Working document QAS/15.639 August 2015 Draft document for comment
SUPPLEMENTARY GUIDELINES ON
1GOOD MANUFACTURING PRACTICES FOR HEATING,
2VENTILATION AND AIR-CONDITIONING SYSTEMS FOR
3NON-STERILE PHARMACEUTICAL DOSAGE FORMS
4(August 2015) 5
DRAFT FOR COMMENT
6 7 8 9 10 11
© World Health Organization 2015
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All rights reserved.
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This draft is intended for a restricted audience only, i.e. the individuals and organizations having
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received this draft. The draft may not be reviewed, abstracted, quoted, reproduced, transmitted,
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organizations) without the permission of the World Health Organization. The draft should not be
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displayed on any website.
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Please send any request for permission to:
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Dr Sabine Kopp, Group Lead, Medicines Quality Assurance, Technologies, Standards and Norms,
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Department of Essential Medicines and Health Products, World Health Organization, CH-1211
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Geneva 27, Switzerland. Fax: (41-22) 791 4730; email: [email protected]
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The designations employed and the presentation of the material in this draft do not imply the
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Should you have any comments on the attached text, please send these to Dr S. Kopp, Dr S. Kopp, Group Lead, Medicines Quality Assurance, Technologies, Standards and Norms
([email protected]) with a copy to Ms Marie Gaspard ([email protected]) by 10 October 2015.
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Working document QAS/15.639 page 2
SCHEDULE FOR THE PROPOSED ADOPTION PROCESS OF 41
DOCUMENT QAS/15.639 42
SUPPLEMENTARY GUIDELINES ON GOOD MANUFACTURING 43
PRACTICES FOR HEATING, VENTILATION AND AIR- 44
CONDITIONING SYSTEMS FOR NON-STERILE 45
PHARMACEUTICAL DOSAGE FORMS. 46
PROPOSAL FOR REVISION 47
48 49 50 51
Discussion of proposed need for revision in view of the current trends in engineering and experience gained during the implementation of this guidance in inspection during informal consultation on data management,
bioequivalence, GMP and medicines’ inspection
29 June– 1 July 2015
Preparation of draft proposal for revision by D. Smith, consultant to the Medicines Quality Assurance group and Prequalification Team (PQT)-Inspections, based on the feedback received during the meeting and from PQT-Inspections
July-August 2015
Circulation of revised working document for public consultation
September 2015
Consolidation of comments received and review of feedback
10 October 2015
Presentation to fiftieth meeting of the WHO Expert Committee on Specifications for Pharmaceutical Preparations
12–16 October 2015
Working document QAS/15.639 page 3 BACKGROUND
52
During the consultation on data management, bioequivalence, GMP and 53
medicines’ inspection held in 2015 the possible revision of the guidance 54
for (WHO Technical Report Series, No. 961, Annex 5, 2011) was 55
discussed with the inspectors. It was suggested that in light of the new 56
developments a draft for revision be prepared. This new proposal for 57
revision was drafted based on the feedback received, the new, current 58
trends in engineering and the experience gained during the implementation 59
of this guidance in inspection. 60
At the same time, the opportunity was used to improve the graphic images 61
and make them more readable in e-version as well as in print. 62
Summary of main changes
63
Below is a list of the main changes that have been made to the WHO Technical 64
Report Series, No. 961, 2011, Annex 5: Supplementary guidelines on good 65
manufacturing practices for heating, ventilation and air-conditioning systems for
66
non-sterile pharmaceutical dosage forms.
67 68
1. The Premises section has been moved towards the beginning of the document 69
due to its important impact on HVAC designs. In addition the text has been 70
expanded and a number of sample layouts have been included. 71
72
2. The HVAC sections have been re-arranged into a more logical sequence. 73
74
3. The Commissioning, Qualification and Validation (C, Q & V) section has 75
been aligned with the proposed revisions to the Supplementary GMP 76
Validation TRS937 Annex4 guideline. 77
78
4. Significant notes were added under the new Supplementary notes on test 79
procedures section.
80 81
5. The Maintenance section has been separated out of the C, Q & V section. 82
83
6. All the diagrams have been revised (mainly to achieve better clarity). 84
85
7. Throughout the document additional notes have been added and text revised 86
to provide better understanding and avoid ambiguity. 87
88
8. A list of abbreviations has been added. 89
Working document QAS/15.639 page 4 Contents 91 page 92 1. Introduction 93 2. Scope of document 94 3. Glossary 95 4. Premises 96
5. Design of HVAC systems and components 97 5.1 General 98 5.2 Air distribution 99 5.3 Recirculation system 100
5.4 Full fresh-air systems 101
5.5 Additional system components 102
6. Protection 103
6.1 Products and personnel 104 6.2 Air filtration 105 6.3 Unidirectional airflow 106 6.4 Infiltration 107 6.5 Cross-contamination 108
6.6 Displacement concept (low pressure differential, 109
high airflow) 110
6.7 Pressure differential concept (high pressure differential, 111
low airflow) 112
6.8 Physical barrier concept 113
6.9 Temperature and relative humidity 114
7. Dust control 115
8. Protection of the environment 116
8.1 General 117
8.2 Dust in exhaust air 118
8.3 Vapour and fume removal 119
9. Commissioning, qualification and validation 120 9.1 General 121 9.2 Commissioning 122 9.3 Qualification 123
9.4 Supplementary notes on test procedures 124 10. Maintenance 125 11. Abbreviations 126 References 127 Further reading 128 129
Working document QAS/15.639 page 5 1. Introduction
130 131
Heating, ventilation and air-conditioning (HVAC) play an important role in 132
ensuring the manufacture of quality pharmaceutical products. A well designed 133
HVAC system will also provide comfortable conditions for operators. 134
135
These guidelines mainly focus on recommendations for systems for 136
manufacturers of solid dosage forms. The guidelines also refer to other 137
systems or components which are not relevant to solid dosage form 138
manufacturing plants, but which may assist in providing a comparison 139
between the requirements for solid dosage-form plants and other systems. 140
141
HVAC system design influences architectural layouts with regard to items 142
such as airlock positions, doorways and lobbies. The architectural components 143
have an effect on room pressure, differential cascades and cross-144
contamination control. The prevention of contamination and cross-145
contamination is an essential design consideration of the HVAC system. In 146
view of these critical aspects, the design of the HVAC system should be 147
considered at the concept design stage of a pharmaceutical manufacturing 148
plant. 149
150
Temperature, relative humidity and ventilation should be appropriate and 151
should not adversely affect the quality of pharmaceutical products during 152
their manufacture and storage, or the accurate functioning of equipment. 153
154
This document aims to give guidance to pharmaceutical manufacturers 155
and inspectors of pharmaceutical manufacturing facilities on the design, 156
installation, qualification and maintenance of the HVAC systems. 157
These guidelines are intended to complement those provided in Good 158
