Operator Qualifications

To limit the potential for deficiencies to escape detection before the product is released, special processes should be documented in the form of procedures and specifications that will ensure the suitability of all equipment, personnel, and facilities, and prevent varying conditions, activities, or operations. Qualification in the context of special processes means that you need to conduct a thorough assessment of the processes to determine their capability to maintain or detect the conditions needed to produce conforming product consistently. The limits of capability need to be determined and the processes only applied within these limits. In qualifying the processes you need to qualify the personnel using them by training and examination as well as the materials, equipment, and facilities employed. It is the combination of personnel, materials, equipment, and facilities which ensure qualified processes. 

Quality systems require that facilities and equipment should be appropriate to the activities undertaken. Surfaces that are easy to clean and maintain in hygienic condition are a requirement in many situations. For example, cloth-backed chairs would not be acceptable in a laboratory that handled potentially biohazardous materials. Equipment should be checked at installation to demonstrate that it can perform its desired function. This is frequently done using an Installation Qualification, Operational Qualification and Performance Qualification (IQ /OQ/PQ) commissioning process. Routine maintenance and calibration programmes are then required to ensure that equipment continues to deliver the specified performance. 

The validation of ne v facilities, systems or equipment is usually accomplished using a four-stage process of design qualification (DQ), installation qualification (IQ), operational qualification (OQ) and performance qualification (PQ). 

Operational qualification involves performing a series of tests to check that all elements of the system are functional across the specified operating range. This usually involves performing challenges at the worst case extreme operating conditions. The process should allow confirmation of final operation, maintenance and calibration procedures. 

Berg, T., Humphreys, P., Phillips, B. and Scherz, B., Recommendations on Validation Master Plan, Installation and Operational Qualification, Non-Sterile Process Validation, Cleaning Validation , PIC Publication PH 1/96. 

The validation process is subject to the following design specifications, user and performance requirements, preparation of a master plan/validation protocol (installation qualification, operational qualification, and performance qualification), execution of the protocol, preparation of a summary report, and on-going validation (and revalidation if changes are made). 

In a GLP-compliant laboratory, a data system must meet explicit requirements guaranteeing the validity, quality, and security of the collected data. Operational qualification (OQ) must be performed after any new devices are installed in the laboratory system and whenever service or repair are performed. The role of OQ is to demonstrate that the instrument functions according to the operational specifications in its current laboratory environment. If environmental conditions are highly variable, OQ should be checked at the extremes in addition to normal ambient conditions. Performance qualification (PQ) must be performed following any new installation and whenever the configuration of the system has been changed. PQ demonstrates that the instrument performs according to the specifications appropriate for its routine use. 

Validations fall into two types prospective and retrospective. In prospective validation (see flow chart in Figure 2) the validation is done in a sequential manner, involving installation qualification and operational qualification (IQ/OQ) of equipment (e.g., chromatography instrumentation or column hardware). Appropriate calibrations accompany the IQ/OQ. Process qualification, or PQ, involves formal review and approval of a PQ protocol, execution of this protocol, and issuance of a formal PQ report which includes data analysis and recommendations (i.e., approval/certification of the process). If the process is not approved, the report may recommend a redesign or redoing of the validation protocol and, in some cases, a return of the process to process development for further optimization. 

Operational qualification establishes that an instrument will function according to its specification in the selected environment. The role of OQ can be considered as demonstrating that an instrument s key operating parameters are within specification and there are no unacceptable differences between the parameters... 

Operational qualification Auditing/testing process that evaluates the system being tested to make sure that it is fully operational and will perform within operating specifications... 

In following text an attempt is made to give an example of the types of documentation that must be prepared within the validation master plant for the installation qualification (IQ) and the operational qualification (OP). The examples given are restricted to the process and installation engineering aspects, and exclude the many other aspects, e. g. sterility, biological or chemical requirements, corporate policies or the production environment. The information described are organized in six categories ... 

