Qualification of HVAC systems

Tony Gould
2
| PQ Workshop, Abu Dhabi | October 2010
WHO reference
WHO Technical Report Series, No. 937, 2006 - Annex 2
"Supplementary guidelines on good manufacturing
practices for heating, ventilation and air-conditioning
systems for non-sterile pharmaceutical dosage
forms"
Comprehensive guide
May also be applied to other dosage forms
Not intended to be prescriptive risk principles apply
3
| PQ Workshop, Abu Dhabi | October 2010
HVAC
Objectives

To understand key issues in
commissioning,
qualification and
maintenance of HVAC systems
8.
4
| PQ Workshop, Abu Dhabi | October 2010
Description of design, installation and functions
Specifications, requirements
Manuals
Operating procedures
Instructions for performance control, monitoring
and records
Maintenance instructions and records
Training of personnel
program and records
Documentation requirements to assist in
commissioning, qualification and maintenance
HVAC
5
| PQ Workshop, Abu Dhabi | October 2010
HVAC
Commissioning
Precursor to qualification
Includes setting up, balancing, adjustment and
testing of entire HVAC system to ensure it meets
requirements in URS and capacity
Acceptable tolerances for parameters
Training of personnel
6
| PQ Workshop, Abu Dhabi | October 2010
HVAC
Commissioning (2)
Records and data maintained include:
Installation records documented evidence of
measure capacities of the system
Data: Design and measurement for e.g. air flow,
system pressures
O&M manuals, schematic drawings, protocols,
reports
7
| PQ Workshop, Abu Dhabi | October 2010
HVAC
Qualification
Validation is an extensive exercise
Qualification of the HVAC system is one component
in the overall approach that covers premises,
systems/utilities, equipment, processes etc.
See also full guidelines on "Validation" in WHO TRS
No 937, 2006, Annex 4.
Risk based approach for HVAC qualification
8
| PQ Workshop, Abu Dhabi | October 2010
HVAC
Qualification (2)
Described in a Validation Master Plan (VMP)
VMP to include the nature and extent of tests, and
protocols
DQ, IQ, OQ, and PQ
Risk analysis to determine critical and non-critical
parameters, components, sub-systems and controls
9
| PQ Workshop, Abu Dhabi | October 2010
HVAC
Qualification (3)
Direct impact components and critical parameters
should be included
Non-critical systems and components are subjected
to Good Engineering Practices (GEP)
Acceptance criteria and limits defined in design stage
Design conditions, normal operating ranges,
operating ranges, alert and action limits
10
| PQ Workshop, Abu Dhabi | October 2010
HVAC
Design
conditions
and normal
operating
ranges set to
achievable
limits
OOS results
recorded
ACTION LIMIT
ALERT LIMIT ALERT LIMIT
ACTION LIMIT
Operating Range - Validated Acceptance Criteria
Normal Operating Range
Design Condition
11
| PQ Workshop, Abu Dhabi | October 2010
HVAC
Qualification examples of aspects to
consider
DQ Design of the system, URS
(e.g. components, type of air treatment needed, materials of
construction)
IQ Verify installation
E.g. relevant components, ducting, filters, controls, monitors,
sensors etc
Includes calibration where relevant
12
| PQ Workshop, Abu Dhabi | October 2010
HVAC
Qualification (7)
Tests performed according to protocols and
procedures for the tests
Results recorded and presented in report (source
data kept)
Traceability e.g. devices and standards used,
calibration records; and conditions specified
13
| PQ Workshop, Abu Dhabi | October 2010
HVAC
Qualification (6)
Conduct of the tests:
Time intervals and procedure to be defined by the
manufacturer
Influenced by the type of facility and level of protection
See also ISO 14644 for methods of testing
Re-qualification, and change control
14
| PQ Workshop, Abu Dhabi | October 2010
HVAC
Qualification (4)
Typical parameters to be included in qualification (based on risk
assessment):
Temperature
Relative humidity
Supply, return and exhaust air quantities
Room air change rates
Room pressures (pressure differentials)
15
| PQ Workshop, Abu Dhabi | October 2010
HVAC
Qualification (5)
Typical parameters to be included in qualification (based on risk
assessment) (2):
Room clean up rate
Particulate matter, microbial matter (viable and non-viable)
HEPA filter penetration tests
Containment system velocity
Warning/alarm systems
16
| PQ Workshop, Abu Dhabi | October 2010
HVAC
Schedule of tests to demonstrate continuing compliance







