By

SUNILBOREDDY
M.Pharmacy
 Certain pharmaceutical products must be
sterile
◦ injections, ophthalmic preparations, irrigations
solutions, haemodialysis solutions

 Two categories of sterile products

◦ those that can be sterilized in final container
(terminally sterilized)
◦ those that cannot be terminally sterilized and must
be aseptically prepared
Aseptic processing
 Objective is to maintain the sterility of a
product, assembled from sterile components
 Operating conditions so as to prevent microbial
contamination
Objective
 To review specific issues relating to the
manufacture of aseptically prepared products:
◦ Manufacturing environment
 Clean areas
 Personnel
◦ Preparation and filtration of solutions
◦ Pre-filtration bioburden
◦ Filter integrity/validation
◦ Equipment/container preparation and sterilization
◦ Filling Process
◦ Validation of aseptic processes
◦ Specific issues relating to Isolators, BFS and Bulk
 Classification of Clean Areas
◦ Comparison of classifications

WHO GMP US 209E US Customary ISO/TC (209) EEC GMP

ISO 14644
Grade A M 3.5 Class 100 ISO 5 Grade A
Grade B M 3.5 Class 100 ISO 5 Grade B
Grade C M 5.5 Class 10 000 ISO 7 Grade C
Grade D M 6.5 Class 100 000 ISO 8 Grade D

Table 1
Classification of Clean Areas
◦ Classified in terms of airborne particles (Table 2)
Grade At rest In operation

maximum permitted number of particles/m3

0.5 - 5.0 µm > 5 µm 0.5 - 5.0 µm >5µ
A 3 500 0 3 500 0
B 3 500 0 350 000 2 000
C 350 000 2 000 3 500 000 20 000
D 3 500 000 20 000 not defined not defined

“At rest” - production equipment installed and operating

“In operation” - Installed equipment functioning in defined
operating mode and specified number of personnel present
Four grades of clean areas:
 Grade D (equivalent to Class 100,000, ISO 8):
◦ Clean area for carrying out less critical stages in
manufacture of aseptically prepared products eg.
handling of components after washing.
 Grade C (equivalent to Class 10,000, ISO 7):
◦ Clean area for carrying out less critical stages in
manufacture of aseptically prepared products eg.
preparation of solutions to be filtered.
 Grade B (equivalent to Class 100, ISO 5):
◦ Background environment for Grade A zone, eg.
cleanroom in which laminar flow workstation is housed.
 Grade A (equivalent to Class 100 (US Federal
Standard 209E), ISO 5 (ISO 14644-1):
◦ Local zone for high risk operations eg. product filling,
stopper bowls, open vials, handling sterile materials,
aseptic connections, transfer of partially stoppered
containers to be lyophilized.
◦ Conditions usually provided by laminar air flow
workstation.
 Each grade of cleanroom has specifications for
viable and non-viable particles
◦ Non-viable particles are defined by the air classification
(See Table 2)
  Limits for viable particles (microbiological
contamination)
Grade Air sample Settle plates (90mm Contact plates Glove print
(CFU/m3) diameter) (55mm (5 fingers)
(CFU/4hours) diameter) (CFU/glove)
(CFU/plate)
A <3 <3 <3 <3
B 10 5 5 5
C 100 50 25 -
D 200 100 50 -

Table 3
– These are average values
– Individual settle plates may be exposed for less than 4 hours
• Values are for guidance only - not intended to represent specifications
• Levels (limits) of detection of microbiological contamination should be
established for alert and action purposes and for monitoring trends of air
quality in the facility
Environmental Monitoring
 Physical

