Beruflich Dokumente
Kultur Dokumente
Protocol #:
Date:
Facility:
National Institute of Health
16 March, 2010
Location:
Building 10 Room 1N249
Bethesda, MD 20892
Revision:
Original
Title:
Operational Qualification Protocol for the Capsule Filling Machine.
Objective:
The objective of this protocol is to document the satisfactory operation of the Capsule Filling
Machine used for manufacturing at National Institute of Health
Written By: Michael Molloy
Title: Consultant
Signature:
Signature:
Date:
Date:
Approved By: ______________________
Title: _____________________________
Title: _____________________________
Signature:
Signature:
Date:
Date:
Quality Assurance
Approved By: ______________________
Title: _____________________________
Title: _____________________________
Signature:
Signature:
Date:
Date:
Qualification
Process
Solutions, Inc.
DOCUMENT NUMBER
REVISION NUMBER 1
PROPRIETARY INFORMATION:
Unauthorized Duplication Is Prohibited
DATE: 3/16/10
PAGE: 1 of 36
Operational Qualification
EQUIPMENT NAME: Capsule Filling Machine
OPERATIONAL QUALIFICATION
FOR THE
DOC. #
OPERATIONAL QUALIFICATION PROTOCOL
Capsule Filling Machine
National Institute of Health, Building 10 Room 1n249
Bethesda MD 20892
Page 2 of 36
TABLE OF CONTENTS
16 March, 2010....................................................................................................................................................2
Quality Assurance...................................................................................................................................2
1.0Purpose..............................................................................................................................................3
2.0Scope..................................................................................................................................................3
3.0Equipment Description.......................................................................................................................3
4.0Responsibilities..................................................................................................................................4
5.0Reference Documents........................................................................................................................4
6.0Definitions.........................................................................................................................................5
7.0Test Function Number One: OQ Signature Verification List (Attachment #1).................................5
8.0Test Function Number Two: Test Equipment (Attachment #2).........................................................5
9.0Test Function Number Three: Procedure List (Attachment #3).........................................................6
10.0Test Function Number Four: Training Verification (Attachment #4)..............................................6
11.0Test Function Number Five: Operator Controls and Indicators (Attachment #5)............................6
12.0Test Function Number Six: Functional Verification (Attachment #6).............................................7
13.0Test Function Number Seven: Alarms, Safeties and Interlocks (Attachment #7)............................7
14.0Test Function Number Eight: Sequence of Operations (Attachment #8).........................................7
15.0Test Function Number Nine: Maximum / Minimum Values (Attachment #9)................................7
16.0Deviation Reporting Log (Attachment #10).....................................................................................8
17.0Operational Qualification Protocol Review (Attachment #11).........................................................8
18.0Summary Report Requirements ......................................................................................................8
19.0Attachment List .............................................................................................................................10
Attachment #1 OQ Signature Verification List.....................................................................................11
Attachment #2 Test Equipment.............................................................................................................12
Attachment #3 Procedure List...............................................................................................................13
Attachment #4 Training Verification...................................................................................................14
Attachment #5 Operator Controls and Indicators.................................................................................15
Attachment #6 Functional Verification.................................................................................................19
Attachment #6 Functional Verification.................................................................................................20
Attachment #6 Functional Verification.................................................................................................21
Attachment #6 Functional Verification.................................................................................................22
Attachment #6 Functional Verification.................................................................................................23
Attachment #7 Alarms, Safeties and Interlocks.....................................................................................25
Attachment #8 Sequence of Operation..................................................................................................31
Attachment #8 Sequence of Operation..................................................................................................32
Attachment #9 Maximum / Minimum Values.......................................................................................33
Attachment #10 Deviation Reporting Log............................................................................................34
Attachment #11 Operational Qualification Protocol Review................................................................36
DOC. #
OPERATIONAL QUALIFICATION PROTOCOL
Capsule Filling Machine
National Institute of Health, Building 10 Room 1n249
Bethesda MD 20892
Page 3 of 36
1.0
Purpose
The objective of this protocol is to verify that the Capsule Filling Machine, described in Section 3.0,
operates in accordance to manufacturers specification, and in accordance with Current Good
Manufacturing Practices (cGMPs).
2.0
Scope
This Operational Qualification pertains to the verification of the operation of the equipment described
in Section 3.0 of this protocol installed in the National Institute of Health, Building 10 room 1N249,
Bethesda MD, 20892. This protocol is specific to the Capsule Filling Machine and related
instrumentation and equipment. This protocol is specific to the Capsule Filling System, and related
instrumentation and equipment, and does not address other facility, or facility related equipment and
systems.
