ASTM E2898-20a

Standard Guide for Risk-Based Validation of Analytical Methods for PAT Applications

SIGNIFICANCE AND USE
4.1 This guide supports the principles of Guide E2500 and extends these principles to validation of analytical methods for PAT applications. The ongoing process of method validation is graphically represented in Fig. 1, which shows the life cycle of the validation of analytical methods for PAT applications. Prerequisites for validation are the identification of the measurement requirements and development of a method to meet those requirements.  
FIG. 1 Life Cycle for the Validation of Analytical Method for PAT Applications  
4.2 The method risk assessment also takes into account the stage in the product life cycle at which the measurements are being made and how the resulting data will be used. The integration of these considerations in the risk assessment facilitates the determination of the level of validation necessary to ensure that the method is fit for purpose.  
4.3 Changes may occur during the product life cycle necessitating identification of changes to the measurement requirements and method update and revalidation. Procedures should be established to evaluate the continued suitability of the process analytical method and to make appropriate recommendations to update the process analytical method for the intended use during the product life cycle.  
4.4 Additional informative examples can be found in Practices D3764, D6122, E1655, E1790, E2056, E2617, and E2656; and Guide E2891 that address validation of methods and models. Other useful standards include ASME BPE2019, ISO 14971, ISO 15839, and USP Acoustic Emission .
SCOPE
1.1 This guide provides an overview to the risk-based validation of process analytical methods under a process analytical technology (PAT) paradigm for pharmaceuticals and biopharmaceuticals and as such includes guidance on assessing risk to product quality from inappropriate method validation.  
1.2 This guide builds on existing standards on the topic of validation concentrating on applying such standards to analytical methods for on-line analysis. In particular, it addresses the validation of at-line, on-line, or in-line PAT measurements and covers both drug substance and drug product (DP) measurements.  
1.3 The definitions of International Council for Harmonisation (ICH) validation parameters (such as specificity, precision, repeatability, etc.) apply; however, the method of demonstrating the validation parameters may vary from that described in ICH and is discussed.  
1.4 As consistent with the U.S. Food and Drug Administration (FDA) process validation guidance, this document also briefly covers ongoing assurance that the method remains in a validated state during routine use.  
1.5 Equipment and instrument qualification are out of the scope of this guide but will be referenced as inputs to validation of analytical methods for PAT applications.  
1.6 The validation of multivariate prediction models is out of scope but will be referenced as inputs to validation of analytical methods for PAT applications.  
1.6.1 The validation of any analytical model used in the PAT method is essential to the validation of the PAT method but, the details of the model validation process is out of scope. See term  model validation, 3.1.7.  
1.7 Microbiological methods are out of scope.  
1.8 This standard does not purport to address all of the safety concerns, if any, associated with its use. It is the responsibility of the user of this standard to establish appropriate safety, health, and environmental practices and determine the applicability of regulatory limitations prior to use.  
1.9 This international standard was developed in accordance with internationally recognized principles on standardization established in the Decision on Principles for the Development of International Standards, Guides and Recommendations issued by the World Trade Organization Technical Barriers to Trade (TBT) Committee.

General Information

• Status: Published
• Publication Date: 31-May-2020
• ICS: 11.120.99 - Other standards related to pharmaceutics
• Technical Committee: E55 - Manufacture of Pharmaceutical and Biopharmaceutical Products
• Drafting Committee: E55.13 - Process Evaluation and Control

Standards Content (Sample)

