rules, 1945: This act regulates manufacture of Ayurvedic
drugs for sale only, and not for consumption and use or possession.
• Pharmacy Act, 1948: This law was amended in 1986 and it generally controls and
regulates the profession of pharmacy in India.
• Drugs and Magic Remedies (Objectionable Advertisements) Rule, 1955: This rule
regulates the advertisement of drugs in India.
• Drugs Prices Control Order, 1955 (DPCO) (under the essential commodities Act):
DPCO was further amended in 1995. As per this rule, government has a jurisdiction to
review and fix maximum sale price for bulk drugs as well as formulation.
(b) 1960-1970:
The Indian Pharmaceutical industry was not mature enough and major market share was
dominated by MNC and very few Indian manufacturers were in competition. Focus on pure
research and development was very little because of deficiency of patent protection. The low
availability and high drug price is because majority shares depend upon the high drug
import.
(c) 1970-1980:
Government took control for the medicines regulation and issued few acts and rules.
• Indian Patent Act 1970 (which came in force on 20 April 1972 and replaced Indian
Patents and Designs Act of 1911): It serves as the basis for patent protection in India.
Industrial Pharmacy - II 3.3 Regulatory Affairs and ……
Under this Act, product patent was not allowed but the process and method of
manufacturing of Drug substance was allowed to get the patent.
• Drug prices capped: Drug Prices Control Order (DPCO) was introduced to control
the high price against consumers.
(d) 1980-1990:
The Indian industry has started investing in process development of API and created
production infrastructure for the same.
(e) 1990-2000:
A rapid expansion in domestic market has observed in pharmaceutical industry. The
companies have started entering into Research and Development.
(f) 2000-2010:
This period is considered to be the Innovation and Research era. During these years,
innovative research activity, patenting of the drugs formula, process, indication as well as
merger of companies was started.
Patent Amendment Act 2005: Indian Government brought out the Patents
(Amendment) Ordinance, 2004 to address the issues relating to the patent in the country
which was later replaced by the Indian Patent (Amendment) Act, 2005. The new Act brought
some crucial changes on the legal regime of patent protection so as to address patent issues
in technology, chemicals and pharmaceuticals sectors.
Compulsory Licenses: Such licenses can be granted for manufacture and export of the
drug products “to any country having insufficient or no manufacturing capacity, for the said
product, to address public health problems”.
Few names are given below:
• Drugs and Cosmetics (First Amendment) Rules, 2011: It mandates registration of
Clinical Research Organization (CRO) for conducting Clinical Trials (CT).
• Clinical Trial Registry-India (CTRI): It has been set up by the ICMR’s (Indian Council
of Medical Research) National Institute of Medical Statistics (NIMS).
• Pharmacovigilance Program of India (PvPI): The Central Drugs Standard Control
Organization (CDSCO) has launched Pharmacovigilance programme to assure drugs
safety to Indian patients.
favourable evaluation of quality, efficacy and safety to meet the shortest possible
timeline.
Fig. 3.2
• DRA professional plays the crucial role in each phase of drug development and post
marketing activities.
• The pharmaceutical companies (DRA professionals of the company) accumulate all
the date pertains to drug discovery and development stages and uses the same for
the purpose of registration and marketing of drug.
• RA professionals of the company have to abide the array of strict and guidelines
throughout the drug development process, to ensure the drug and efficacy of drugs
in the humans.
• The Regulatory Affairs department also takes part in the drug development,
marketing concepts and is a crucial requirement to approve the packaging and
advertising of drug/product before it is used commercially.
Industrial Pharmacy - II 3.6 Regulatory Affairs and ……
Drug development is the process of bringing a new pharmaceutical drug to the market
once a lead compound has been identified through the process of drug discovery. It includes
pre-clinical research on microorganisms and animals, filing for regulatory status, for an
investigational new drug to initiate clinical trials on humans, and may include the step of
obtaining regulatory approval with a new drug application to market the drug.
The process of drug discovery and development is very long and needs 10-12 years
which includes the close interaction of large number of scientific disciplines. Most
biotechnology and pharmaceutical companies employ teams to mentor the process of
various stages of drug development and making the drug candidate into therapeutic
products.