manufacturing practices for pharmaceutical products (1) and should be read 159
in conjunction with the parent guide. The additional standards addressed by 160
the present guidelines should, therefore, be considered supplementary to 161
the general requirements set out in the parent guide. 162
163
2. Scope of document 164
165
These guidelines focus primarily on the design and good manufacturing 166
practices (GMP) requirements for HVAC systems for facilities for the 167
manufacture of solid dosage forms. Most of the system design principles 168
for facilities manufacturing solid dosage forms also apply to facilities 169
manufacturing other dosage forms and other classes of products including 170
biological products, herbal medicines, complimentary medicines and 171
finishing process steps for APIs . Additional specific requirements apply 172
for handling of sterile products and hazardous products. Guidelines for 173
hazardous, sterile and biological product facilities are covered in separate 174
Working document QAS/15.639 page 6
WHO guidelines (WHO Technical Report Series, No. 957, Annex 3, 175
Technical Report Series, No. 961 Annex 6 and working document 176
WHO/BS/2015.2253, intended to replace Technical Report Series, No. 177
822, Annex 1, 1992, respectively). 178
179
These guidelines are intended as a basic guide for use by pharmaceutical 180
manufacturers and GMP inspectors. 181
They are not intended to be prescriptive in specifying requirements and design 182
parameters. There are many parameters affecting a clean area condition and it 183
is, therefore, difficult to lay down the specific requirements for one particular 184
parameter in isolation. 185
186
Many pharmaceutical manufacturers have their own engineering design and 187
qualification standards, and requirements may vary from one manufacturer 188
to the next. Design parameters and user requirements should, therefore, be 189
set realistically for each project, with a view to creating a cost-effective 190
design, yet still complying with all regulatory standards and ensuring that 191
product quality and safety are not compromised. The three primary aspects 192
addressed in this manual are the roles that the HVAC system plays in product 193
protection, personnel protection and environmental protection (Figure 2). 194
195
Cognizance should be taken of the products to be manufactured when 196
establishing system design parameters. A facility manufacturing multiple 197
different products may have more stringent design parameters with respect 198
to cross-contamination control, compared with a single product facility. 199
200
Risk assessment studies should be an integral part of the facility design and 201
implementation, from the URS stage right through to validation, as 202
indicated in the diagram below (Figure 1). Validation protocols and criteria 203
should be justified by links to a written risk assessment. 204
Working document QAS/15.639 page 7 Figure 1
206
GMP compliance sequence diagram 207 RISK ASSESSMENT STUDIES USER REQUIREMENT SPECIFICATION FACILITY LAYOUTS QUALIFICATION & VALIDATION HVAC & SERVICES DESIGNS PROJECT INCEPTION RISK ASSESSMENT STUDIES ENERGY EFFICIENCY STUDIES
L
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C
P
M
G
M
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C
N
A
P
L
O
C
P
M
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Installations 208 209 210Working document QAS/15.639 page 8
Figure 2 211
The guidelines address the various system criteria according to the 212
sequence set out in this diagram 213
214
Working document QAS/15.639 page 9 3. Glossary
216 217
The definitions given below apply to terms used in these guidelines. They 218
may have different meanings in other contexts. 219
220
acceptance criteria
221
Measurable terms under which a test result will be considered acceptable. 222
223
action limit
224
The action limit is reached when the acceptance criteria of a critical 225
parameter have been exceeded. Results outside these limits will require 226
specified action and investigation. 227
228
air changes per hour
229
The volume of air supplied to a room, in m3/hr, divided by the room volume, in m3. 230
231
air-handling unit
232
The air-handling unit serves to condition the air and provide the required air 233
movement within a facility. 234
235
airflow protection booth
236
A booth or chamber, typically for purposes of carrying out Sampling or 237
Weighing, in order to provide product containment and operator protection. 238
Similar to UDAF protection but not necessarily a Grade A condition. 239
240
airlock
241
An enclosed space with two or more doors, which is interposed between 242
two or more rooms, e.g. of differing classes of cleanliness, for the purpose 243
of controlling the airflow between those rooms when they need to be 244
entered. An airlock is designed for and used by either people or goods 245
(PAL, personnel airlock; MAL, material airlock). 246
247
alert limit
248
The alert limit is reached when the normal operating range of a critical 249
parameter has been exceeded, indicating that corrective measures may need 250
to be taken to prevent the action limit being reached. 251
252
as-built
253
Condition where the installation is complete with all services connected and 254
functioning but with no production equipment, materials or personnel present. 255
256
at-rest
257
Condition where the installation is complete with equipment installed and 258
Working document QAS/15.639 page 10
operating in a manner agreed upon by the customer and supplier, but with 259
no personnel present. 260
261
central air-conditioning unit (see air-handling unit) 262
263
change control
264
A formal system by which qualified representatives of appropriate 265
disciplines review proposed or actual changes that might affect a validated 266
status. The intent is to determine the need for action that would ensure that 267
the system is maintained in a validated state. 268
269
clean area (cleanroom)11
270
An area (or room or zone) with defined environmental control of particulate 271
and microbial contamination, constructed and used in such a way as to reduce 272
the introduction, generation and retention of contaminants within the area. 273
274
closed system
275
A system where the product or material is not exposed to the manufacturing 276 environment. 277 278 commissioning 279
Commissioning is the documented process of verifying that the equipment 280
and systems are installed according to specifications, placing the equipment 281
into active service and verifying its proper action. Commissioning takes 282
place at the conclusion of project construction but prior to validation. 283
284
containment
285
A process or device to contain product, dust or contaminants in one zone, 286
preventing it from escaping to another zone. 287
288
contamination
289
The undesired introduction of impurities of a chemical or microbial nature, 290
or of foreign matter, into or on to a starting material or intermediate, during 291
production, sampling, packaging or repackaging, storage or transport. 292
293
controlled area
294
An area within the facility in which specific environmental facility 295
conditions and procedures are defined, controlled, and monitored to prevent 296
degradation or cross-contamination of the product. 297
1 Note: Clean area standards, such as ISO 14644-1, provide details on how to classify air cleanliness by
means of particle concentrations, whereas the GMP standards provide a grading for air cleanliness in terms of the condition (at-rest or operational), the permissible microbial concentrations, as well as other factors such as gowning requirements. GMP and clean area standards should be used in conjunction with each other to define and classify the different manufacturing environments.