This international standard was developed in accordance with internationally recognized principles on standardization established in the Decision on Principles for the
Development of International Standards, Guides and Recommendations issued by the World Trade Organization Technical Barriers to Trade (TBT) Committee.
Designation: E2898 − 20a
Standard Guide for
Risk-Based Validation of Analytical Methods for PAT
1
Applications
This standard is issued under the fixed designation E2898; the number immediately following the designation indicates the year of
original adoption or, in the case of revision, the year of last revision. A number in parentheses indicates the year of last reapproval. A
superscript epsilon (´) indicates an editorial change since the last revision or reapproval.
1. Scope responsibility of the user of this standard to establish appro-
priate safety, health, and environmental practices and deter-
1.1 This guide provides an overview to the risk-based
mine the applicability of regulatory limitations prior to use.
validation of process analytical methods under a process
1.9 This international standard was developed in accor-
analytical technology (PAT) paradigm for pharmaceuticals and
dance with internationally recognized principles on standard-
biopharmaceuticals and as such includes guidance on assessing
ization established in the Decision on Principles for the
risk to product quality from inappropriate method validation.
Development of International Standards, Guides and Recom-
1.2 This guide builds on existing standards on the topic of
mendations issued by the World Trade Organization Technical
validation concentrating on applying such standards to analyti-
Barriers to Trade (TBT) Committee.
cal methods for on-line analysis. In particular, it addresses the
validation of at-line, on-line, or in-line PAT measurements and
2. Referenced Documents
covers both drug substance and drug product (DP) measure- 2
2.1 ASTM Standards:
ments.
D3764 Practice for Validation of the Performance of Process
1.3 The definitions of International Council for Harmonisa- Stream Analyzer Systems
tion (ICH) validation parameters (such as specificity, precision,
D6122 Practice for Validation of the Performance of Multi-
repeatability, etc.) apply; however, the method of demonstrat- variate Online, At-Line, Field and Laboratory Infrared
ing the validation parameters may vary from that described in
Spectrophotometer, and Raman Spectrometer Based Ana-
ICH and is discussed. lyzer Systems
E1655 Practices for Infrared Multivariate Quantitative
1.4 As consistent with the U.S. Food and Drug Administra-
Analysis
tion (FDA) process validation guidance, this document also
E1790 Practice for Near Infrared Qualitative Analysis
briefly covers ongoing assurance that the method remains in a
E2056 Practice for Qualifying Spectrometers and Spectro-
validated state during routine use.
photometers for Use in Multivariate Analyses, Calibrated
1.5 Equipment and instrument qualification are out of the
Using Surrogate Mixtures
scope of this guide but will be referenced as inputs to
E2476 Guide for Risk Assessment and Risk Control as it
validation of analytical methods for PAT applications.
Impacts the Design, Development, and Operation of PAT
1.6 The validation of multivariate prediction models is out Processes for Pharmaceutical Manufacture
of scope but will be referenced as inputs to validation of E2500 Guide for Specification, Design, and Verification of
analytical methods for PAT applications. Pharmaceutical and Biopharmaceutical Manufacturing
1.6.1 The validation of any analytical model used in the PAT Systems and Equipment
method is essential to the validation of the PAT method but, the E2617 Practice for Validation of Empirically Derived Mul-
details of the model validation process is out of scope. See term tivariate Calibrations
model validation, 3.1.7. E2629 Guide for Verification of Process Analytical Technol-
ogy (PAT) Enabled Control Systems
1.7 Microbiological methods are out of scope.
E2656 Practice for Real-time Release Testing of Pharmaceu-
1.8 This standard does not purport to address all of the
tical Water for the Total Organic Carbon Attribute
safety concerns, if any, associated with its use. It is the
E2891 Guide for Multivariate Data Analysis in Pharmaceu-
tical Development and Manufacturing Applications
1
This guide is under the jurisdiction of ASTM Committee E55 on Manufacture
of Pharmaceutical and Biopharmaceutical Products and is the direct responsibility of
2
Subcommittee E55.13 on Process Evaluation and Control. For referenced ASTM standards, visit the ASTM website, www.astm.org, or
Current edition approved June 1, 2020. Published June 2020. Originally contact ASTM Customer Service at [e-mail]. For Annual Book of ASTM
approved in 2013. Last previous edition approved in 2020 as E2898 – 20. DOI: Standards volume information, refer to the standard’s Document Summary page on
10.1520/E2898-20A. the ASTM website.
Copyri
...