Industrial Pharmacy - II 3.8 Regulatory Affairs and ……
Fig. 3.6
Industrial Pharmacy - II 3.9 Regulatory Affairs and ……
The primary aims of the non-clinical (or pre-clinical) development phase is to analyze and
determine which candidate has the greatest probability of success, assess its safety, and raise
firm scientific foundations before transition to the clinical development phase. This process
of non-clinical development of medicine is very complex, time consuming and regulatory
driven. The selected candidate compound should also meet non-medical objectives, which
also include defining the IPR and making enough medicinal products available for clinical
trials.
Once identification of candidate compound is completed, the non-clinical development
should start answering the following questions, and answers will come from specific
assessments/studies:
• Does it work? → Assessment of Efficacy
• How will it be delivered and how will the body react? → Profiling
• Is it safe? → Toxicology/safety
• Is the manufacture viable and controllable?
Non-clinical development activities can continue throughout the life-cycle of the product.
3.9 VARIOUS PHARMACOLOGICAL APPPROACHES TO DRUG DISCOVERY
As an academic principle Pharmacology can be loosely defined as the study of effects of
chemical substances on living systems.
This definition is so broad that it holds all the aspects of drug discovery, ranging from
details of interaction between drug molecule and its target to consequences of placing the
drug in the market.
Selectivity Testing: It consists of two main stages i.e. screening for selectivity and
Binding assay. To determine the potency of drug, the selectivity of a compound for a chosen
molecular target needs to be assessed.
Pharmacological Profiling: This includes the determination of pharmacodynamics effect
of new compound, either on in-vitro models (which include cell lines or isolated tissues) or
in-vivo models (which include normal animals, animal models of disease).
Long-Term Toxicity:
• These studies should be carried out in at least two mammalian species and out of
these two mammalian species one should be a non-rodent.
• The duration of study will depend on the factor that whether the application is for
marketing permission or for clinical trial, and in the later case, on the phases of trials.
• If a species is known to metabolize the drug in the same way as humans, it should be
preferred in long-term toxicity studies. The drug should be administered 7 days a
week by the route intended for clinical use in humans.
• A control group of animals, given the vehicle alone, should always be included, and
three other groups should be given graded doses of the drug; the highest dose
should produce observable toxicity, the lowest dose should not cause observable
toxicity, but should be comparable to the intended therapeutic dose in humans or a
multiple of it.
IND Review and Report: During this time, FDA has an opportunity to review the IND
application for safety to assure that research subjects will not be subjected to unreasonable
risk. The report evaluates on the various factors like Medical Review, Chemistry Review,
Pharmacology/Toxicology review, Statistical analysis and Safety review.
• The IB also provides insight to support the clinical management of the study subjects
during the course of the clinical trial. The information should be presented in a
concise and simple manner.
• IB enables a clinician, or potential investigator, to understand it and make his/her
own unbiased risk- benefit assessment of the appropriateness of the proposed trial.
For this reason, a medically qualified person should generally participate in the
editing of an IB.
3.14.2 Contents of Investigator’s Brochure
1. Table of contents.
2. Summary not exceeding 2 pages, highlighting the significant physical, chemical,
pharmaceutical, pharmacological, toxicological, pharmacokinetic, metabolic, and
clinical information available of IP.
3. Introduction: Chemical name, active ingredients, pharmacological class, anticipated
– therapeutic/diagnostic indication(s). General approach to be followed in evaluating
the IP.
4. Description of I.P.: Physical, chemical and pharmaceutical properties of I.P. Storage
and handling of I.P. Any structural similarity with the other known compound given.
5. Non-clinical studies: The results of all relevant non-clinical pharmacology,
toxicology, pharmacokinetic, and investigational product metabolism studies should
be provided in summary form. The information provided may include: Species tested,
Number of sex in each group, Unit dose (e.g., milligram/kilogram (mg/kg), Dose
interval, Route of administration and Duration of dosing.
5.1 Non-clinical Pharmacology: A summary of the pharmacological aspects of the
investigational product studied in animals should be included.
5.2 Pharmacokinetics and Product Metabolism in Animals: A summary of the
pharmacokinetics (ADME) and biological transformation and disposition (getting
a drug into its appropriate position in the body and in an appropriate
concentration) of the investigational product in all species studied should be
given.
5.3 Toxicology: (The study of the adverse effects of chemicals on animals): A
summary of the toxicological effects found in relevant studies conducted in
different animal species. (Single dose, Repeated dose, Carcinogenicity, Special
studies (irritancy, sensitization), Reproductive toxicity).
6. Effects in Humans: A thorough discussion of the known effects of the investigational
product(s) in humans should be provided, including information on
pharmacokinetics, metabolism, Pharmacodynamics, dose response, safety, efficacy,
and other pharmacological activities. (a) Pharmacokinetics and Product Metabolism
in Humans.