3.0
Equipment Description
The Capsule Filling Machine (Model : Zanasi 6F serial 35XXX) is a hard gelatine capsule filler, which
is designed for filling liquids, powders, granular product, pellets and tablets. The filler is designed to
accommodate capsules size 0,1,2,3 and 4. The output of the filler is adjustable with a maximum
production rate of 6000-6120 capsules/hr dependant upon process selection.
The filler is an alternate movement capsule filling machine provided with a rotary stage that provides
clockwise axis centered slip stick motion to transport capsules thru 8 process stages. The stages are:
1)
2)
3)
4)
5)
6)
7)
8)
Base
Motorization
Moving Parts
Protective hood
Electric cabinet and control panel
Size-change parts for process changeover
Manual controls
Powder feed unit
Powder layer and leveling control
Pellet or tablet dosing unit
Powder or pellet dosing unit
Defective capsule selection unit
Capsule closing unit
DOC. #
OPERATIONAL QUALIFICATION PROTOCOL
Capsule Filling Machine
National Institute of Health, Building 10 Room 1n249
Bethesda MD 20892
Page 4 of 36
14)
15)
16)
17)
18)
5.0
Responsibilities
4.1
4.2
Reference Documents
5.1
5.2
5.3
5.4
5.5
5.6
5.7
5.8
5.9
5.10
5.11
5.12
5.13
5.14
5.15
5.16
5.17
5.18
5.19
5.20
5.21
5.22
Drawing:
Drawing:
Drawing:
Drawing:
Drawing:
Drawing:
Drawing:
Drawing:
Drawing:
Drawing:
Drawing:
Drawing:
Drawing:
Drawing:
Drawing:
Drawing:
Drawing:
Drawing:
Drawing:
Drawing:
Drawing:
Drawing:
400024-00
4400d010-37
4401d011-28
4402d012-11
4403d013-15
4404d014-05
4405d015-11
4407d017-01
4408d018-07
4409d019-11
4410d020-11
4411d021-11
4005d002-03
4002d004-07
4004d004-05
4008d004-05
4009d004-11
4402d028-03
4410d090-12
4005d141-06
4005d142-06
4005d143-06
DOC. #
OPERATIONAL QUALIFICATION PROTOCOL
Capsule Filling Machine
National Institute of Health, Building 10 Room 1n249
Bethesda MD 20892
Page 5 of 36
5.23
5.24
5.25
5.26
5.27
5.28
5.29
5.30
5.31
5.32
5.33
5.34
5.35
5.36
5.37
6.0
7.0
Definitions
6.1
Critical Instrumentation Critical instruments are defined as those whose performance will
affect the operation of the system and/or the quality attributes of the processed materials.
Critical instruments are calibrated and certified using standards that are traceable to NIST
(National Institutes of Standards and Testing).
6.2
8.0
Objective
To identify and document all personnel involved in executing this protocol.
Procedure
Verify that each person who executes this protocol signs Attachment #1. Each person must be
identified by name, title, company, signature, initials and date on the attached form.
Acceptance Criteria
Signatures from all personnel involved in execution of this protocol shall be present.
Objective
To verify and document all test equipment
Procedure
8.2.1 Complete a list of all the instruments required for conducting OQ testing.
DOC. #
OPERATIONAL QUALIFICATION PROTOCOL
Capsule Filling Machine
National Institute of Health, Building 10 Room 1n249
Bethesda MD 20892
Page 6 of 36
8.2.2
8.3
9.0
9.3
10.0
Objective
To verify the operating Standard Operating Procedures (SOPs) provide adequate direction and
control over the operation of the equipment.
Procedure
9.2.1 Verify that the operational SOP provides personnel adequate direction and control
over the operation of the equipment. (The SOPs used for execution may be in draft
form.)
9.2.2 Complete the applicable attachment with a list of all applicable SOPs.
9.2.3 Redline the SOPs with an operator and validation personnel. Attach the redline copy
to this qualification protocol.
Acceptance Criteria
All associated SOPs for operation and execution shall be reviewed and documented.
10.3
11.0
Verify that the test equipment/instruments are calibrated and the reference standards
are traceable to National Institute for Standards and Technology (NIST) or other
approved standard.
8.2.3 Complete the applicable attachment, indicating the equipment description, ID/serial
number, calibration date, re-calibration date
Acceptance Criteria
All equipment required for execution shall be calibrated with copies of calibration records
attached.
Objective
To document applicable personnel have received the required training for operation of the
equipment.
Procedure
10.2.1 Document all personnel executing this protocol that have been trained on the
approved/draft SOP for the equipment.