Working document QAS/15.639 page 11 298
controlled-not classified
299
An area where some environmental conditions are controlled (such as 300
temperature), but the area has no cleanroom classification 301
302
critical parameter or component
303
A processing parameter (such as temperature or relative humidity) that 304
affects the quality of a product, or a component that may have a direct 305
impact on the quality of the product. 306
307
critical quality attribute
308
A physical, chemical, biological or microbiological property or characteristic 309
that should be within an appropriate limit, range or distribution to ensure 310
the desired product quality. 311
312
cross-contamination
313
Contamination of a starting material, intermediate product or finished 314
product with another starting material or product during production. 315
316
design condition
317
Design condition relates to the specified range or accuracy of a controlled 318
variable used by the designer as a basis for determining the performance 319
requirements of an engineered system. 320
321
design qualification
322
Design qualification is the documented check of planning documents and 323
technical specifications for conformity of the design with the process, 324
manufacturing, GMP and regulatory requirements. 325
326
direct impact system
327
A system that is expected to have a direct impact on product quality. These 328
systems are designed and commissioned in line with good engineering 329
practice and, in addition, are subject to qualification practices. 330
331
exfiltration
332
Exfiltration is the egress of air from a controlled area to an external zone. 333
334
facility
335
The built environment within which the clean area installation and associated 336
controlled environments operate together with their supporting infrastructure. 337
338
good engineering practice
339
Established engineering methods and standards that are applied throughout 340
the project life-cycle to deliver appropriate, cost-effective solutions. 341
Working document QAS/15.639 page 12
342
hazardous substance or product
343
A product or substance that may present a substantial risk of injury to health 344 or to the environment 345 346 HVAC 347
Heating, ventilation and air-conditioning. Also referred to as Environmental 348
control systems 349
350
indirect impact system
351
This is a system that is not expected to have a direct impact on product 352
quality, but typically will support a direct impact system. These systems are 353
designed and commissioned according to good engineering practice only. 354
355
infiltration
356
Infiltration is the ingress of air from an external zone into a controlled area. 357
358
installation qualification
359
Installation qualification is documented verification that the premises, 360
HVAC system, supporting utilities and equipment have been built and 361
installed in compliance with their approved design specification. 362
363
Most penetrating particle size (MPPS)
364
MPPS is a means of determining HEPA & ULPA filter efficiencies. The 365
MPPS is the particle size with the highest penetration for a defined filter 366
medium. (MPPS Integral overall efficiency is the efficiency, averaged over 367
the whole superficial face area of a filter element under a given operating 368
conditions of the filter. MPPS local efficiency is the efficiency, at a specific 369
point of the filter element under given operating conditions of the filter) 370
371
NLT
372
Not less than 373
374
NMT
375
Not more than 376
377
no-impact system
378
This is a system that will not have any impact, either directly or indirectly, on 379
product quality. These systems are designed and commissioned according 380
to good engineering practice only. 381
382
non-critical parameter or component
383
A processing parameter or component within a system where the operation, 384
Working document QAS/15.639 page 13 contact, data control, alarm or failure will have an indirect impact or no 385
impact on the quality of the product. 386
387
normal operating range
388
The range that the manufacturer selects as the acceptable values for a parameter 389
during normal operations. This range must be within the operating range. 390 391 OOS 392 Out of specification 393 394 operating limits 395
The minimum and/or maximum values that will ensure that product and 396
safety requirements are met. 397
398
operating range
399
Operating range is the range of validated critical parameters within which 400
acceptable products can be manufactured. 401
402
operational condition
403
This condition relates to carrying out room classification tests with the 404
normal production process with equipment in operation, and the normal 405
staff present in the specific room. 406
407
operational qualification (OQ)
408
Operational qualification is the documentary evidence to verify that the equipment 409
operates in accordance with its design specifications in its normal operating range 410
and performs as intended throughout all anticipated operating ranges. 411
412
oral solid dosage (OSD)
413
Usually refers to an OSD plant that manufactures medicinal products such 414
as tablets, capsules and powders to be taken orally. 415
416
pass-through-hatch (PTH) or pass box (PB)
417
A cabinet with two or more doors for passing equipment or product, whilst 418
maintaining the pressure cascade and segregation between two controlled 419
zones. A passive PTH has no air supply or extract. A dynamic PTH has an 420
air supply into the chamber. 421
422
performance qualification (PQ)
423
Performance qualification is the documented verification that the process and/ 424
or the total process related to the system performs as intended throughout all 425
anticipated operating ranges. 426
427 428
Working document QAS/15.639 page 14
point extraction
429
Air extraction to remove dust with the extraction point located as close as 430
possible to the source of the dust. 431
432
pressure cascade
433
A process whereby air flows from one area, which is maintained at a higher 434
pressure, to another area at a lower pressure. 435
436
qualification
437
Qualification is the planning, carrying out and recording of tests on 438
equipment and a system, which forms part of the validated process, to 439
demonstrate that it will perform as intended. 440
441
quality critical process parameter (QCPP)
442
A process parameter which could have an impact on the critical quality 443 attribute. 444 445 relative humidity 446
The ratio of the actual water vapour pressure of the air to the saturated 447
water vapour pressure of the air at the same temperature expressed as a 448
percentage. More simply put, it is the ratio of the mass of moisture in 449
the air, relative to the mass at 100% moisture saturation, at a given 450
temperature. 451
452
standard operating procedure (SOP)
453
An authorized written procedure, giving instructions for performing 454
operations, not necessarily specific to a given product or material, but of a 455
more general nature (e.g. operation of equipment, maintenance and cleaning, 456
validation, cleaning of premises and environmental control, sampling and 457
inspection). Certain SOPs may be used to supplement product-specific 458
master and batch production documentation. 459
460
turbulent flow
461
Turbulent flow, or non-unidirectional airflow, is air distribution that is 462
introduced into the controlled space and then mixes with room air by means 463
of induction. 464
465
unidirectional airflow (UDAF)
466
Unidirectional airflow is a rectified airflow over the entire cross-sectional 467
area of a clean zone with a steady velocity and approximately parallel 468
streamlines (see also turbulent flow). 469
470
validation