Industrial Pharmacy - II 3.16 Regulatory Affairs and ……
7. Summary of Data and Guidance for the Investigator: This section should contain
non-clinical and clinical data of IP. IB provides the investigator a clear understanding
of the possible risks, adverse reactions, observations and precautions needed for the
clinical trial.
3.15 NEW DRUG APPLICATION (NDA)
The vehicle through which drug sponsors formally propose that the regulatory body
approves a new pharmaceutical for sale and marketing, and the data gathered during the
animal studies and human clinical trials of an investigational new product becomes a part of
the NDA.
• The clinical trial design and objectives are written into a document called a clinical
trial protocol. It is a document that states the background, objectives, rationale,
design, methodology (including the methods for dealing with AEs, withdrawals etc.)
and statistical considerations of the study. It also states the conditions under which
the study shall be performed and managed.
• Look for better ways to prevent disease in people who never had the disease or to
prevent a disease from returning.
• The protocols means:
- To clarify the research question.
- To compile existing knowledge.
- To formulate a hypothesis and objectives.
- To decide about a study design.
- To clarify ethical considerations.
- To apply for funding.
- To have a guideline and tool for the research team.
Parts of the Protocol:
1. Title Page.
2. Signature Page.
3. Content Page.
4. List of Abbreviations.
5. Introduction/Abstract.
6. Objectives.
7. Background/Rationale.
8. Eligibility Criteria.
9. Study Design/Methods (Including Drug/Device Info).
10. Safety/Adverse Events.
11. Regulatory Guidance.
12. Statistical Section (Including Analysis and Monitoring).
13. Human Subjects Protection/Informed Consent.
Industrial Pharmacy - II 3.20 Regulatory Affairs and ……
Fig. 3.14
Industrial Pharmacy - II 3.21 Regulatory Affairs and ……
Study data standards describe a standard way to exchange clinical and non-clinical study
data. These standards provide a consistent general framework for organizing study data,
including templates for datasets, standard names for variables; identify appropriate
controlled terminology and standard ways of doing calculations with common variables. Data
standards also help FDA receive, process, review, and archive submissions more efficiently
and effectively.
• FDA has been working towards a standardized approach to capture, receive and
analyze study data.
• Standardization of study data is vital to integrate pre-marketing study data and
post-marketing safety data to improve public health and patient safety.
• Central to this vision is the creation of an enterprise data infrastructure (Janus) within
FDA to improve the management of all structured scientific data.
Data Standards: Data standards can be divided into two categories:
1. Exchange Standards: Exchange standards provide a consistent way to exchange
information. Exchange standards help to ensure that the sending and the receiving
systems both understand unambiguously what information is being exchanged.
2. Terminology Standards: Terminology standards provide a consistent way to
describe concepts. For example, the Unique Ingredient Identifiers (UNII), developed
by the FDA, provides a consistent way to describe substances in foods and drugs.
Vocabulary developed National Institute of Cancer describes terminology related to
cancer.
3.19 MANAGEMENT OF CLINICAL STUDIES
Clinical trial management is most simply defined as the process that an organization
follows to ensure that quality (defined as minimized risks and clean data) is delivered
efficiently and punctually. It refers to a standards-driven process that a project manager
initiates and follows in order to successfully manage clinical trial sites, clinical research
associates, and workflow by using clinical trial management tools or software prolonged
timelines and heavy costs related to large trials have been prompted a new focus on more
efficient clinical trial management. It is possible to dramatically reduce the total cost of a
clinical trial by 60% - 90% without compromising the scientific validity of the results.
Industrial Pharmacy - II 3.22 Regulatory Affairs and ……
Life Cycle of Clinical Trial Project: A more accurate control, regardless of the
therapeutic area or trial stages (all the way through from ‘preclinical’ phase 1 to ‘post-
approval’ phase 4 studies), is ensured by typically breaking down the life cycle of each clinical
trial project into 4 phases: Conceptual, Planning, Implementation and Analysis.
Clinical Trial Protocol: A protocol is a document that describes the purpose, design,
methodology, statistical considerations and organization of a study, and provides basic
information and rationale for the clinical study. The contents that should be present in the
protocol are described by the GCP. The protocol writing is a task for one person, usually the
principal investigator, not a committee.