◦ Particulate matter
◦ Differential pressures
◦ Air changes, airflow patterns
◦ Clean up time/recovery
◦ Temperature and relative humidity
◦ Airflow velocity
Environmental Monitoring - Physical
 Particulate matter
◦ Particles significant because they can contaminate and also
carry organisms
◦ Critical environment should be measured not more than
30cm from worksite, within airflow and during
filling/closing operations
◦ Preferably a remote probe that monitors continuously
◦ Difficulties when process itself generates particles (e.g.
powder filling)
◦ Appropriate alert and action limits should be set and
corrective actions defined if limits exceeded
Environmental Monitoring - Physical
 Differential pressures
◦ Positive pressure differential of 10-15 Pascals should be
maintained between adjacent rooms of different
classification (with door closed)
◦ Most critical area should have the highest pressure
◦ Pressures should be continuously monitored and frequently
recorded.
◦ Alarms should sound if pressures deviate
◦ Any deviations should be investigated and effect on
environmental quality determined
Environmental Monitoring - Physical
 Air Changes/Airflow patterns
◦ Air flow over critical areas should be uni-directional
(laminar flow) at a velocity sufficient to sweep particles
away from filling/closing area
◦ for B, C and D rooms at least 20 changes per hour are
ususally required
 Clean up time/recovery
◦ Particulate levels for the Grade A “at rest” state should
be achieved after a short “clean-up” period of 20
minutes after completion of operations (guidance value)
◦ Particle counts for Grade A “in operation” state should
be maintained whenever product or open container is
exposed
Environmental Monitoring - Physical
 Temperature and Relative Humidity
◦ Ambient temperature and humidity should not be
uncomfortably high (could cause operators to
generate particles) (18°C)
 Airflow velocity
◦ Laminar airflow workstation air speed of approx
0.45m/s ± 20% at working position (guidance value)
Personnel
 Minimum number of personnel in clean areas
◦ especially during aseptic processing
 Inspections and controls from outside
 Training to all including cleaning and
maintenance staff
◦ initial and regular
◦ manufacturing, hygiene, microbiology
◦ should be formally validated and authorized to enter
aseptic area
 Special cases
◦ supervision in case of outside staff
◦ decontamination procedures (e.g. staff who worked
with animal tissue materials)
Personnel (2)
 High standards of hygiene and cleanliness
◦ should not enter clean rooms if ill or with open
wounds
 Periodic health checks
 No shedding of particles, movement slow and
controlled
 No introduction of microbiological hazards
 No outdoor clothing brought into clean areas,
should be clad in factory clothing
 Changing and washing procedure
 No watches, jewellery and cosmetics
 Eye checks if involved in visual inspection
Personnel (3)
 Clothing of appropriate quality:
◦ Grade D
 hair, beard, moustache covered
 protective clothing and shoes
◦ Grade C
 hair, beard, moustache covered
 single or 2-piece suit (covering wrists, high
neck), shoes/overshoes
 no fibres/particles to be shed
◦ Grade A and B
 headgear, beard and moustache covered,
masks, gloves
 not shedding fibres, and retain particles shed
by operators
Personnel (4)
 Outdoor clothing not in change rooms leading to
Grade B and C rooms
 Change at every working session, or once a day (if
supportive data)
 Change gloves and masks at every working session
 Frequent disinfection of gloves during operations
 Washing of garments – separate laundry facility
◦ No damage, and according to validated procedures
(washing and sterilization)
 Regular microbiological monitoring of operators
 In aseptic processing, each component is
individually sterilised, or several components
are combined with the resulting mixture
sterilized.
◦ Most common is preparation of a solution which is
filtered through a sterilizing filter then filled into sterile
containers (e.g active and excipients dissolved in Water
for Injection)
◦ May involve aseptic compounding of previously
sterilized components which is filled into sterile
containers
◦ May involve filling of previously sterilized powder
 sterilized by dry heat/irradiation
 produced from a sterile filtered solution which is then
aseptically crystallized and precipitated
 requires more handling and manipulation with higher potential
for contamination during processing
Preparation and Filtration of Solutions
 Solutions to be sterile filtered prepared in a Grade C
environment
 If not to be filtered, preparation should be prepared
in a Grade A environment with Grade B background
(e.g. ointments, creams, suspensions and emulsions)
 Prepared solutions filtered through a sterile 0.22μm
(or less) membrane filter into a previously sterilized
container
◦ filters remove bacteria and moulds
◦ do not remove all viruses or mycoplasmas
 filtration should be carried out under positive
pressure
Preparation and Filtration of Solutions (2)
 consideration should be given to complementing
filtration process with some form of heat treatment
 Double filter or second filter at point of fill advisable
 Fitlers should not shed particles, asbestos
containing filters should not be used
 Same filter should not be used for more than one
day unless validated
 If bulk product is stored in sealed vessels, pressure
release outlets should have hydrophobic microbial
retentive air filters
Preparation and Filtration of Solutions (3)
 Time limits should be established for each phase of
processing, e.g.
◦ maximum period between start of bulk product
compounding and sterilization (filtration)
◦ maximum permitted holding time of bulk if held after
filtration prior to filling
◦ product exposure on processing line
◦ storage of sterilized containers/components
◦ total time for product filtration to prevent organisms from
penetrating filter
◦ maximum time for upstream filters used for clarification or
particle removal (can support microbial attachment)
Preparation and Filtration of Solutions (4)
 Filling of solution may be followed by lyophilization
(freeze drying)
◦ stoppers partially seated, product transferred to lyophilizer
(Grade A/B conditions)
◦ Release of air/nitrogen into lyophilizer chamber at