10.2.2 List all SOPs used during the execution of this protocol
10.2.3 Complete required training forms in accordance with NIHs training requirements.
Acceptance Criteria
Training shall be performed on all SOPs used during the execution of this qualification
protocol.
Test Function Number Five: Operator Controls and Indicators (Attachment #5)
11.1
11.2
11.3
Objective
To verify the controls and indicators operate as specified by manufacturer recommendations.
Procedure
11.2.1 Manually operate the control switches listed in the applicable attachment.
11.2.2 Visually verify and document the actual responses.
11.2.3 Document any discrepancies in Attachment #10, Deviation Reporting Log. If any
variances/deviations are present, complete the appropriate deviation/variance form.
Acceptance Criteria
All operator controls and indicators tested shall conform to the expected response.
DOC. #
OPERATIONAL QUALIFICATION PROTOCOL
Capsule Filling Machine
National Institute of Health, Building 10 Room 1n249
Bethesda MD 20892
Page 7 of 36
12.0
12.3
13.0
Test Function Number Seven: Alarms, Safeties and Interlocks (Attachment #7)
13.1
13.2
13.3
14.0
Objective
To verify and document the operation and functionality of the alarms, safeties and interlocks.
Procedure
13.2.1 Follow the procedures in the applicable attachments.
13.2.2 Visually verify and document the actual responses as pass or fail against the expected
results.
13.2.3 Document all operational parameters used during execution.
13.2.4 Document any discrepancies in Attachment #10, Deviation Reporting Log. If any
variances/deviations are present, complete the appropriate deviation/variance form.
Acceptance Criteria
All safeties and interlock requirements must conform to the expected responses.
14.3
15.0
Objective
To verify and document the operation and functionality of the equipment.
Procedure
12.2.1 Follow the procedures in the applicable attachments.
12.2.2 Visually verify and document the actual responses as pass or fail against the expected
results.
12.2.3 Document all operational parameters used during execution.
12.2.4 Document any discrepancies in Attachment #10, Deviation Reporting Log. If any
variances/deviations are present, complete the appropriate deviation/variance form.
Acceptance Criteria
All functional requirements must conform to the expected responses.
Objective
To verify and document the operational sequence of the system.
Procedure
14.2.1 Execute the procedures in the order listed.
14.2.2 Observe the expected operations and write Pass if the results were as expected, and
Fail if the expected operation did not take place.
14.2.3 Document any discrepancies in Attachment #10, Deviation Reporting Log. If any
variances/deviations are present, complete the appropriate deviation/variance form.
Acceptance Criteria
The operating sequence occurs as expected.
Objective
To verify the maximum and minimum allowable values of changeable setpoints.
Procedure
DOC. #
OPERATIONAL QUALIFICATION PROTOCOL
Capsule Filling Machine
National Institute of Health, Building 10 Room 1n249
Bethesda MD 20892
Page 8 of 36
15.3
16.0
17.0
Objective:
To document any deviation to the stated test procedure or acceptance criteria, and to evaluate
the deviation relative to acceptability of the qualification study.
16.2
Procedure:
16.2.1 Document all deviations found during execution using the Deviation Report Form that
is with the Deviation Reporting Log. Make copies of the form for each logged
Deviation.
16.2.2 Deviations caused by Out of Specification (OOS) Conditions. If during the evaluation
of equipment parameters against specifications, the equipment fails to meet
predetermined acceptance criteria, a formal deviation report investigates the cause. In
these cases, the cause must be known prior to continuing the protocol execution since
a true failure in equipment performance is likely to affect the completion of the
protocol. The protocol deviation report determines 1) if the acceptance criteria are
correct and current with user requirements and manufacturer's ratings, or 2) if there is
an immediate and obvious explanation for the failure. If a true failure is documented,
then appropriate root cause analysis and corrective actions ensue and are agreed to
between the protocol executors and the department owners and QA. The protocol
deviation report documents the conclusion to this investigation and any appropriate
retesting and an impact assessment on the portions of the protocol executed prior to
the documented failure.
16.2.3 Completed Deviation Report Forms are submitted to QA for signature acceptance.
18.0
15.2.1 Display the changeable setpoint on the applicable attachment and test maximum and
minimum values.
15.2.2 Visually verify and document the actual results of the functions that appear on the
operator interface.
15.2.3 Document any discrepancies in Attachment #10, Deviation Reporting Log. If any
variances/deviations are present, complete the appropriate deviation/variance form.
Acceptance Criteria
The actual results of the changeable setpoint limits shall conform to the expected responses.