There are various challenges of Project management in clinical trials. Clinical trials all
need the same coordinated processes and systems, irrespective of the size, scope, costs, or
period. The key challenge is then to implement and maintain effective management systems
and techniques in response to the needs of the trial project.
QUESTIONS
3. At the end of the study, what happens to the case report forms (CRFs)?
(a) The CRF data is compiled and submitted to the FDA in the IND.
(b) The CRF data is aggregated by an external party if the trial was double blinded to
assess the drug's safety and efficacy.
(c) The CRF data is aggregated and analyzed to assess the drug's safety and efficacy.
(d) The CRF data is compiled and submitted to Regulatory Affairs
4. What is the primary focus of Phase 3 Clinical testing?
(a) How to manage costs.
(b) The collection and analysis of highly specific efficacy end-point data
(c) The optimal range of effective dosage.
(d) The analysis of data results from the small-subset target population
5. On which two criteria does the FDA classify NDAs?
(a) Novelty of the active ingredient and time to market
(b) Balance between safety and effectiveness
(c) Novelty of the active ingredient and clinical improvement
(d) Clinical improvement and effectiveness of product
ANSWERS
Long-Answer Questions:
1. What is an NDA? Discuss the requirements of data while filing a NDA. Give examples
where a NDA can be filed.
2. Comment on the bioequivalence requirements according to ICH guidelines.
3. Discuss the Intellectual Property protection laws in India in brief.
4. What is PCT? Discuss the content of PCT and its applications.
5. Write a note on Drug Master Files.
6. Briefly discuss Master Formula Record and its importance.
Industrial Pharmacy - II 3.24 Regulatory Affairs and ……
7. What are the elements of a clinical trial? Describe systematically the protocol of a
clinical trial.
8. Write short notes on Pharmacovigilance.
9. Write short notes on Investigator Brochure.
10. Discuss the NDA regulatory approval process with suitable example.
11. Write a note on outsourcing BA-BE studies to CRO.
12. Write short notes on the Post marketing surveillance.
✱✱✱
Chapter ... 4
QUALITY MANAGEMENT SYSTEMS
♦ LEARNING OBJECTIVES ♦
After completing this chapter, students will be able to understand:
Quality concepts in pharmaceutical industry
ICH guidelines and Total quality management
Quality by design and six sigma concepts
ISO standards and series
Good laboratory practice
4.1.1 Introduction
Quality Management System (QMS) is an important aspect for the pharmaceutical
industry for maintaining the quality and safety for their products and services. QMS relies on
the regulations and guidelines to maintain the effective quality in pharmaceutical industries.
According to US FDA, the international harmonized guidance is intended to assist
pharmaceutical manufacturers by describing a model for an effective quality management
system for the pharmaceutical industry. This guidance is referred as ICH (International
Council for Harmonization) guideline.
4.1.2 Quality
Quality can be defined according to US FDA as; “A measure of a product’s or service’s
ability to satisfy the customer’s stated or implied needs.”
2. Safety Guidelines:
ICH has produced a comprehensive set of safety Guidelines to uncover potential risks
like carcinogenicity, genotoxicity and reprotoxicity.
Industrial Pharmacy - II 4.4 Quality Management Systems
3. Efficacy guidelines:
It is concerned with the design, conduct, safety and reporting of clinical trials.
4. Multidisciplinary Guidelines:
Some highlights of this guideline are:
4. Personnel:
(a) Improper working conditions.
(b) Inadequate training and understanding.
(c) Lack of interest and emotional upheavals.
(d) Dishonesty fatigue and carelessness.
4.1.9 Control of Quality Variation
The mistakes can be controlled, minimized or eliminated by material control; packaging
control and GMP variations can be controlled when Quality Control, Quality Function, and
Quality Assurance work side by side.
Controlling each and every step of process can control variations. Control can be divided
into:
1. Material control
2. Manufacturing practice control
3. Packaging control
4. Distribution control
4.2.5 Advantages
1. Improve in quality and safety of the drugs.
2. Improvement of customer satisfaction.
3. Improvement of reputation of industry.
4. Total involvement of employee with higher moral and responsibilities.
5. Lower economic burden.
4.6.2 Definition
Change control can be defined as; “A formal system by which qualified representatives of
appropriate disciplines review proposed or actual changes that might affect the validated
status of facilities, systems, equipment or processes. The intent is to determine the need for
action that would ensure and document that the system is maintained in a validated state”.
(EU GMP Guidelines, Annexure 15).
4.6.3 Function
Any change in manufacturing process, equipment, materials used that may cause
alteration in product quality should be validated.