Working document QAS/15.639 page 15 The documented act of proving that any procedure, process, equipment, 472
material, activity or system actually leads to the expected results. 473
474
validation master plan (VMP)
475
Validation master plan is a high-level document which establishes an 476
umbrella validation plan for the entire project, and is used as guidance by 477
the project team for resource and technical planning (also referred to as 478
master qualification plan). 479
480
4. Premises 481
482
4.1. There is a close relationship between architectural design and HVAC 483
design, as they both have an impact on the functionality of the other. 484
HVAC system design influences architectural layouts with regard to items 485
such as airlock positions, doorways and lobbies. The architectural layouts 486
and building components have an effect on room pressure differential 487
cascades and cross-contamination control. The prevention of contamination 488
and cross-contamination is an essential design consideration of the HVAC 489
system. In view of these critical aspects, the design of the HVAC system 490
should be considered at the concept design stage of a pharmaceutical 491
manufacturing plant, and the design should be closely co-ordinated with the 492
architectural designers. In addition the architectural layout must ensure that 493
the material flow is in a logical sequence, excluding material flow reversals 494
where possible. 495
496
4.2. As the efficient operation of the air-handling system and cleanliness levels 497
attained are reliant on the correct building layout and building finishes, the 498
following items should be considered. 499
500
4.2.1. Adequate airlocks, such as personnel airlocks (PAL) and/or material 501
airlocks (MAL), change rooms and passages should be provided to protect 502
passage between different cleanliness conditions. These should have supply 503
and extract air systems as appropriate. 504
505
4.2.2. Areas such as airlocks, change rooms and passages, should be 506
designed so that the required pressure cascades can be achieved. 507
508
4.2.3. Detailed diagrams depicting pressure cascades, air flow directions 509
and flow routes for personnel and materials should be prepared and 510
maintained. 511
Working document QAS/15.639 page 16
4.2.4. Where possible, personnel and materials should not move from a 513
higher cleanliness zone to a lower cleanliness zone and back to a higher 514
cleanliness zone (if moving from a lower cleanliness zone to a higher 515
cleanliness zone, changing /decontamination procedures should be 516
followed). 517
518
4.2.5. The final stage of the changing room should be the same GMP 519
classification grade as the area into which it leads. Changing rooms should 520
be of a sufficient size to allow for ease of changing. Changing rooms should 521
be equipped with mirrors so that personnel can confirm the correct fit of 522
garments before leaving the changing room. Appropriate hand wash and 523
sanitizing facilities should be provided. Hand-wash basins should be 524
provided with elbow taps or sensor operated taps. 525
526
4.2.6. Door gaps around the door perimeter have a marked impact on the 527
pressure differential across the doorway. The fit of the doors should be 528
agreed upon between the architect and the HVAC designer to ensure that 529
the correct leakages are allowed for. Likewise the maintenance of doors is 530
a critical factor in room pressure control (a poorly fitting door can severely 531
compromise a room pressure differential). 532
533
4.2.7. Where the opening and closing of airlock doors could lead to cross-534
contamination, these airlock doors should not be opened simultaneously. 535
An interlocking system and a visual and/or audible warning system should 536
be operated to prevent the opening of more than one door at a time. 537
538
4.2.8. Doors should be carefully designed to avoid un-cleanable recesses; 539
sliding doors may be undesirable for this reason. Swing doors should open 540
to the high-pressure side and be provided with self-closers. Exceptions are 541
permitted based on egress and site environmental, fire, health and safety 542
containment requirements. 543
544
4.2.9. The choice of building finishes and materials also has an impact on 545
air conditioning performance and air cleanliness. Materials should be 546
selected that will provide a well-sealed building to facilitate room pressure 547
control. Materials and paint finishes should also be non-dust and particle 548
liberating as this impacts on room cleanliness. Finishes should be easy to 549
clean and non-absorbent. To reduce the accumulation of dust and to 550
facilitate cleaning, there should be no un-cleanable recesses and a minimum 551
of projecting ledges, shelves, cupboards and equipment. 552
Working document QAS/15.639 page 17 4.3.554 The following diagrams illustrate some typical room and suite layouts with
their associated room pressures. These are purely examples and other 555
factors may dictate different room arrangements and room pressures. 556
557
Figure 3 558
Typical weigh booth layout 559
560
SOB
Dispensary Pre-Staging Room Change Room Weigh Booth Wash Bay R e tu rn A ir S h a ft Perforated Worktop Airflow Protection Plenum Floor Scale BIN BIN Dispensary Post-Staging Room Pallet M a te ri a l F lo w M a te ri a l F lo w BIN BIN BIN BIN BIN 25 Pa 35 Pa 35 Pa 35 Pa 15 Pa Table Scale 561 562 563 564 565
Working document QAS/15.639 page 18
Figure 4 566
Typical dispensary suite 567
568
Dispensary Pre-Staging Room Weigh Booth 1 R e tu rn A ir S h a ft Airflow Protection Plenum Dispensary Post-Staging Room Wash Bay MAL
MAL ChangeRoom
Weigh Booth 2 R e tu rn A ir S h a ft Airflow Protection Plenum Wash Bay MAL
MAL ChangeRoom Production Passage W a re h o u s e A re a Brocken Bulk Store MAL MAL Material Flow 569 570 571
Working document QAS/15.639 page 19 Figure 5
572
Sampling booth for small volumes 573 574 S O B R e tu rn A ir S h a ft 575 576 577 Figure 6 578
Sampling Booth for larger volumes 579
580 581 582
Working document QAS/15.639 page 20
Figure 7 583
Change rooms and ablution layouts 584
585
Figure 8 586
Compression cubicle with change room and MAL 587 P a s s a g e Low L evel R eturn A ir Low Lev el Ret urn Air S O B 588
Working document QAS/15.639 page 21 Figure 9
589
Compression cubicle without change room and MAL 590
(inclusion of airlocks dependant on risk assessment) 591 Compression Cubicle Pa ssa g e Low L ev el R eturn A ir Low Lev el Ret urn Air 30 Pa 15 Pa Supply Air Grille 592 593
Working document QAS/15.639 page 22 Figure 10 594 Wash-bay suite 595 P a ss a g e M a te ri a l F lo w 596 597
5. Design of HVAC systems and components 598
599
5.1.600 General 601
5.1.1. The required degree of air cleanliness in most OSD manufacturing 602
facilities can normally be achieved without the use of high-efficiency 603
particulate air (HEPA) filters, provided the air is not recirculated or in the 604
case of a single-product facility. Many open product zones of OSD form 605
facilities are capable of meeting ISO 14644-1 Class 8 or Grade D, “at-rest” 606
condition, measured against particle sizes of 0.5 µm and 5 µm, but 607
cleanliness may not necessarily be classified as such by manufacturers. 608
609
5.1.2. A risk assessment should be carried out to determine the cleanroom 610
conditions required and the extent of validation required. 611
612
5.1.3. There are two basic concepts of air delivery to pharmaceutical 613
production facilities: a recirculation system, and a full fresh air system 614
Working document QAS/15.639 page 23 (100% outside air supply). For recirculation systems the amount of fresh air 615
should not be determined arbitrarily on a percentage basis, but, for example, 616
