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Occupational health
categorization and compound
handling practice systems—
roots, application and future
Chemical categorization (or banding) of inherent toxicity and potency linked with defined engineering and
work practice controls and personal protective equipment has become an integral component of assuring
the health and safety of researchers and manufacturing personnel in the pharmaceutical industry.
By Allan W. Ader, protection and assessment of occupa- compounds were being developed.
John P. Farris, tional health hazards, as well as risk Correspondingly, there has been an
Robert H. Ku communication needed to be provided. increase in the occupational health risk
For many years, as pharmaceutical associated with the handling of these
compounds were discovered that were increasingly potent drug entities in
therapeutic and efficacious but could research, development, and manufac-
potentially elicit human (and therefore turing. The occupational health and
INTRODUCTION
potentially occupational) health effects safety professional was tasked with try-
at low levels, such as steroid hormones, ing to communicate the risks of the
In the late 1980s, occupational health
opioids, peptide hormones and prosta- compounds and to provide handling
professionals within the pharmaceuti-
glandins, guidelines could be provided guidance to the employees in a timely
cal industry were faced with an issue
on a compound-by-compound basis. and understandable manner.
that impacted the nature of worker
This effort would include development
of scientifically defensible Occupa-
Allan W. Ader, Ph.D., DABT, Principal
tional Exposure Limits (OELs), similar BEGINNING OF THE OCCUPATIONAL
Toxicologist, John P. Farris, B.S., CIH,
to those set by the American Confer- HEALTH CATEGORIZATION AND
President and Managing Principal, and
ence of Governmental Industrial COMPOUND HANDLING PRACTICE
Robert H. Ku, Ph.D., DABT, Principal
Hygienists (ACGIH) Threshold Limit SYSTEM
Toxicologist, are the founders of Safe-
Values (TLVs1) and US Occupational
Bridge Consultants, Inc. (SafeBridge),
Safety and Health Administration Faced with this dilemma, occupational
1924 Old Middlefield Way, Mountain
(OSHA) Permissible Exposure Limits health representatives of five pharma-
View, California, USA. SafeBridge is a
(PELs) (see Ku),1 and sensitive indus- ceutical companies who identified this
health and safety consulting firm to the
trial hygiene sampling and analytical as a major issue within their companies
pharmaceutical and chemical industry
methods to monitor worker exposure (Syntex (USA) Inc., Merck and Co.,
with services in occupational toxicol-
to these individual substances.But Inc., Eli Lilly and Co., Abbott Labs,
ogy, industrial hygiene, and sampling
the late 1980s and early 1990s saw an and The Upjohn Co.) met to discuss
and analytical methods development
explosion of molecular biology, high how they could development a ‘‘potent
and analysis, with specific expertise in
through-put screening techniques, compound safety management sys-
potent compound safety (Tel.: (650)
biotechnology, and diversity and an tem’’ that would allow for appropriate
961-4820x228; fax: (650) 623-0096;
unprecedented increase in the nature handling of novel chemical entities
e-mail: allan.ader@safebridge.com;
and volume of new chemical entities and new pharmaceutical products.
website: www.safebridge.com).