The main functions of change control are:
1. Identification of the changes made.
2. Review of the change.
3. Approval of the change.
4. Validating the changes which can alter the product quality, regulatory or GMP (Good
manufacturing process) requirements.
5. Analysis of the change and monitoring of the impact of change.
4.6.4 Area of Change
1. Manufacture: Following changes are concerned:
• Raw materials
• Equipments
• Process/parameters
• Testing/validation procedures
• Packaging materials
• Cleaning process
2. Quality control and quality assurance: Following changes are considered:
• Quality testing parameters
• Sampling size
• Validation process
• Specifications of raw materials, intermediates and final product
• Documentation
• Standard operating procedures (SOPs)
3. Research and development: It includes the change in;
• Manufacturing process (any addition of elimination of steps)
• Raw materials (any addition of omission of the product)
• Specifications of raw materials, intermediates and final product
• Quantitative aspects of raw materials and finished products
• Manufacturing conditions and storage conditions
• Testing/validation procedures
Industrial Pharmacy - II 4.15 Quality Management Systems
workshops about the standards as per requirement. The training report shall be
documented and maintained.
9. Statistical Analysis: To analyze and control the process capability, statistical analysis
shall be documented and implemented.
4.7.6 Advantages of ISO Certification
1. Increment in marketability.
2. International recognitions.
3. Reliability in the market.
4. Capability of providing quality products to satisfy the customer.
5. Improvement in relationship with customers and stakeholders.
4.9.1 Introduction
NABL is an autonomous constituent board of quality council of India. NABL stands for
“National Accreditation Board for Testing and Calibration Laboratories”. NABL has been
established and constituted for providing accreditation to the Government, industry
associations and individual industry or organizations. The accreditation is related to the third-
party assessment of the technical competence of testing which includes medical and
calibration laboratories, proficiency testing providers (PTP) and reference material producers
(RMP).
4.9.2 NABL and ISO Principles
The accreditation service is based on the following ISO principles:
1. Accreditation Systems:
ISO/IEC 17011 (2017) (Conformity assessment-requirements for accreditation bodies
accrediting conformity assessment bodies).
2. Testing and Calibration Laboratories:
ISO/IEC 17025 (2005) and ISO/IEC 17025 (2017) (General requirements for the
competence of testing and calibration laboratories).
3. Medical Laboratories:
ISO 15189 (2012) (Medical laboratories-requirements for quality and competence).
Industrial Pharmacy - II 4.22 Quality Management Systems
are maintained to establish that every staff has the competence, education,
experience and training to perform the tests.
3. Availability of Facilities: Adequate facilities with state-of-the-art infrastructure
should be provided by the institution and management to ensure the validation of
the studies. The cleaning, maintenance and documents of the site plan should satisfy
the guidelines.
4. Availability of Equipments: Adequate equipments must be available for the study in
the organization. The suitability of the equipment and calibrated instruments should
be provided by the management.
4.10.3.2 Characterization
It includes:
1. Test Items: It may be an active ingredient for a medicine, a pesticide, a food additive,
a vaccine, an industrially used chemical, a biomass or an extraction from plants. These
items are characterized by analytical profile like chemical identification test, solubility,
stability etc. The test items should be stored properly to avoid the contamination.
2. Test Systems: The test systems could be the animals, bacteria, cells, organs and
plants. Sometimes they may be analytical equipments also. The test systems should
be handled in such a way that it must comply with the GLP guidelines and with the
national animal welfare law.
4.10.3.3 Rules
1. Study Protocols: The study plan or protocol describes how the study is designed
and how it is to be conducted. The plan should include the expected timeframe of
the study.
2. Written Procedures: Written procedures are often known as SOPs (Standard
Operating Procedures). SOPs provide the instructions how each technical procedure
should be performed, how to ensure the sound organization of the study,
environmental variables and data.
4.10.3.4 Results
It includes raw data, final reports and data archiving.
1. Raw Data: The original record and the data needed for the reconstruction should be
recorded. The raw data should include ‘what’ was done, ‘how’ it was done, ‘when’ the
work was done and ‘who’ performed the work. The recorded data should clarify the
process by which it is generated and should confirm the process has been performed
as per the guidelines and SOPs.
2. Final Results: Final results are the responsibility of the study director. These results
should describe the study accurately and the scientific interpretation. The results
Industrial Pharmacy - II 4.26 Quality Management Systems
should reflect accurately the raw data. The review and audit of these reports should
be done. All accepted changes in the results approved by the reviewer should be
incorporated before the finalization of the results.