by the following criteria: 617
618
• sufficient fresh air to compensate for leakage from the facility and 619
loss through exhaust air systems; 620
• sufficient fresh air to comply with national building regulations 621
(depending on occupant density, between 1 and 2.5 ACPH will often
622
satisfy occupancy requirements); 623
• sufficient fresh air for odour control; 624
• sufficient fresh air to provide the required building pressurization 625
626
5.1.4. Where automated monitoring systems are used, these should be 627
capable of indicating any out-of-specification (OOS) condition without 628
delay by means of an alarm or similar system. Sophisticated computer-629
based data monitoring systems may be installed, which can aide with 630
planning of preventive maintenance and can also provide trend logging. 631
632
(This type of system is commonly referred to as a building management 633
system (BMS), building automation system (BAS) or system control and 634
data acquisition (SCADA) system. If these systems are used for critical 635
decision-making, they should be validated. If the BMS is not validated in 636
full (or in part for these critical parameters), an independent validated 637
environmental monitoring system (EMS) should be provided, specifically 638
for recording and alarming critical parameters. Critical parameters could 639
include for example, room temperature in production areas, humidity, 640
differential pressures, fan failure alarms, etc.) 641
, 642
5.1.5. Failure of a supply air fan, return air fan, exhaust air fan or dust 643
extract system fan can cause a system imbalance, resulting in a pressure 644
cascade malfunction with a resultant airflow reversal. 645
646
5.1.6. A fan interlock failure matrix should be set up, such that if a fan 647
serving a high pressure zone fails, then any fans serving surrounding lower 648
pressure areas should automatically stop, to prevent an airflow reversal and 649
possible cross-contamination. This fan stop-start matrix should apply to the 650
switching on and switching off of systems to ensure that there is no flow 651
reversal causing cross-contamination. 652
653
5.1.7. Appropriate alarm systems should be in place to alert personnel if a 654
critical fan fails All critical alarms should be easily identifiable and visible 655
and/or audible to relevant personnel. 656
657 658
Working document QAS/15.639 page 24
5.2.659 Air distribution 660
5.2.1. The positioning of supply and extract grilles should be such as to 661
provide effective room flushing. Low-level return or exhaust air grilles are 662
usually preferred. However, where this is not possible, a higher air change 663
rate may be needed to achieve a specified clean area condition, e.g. where 664
ceiling return air grilles are used. 665
666
5.2.2. There may be alternative locations for return air. For example, 667
referring to Figure 11, Room 1 (low-level return air) and Room 2 (ceiling 668 return air).. 669 670 671 Figure 11 672
Air-handling system with high-efficiency particulate air filters in air-673 handling unit 674 675 P ri m a ry F ilt e r S u p p ly A ir F a n S e co n d a ry F ilt e r H E P A F ilt e r C o o lin g C o il 676 677
The airflow schematics of the two systems (Figures 1 1 and 1 2) indicate 678
air-handling units with return air or recirculated air, having a percentage 679
of fresh air added. Depending on product characteristics and dust loading 680
it is sometimes preferable to fit filters on return air outlets or in return air 681
ducting. 682
Working document QAS/15.639 page 25 Figure 12 is a schematic diagram of an air-handling system serving 684
rooms with horizontal unidirectional flow, vertical unidirectional flow and 685
turbulent flow, for rooms 3, 4 and 5, respectively. In this case the HEPA 686
filters are terminally mounted at the rooms, and not in the AHU. 687
Terminally mounted HEPA filters can assist with preventing cross-688
contamination from room to room in the event of a fan failure condition. 689
The decision whether to install terminal HEPA filters should be based on a 690 risk-assessment study. 691 692 693 694 Figure 12 695
Horizontal unidirectional flow, vertical unidirectional flow and 696 turbulent flow 697 698 P ri m a ry F ilt e r S u p p ly A ir F a n S e c o n d a ry F ilt e r H E P A F il te rs C o o lin g C o il 699 700 5.3.701 Recirculation system 702
5.3.1. There should be no risk of contamination or cross-contamination 703
(including by fumes and volatiles) due to recirculation of air. 704
705
5.3.2. Depending on the airborne contaminants in the return-air system 706
it may be acceptable to use recirculated air, provided that HEPA filters 707
are installed in the supply air stream (or return air stream) to remove 708
contaminants and thus prevent cross-contamination. The HEPA filters for 709
this application should have an EN 1822 classification of H13. 710
711
5.3.3. HEPA filters may not be required where the air-handling system 712
is serving a single product facility and there is evidence that cross- 713
contamination would not be possible. 714
Working document QAS/15.639 page 26
5.3.4. Recirculation of air from areas where pharmaceutical dust is not 716
generated such as secondary packing, may not require HEPA filters in the 717
system. 718
719
5.3.5. HEPA filters may be located in the air-handling unit or placed 720
terminally. Where H E P A fi l t e r s a r e t e r m i n a l l y m o u n t e d t h e y 721
s h o u l d preferably not be connected to the ducting by means of flexible 722
ducting. Due to the high air pressure required for the terminal filter, this 723
connection should preferably be a rigid duct connection. Where flexible 724
ducting is used, it should be as short as possible and properly fixed to 725
withstand duct pressure. When HEPA filters are terminally mounted, it 726
should be possible to carry out filter integrity tests from within the room. 727
The filter housings will therefore require ports for measuring appropriate 728
upstream concentration (refer to ISO 14644.3) and penetration 729
concentration from within the room. In addition it should be possible to 730
monitor the filter pressure drop in individual HEPA filters. 731
732
5.3.6. Air containing dust from highly toxic processes and/or solvents or 733
flammable vapours should never be recirculated to the HVAC system. 734
735 736 737
5.4.738 Full fresh-air systems 739
740
5.4.1. The required degree of filtration of the exhaust air depends on the 741
exhaust air contaminants and local environmental regulations. HEPA filters 742
in the exhaust system would normally only be required when handling 743
hazardous materials. 744
745
Figure 13 indicates a system operating on 100% fresh air and would 746
normally be used in a facility dealing with toxic products or solvents, where 747
recirculation of air with contaminants should be avoided. 748
749 750
Working document QAS/15.639 page 27 Figure 13
751
Full fresh-air system 752 753 754 755 756 757
Working document QAS/15.639 page 28
Figure 14 758
Full fresh-air system with energy recovery 759 760 P ri m a ry F ilt e r S u p p ly A ir F a n S e c o n d a ry F ilt e r H E P A F ilt e r P ri m a ry F ilt e r E x h a u s t A ir F a n S e c o n d a ry F ilt e r H E P A F ilt e r F re sh A ir C o o lin g C o il 761 762
5.4.2. Energy-recovery wheels if used in multiproduct facilities should 763
have been subjected to a risk assessment to determine if there is any 764
risk of cross-contamination. When such wheels are used they should 765
not become a source of possible contamination (see Figure 14). Note: 766
Alternatives to the energy-recovery wheels, such as crossover plate heat
767
exchangers and water-coil heat exchangers, may be used in multiproduct
768
facilities.