completion of process should be through sterilizing filter
Prefiltration Bioburden (natural microbial load)
 Limits should be stated and testing should be carried
out on each batch
 Frequency may be reduced after satisfactory history is
established
◦ and biobuden testing performed on components
 Should include action and alert limits (usually differ by a
factor of 10) and action taken if limits are exceeded
 Limits should reasonably reflect bioburden routinely
achieved
Prefiltation Bioburden (2)
 No defined “maximum” limit but the limit should not
exceed the validated retention capability of the filter
 Bioburden controls should also be included in “in-
process” controls
◦ particularly when product supports microbial growth
and/or manufacturing process involves use of culture
media
 Excessive bioburden can have adverse effect on the
quality of the product and cause excessive levels of
endotoxins/pyrogens
Filter integrity
 Filters of 0.22μm or less should be used for filtration
of liquids and gasses (if applicable)
◦ filters for gasses that may be used for purging or
overlaying of filled containers or to release vacuum in
lyphilization chamber
 filter intergrity shoud be verified before filtration and
confirmed after filtration
◦ bubble point
◦ pressure hold
◦ forward flow
 methods are defined by filter manufacturers and limits
determined during filter validation
Equipment/container preparation and
sterilization
 All equipment (including lyophilizers) and
product containers/closures should be sterilized
using validated cycles
◦ same requirements apply for equipment sterilization
that apply to terminally sterilized product
◦ particular attention to stoppers - should not be tightly
packed as may clump together and affect air removal
during vacuum stage of sterilization process
◦ equipment wrapped and loaded to facilitate air removal
◦ particular attention to filters, housings and tubing
Equipment/container preparation and
sterilization (2)
 CIP/SIP processes
◦ particular attention to deadlegs - different orientation
requirements for CIP and SIP
 heat tunnels often used for
sterilization/depyrogenation of glass
vials/bottles
◦ usually high temperature for short period of time
◦ need to consider speed of conveyor
◦ validation of depyrogenation (3 logs endotoxin units)
 worst case locations
◦ tunnel supplied with HEPA filtered air
Equipment/container preparation and
sterilization (2)
 equipment should be designed to be easily assembled and
disassembled, cleaned, sanitised and/or sterilized
◦ equipment should be appropriately cleaned - O-rings and gaskets
should be removed to prevent build up of dirt or residues
 rinse water should be WFI grade
 equipment should be left dry unless sterilized immediately
after cleaning (to prevent build up of pyrogens)
 washing of glass containers and rubber stoppers should be
validated for endotoxin removal
 should be defined storage period between sterilization and
use (period should be justified)
Additional issues specific to Isolator and BFS
Technologies
 Isolators
◦ Decontamination process requires a 4-6 log reduction
of appropriate Biological Indicator (BI)
◦ Minimum 6 log reduction of BI if surface is to be free
of viable organisms
◦ Significant focus on glove integrity - daily checks,
second pair of gloves inside isolator glove
◦ Traditional aseptic vigilance should be maintained
 Blow-Fill-Seal (BFS)
◦ Located in a Grade D environment
◦ Critial zone should meet Grade A (microbiological)
requirements (particle count requirements may be
difficult to meet in operation)
◦ Operators meet Grade C garment requirements
◦ Validation of extrusion process should demonstrate
destruction of endotoxin and spore challenges in the
polymeric material
◦ Final inspection should be capable of detecting
leakers
 Issues relating to Aseptic Bulk Processing
• Applies to products which can not be filtered at point of fill
and require aseptic processing throughout entire
manufacturing process.
• Entire aseptic process should be subject to process
simulation studies under worst case conditions (maximum
duration of "open" operations, maximum no of operators)
• Process simulations should incorporate storage and
transport of bulk.
• Multiple uses of the same bulk with storage in between
should also be included in process simulations
• Assurance of bulk vessel integrity for specified holding
times.
 Bulk Processing (2)
• Process simulation for formulation stage should be
performed at least twice per year.
◦ Cellular therapies, cell derived products etc
 products released before results of sterility tests
known (also TPNs, radioactive preps, cytotoxics)
 should be manufactured in a closed system
 Additional testing
 sterility testing of intermediates
 microscopic examination (e.g. gram stain)
 endotoxin testing
Environmental Monitoring
Considerations
Environmental Monitoring
Components
 Airborne nonviable particulate monitoring
 Airborne viable contaminant monitoring
 Viable contaminant monitoring of surfaces
 Viable contaminant monitoring of personnel
 Temperature and humidity monitoring
 Pressure differential monitoring
Environmental Monitoring
Components
 Water monitoring:
◦ Total organic carbon
◦ Conductivity
◦ Microbial Contaminants
◦ Endotoxin
General Environmental Monitoring
Considerations
 Monitoring frequencies and strategies
◦ Establishment of a meaningful and manageable
program
 Sampling and testing procedures
 Establishment of effective alert and action
limits
 Trending of results
General Environmental Monitoring
Considerations
 Investigation and evaluation of trends as well
as excursions from alert and action limits
 Corrective actions to be implemented in
response to environmental monitoring
excursions
 Personnel training - sampling, testing,
investigating excursions, aseptic technique
Scope of Environmental Monitoring
Program
 Should include monitoring of all
environments where products and their
components are manufactured
◦ All areas where there is a risk of product
contamination
 Should include monitoring of all water used
for product manufacturing as well as feed
water to the final water purification system
(WFI System)
Regulatory Basis for Environmental
Monitoring Program
 CFR GMP regulations
 FDA Guidance Documents
 USP Informational Chapter
21 CFR 211.42