3. Archives: Archiving is a safe depositing of all information. It is considered to be a
center for the compilation and distribution of summary documents. The archiving of
document helps the reconstruction of studies performed earlier.
4.10.3.5 Quality Assurance
The requirement of the quality assurance is to validate the experimental results. Quality
assurance unit (QAU) or simply QA must review all phases of preclinical research,
organization framework, staff documents, study procedures and SOPs. The internal audits
and inspections should be performed by the QA officers. The QA performs the study-based
audit, facility and systems-based inspection and process-based inspections.
4.10.4 GLP Principles
GLP principles are set of organizational requirements. GLP is a regulation covering the
quality management of non-clinical safety studies. The aim of the regulation is to encourage
scientists to organize and perform their studies in a way which promotes the quality and
validity of the test data. GLP deals with the following issues:
• The facility provided by the organization.
• Efficient and trained personnel.
• Quality of validated equipment and reagents.
• Predetermined study design.
• SOPs, process validation and test procedures.
• Correctness of the results.
• Quality assurance laboratory (QAL) and Quality assurance program (QAP).
• Recorded and documented results and their storage.
The organizations should fulfill all the criteria to provide all the facilities for the good
practice in laboratory. The personnel should have enough knowledge about the principles
and working of the practices. In the elements of GLP, SOP is an important part with respect
to quality assurance. To maintain the productivity of the result, a well documented SOP is
required; moreover, the personnel should have complete information mentioned in SOPs.
SOPs define the complete process flow and work steps which help to achieve the accurate
and precised results. Validated modern equipments and adequate facilities should be
provided by the organization to maintain the good practice in laboratory. The complete
specifications and storage of reagents and materials should be provided. QA laboratory
should have the proper test procedures (physical, chemical and biological) and characterized
data for both the test and reference materials. Quality assurance unit (QAU) bears the
responsibility to assure the GLP and this unit is attached with QAL and QAP. The audit of the
Industrial Pharmacy - II 4.27 Quality Management Systems
laboratory and verification of the quality parameters are the major responsibilities of the
QAU. The reported study results should be stored and retained with well documented
manner.
4.10.5 Aim of GLP
1. GLP helps to reduce the number of false negatives arising from the studies. False
negative result for a toxicity study falsely intimated that the test item is not toxic, but
in real the item is toxic.
2. GLP also helps to reduce the chance of false positives. In the case of a non-clinical
safety study, the results wrongly predict that the test item is toxic, when really it is
not.
3. GLP promotes international recognition of study data. When studies are performed
according to OECD GLP principles, then the acceptability and reliability of the data
are recognized in the international level by the OECD member states.
QUESTIONS
Multiple Choice Questions
1. Quality management system deals with ……
(a) Quality for their products and services
(b) Safety for their products and services
(c) Quality and safety for their products
(d) Quality and safety for their products and services
2. Quality control is defined as ……
(a) Sampling and documentation
(b) Sampling, specification and documentation
(c) Sampling, specification, testing, documentation and release procedures
(d) None of these
3. ICH guidelines involve ……
(a) Quality, Safety
(b) Quality, Safety and Efficiency
(c) Quality control and Multidisciplinary guidelines
(d) Quality, Safety, Efficiency and Multidisciplinary guidelines
4. Carcinogenicity and Genotoxicity study is a …… aspect of ICH guidelines.
(a) Safety guidelines (b) Efficiency guidelines
(c) QSEM guidelines (d) All of these
5. Pharmacovigilance is a part of ……
(a) ICH E1 guidelines (b) ICH E3 guidelines
(c) ICH E2 guidelines (d) ICH E2 (A-F) guidelines
Industrial Pharmacy - II 4.28 Quality Management Systems
ANSWERS
1. (d) 2. (c) 3. (d) 4. (a) 5. (d) 6. (d) 7. (a) 8. (d) 9. (b) 10. (d)
Long-Answer Questions:
1. Write a note on ICH guidelines.
2. Explain the principles of TQM and QBD.
3. Write about the six sigma concepts.
4. Define OOS. How will you find out the possible OOS in the results? Explain.
5. Write the basic principles of ISO 9000. Explain ISO 9000 series in detail. Write a note
on requirements of ISO 9000 Series.
6. What is EMS? Write the basic working principle of ISO 14000 series. What are the
advantages of it?