*Test procedure as per ISO 14644

Test procedure*
and key aspects
Maximum time
interval
Objective Test Parameter
Particle counter.
Readings and
positions
6 months or 12
months depending on
Class
Verifies cleanliness Particle count test
Measure pressure
difference
12 months Absence of cross-
contamination
Air pressure
difference
Measure supply and
return air, calculate
air change rate
12 months Verify air change
rates
Airflow volume
Velocity
measurement
12 months Verify unidirectional
airflow and or
containment condition
Airflow velocity
17
| PQ Workshop, Abu Dhabi | October 2010
HVAC
Recommended optional strategic tests






*Test procedure as per ISO 14644

Test procedure*
and key aspects
Maximum time
interval
Objective Test Parameter
Filter media and filter
seal integrity
12 months Verify filter integrity Filter leakage
Airflow direction and
pressure differential
12 months Verify absence of
cross-contamination
Containment leakage
Time taken maximum
15 minutes
12 months Verify clean-up time Recovery (time)
Airflow direction,
documented evidence
12 months Verify required airflow
patterns
Airflow visualization
18
| PQ Workshop, Abu Dhabi | October 2010
Cleanroom monitoring program (1)
Routine monitoring program as part of quality assurance
Additional monitoring and triggers e.g.
Shutdown
Replacement of filter elements
Maintenance of air handling systems
Exceeding of established limits
HVAC
19
| PQ Workshop, Abu Dhabi | October 2010
Cleanroom monitoring program (2)
Particles and Microbiological
contaminants
Number of points/locations for monitoring determined,
specified, documented in procedure and or protocol
Sufficient time for exposure, and suitable sample size
Identification and marking of sampling points
Definition of transport, storage, and incubation
conditions
Results to reflect the procedure/protocol followed
Define alert and action limits as a function of cleanliness
zone/class
HVAC
20
| PQ Workshop, Abu Dhabi | October 2010
air
Example of a sampling point
Cleanroom monitoring program (3)
Cleanrooms should be monitored for micro-organisms and
particles
HVAC
21
| PQ Workshop, Abu Dhabi | October 2010
Definition of Conditions
air
as built
air
air
at rest in operation
HVAC
22
| PQ Workshop, Abu Dhabi | October 2010
Qualification examples of aspects to consider in
qualification (OQ, PQ)
Test
Differential pressure on filters
Turbulent / mixed
airflow
Description
Uni-directional
airflow / LAF
Room differential pressure
Airflow velocity / uniformity
Airflow volume / rate
Parallelism
Air flow pattern
2 2
N/A 2, 3
2, 3 Optional
2 2
2 N/A
2 3
1 := As built (ideally used to perform IQ)
2 = At rest (ideally used to perform OQ)
3 = Operational (ideally used to perform PQ)


HVAC
23
| PQ Workshop, Abu Dhabi | October 2010
Test
Turbulent /
mixed airflow
Description
Uni-directional
airflow / LAF
Recovery time
Room classification (airborne
particle)
Temperature, humidity
N/A 2
2 2,3
N/A 2,3
1 := As built (ideally used to perform IQ)
2 = At rest (ideally used to perform OQ)
3 = Operational (ideally used to perform PQ)
HVAC
Qualification examples of aspects to consider in
qualification (OQ, PQ)
24
| PQ Workshop, Abu Dhabi | October 2010
HVAC
Maintenance
Procedure, program and records for planned, preventative
maintenance
E.g. Cleaning of filters, calibration of devices
Appropriate training for personnel
Change of HEPA filters by suitably trained persons
Impact of maintenance on:
Product quality
Qualification
25
| PQ Workshop, Abu Dhabi | October 2010
Verification of design documentation, including
description of installation and functions
specification of the requirements
Operating procedures
Maintenance instructions
Maintenance records
Training logs
Environmental records
Discussion on actions if OOS values
On site verification (walking around the site)
Inspecting the air handling system
HVAC
26
| PQ Workshop, Abu Dhabi | October 2010
HVAC and Quality Risk Management
What about risk assessment/risk management in HAVC
systems?
Recommended risk assessment prior to qualification
Design requirements
Qualification (GMP) vs GEP
Ongoing performance
Ongoing maintenance
27
| PQ Workshop, Abu Dhabi | October 2010
HVAC and Quality Risk Management
Type of products and materials
Product range
Campaign
Cleaning
Design, age, changes
Monitoring results (OOLs)
28
| PQ Workshop, Abu Dhabi | October 2010
Air handling systems:
Play a major role in the quality of pharmaceuticals
Should be designed properly, by professionals
Should be treated as a critical system

Conclusion
HVAC