769 770
5.4.3. The potential for air leakage between the supply air and exhaust air 771
as it passes through the wheel should be prevented. The relative pressures 772
between supply and exhaust air systems should be such that the exhaust air 773
system operates at a lower pressure than the supply system. 774
775 776
5.5.777 Additional system components 778
5.5.1. A schematic diagram of the airflow for a typical system serving a 779
low relative humidity suite is represented in Figure 15. Air can be dried 780
with a chemical drier (e.g. a rotating desiccant wheel which is continuously 781
regenerated by means of passing hot air through one segment of the wheel). 782
Alternative methods of drying air are also available. 783
Working document QAS/15.639 page 29 Figure 15
784
Air-handling system with chemical drying 785 S u p p ly A ir F a n S e c o n d a ry F ilt e r H E P A F ilt e r
AIR HANDLING UNIT
LOW HUMIDITY PRODUCTION FACILITY P ro c e s s A ir F a n
CHEMICAL DRIER UNIT Reactivation Air Fan P ri m a ry F ilt e r P ri m a ry F ilt e r Fresh Air Chemical Drier Desiccant Wheel S R F = Supply Air = Return Air = Fresh Air E= Exhaust Air E F S S R R R R C o o lin g C o il -+ + R e a c ti v a ti o n H e a te r 786 787
5.5.2. The figure illustrates the chemical drier handling part of the fresh 788
air/return air mixture on a bypass flow. The location of the chemical drier 789
should be considered in the design phase. The practice of locating the 790
complete chemical drier unit in the production cubicle is not recommended 791
as this could be a source of contamination or cross-contamination. Examples 792
of appropriate locations for the drying wheel could include: 793
794
— full flow of fresh/return air; 795
— partial handling of fresh/return air (bypass airflow); 796
— return air only; 797
— fresh air only; or 798
— pre-cooled air with any of the above alternatives. 799
800
5.5.3. Possible additional components that may be required in air handling 801
should be considered depending on the climatic conditions and locations. 802
These may include items such as: 803
804
‒ frost coils on fresh air inlets in very cold climates to preheat the air; 805
‒ reheaters for humidity control 806
‒ automatic air volume control devices 807
‒ sound attenuators 808
Working document QAS/15.639 page 30
‒ snow eliminators to prevent snow entering air inlets and 809
blocking airflow 810
‒ dust eliminators on air inlets in arid and dusty locations 811
‒ moisture eliminators in humid areas with high rainfall 812
‒ fresh air precooling coils for very hot or humid climates. 813 814 815 6. Protection 816 817
6.1. Products and personnel 818
819
6.1.1. Areas for the manufacture of pharmaceuticals, where pharmaceutical 820
starting materials and products, utensils, primary packing materials and 821
equipment are exposed to the environment, should be defined as “clean 822
areas”, “clean zones”, “controlled areas” or “cleanrooms”. 823
824
6.1.2. The achievement of a particular clean area condition depends on a 825
number of criteria that should be addressed at the design and qualification 826
stages. A suitable balance between the different criteria will be required in 827
order to create an efficient clean area. 828
829
6.1.3. Some of the basic criteria to be considered which affects room 830
cleanliness should include: 831
832
• building finishes and structure• dust control and containment 833
• air filtration 834
• air change rate or flushing rate 835
• room pressure 836
• location of air terminals and directional airflow 837 • temperature 838 • relative humidity 839 • material flow 840 • personnel flow 841 • gowning procedures 842 • equipment movement 843
• process being carried out (open or closed system) 844
• outside air conditions 845
• occupancy 846
• type of product 847
• cleaning standard operating procedures (SOPs). 848
849
6.1.4. Air filtration and air change rates should be set to ensure that the 850
defined clean area condition is attained. 851
Working document QAS/15.639 page 31 6.1.5. The air change rates should be determined by the manufacturer and 853
designer, taking into account the various critical parameters using a risk 854
based approach with due consideration of capital and running costs and 855
energy usage. Primarily the air change rate should be set to a level that will 856
achieve the required clean area condition. 857
858
6.1.6. Air change rates are normally determined by the following 859
considerations (could normally vary between 6 and 20 air changes per hour): 860
861
• area condition required: whether a specific room cleanliness 862
condition is in fact required and whether the room condition is 863
rated for an “at rest” condition or an “operational” condition (air 864
change rate should be selected on need rather than tradition); 865
• the product characteristics (e.g. odours, hygroscopicity, etc.); 866
• the quality and filtration of the supply air; 867
• particulates generated by the manufacturing process; 868
• particulates generated by the operators; 869
• configuration of the room and air supply and extract locations; 870
• sufficient air to achieve containment effect and to clean up the area; 871
• sufficient air to cope with the room heat load; 872
• sufficient air to balance extract rates; 873
• sufficient air to maintain the required room pressure. 874
875
6.1.7. If a cleanroom classification is specified, the manufacturer should 876
state whether this is achieved under “as-built” (Figure 16), “at-rest” (Figure 877
17) or “operational” (Figure 18) conditions. 878
879
6.1.8. Room classification tests in the “as-built” condition should be 880
carried out on the bare room, in the absence of any equipment or personnel. 881
882
6.1.9. Room classification tests in the “at-rest” condition should be carried 883
out with the equipment operating where relevant, but without any operators. 884
Because of the amounts of dust usually generated in a solid dosage facility, 885
the clean area classifications would be rated for the “at-rest” condition. 886
887
6.1.10. Room classification tests in the “operational” condition are 888
normally carried out during the normal production process with equipment 889
operating, and the normal number of personnel present in the room. When 890