that would enter the pharmaceutical The five companies were part of a
The terms categorization, banding, research and manufacturing environ- larger ad hoc group of pharmaceutical
and performance-based exposure con- ments. Novel compounds of unknown company health and safety profes-
trol limits (PB-ECLs) have all been toxicity and potency were being sionals who periodically met to discuss
applied to the concepts described in developed at a rate too fast for occupa- solutions to common challenges they
this paper. For the purposes of this tional health professionals to provide faced in providing health and safety
paper, the term categorization will be individual compound guidance. Addi- services within the industry. Quarterly
used and should be considered to be tionally, pharmacological selectivity working group sessions were held over
equivalent to these other terms. typically increased and more potent a two-year period. Each of the five
20 ß Division of Chemical Health and Safety of the American Chemical Society 1074-9098/$30.00
Elsevier Inc. All rights reserved. doi:10.1016/j.chs.2005.01.016
individual companies assessed the develop scientifically defensible Occu- that evaluate the effects of these sub-
types of risks and hazards they were pational Exposure Limits (OELs) and stances in animals or in silico (predic-
facing and determined that an effective sensitive air sampling and analytical tive systems) and are inferred from
approach would be implementation of methods, followed by industrial application of specific dosing regimens
an appropriate compound categoriza- hygiene monitoring of workers to ver- during the course of human clinical
tion, exposure control and compound ify control levels. Furthermore, once trials (for pharmaceutical com-
handling system. The approaches an OEL had been developed, it did pounds). Mechanism of pharmacolo-
developed were similar to those devel- not matter which ‘‘category’’ the mate- gical action, therapeutic dose, and the
oped by the Centers for Disease Con- rial was in, as the OEL becomes the spectrum and severity of clinically
trol (CDC) for biosafety (Biosafety ‘‘target’’ for control measures within observed side effects of a specific drug
Levels or BSLs described in CDC/ the workplace. Rather the system substance, all provide the basis for the
NIH).2 The CDC BSLs, and occupa- was designed to give guidance, based toxicity assessment. Ultimately, the
tional categorization systems are com- on experience, on safe handling until a assessment process involves placing a
mon in that they are both ‘‘hand meaningful quantitative task-oriented drug into one of four classification
in glove’’ systems, meaning that for a industrial hygiene exposure assess- categories:
corresponding hazard determination, ment could be conducted.
appropriate controls and work prac- (1) Low Toxicity;
tices are developed and applied. In the (2) Intermediate Toxicity;
case of the pharmaceutical compound WHY IS THERE MORE THAN ONE (3) Potent/Toxic; or
categorization systems, the key task OCCUPATIONAL BANDING AND (4) Highly Potent/Highly Toxic
was to link pharmaceutical potency HANDLING PRACTICE SYSTEM?
and toxicity to safe handling. Control Criteria used for each of these (in
recommendations were based on The original five companies attempted this case, four) categories are described
prior success with compounds having to create a ‘‘one size fits all’’ system to in Table 1. A compound placed within
similar characteristics. Work environ- take back to the other companies of either of the latter two categories of
ments, process controls, techniques, the ad hoc pharmaceutical safety Potent or Highly Potent is typically
and personal protective equipment group and found that this did not work associated with a comparatively low
recommendations were based on data for several reasons. Clearly the thera- therapeutic dose (e.g., provides a ther-
developed from historical industrial peutic substances were different in the apeutic effect at a dose of approxi-
hygiene air monitoring results. five companies (and the other compa- mately 10 mg or lower), and/or is
In the case of the authors, we could nies in the safety group that the con- believed to present the potential for
identify four work environments or cept was brought back to). Surprisingly ‘-genic’ effects in individuals exposed
degrees of containment (similar to it was found that the work environ- to the compound (e.g., these com-
the four BSL levels) in our laboratory ments, equipment and controls were pounds have typically been observed
and manufacturing facilities: low (e.g., also different. Due to these and other to induce carcinogenic, mutagenic,
open handling), intermediate (e.g., factors, each company developed com- reproductive toxicity and/or develop-
local exhaust ventilation with some pany-specific systems which were mental or teratogenic toxic effects in
limited open handling); high (e.g., con- based on the common themes devel- animal studies and/or human clinical
tainment at the source of dust genera- oped by the initial group of five com- trials).
tion through direct connection); and panies. Proper implementation would Many of the novel compounds
very high (e.g., isolation and glove box depend on customization to match handled within the context of pharma-
technology). The occupational toxicol- each company’s business and health ceutical research and development
ogist matched existing compounds and safety needs. Typically, four (Safe- laboratories and clinical production
and their toxicological characteristics Bridge Consultants, Inc.)3 or five environments frequently lack the data
of the compounds to the work envir- (Naumann et al.—the publication in described above to sufficiently evalu-
onment descriptors developed by the this area derived from these meetings ate the occupational hazard posed to
industrial hygienist. This qualitative as applied to pharmaceuticals)4 cate- workers handling these substances.