Objective
To document that this protocol has been reviewed for completeness as per Qualification
Process Solutions, LLC Requirements.
Procedure
Complete attachment with name, title, signature and date.
Objective
To provide an overview of the test results during the execution of this operational
qualification.
Procedure
18.2.1 Generate a final summary on completion of this protocol execution.
18.2.1.1 Compile a summary of the results obtained.
DOC. #
OPERATIONAL QUALIFICATION PROTOCOL
Capsule Filling Machine
National Institute of Health, Building 10 Room 1n249
Bethesda MD 20892
Page 9 of 36
18.2.1.2
DOC. #
OPERATIONAL QUALIFICATION PROTOCOL
Capsule Filling Machine
National Institute of Health, Building 10 Room 1n249
Bethesda MD 20892
Page 10 of 36
19.0
Attachment List
16 March, 2010....................................................................................................................................................2
Quality Assurance...................................................................................................................................2
1.0Purpose..............................................................................................................................................3
2.0Scope..................................................................................................................................................3
3.0Equipment Description.......................................................................................................................3
4.0Responsibilities..................................................................................................................................4
5.0Reference Documents........................................................................................................................4
6.0Definitions.........................................................................................................................................5
7.0Test Function Number One: OQ Signature Verification List (Attachment #1).................................5
8.0Test Function Number Two: Test Equipment (Attachment #2).........................................................5
9.0Test Function Number Three: Procedure List (Attachment #3).........................................................6
10.0Test Function Number Four: Training Verification (Attachment #4)..............................................6
11.0Test Function Number Five: Operator Controls and Indicators (Attachment #5)............................6
12.0Test Function Number Six: Functional Verification (Attachment #6).............................................7
13.0Test Function Number Seven: Alarms, Safeties and Interlocks (Attachment #7)............................7
14.0Test Function Number Eight: Sequence of Operations (Attachment #8).........................................7
15.0Test Function Number Nine: Maximum / Minimum Values (Attachment #9)................................7
16.0Deviation Reporting Log (Attachment #10).....................................................................................8
17.0Operational Qualification Protocol Review (Attachment #11).........................................................8
18.0Summary Report Requirements ......................................................................................................8
19.0Attachment List .............................................................................................................................10
Attachment #1 OQ Signature Verification List.....................................................................................11
Attachment #2 Test Equipment.............................................................................................................12
Attachment #3 Procedure List...............................................................................................................13
Attachment #4 Training Verification...................................................................................................14
Attachment #5 Operator Controls and Indicators.................................................................................15
Attachment #6 Functional Verification.................................................................................................19
Attachment #6 Functional Verification.................................................................................................20
Attachment #6 Functional Verification.................................................................................................21
Attachment #6 Functional Verification.................................................................................................22
Attachment #6 Functional Verification.................................................................................................23
Attachment #7 Alarms, Safeties and Interlocks.....................................................................................25
Attachment #8 Sequence of Operation..................................................................................................31
Attachment #8 Sequence of Operation..................................................................................................32
Attachment #9 Maximum / Minimum Values.......................................................................................33
Attachment #10 Deviation Reporting Log............................................................................................34
Attachment #11 Operational Qualification Protocol Review................................................................36
DOC. #
OPERATIONAL QUALIFICATION PROTOCOL
Capsule Filling Machine
National Institute of Health, Building 10 Room 1n249
Bethesda MD 20892
Page 11 of 36
Attachment #1 OQ Signature Verification List
This section identifies the personnel conducting the Operational Qualification. Each person who will be
executing this protocol shall complete an entry on the page.
Print Name
Title
Department/
Company Name
Signature
Initials
Date
Comments: ________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
Acceptance Criteria: Signatures from all personnel involved in execution of this protocol shall be
present.
Meets Acceptance Criteria? ( ) Yes ( ) No
Reviewed by: __________________________________
Date: __________
DOC. #
OPERATIONAL QUALIFICATION PROTOCOL
Capsule Filling Machine
National Institute of Health, Building 10 Room 1n249
Bethesda MD 20892
Page 12 of 36
Attachment #2 Test Equipment
This attachment identifies the instruments, equipment, and materials that are not part of the equipment or
system being qualified, but are used in this qualification.
Equipment
Description
Manufacturer
ID#
Serial #
Certified/
Calibrated
Cal.
Date
Cal
Due Date
Initials/
Date
Yes/No
Yes/No
Yes/No
Yes/No
Yes/No
Yes/No
Yes/No
Yes/No
Yes/No
Comments: ______________________________________________________________________________
_______________________________________________________________________________________
_______________________________________________________________________________________
_______________________________________________________________________________________
Acceptance Criteria: All test equipment required for execution shall be calibrated with copies of calibration
records attached.