This document is not an ASTM standard and is intended only to provide the user of an ASTM standard an indication of what changes have been made to the previous version. Because
it may not be technically possible to adequately depict all changes accurately, ASTM recommends that users consult prior editions as appropriate. In all cases only the current version
of the standard as published by ASTM is to be considered the official document.
Designation: E2898 − 20 E2898 − 20a
Standard Guide for
Risk-Based Validation of Analytical Methods for PAT
1
Applications
This standard is issued under the fixed designation E2898; the number immediately following the designation indicates the year of
original adoption or, in the case of revision, the year of last revision. A number in parentheses indicates the year of last reapproval. A
superscript epsilon (´) indicates an editorial change since the last revision or reapproval.
1. Scope
1.1 This guide provides an overview to the risk-based validation of process analytical methods under a process analytical
technology (PAT) paradigm for pharmaceuticals and biopharmaceuticals and as such includes guidance on assessing risk to product
quality from inappropriate method validation.
1.2 This guide builds on existing standards on the topic of validation concentrating on applying such standards to analytical
methods for on-line analysis. In particular, it addresses the validation of at-line, on-line, or in-line PAT measurements and covers
both drug substance and drug product (DP) measurements.
1.3 The definitions of International Council for Harmonisation (ICH) validation parameters (such as specificity, precision,
repeatability, etc.) apply; however, the method of demonstrating the validation parameters may vary from that described in ICH
and is discussed.
1.4 As consistent with the U.S. Food and Drug Administration (FDA) process validation guidance, this document also briefly
covers ongoing assurance that the method remains in a validated state during routine use.
1.5 Equipment and instrument qualification are out of the scope of this guide but will be referenced as inputs to validation of
analytical methods for PAT applications.
1.6 The validation of multivariate prediction models is out of scope but will be referenced as inputs to validation of analytical
methods for PAT applications.
1.6.1 The validation of any analytical model used in the PAT method is essential to the validation of the PAT method but, the
details of the model validation process is out of scope. See term model validation,3.1.7.
1.7 Microbiological methods are out of scope.
1.8 This standard does not purport to address all of the safety concerns, if any, associated with its use. It is the responsibility
of the user of this standard to establish appropriate safety, health, and environmental practices and determine the applicability of
regulatory limitations prior to use.
1.9 This international standard was developed in accordance with internationally recognized principles on standardization
established in the Decision on Principles for the Development of International Standards, Guides and Recommendations issued
by the World Trade Organization Technical Barriers to Trade (TBT) Committee.
2. Referenced Documents
2
2.1 ASTM Standards:
D3764 Practice for Validation of the Performance of Process Stream Analyzer Systems
D6122 Practice for Validation of the Performance of Multivariate Online, At-Line, and Laboratory Infrared Spectrophotometer
Based Analyzer Systems
E1655 Practices for Infrared Multivariate Quantitative Analysis
E1790 Practice for Near Infrared Qualitative Analysis
1
This guide is under the jurisdiction of ASTM Committee E55 on Manufacture of Pharmaceutical and Biopharmaceutical Products and is the direct responsibility of
Subcommittee E55.01 on Process Understanding and PAT System Management, Implementation and Practice.
Current edition approved May 15, 2020June 1, 2020. Published June 2020. Originally approved in 2013. Last previous edition approved in 20142020 as E2898 – 14.20.
DOI: 10.1520/E2898-20.10.1520/E2898-20A.
2
For referenced ASTM standards, visit the ASTM website, www.astm.org, or contact ASTM Customer Service at [e-mail]. For Annual Book of ASTM Standards
volume information, refer to the standard’s Document Summary page on the ASTM website.
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States
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E2898 − 20a
E2056 Practice for Qualifying Spectrometers and Spectrophotometers for Use in Multivariate Analyses, Calibrated Using
Surrogate Mixtures
E2476 Guide for Risk Assessment and Risk Control as it Impacts the Design, Development, and Operation of PAT Processes
for Pharmaceutical Manufacture
E2500 Guide for Specification, Design, and Verification of Pharmaceutical and Biopharmaceutical Manufacturing Systems and
Equipment
E2617 Practice for Validation of Empirically Deriv
...