 Aseptic processing areas:

◦ Easy to clean and maintain
◦ Temperature and humidity controlled
◦ HEPA filtered air
◦ Environmental monitoring system
◦ Cleaning and disinfecting procedures
◦ Scheduled equipment maintenance and calibration
21 CFR 211.46

 Ventilation, air filtration, air heating and

cooling:
◦ Adequate control over microorganisms, dust,
humidity and temperature.
◦ Air filtration systems including prefilters and
particulate matter air filters for air supplies to
production areas.
Guideline on Sterile Drug Products
Produced by Aseptic Processing
 Defines critical and controlled manufacturing
areas
 Recommends airborne nonviable and viable
contaminant limits
 Provides some guidance on monitoring
frequencies for critical areas
Guideline on Sterile Drug Products
Produced by Aseptic Processing
 Recommendations for air pressure
differentials
 Includes guidance on aseptic media fills
 Note: This guidance document was written in
1987 and is in need of revision
Microbial Evaluation and Classification
of Clean Rooms and Clean Zones
 USP General Information Chapter <1116>
 Establishment of clean room classifications
◦ Federal Standard 209E
 Importance of EM program
 Personnel training in aseptic processing
 Establishment of sampling plans and sites
◦ suggested sampling frequencies
Microbial Evaluation and Classification
of Clean Rooms and Clean Zones
 Establishment of alert and action limits
 Suggests limits for airborne, surface and
personnel contaminant levels.
 Methods and equipment for sampling
 Identification of isolates
 Aseptic media fills
 Emerging technologies - barrier; isolator
Federal Standard 209E