Meets Acceptance Criteria? ( ) Yes ( ) No
Reviewed by: _____________________________________
Date: __________
DOC. #
OPERATIONAL QUALIFICATION PROTOCOL
Capsule Filling Machine
National Institute of Health, Building 10 Room 1n249
Bethesda MD 20892
Page 13 of 36
Attachment #3 Procedure List
List the Standard Operating Procedures (SOP) that are required for execution of this protocol.
SOP
Number
SOP
Revision #
Effective
Date
Procedure Title
Original
Original
Initials/Date
Comments: ________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
Acceptance Criteria: A list of written procedures that are used to operate the equipment is provided above.
If procedures are in draft form, attach a copy to the executed protocol.
Meets Acceptance Criteria? ( ) Yes ( ) No
Reviewed by: __________________________________
Date: __________
DOC. #
OPERATIONAL QUALIFICATION PROTOCOL
Capsule Filling Machine
National Institute of Health, Building 10 Room 1n249
Bethesda MD 20892
Page 14 of 36
Attachment #4 Training Verification
List the Standard Operating Procedures (SOP) used to train personnel for operating the equipment.
SOP #
Procedure Title
Operation of the Capsule Filling
Machine
Maintenance of the Capsule Filling
Machine
Training
Documented
(Y/N)
Initials/Date
Yes/No
Yes/No
Comments: ________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
Acceptance Criteria: A list of written procedures that are used to train personnel to operate the
equipment is provided above.
Meets Acceptance Criteria? ( ) Yes ( ) No
Reviewed by: __________________________________
Date: __________
DOC. #
OPERATIONAL QUALIFICATION PROTOCOL
Capsule Filling Machine
National Institute of Health, Building 10 Room 1n249
Bethesda MD 20892
Page 15 of 36
Attachment #5 Operator Controls and Indicators
Press the control keys to verify that the equipment/system operations function as indicated. Note:
document any failing results.
Device
Expected Results
Actual Results
Pass/Fail
Places equipment in
safe mode when
pressed. Red
Indicates AC Power
is on. LED Green.
_________ equipment
in safe mode when
pressed. Red
Indicates AC Power
________ on. LED
Green.
Indicates Feed Logic
________ enabled.
LED Green
Indicates breakers
________ tripped.
LED Red
Indicates manual hand
wheel _________
engaged. LED Red
Indicates compressed
air ____________
available. LED Red
___________ down
vacuum pump when
pressed. Red
Indicates vacuum
pump __________
operating. Lamp
Green
_________ vacuum
pump when pressed.
_________ no
powder. LED Red
_________ no
capsules LED Red
_________ no Pellets
LED Red
Rotating clockwise
/counterclockwise
__________/
__________ motor
speed
Pass/Fail
Pass/Fail
Pass/Fail
Pass/Fail
Pass/Fail
Pass/Fail
Pass/Fail
Pass/Fail
Pass/Fail
Pass/Fail
Pass/Fail
Pass/Fail
Pass/Fail
Initials/Date
DOC. #
OPERATIONAL QUALIFICATION PROTOCOL
Capsule Filling Machine
National Institute of Health, Building 10 Room 1n249
Bethesda MD 20892
Page 16 of 36
Indicates powder
mixer on. LED Green
__________ the
machine normally.
Red
____________ the
machine normally
___________ machine
operating. Lamp
Green
___________ no
tablets LED Red
__________ powder
mixer is selected. LED
Green
__________ either
Manual or Auto
Control
_________ powder
mixer on. LED Green
Powder Loading
Enable Selector
Enables Powder
Loading
____________
Powder Loading
Indicates JOG
_________exceeded
Runtime. LED Red
____________ Tablet
Unit Enabled. LED
Green.
Enables Tablet
Selector
____________ Tablet
Selector
Pass/Fail
Production Counter
Displays production
counts
____________
production counts
Pass/Fail
Hour Counter
Hour Counter
Hourly Production
Counter
Machine Stop
Pushbutton
Machine Start
Pushbutton
Lamp Machine
Running
LED No Tablets
LED Powder Mixer
(MAN/AUTO) On
Powder Mixer
MAN/AUTO
Selector
LED Powder Mixer
Enabled
Pass/Fail
Pass/Fail
Pass/Fail
Pass/Fail
Pass/Fail
Pass/Fail
Pass/Fail
Pass/Fail
Pass/Fail
Pass/Fail
Pass/Fail
Pass/Fail
Pass/Fail
DOC. #
OPERATIONAL QUALIFICATION PROTOCOL
Capsule Filling Machine
National Institute of Health, Building 10 Room 1n249
Bethesda MD 20892
Page 17 of 36
Hour Counter
______________ run
time when machine is
operating.