qualifying for the operational condition details of the process operating, 891
number and positions of staff should be stipulated for each room, to enable 892
future qualifications to duplicate the same conditions. 893
894
6.1.11. Room clean-up or recovery tests are performed to determine 895
whether the installation is capable of returning to a specified cleanliness 896
Working document QAS/15.639 page 32
level within a finite time, after being exposed briefly to a source of 897
airborne particulate challenge. Room “clean-up” or “recovery” tests should 898
demonstrate a change in particle concentration by a factor of 100 within 899
the prescribed time (as per ISO 14644-3 clause B.12) (3). The guidance 900
time period for clean-up or recovery is about 15 to 20 minutes. 901
In some instances it is not possible to increase the concentration by a factor 902
of 100 (such as for an ISO 14644 Class 8 condition) as the high particle 903
concentration can damage the particle counter. In this instance the particle 904
decay method can be used as per ISO 14644-3 clause B.12.3.2. 905
906
6.1.12. Materials and products should be protected from contamination 907
and cross-contamination during all stages of manufacture (see also section 908
6.5 for cross-contamination control). 909
910
Note: contaminants may result from inappropriate premises (e.g. poor design,
911
layout or finishing), poor cleaning procedures, contaminants brought in by
912
personnel, poor manufacturing process and a poor HVAC system.
913 914 Figure 16 915 “As-built” condition 916 917 918 919 920
Working document QAS/15.639 page 33 Figure 17 921 “At-rest” condition 922 923 924 Figure 18 925 “Operational” condition 926 927
Working document QAS/15.639 page 34
928 929
6.1.13. Airborne contaminants should be controlled through effective 930
ventilation and filtration. 931
932
6.1.14. External contaminants should be removed by effective filtration of 933
the supply air (see Figure 19 for an example of a shell-like building 934
layout to enhance containment and protection from external 935
contaminants). 936
937
6.1.15. Internal contaminants should be controlled by dilution and 938
flushing of contaminants in the room, or by displacement airflow (See 939
Figures 20 and 21 for examples of methods for the flushing of airborne 940
contaminants). 941
942
6.1.16. Airborne particulates and the degree of filtration should be 943
considered critical parameters with reference to the level of product 944
protection required. 945
946
6.1.17. Personnel should not be a source of contamination. 947
948
6.1.18. The level of protection and air cleanliness for different areas should 949
be determined according to the product being manufactured, the process 950
being used and the product’s susceptibility to degradation (Table 3). 951
Working document QAS/15.639 page 35 Figure 19
952
Shell-like containment control concept 953 954 W a s te E x it P e rs o n n e l M o v e m e n t P e rs o n n e l M o v e m e n t 955 956 957 6.2. Air filtration 958 959
Note: The degree to which air is filtered plays an important role in the
960
prevention of contamination and the control of cross-contamination.
961 962
6.2.1. The type of filters required for different applications depends on 963
the quality of the ambient air and the return air (where applicable) and 964
also on the air change rates. Table 4 gives the recommended filtration 965
levels for different levels of protection in a pharmaceutical facility. 966
Manufacturers should determine and prove the appropriate use of 967
filters. 968
969
6.2.2. Filter classes should always be linked to the standard test method 970
because referring to actual filter efficiencies can be very misleading (as 971
different test methods each result in a different efficiency value for the 972
same filter). (Referring to filter classifications such as an 85% filter or a 5 µm 973
filter are not valid classifications and should not be used, as this can lead to 974
the incorrect filter being installed. Only the EN 779 and EN 1822 or ISO 975
29463 classifications, as per Tables 1 and 2, should be used.) 976
Working document QAS/15.639 page 36 977 978 Table 1 979
Comparison of filter test standards 980 Eurovent 4/5 rating ASHRAE 52.2 Eurovent 4/5 ASHRAE 52.1 BS6540 Part 1 Eurovent 4/5 ASHRAE 52.1 BS6540 Part 1 EN 779 & EN 1822 IS O 2 9 4 6 3 (supersede d) Merv rating Average arrestance Am (%) Average dust spot efficiency Em (%) MPPS integral overall efficiency (%) EN Rating 99.999995 U17 E N 1 8 2 2 : 2 0 0 9 75E 99.99995 U16 65E EU 14 99.9995 U15 55E EU 13 Merv 18 99.995 H14 45E EU 12 Merv 17 99.95 H13 35E EU 11 99.5 E12 25E EU 10 95 E11 15E EU 9 Merv 16 >95 85 E10 EU 9 Merv 15 95 F9 E N 1 8 2 2 : 2 0 0 9 EU 8 Merv 14 90 MPPS = most penetrating particle Size F8 Merv 13 >98 85 F7 EU 7 >98 80 Merv 12 >95 75 EU 6 >95 70 F6 Merv 11 >95 65 >95 60 Merv 10 >95 55 EU 5 Merv 9 >95 50 F5 Merv 8 >95 45 >95 40 Merv 7 >90 35 EU 4 >90 30 G4 Merv 6 90 25 EU 3 Merv 5 85 20 G3 80 <20 Merv 4 75 EU 2 Merv 3 70 G2 Merv 2 65 EU 1 Merv 1 <65 G1 981
Working document QAS/15.639 page 37 Table 2
982
Comparison of ISO and EN Filter Standards 983
ISO 29463
EN 1822 Global or Integral
Values for MPPS
Local Values for MPPS Filter Class Collection Efficiency (%) Penetrat ion (%) Collection Efficiency (%) Penetrat ion (%) MPPS Integral Overall Efficiency (%) EN Rating ISO 75 E ≥ 99.999995 ≤ 0.000005 ≥ 99.9999 ≤ 0.0001 99.999995 U17 ISO 70 E ≥ 99.99999 ≤ 0.00001 ≥ 99.9999 ≤ 0.0001 - - ISO 65 E ≥ 99.99995 ≤ 0.00005 ≥ 99.99975 ≤ 0.00025 99.99995 U16 ISO 60 E ≥ 99.9999 ≤ 0.0001 ≥ 99.9995 ≤ 0.0005 - - ISO 55 E ≥ 99.99995 ≤ 0.0005 ≥ 99.9975 ≤ 0.0025 99.9995 U15 ISO 50 E ≥ 99.999 ≤ 0.001 ≥ 99.995 ≤ 0.005 - - ISO 45 E ≥ 99.995 ≤ 0.005 ≥ 99.975 ≤ 0.025 99.995 H14 ISO 40 E ≥ 99.99 ≤ 0.01 ≥ 99.95 ≤ 0.05 - - ISO 35 E ≥ 99.95 ≤ 0.05 ≥ 99.75 ≤ 0.25 99.95 H13 ISO 30 E ≥ 99.9 ≤ 0.1 - - ISO 25 E ≥ 99.5 ≤ 0.5 99.5 E12 ISO 20 E ≥ 99 ≤ 1 - - ISO 15 E ≥ 95 ≤ 5 95 E11
The above all tested for MPPS (most penetrating particle size)
Note: The filter classifications referred to above relate to the EN
984
1822:2009 and EN 779: 2002 test standards (EN 779 relates to filter
985
classes G1 to F9 and EN1822 relates to filter classes E10 to U17).