7. Write a short note on GLP and NABL.
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Chapter ... 5
INDIAN REGULATORY REQUIREMENTS
♦ LEARNING OBJECTIVES ♦
After completing this chapter, students will be able to understand:
The Central Drug Standard Control Organization is licensing authority (regulatory
agency) for the approval of new drugs proposed and amount of drugs to be imported.
Developing standard and regulatory measures for drugs linguistics and devices.
Laying down regulatory measure by amending acts and rules.
Regulating the market authorization of new drugs.
In its role on the regulator of imported drugs, the CDSCO works with:
The Drugs Technical Advisory Board and Drugs Consultative Committee.
The Central Drugs Laboratory undertaken testing of such drugs.
5.1 INTRODUCTION
The Central Drug Standard Control Organization (CDSCO) regulates drugs, cosmetics,
diagnostics and devices in India. It is headed by the Drug Controller General of India (DCGI),
responsible for safety, efficiency and quality standards for pharmaceuticals and medical
device and publisher of the Indian Pharmacopoeia. The DCGI is advised by the Drug
Technical Advisory Board (DTAB) and the Drug Consultative Commission (DCC). State
Government is responsible for licensing, approvals, inspection and recalls of drugs
manufactured within their domain. India is main regulatory body for regulation of
pharmaceuticals and medical devices and the Drug Controller General of India (DCGI) is
responsible for the regulation of pharmaceuticals and medical devices. The CDSCO works
with the World Health Organization to promote Good Manufacturing Practice (GMP) and
international regulatory harmony. The organization responsible for approved issuance of
license for various categories of drugs such as blood and blood products, I.V. fluids, vaccines,
sera etc., either manufacturing in India or imported. It regulates the manufacturing, sale,
distribution of drugs through the state authorize and register manufacturing, sale and
distribution of drugs.
(5.1)
Industrial Pharmacy - II 5.2 Indian Regulatory Requirements
Functions of CDSCO:
1. Approval of new drugs and clinical trials.
2. Import Registration and Licensing.
3. Licensing of Blood banks, LVPS, Vaccines, Pie-DNA products and some medical
devices and diagnostic agents.
4. Amendment to D and C Act and Rules.
5. Banning of drugs and cosmetics.
6. Grant to Test license, Personal License, NOC’S for export.
7. Testing of drugs by Central Labs.
8. Publication of Indian Pharmacopoeia.
9. Monitoring adverse drug reactions.
10. Guidance on technical matter.
3. New drug will not be imported, except under permission granted by the Licensing
Authority, accomplished by fifty thousand rupees.
4. The licensing authority, after being satisfied that the drug if permitted to be imported
as raw material (bulk drug substance) or a finished permutation will be effective and
safe for use in the country may issue import permission.
5. For new drug discovered in other countries, phase-I trials are not usually allowed to
be initiated in India.
Approval for Clinical Trials:
1. Approval for clinical trials and application to conduct clinical trials in India should be
submitted along with the date of chemistry, manufacturing, control and animal
studies to DCGI.
2. The data regarding the trail protocol investigators brochures and informed consent
documents should also be attached.
3. A copy of the application must be submitted to the ethical committee and the clinical
trials are conducted only the after approval of DCGI and ethical committee.
Approval of Clinical trials, Import and Manufacture of New Drugs:
Requirements and Guidelines:
Schedule Y
Rule 122A – Permission to import new drug.
Rule 112B – Permission to manufacture new drug.
Rule 122DA – Definition of clinical trials.
Rule 122E – Definition of new Drugs.
1. New substance having therapeutic indication.
2. Modified on new claims, new route of administration for already approved drug.
3. Fixed dose combination.
Approval of IND:
Time Line:
Phase-I: 90 days
Phase-II: 45 days
Phase-III: 60 days
Industrial Pharmacy - II 5.5 Indian Regulatory Requirements
For biological, Large volume parenterals (LVP), Blood Bank and blood products and some
medical devices.
Global Clinical Trials:
Permission is required from CDSCO for conducting global clinical trials in the country.
Phase-I for new drugs substance is developed outside India, whereas inside is not
permitted.
1. Application should clearly indicate for fresh certification (Grant) or reissue of products
applied, accordingly it will be scrutinized for the products applied.
2. Applications should be reviewed by CDSCO officers and completed applications in all
respects should be accepted for inspection on first come first serve basis.
3. The forwarding letter/application shall be accompanied with list of products applied
for grant of COPP, along with a product permission copy (manufacturing license
issued by the SLA) and notarized product summary sheet, site master file as per
WHO-GMP requirement.