 “Airborne Particulate Cleanliness Classes in

Clean Rooms and Clean Zones
 Approved by the GSA for use by all Federal
Agencies
 Frequently referenced for controlled
environment particulate requirements:
Classes 100, 10,000 and 100,000 (based on
particles > 0.5µ)
Guidance for Industry for Sterile Validation
Process Validation in Applications for Human and
Veterinary Drug Products
 Scope limited to final drug product
manufacturing and data required for
application submission (NDA, BLA)
 Requests information on:
◦ Buildings and facilities
◦ Manufacturing operations for drug product
 Filter validation
 Validation of hold times
Guidance for Industry for Sterile Validation
Process Validation in Applications for Human and
Veterinary Drug Products
 Requests information on:
◦ Sterilization and depyrogenation
◦ Media fills and actions taken when they fail
◦ Microbiological monitoring of the environment
 Airborne microorganisms, personnel, surfaces, water
system, product component bioburden
◦ Yeasts, molds, anaerobes
◦ Exceeded EM limits
Viable and Nonviable
Contaminant Limits
Classifi- Nonviable (>0.5µ) Viable
cation ft3 m3 ft3 m3
Class 100 3,530 0.1 3.5
100
Class 10,000 353,000 0.5 18
10,000
Class 100,000 3,530,000 2.5 88
100,000
Controlled Area

 Preparation or manufacturing area where

nonsterile product, in-process materials and
product-contact equipment surfaces,
containers and closures are exposed to the
environment
 Control nonviable and viable contaminants to
reduce product /process bioburden
 Class 100,000 or Class 10,000
Controlled Area

 Capping areas are now considered controlled

manufacturing areas
◦ Should be supplied with HEPA filtered air
◦ Should meet class 100,000 conditions during static
conditions
Critical Area

 Aseptic processing area where sterile

products, components or in-process
products are exposed to the environment and
no further processing will occur.
 Air quality must be Class 100 during
processing
 Local Class 100 areas are often utilized
during open processing steps during drug
substance manufacture.
Critical Area

 The area just preceding the sterile core

should be one classification higher than the
core.
Nonviable Particulate Monitoring

 Airborne cleanliness classifications should be

met during operations
 Nonviable monitoring should occur routinely
during operations
 Monitoring during static conditions is done as
part of HVAC qualification and may be done
periodically after that to insure area meets
acceptable conditions before use or following
cleaning
Nonviable Particulate Monitoring

 Locations for monitoring should be

established during performance qualification;
probes placed close to work surface
 Monitoring frequencies vary:
◦ For aseptic processing areas, during each use
◦ For other, controlled areas, varies from each use to
weekly or less depending on use of area
Nonviable Particulate Monitoring

 HVAC Validation and Maintenance

Considerations:
◦ Air velocity, airflow patterns and turbulence should
be validated; smoke studies to determine flow
patterns during static and dynamic conditions
◦ HEPA filter integrity testing
◦ HEPA filter efficiency testing
◦ Air pressure differentials
Microbial Monitoring

 Airborne viable contaminants

 Surface contaminants
◦ walls
◦ equipment surfaces
◦ countertops
◦ floors
 Personnel contaminants
Microbial Monitoring

 Monitoring methods should be capable of

detecting molds and yeasts
 Should also be able to detect anaerobes
◦ Most often, this is an issue associated with
products filled anaerobically (with nitrogen overlay)
 All lots of media for EM sampling should be
growth promotion tested
Microbial Monitoring

 Routine microbial monitoring should take

place during operations (for airborne
contaminants) and immediately following
operations (for surfaces and personnel).
 Airborne monitoring frequencies:
◦ Each use for aseptic processing areas
◦ Varies from daily to weekly to less frequently for
controlled areas depending on use
Microbial Monitoring

 Personnel and surface monitoring frequencies

vary:
◦ Aseptic processing - after every fill
◦ Other controlled areas - varies from daily to weekly
or less for surfaces
◦ Personnel monitoring often restricted to aseptic
area personnel and personnel working in Class 100
hoods performing tasks such as inoculation
Microbial Monitoring

 Monitoring of surfaces and airborne

contaminants during rest periods (following
cleaning)
◦ Important for confirming adequacy of cleaning
procedures
◦ Indicates whether HVAC system is operating
properly
◦ NOTE: Disinfectant effectiveness studies also
required for cleaning agents used in the facility
Microbial Monitoring