Working document QAS/15.639 page 38
987
6.2.3. In selecting filters, the manufacturer should have considered other 988
factors, such as particularly contaminated ambient conditions, local 989
regulations and specific product requirements. Good prefiltration extends 990
the life of the more expensive filters downstream. 991
992
6.2.4. Filters have an impact on the cleanroom class or Level of 993
Protection. The different levels of protection and recommended filters 994
grades are given in Tables 3 and 4 below. 995
996
Table 3 997
Examples of levels of protection (based on ISPE oral solid dosage 998
(OSD) guideline criteria) 999
1000
Level Condition Example of area
Level 1 General Area with normal housekeeping and maintenance where there is no potential for product contamination, e.g. warehousing. Level 2 Protected Area in which steps are taken to protect
the pharmaceutical starting material or product from direct or indirect
contamination or degradation, e.g. secondary packing, warehousing, first stage change rooms.
Level 3 Controlled Area in which specific environmental conditions are defined, controlled and monitored to prevent contamination or degradation of the pharmaceutical starting material or product, e.g. where product, starting materials and components are exposed to the room environment; plus equipment wash and storage areas for equipment product contact parts.
1001 1002
Working document QAS/15.639 page 39 Table 4
1003
Levels of protection and recommended filtration 1004
1005
Level of protection Recommended filtration
Level 1 Primary filters only (e.g. EN 779 G4 filters) Level 2 Protected areas operating on 100% outside air:
primary plus secondary filters (e.g. EN 779 G4 plus F8 or F9 filters)
Level 3 Production facility operating on recirculated plus ambient air, where potential for cross-contamination exists: Primary plus secondary plus tertiary filters (e.g. EN 779 G4 plus F8 plus EN 1822 H13 filters) (for full fresh air system, without recirculation, G4 and F8 or F9 filters are acceptable)
1006
6.2.5. Materials for components of an HVAC system should be selected 1007
with care so that they do not become a source of contamination. Any 1008
component with the potential for liberating particulate or microbial 1009
contamination into the airstream should be located upstream of the final 1010
filters. 1011
1012
6.2.6. Where possible ventilation dampers, filters and other services should 1013
be designed and positioned so that they are accessible from outside the 1014
manufacturing areas (service voids or service corridors) for maintenance 1015
purposes. 1016
1017
6.2.7. Directional airflow within production or primary packing areas 1018
should assist in preventing contamination. Airflows should be planned in 1019
conjunction with operator locations, so as to minimize contamination of the 1020
product by the operator and also to protect the operator from dust inhalation. 1021
Different airflow patterns are indicated in Figures 20 & 21 below. 1022
1023 1024
Working document QAS/15.639 page 40
Figure 20 1025
Turbulent dilution of dirty air 1026
1027
1028 1029 1030
Low-level extract is ideal for dust suppression purposes, but is not 1031
essential. (Low-level extract is essential for Grade A, B & C classified 1032
areas.) 1033
1034 1035
Working document QAS/15.639 page 41 Figure 21
1036
Unidirectional displacement of dirty air 1037 1038 1039 1040 1041 1042
6.2.8. HVAC air distribution components should be designed, installed 1043
and located to prevent contaminants generated within the room from being 1044
spread. 1045
1046
6.2.9. Supply air diffusers should be selected with care taking consideration 1047
of, e.g. room requirements and positions of equipment and operators in the 1048
room. Supply air diffusers of the high induction type (e.g. those typically 1049
used for office-type air-conditioning) should where possible not be used 1050
in clean areas where dust is liberated. Air diffusers should be of the non- 1051
induction type, introducing air with the least amount of induction so as to 1052
maximize the flushing effect. In rooms where the process results in high 1053
dust liberation; perforated plates or low induction swirl diffusers with 1054
low level extract or return should be used (to contain the dust at the lower 1055
level of the room) (see Figures 22–24 for illustrations of the three types of 1056
diffuser). In cases where dust liberation is low, ceiling return air grilles may 1057 be acceptable. 1058 1059 1060 1061
Working document QAS/15.639 page 42
6.2.10. Induction and certain swirl diffusers induce room air vertically 1062
up to the diffuser to mix with the supply air. These diffusers create good 1063
dilution of contaminants in the room and may be used in rooms where there 1064
is low dust liberation. However, if used in rooms where excessive dust is 1065
generated, the distribution of dust in the room could be hazardous for the 1066
operators in the room, as dust is drawn up into the supply air stream and 1067
then spread throughout the room. Airflow patterns for different diffuser 1068
types are indicated in figures 22, 23 & 24 below. 1069 1070 Figure 22 1071 Induction diffuser 1072 1073 1074 1075 1076
Working document QAS/15.639 page 43 Figure 23
1077
Perforated plate diffuser 1078
1079 1080 1081