As with any analytical instrumentation, processes that involve both operation qualification and performance qualification are implemented during manufacture of the instrumentation for /tPLC described in this chapter to ensure that the instrument will perform according to specifications. 

During operation qualification, all components of the instrument are tested individually along with integral parts of the overall instrumentation. In this section, results of some of the most common performance parameters are presented with a brief description of the methods used for evaluation. 

Operational performance, primary measurements of, 20 731 Operational qualification (OQ), in fine chemical production, 11 433 Operational systems, for sustainable development, 24 190 Operational testing, piping system,... 

Thus, while a well-maintained instrument is important for any chemical/physical measurement, in NIR, without a concurrent standard for comparison, it is critical that the instrument be continuously calibrated and maintained. Since the major manufacturers of equipment have worked with the pharmaceutical industry, this has been formalized into what is called IQ/OQ/PQ, or Instrument Qualification, Operational Qualification, and Performance Qualification. The first is routinely performed (at first) by the manufacturer in the lab/process location, the second in situ by the user with help from the manufacturer, and the third is product/use dependent. These formal tests apply to all instruments in any industry. 

Welder operator qualifications with or without filler material (autogenous welding) shall be limited to the mechanized WPS/PQR and ASME BPV Code Section IX, or API Standard 1104. Three consecutive, acceptable samples shall be required to support welder operator qualification testing. 

C. During operational qualification the analyst or vendor would assess if the equipment works as specified, generating appropriately documented data. The procedures will verify that the instrument s individual operational units are functioning within a given range or tolerance, reproducibly. For the dissolution apparatus, the water bath temperature and spindle assembly and shaft rpm speed would be obvious operational parameters. 

If the equipment is a commercial product, the installation and operational qualifications can be obtained from the equipment vendor. This would include the vendor specifications and... 

Instrument qualifications are the tests that are performed after the equipment is installed for use in a laboratory. Instrument qualifications include installation qualification, operational qualification, and performance qualification. These tests verify that the equipment is installed, operates, and performs according to the manufacturer s specifications. Each of these types of qualifications is defined in more detail in the following sections. 

Indeed, the need for capital investment in a CMO may not have been originally anticipated or planned for and may impact on the whole decision making process. Additional costs and time need to be set aside for training and equipment validation, e.g. PQ/IQ/OQ (process qualification/ installation qualification/ operational qualification), and if this includes equipment with radically different operating principles than currently available on site then additional costs will be required for equipment-specific operating personnel and training. 

Operational Qualification (OQ) This provides documented verification that the equipment or systems perform as intended throughout the anticipated operating ranges. 

Calibration procedures are often similar to those used in the initial operational qualification of each module of the HPLC system. While each company s procedure might differ in the details, most share these common strategies. 

This chapter defines the terms, responsibilities, requirements and recommended procedures involved in pre-installation, installation qualification (IQ), operational qualification (OQ) and performance qualification (PQ), which are all part of a typical HPLC system validation process. As the FDA does not publish a definitive reference or cookbook for these procedures, the suggestions herein are only recommendations. These have been successfully incorporated into formal standard operating procedures (SOPs) that have been implemented at a number of larger pharmaceutical establishments. As long as proper SOPs... 

Operational Qualification—The OQ is the protocol that verifies that the operation of the system meets the written and pre-approved performance and functional specifications established by the vendor within its required operating range. 

As with any data generation or data-handling system, appropriate validation (instrument qualification (IQ)/operational qualification (OQ)/performance qualification (PQ)) is required to demonstrate that the system is accurately and reliably performing in accordance with the user-functional requirements. 

Automated qualification software is yet another area of CDS development that has been affected by regulatory compliance. When you look at today s CDS solutions, it is typical to see the system providing direct digital control of the instrumentation. Many CDS manufacturers offer software tools that are capable of automating the installation qualification (IQ) and operational qualification (OQ) process. In addition, some manufacturers also offer software that can automate the performance qualification (PQ) for the various forms of instrumentation that it is capable of controlling. These automated software tools are not only time savers for the laboratory, but they also help to properly document the system qualification effort. 

---