List of major/master documents like master validation plan, quality manuals,
specifications, master formula records maintained by firm and list of SOPs (to indicate the
documentation system of firm).
Manufacturing Layout:
1. List of personnel (with designation, qualification and experience), List of equipments,
instruments, utilities along with make and model and capacity.
2. List of primary and secondary impurity and reference standards/cultures available
with the firm (relevant to the applied products for grant of COPP).
Procedure for Accepting the Application for Issue of COPP:
The certificate of pharmaceutical product has been issued under WHO-GMP based on
guidelines laid down by health agency and also aimed at diminishing the risk inherent in
pharmaceutical productions. The certificate helps the regulator to ensure that drugs are
consistently produced and are quality controlled before they leave the country.
Documents Required for Applying for Grating or Revalidation of COPPs:
1. Application from manufacturer.
2. Site master file (as specified under WHO TRS 823).
3. Cost of manufacturing license.
4. List of approval products.
5. List of products applied for issuance of COPPs.
6. List of SOPs and STPs.
7. Stability data (3 batches) accelerated/Real time.
8. List of equipments and instruments.
9. List of technical staff, their qualification, and experience and approval status.
10. Manufacturing layout plan.
11. Process validation for 3 batches of each product.
12. Schematic diagram of water system specifying circulation loop and MOC (Material of
construction).
13. Schematic diagram of HVAC system specifying terminal filter configuration.
14. Export data of last 2 years in case of revalidation.
15. Product money sheet.
Industrial Pharmacy - II 5.10 Indian Regulatory Requirements
Legal Documents:
1. Documents to be submitted by Indian agent.
2. Form 40: It should be signed and stamped by Indian agent.
3. Documents to be submitted by manufacturer.
4. POA: Power of attorney should be consulate from Indian embassy of the other
country of origin, and should be co-jointly signed by both the parties
i.e. manufacturer and Indian agent.
Schedule DI and DII:
They should be signed and stamped by manufacturer (Need not to be notarized).
Regulatory Documents:
1. Notarized plant registration certificate.
2. Notarized manufacturing and marketing license
3. Notarized free sale certificate
4. GMP/COPP certificate notarized.
Technical Documents:
(A) Plant master file: It should include the following points:
• Sketch of the plant.
• Profile of the company.
• Organogram of the company.
• Plant and machinery.
• Hygienic and sanitary measure details.
• IQPQDQOQ.
• HAVAC system.
• Men material movement.
Industrial Pharmacy - II 5.11 Indian Regulatory Requirements
QUESTIONS
Multiple Choice Questions:
1. Approximately what percentage of clinical development studies are conducted by
CRO's?
(a) 1-5% (b) 10-20%
(c) 25-30% (d) 50-75%
2. What is the approximate ratio of potential compounds from the beginning of
Development to number of products that ultimately get FDA approval?
(a) 1 : 10 (b) 1 : 100
(c) 1 : 1,000 (d) 1 : 10,000
3. On which two criteria does the FDA classify NDAs?
(a) Novelty of the active ingredient and time to market
(b) Balance between safety and effectiveness
(c) Novelty of the active ingredient and clinical improvement
(d) Clinical improvement and effectiveness of product
4. What is a synonym/description for the Phase 4 trials?
(a) Post Marketing Surveillance (b) Pre Marketing Surveillance
(c) Pre FDA Approval (d) Post FDA Approval
5. What is the purpose of pre-clinical testing?
(a) To verify that a drug is sufficiently safe and effective to be tested in humans.
(b) To create a basic outline for the larger scale future tests on a widespread
population.
(c) To undergo preliminary testing in healthy humans to monitor the effects of the
drug.
(d) None of above
ANSWERS
1. (c) 2. (c) 3. (a) 4. (a) 5. (a)
Long-Answer Questions:
1. Explain the details of CDSCO and give its functions.
2. Write about various Drug Regulatory agencies.
3. Write details about different Central Drugs Testing Laboratories available in India.
4. Write short note on State Licensing authorities.
5. Explain about Central Drugs Laboratory and its function.
6. What is RDTL and its function?
7. What is COPP and its importance?
8. What are general requirements for submission of application for issue of COPP?
9. What is the procedure for accepting the application for issue of COPP?
10. What are the documents required for applying grating on revalidation of COPP?
11. What are the regulatory requirements and approval procedures for new drugs?
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