categorization criteria (rather than gory systems were adopted based on Yet, clearly these compounds are being
the OEL) became the ‘‘roots’’ of the these original discussions. developed for their targeted pharma-
system. cological potency and biological activ-
So, in summary, the initial ity. In order to address possible
approaches taken with occupational DESCRIPTION OF TOXICITY AND adverse health effects of these types
health categorization systems and their POTENCY CATEGORIES of pharmacologically active com-
utility were to match toxicity and pounds to research and development
potency criteria with work environ- The basic premise of the system is to laboratory workers, special care needs
ments in a qualitative manner. It was place chemicals into categories based to be taken to avoid the potentially
not and should not be used as a sub- on their inherent toxicity and potency harmful consequences of underesti-
stitute for good industrial hygiene and characteristics. These data are obtai- mating risk. Generally, in situations
safety practice, which would be to ned from toxicological investigations where sufficient information is not
CATEGORIES
POTENCY AND TOXICITY
HANDLING PRACTICES LINKED TO
manufacturing settings.
pound is handled within research and
priate risk communication as the com-
and controls, and provide for appro-
help to select appropriate resources
cation. Proper categorization will
ity relationships, and therapeutic indi-
mechanism of action, structure–activ-
pounds are the pharmacological
employed to categorize the novel com-
always be made. Data that should be
cases, so a thorough assessment should
‘‘unknown’’ is not justifiable in all
Table 2. Recommended Work Environments and Handling Practices For Pilot Plant and Production Scale for Each Occupational Health Category (SafeBridge3)
Category 1 Category 2 Category 3 Category 4
Open handling is acceptable Wear appropriate gloves; lab coat, Wear appropriate gloves; Wear appropriate gloves;
for low dust-generating nylon coveralls or disposable lab coat, nylon coveralls or lab coat, nylon coveralls or
operations or solutions. Tyvek suit; safety glasses and disposable Tyvek suit; safety disposable Tyvek suit; safety
Wear appropriate gloves; safety shoes. Use good glasses, safety shoes, and glasses, safety shoes, and
lab coat, nylon coveralls manufacturing practices disposable booties. Use good disposable booties. Use
or disposable Tyvek suit; (i.e., cGMPs). manufacturing practices good manufacturing
safety glasses and safety shoes. Use a powered, air-purifying (i.e., cGMPs). practices (i.e., cGMPs).
Use good manufacturing respirator (PAPR) with HEPA Protective garment (coveralls, Protective garment (coveralls,
practices (e.g., cGMPs). cartridges or a supplied-air Tyvek, lab coat) is not to be Tyvek, lab coat) is not to
Wear a N95 filtering facepiece respirator (SAR), unless worn outside the work area. be worn outside the
respirator or a higher air-monitoring data has shown Clean/dirty/decontamination work area.
level of respiratory protection that a lower level of respiratory areas are to be established. Clean/dirty/decontamination
for high dust-generating operations. protection is adequate. Negative/positive air pressure areas are to be established.
If exposure monitoring indicates Protective garment (coveralls, relationships and buffer zones Negative/positive air pressure
exposures are below the OEL, Tyveks, lab coat) is not to be required (i.e., ante-room/ relationships and buffer zones
respiratory protection may not worn in common areas degowning room/airlock). required (i.e., ante-room/
be required. (e.g., cafeterias) or out-of-doors. Area access is to be restricted. degowning room/airlock).
Use local exhaust ventilation Use local exhaust and/or enclosure High-energy operations such as Area access is to be secured
and/or enclosure at dust-generating at dust-generating points. milling, particle sizing, spraying or and restricted.
points in the process. Emphasis is to be placed on closed fluidizing should only be done within Separate and dedicated work
material transfer systems and an approved emission control or areas should be established.
process containment, with limited containment system. A highly specialized
open handling of powders. Develop cleaning procedures ventilation system should
High-energy operations such as and techniques that limit be installed with failure
Chemical Health & Safety, July/August 2005