Pass/Fail
Engage/Disengage
Guards Selector
Engages / disengages
guards
_____________ /
_____________
guards
Pass/Fail
Guards Disengaged
LED
Guards ___________
LED Red
Pass/Fail
Places equipment in
safe mode when
pressed.
Manual Control
Handwheel
Engages/Disengages
Mechanical
Components
_____________
equipment in safe
mode when pressed.
_____________/
_____________
Mechanical
Components
Pass/Fail
Pass/Fail
___________ the
capsule counter
Pass/Fail
Enable/disable
Vacuum Bowl
Pellet Unit 1
ON/OFF
Enable/disable Pellet
Unit 1
Pellet Unit 2
ON/OFF
Enable/disable Pellet
Unit 2
_____________/
_____________
Vacuum Bowl
_____________/
_____________ Pellet
Unit 1
_____________/
_____________ Pellet
Unit 2
Pass/Fail
Pass/Fail
Pass/Fail
Comments: ________________________________________________________________________
DOC. #
OPERATIONAL QUALIFICATION PROTOCOL
Capsule Filling Machine
National Institute of Health, Building 10 Room 1n249
Bethesda MD 20892
Page 18 of 36
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
Acceptance Criteria: The actual results are the same as the expected results or explained.
Meets Acceptance Criteria? ( ) Yes ( ) No
Reviewed by: __________________________________
Date: __________
DOC. #
OPERATIONAL QUALIFICATION PROTOCOL
Capsule Filling Machine
National Institute of Health, Building 10 Room 1n249
Bethesda MD 20892
Page 19 of 36
Attachment #6 Functional Verification
Verify that the equipment/system operations function as indicated.
Input
Address
I 00.00
I 00.01
I 00.02
I 00.03
I 00.04
I 00.05
I 00.06
Expected Results
Performed
By/Date
ESTOP Button
RED, Machine
stopped
Test
Power Up the Equipment. Manually actuate
the I/O by either simulating a condition or
forcing a condition to activate the output.
Verify the system I/O act accordingly.
Pass/
Fail
Expected Result
I/O operates as
expected
Pass/Fail
Initial/Date
DOC. #
OPERATIONAL QUALIFICATION PROTOCOL
Capsule Filling Machine
National Institute of Health, Building 10 Room 1n249
Bethesda MD 20892
Page 20 of 36
Attachment #6 Functional Verification
Verify that the equipment/system operations function as indicated.
Input
Address
I 00.07
I 00.08
I 00.09
I 00.10
I 00.11
I 01.00
I 01.01
I 01.02
JOG start
Relay energized (KA5.13)
JOG start
Relay de-enegized (KA5.13)
Expected Results
Pass/
Fail
Performed
By/Date
LED L Red
LED L off
LED D flashing
RED
LED D off
LED V Green
LED V off
LED X Green
LED X off
LED L Red
LED L off
LED D flashing
RED
LED D off
LED M flashing
RED, after 1 min.
steady RED
LED M off
Machine starts
while jog is pressed
Machine stops
when jog is
released
Guards Control
LED G RED
Key Switch energized (SA5.12)
Guards Control
LED G off
Key Switch de-energized (SA5.12)
Test
Expected Result
Power Up the Equipment. Manually actuate
the I/O by either simulating a condition or
I/O operates as
forcing a condition to activate the output.
expected
Verify the system I/O act accordingly.
I 01.03
Pass/Fail
Initial/Date
DOC. #
OPERATIONAL QUALIFICATION PROTOCOL
Capsule Filling Machine
National Institute of Health, Building 10 Room 1n249
Bethesda MD 20892
Page 21 of 36
Attachment #6 Functional Verification
Verify that the equipment/system operations function as indicated.
Input
Address
I 01.04
I 01.05
I 01.06
I 01.07
I 01.08
I 01.09
Expected Results
Pass/
Fail
Performed
By/Date
Program initiated
machine stop
Machine enabled
normal
Machine brake
engaged
Machine brake disengaged
LED T Green
LED T off
Pellet Group 1
enabled.
Pellet Group 1 disabled.
Pellet Group 2
enabled.
Pellet Group 2 disabled.
LED N Red no
pellets
LED N off
LED D Red
Machine stops
LED D off
LED F off
LED F Red
Expected Result
I/O operates as
expected
Pass/Fail
Initial/Date
DOC. #
OPERATIONAL QUALIFICATION PROTOCOL
Capsule Filling Machine
National Institute of Health, Building 10 Room 1n249
Bethesda MD 20892
Page 22 of 36
Attachment #6 Functional Verification
Verify that the equipment/system operations function as indicated.
Output
Address
Expected Results
Pass/
Fail
Mixer starts
when bit is
enabled.
Machine stops
O10.01
Machine Stop (KA10.12)
when bit is
enabled.
Machine starts
O10.02
Remote Machine Start (KA10.13)
when bit is
enabled.
Mixer is on when
bit is enabled.
O10.04
Mixer ON/OFF (KT10.15)
Mixer is off when
bit is not enabled.
Test
Expected Result
Pass/Fail
Power Up the Equipment. Manually actuate
the I/O by either simulating a condition or
I/O operates as
forcing a condition to activate the output.
expected
Verify the system I/O act accordingly.
O10.00
Performed
By/Date
Initial/Date
DOC. #
OPERATIONAL QUALIFICATION PROTOCOL
Capsule Filling Machine
National Institute of Health, Building 10 Room 1n249
Bethesda MD 20892
Page 23 of 36
Attachment #6 Functional Verification
Verify that the equipment/system operations function as indicated.
Procedure
Machine Start/Stop Sequence
Expected Result
2. Machine stops
Pass/Fail
Pass/Fail
2. LED M is lit.
Pass/Fail
Initials/Date
DOC. #
OPERATIONAL QUALIFICATION PROTOCOL
Capsule Filling Machine
National Institute of Health, Building 10 Room 1n249
Bethesda MD 20892
Page 24 of 36
Pellet System
1. Install pellet unit 2 in the powder
dosing unit station in accordance with
IMA 35064M04 (Instruction manual).
With the main switch on, use key lock
and open the door guard and place
selector switch C to on.
2. After filling the hopper with product
adjust the sensitivity of the pellet level
sensors in accordance with IMA
35064M04 (Instruction manual).
Pass/Fail
2. Observe no pellets LED N is Red
when pellets are below this sensor.
Comments: _______________________________________________________________________
Acceptance Criteria: The actual results are the same as the expected results or explained.
Meets Acceptance Criteria? ( ) Yes ( ) No
Reviewed by: __________________________________
Date: __________
DOC. #
OPERATIONAL QUALIFICATION PROTOCOL
Capsule Filling Machine
National Institute of Health, Building 10 Room 1n249
Bethesda MD 20892
Page 25 of 36
Attachment #7 Alarms, Safeties and Interlocks
Verify that the alarms, safeties and interlocks function as indicated.
Procedure
Expected Result
Pass/Fail
Initials/Date
Expected Result
Pass/Fail
Initials/Date
Pass/Fail
CONTROL PANEL
Procedure
EMERGENCY
STOP
DOC. #
OPERATIONAL QUALIFICATION PROTOCOL
Capsule Filling Machine
National Institute of Health, Building 10 Room 1n249
Bethesda MD 20892
Page 26 of 36
When machine is powered on LED
B is green. Remove fuse from LV
circuit .Low voltage transformer
faults and LED B is off.
Pass/Fail
Pass/Fail
Pass/Fail
Pass/Fail
DC POWER
SUPPLY FAULT
LED B AND LED C
DOC. #
OPERATIONAL QUALIFICATION PROTOCOL
Capsule Filling Machine
National Institute of Health, Building 10 Room 1n249
Bethesda MD 20892
Page 27 of 36
HANDWHELL
ENGAGED
ALARM LED E
Pass/Fail
Pass/Fail
Pass/Fail
LOW PRESSURE
ALARM LED F
DOC. #
OPERATIONAL QUALIFICATION PROTOCOL
Capsule Filling Machine
National Institute of Health, Building 10 Room 1n249
Bethesda MD 20892
Page 28 of 36
Pass/Fail
Pass/Fail
Pass/Fail
Pass/Fail
INSUFFICIENT
CAPSULE LEVEL
TIMEOUT ALARM
LED M
DOC. #
OPERATIONAL QUALIFICATION PROTOCOL
Capsule Filling Machine
National Institute of Health, Building 10 Room 1n249
Bethesda MD 20892
Page 29 of 36
INSUFFICIENT
TABLET LEVEL
ALARM LED S
Pass/Fail
Pass/Fail
Pass/Fail
POWDER
LOADING
MANUAL ALARM
LED X
DOC. #
OPERATIONAL QUALIFICATION PROTOCOL
Capsule Filling Machine
National Institute of Health, Building 10 Room 1n249
Bethesda MD 20892
Page 30 of 36
GUARDS
DISABLED
ALARM LED G
Pass/Fail
Pass/Fail
Pass/Fail
GUARDS OPENED
ALARM LED G
Comments: _______________________________________________________________________
Acceptance Criteria: The actual results are the same as the expected results or explained.
Meets Acceptance Criteria? ( ) Yes ( ) No
Reviewed by: __________________________________
Date: __________
DOC. #
OPERATIONAL QUALIFICATION PROTOCOL
Capsule Filling Machine
National Institute of Health, Building 10 Room 1n249
Bethesda MD 20892
Page 31 of 36
Procedure
Expected Results
Pass/Fail
Initials/Date
Machine is connected
to a 115VAC power
supply and compressed
air.
The machine homes
and the HMI boots.
Machine is ready for
Auto Mode operations.
Machine ready for
capsule insertion
Capsules ready for fill
Powder ready for
manual fill
Lower hopper filled
with powder
Machine ready for
filling
Pass/Fail
Pass/Fail
Pass/Fail
Pass/Fail
Pass/Fail
Pass/Fail
Pass/Fail
Machine automatically
fills capsules.
Pass/Fail
Machine stops
Pass/Fail
Pass/Fail
Pass/Fail
Comments: ________________________________________________________________________
Acceptance Criteria: The actual results are the same as the expected results or explained.
Meets Acceptance Criteria? ( ) Yes ( ) No
Reviewed by: __________________________________
Date: __________
DOC. #
OPERATIONAL QUALIFICATION PROTOCOL
Capsule Filling Machine
National Institute of Health, Building 10 Room 1n249
Bethesda MD 20892
Page 32 of 36
Procedure
Expected Results
Pass/Fail
Initials/Date
Pass/Fail
Pass/Fail
Pass/Fail
Pass/Fail
Pass/Fail
Comments: ________________________________________________________________________
Acceptance Criteria: The actual results are the same as the expected results or explained.
Meets Acceptance Criteria? ( ) Yes ( ) No
Reviewed by: __________________________________
Date: __________
DOC. #
OPERATIONAL QUALIFICATION PROTOCOL
Capsule Filling Machine
National Institute of Health, Building 10 Room 1n249
Bethesda MD 20892
Page 33 of 36
Attachment #9 Maximum / Minimum Values
Change the system setpoints and verify the maximum and minimum values allowed. Note: document any
failing results.
Setpoint
Machine Speed
Minimum
Maximum
Pass/Fail
6000 cap/hr
12000 cap/hr
Pass/Fail
Initials/Date
Comments: ________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
Acceptance Criteria: The actual results are the same as the expected results or explained.
Meets Acceptance Criteria? ( ) Yes ( ) No
Reviewed by: __________________________________
Date: __________
DOC. #
OPERATIONAL QUALIFICATION PROTOCOL
Capsule Filling Machine
National Institute of Health, Building 10 Room 1n249
Bethesda MD 20892
Page 34 of 36
Attachment #10 Deviation Reporting Log
Document all deviations found during execution. Note: Make additional copies of this attachment as
necessary.
DEVIATION LOG
Deviation
Number
Description
Resolved (Y/N)
Yes / No
Yes / No
Yes / No
Comments: _______________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Acceptance Criteria: A list of deviations resulting from the execution of this protocol shall be recorded.
Meets Acceptance Criteria? ( ) Yes ( ) No
Reviewed by: __________________________
Date: ____________
DOC. #
OPERATIONAL QUALIFICATION PROTOCOL
Capsule Filling Machine
National Institute of Health, Building 10 Room 1n249
Bethesda MD 20892
Page 35 of 36
Protocol Deviation Report (Template)
Protocol #
Protocol Section
Date Encountered:
Page
Executor/Discovered By
Step
Description of Deviation
Investigation / Findings
Statement of Impact
Resolution
Approvals
Role
Executor
Reviewer
NIH QA Officer
Name (Print)
Signature
Date
DOC. #
OPERATIONAL QUALIFICATION PROTOCOL
Capsule Filling Machine
National Institute of Health, Building 10 Room 1n249
Bethesda MD 20892
Page 36 of 36
Attachment #11 Operational Qualification Protocol Review
Qualification Process Solutions, LLC signature below verifies this Operational Qualification protocol has been
reviewed, for completeness and for accuracy of calculations. A separate final report will be written and
attached to this protocol. The final report will discuss any deviations, conclusions, and/or recommendations
resulting from the execution of the protocol.
Name (print):_____________________________________
Company (print): __________________________________
Title: ____________________________________________
Signature: ________________________________________
Date: _____________________