 Monitoring frequencies and procedures are

influenced by a number of factors:
◦ Stage of manufacturing
◦ “Open” or “closed” manufacturing step
◦ Single or multiple product manufacturing
Microbial Monitoring

 Establishment of monitoring locations should

be based on performance qualification
studies during dynamic conditions
◦ gridding study to determine worst case
locations/most meaningful locations
 Should also establish common flora - will aid
in investigations
Setting Alert and Action Limits

 Action limits (for the most part) have been

established in a variety of guidance
documents
 Alert limits
◦ Lower than action limits
◦ Reflect actual historical results under normal
processing conditions
Exceeding Limits

 Alert limits are designed to provide some

warning that environmental quality is
approaching action limit and allow you time
to correct.
 Exceeding alert limit triggers a warning
response - i.e., alert affected area personnel
 Exceeding multiple alerts - triggers action
level response
Exceeding Limits

 Action limit excursions require investigations

◦ Speciation of organism(s)
◦ Review batch records from date of excursion
◦ Review other recent EM data (trends)
◦ Review cleaning records
◦ Interview personnel
◦ Product impact - must quarantine until determined
Exceeding Limits

 Excursions from action limits require

corrective actions that may include:
◦ More rigorous or additional monitoring
◦ More rigorous cleaning
◦ Retraining of personnel
◦ Procedural changes - change to or addition of
disinfection procedures, for example
◦ HVAC maintenance
Investigations and Corrective
Actions
 The investigation procedures to be followed
should be pre-established and included in
SOPs
 Depending on the outcome of the
investigation, corrective actions should be
pre-established to the extent possible
Investigations and Corrective
Actions
 Imperative that EM results be linked to
product release so that affected products are
not released until investigation completed
 Material Review Board or equivalent should be
consulted prior to releasing product that was
potentially affected by adverse environmental
conditions
Trending

 Should trend monitoring results

(environmental and water)
◦ Periodic (quarterly or monthly) review by QA and
others
◦ Re-evaluation of action and alert limits on an
annual basis
◦ This trending information is generally included in
the Annual Product Review
Temperature and Humidity

 Control of temperature and humidity required

for aseptic processing areas
◦ 21 CFR 211.42(c)(10)(ii)
 Generally 65°F and 35-50% humidity are
average
◦ Too high - Increases personnel shedding
◦ Too low - Increase static electricity
Temperature and Humidity

 Temperature should be controlled throughout

all manufacturing areas
 Temperature and humidity should be
monitored and controlled in warehouse areas
where temperature/humidity sensitive raw
materials are stored
◦ If not able to control humidity, need procedure to
follow if humidity exceeds limit
Water Requirements

Test Potable Purified WFI

Water Water
TOC none 500 ppb 500 ppb
Conduc- none See USP Table
tivity
Micro. 500 100 10 CFU/
Purity CFU/ml CFU/ml 100 ml
Endo- none none 0.25
Toxin EU/ml
Water For Injection

 Water purified by distillation or reverse

osmosis
 Prepared from water complying with the U.S.
EPA National Primary Drinking Water
Regulations
 Contains no added substance
Purified Water

 Obtained by a suitable process, usually one of

the following:
◦ deionization
◦ reverse osmosis
◦ combination
Potable Water

 Meets National Drinking Water Regulations

 40 CFR Part 141
 Periodic monitoring in-house as well as
periodic certificates from municipality (if
applicable)
Water System Monitoring

 WFI Systems
◦ Microbial quality and endotoxin
 Daily system monitoring
 Each use point at least weekly
◦ TOC and Conductivity
 Weekly system monitoring
 can be taken from worst case point (end of loop,
return to tank)
Water System Monitoring

 Purified Water Systems

◦ Weekly monitoring of system for:
 microbial quality
 TOC
 conductivity
Water Use

 WFI
◦ Solvent for preparation of parenteral solutions
◦ Formulation of mammalian cell culture media
◦ Formulation of purification buffers
◦ Final product formulation
◦ Vial and stopper washing
◦ Final rinse for product equipment
Water Use

 Purified Water
◦ Preparation of terminally sterilized microbiological
media
◦ Initial rinsing/cleaning
◦ Laboratory use
◦ Feed for WFI system
Water Use

 Potable Water
◦ Non-product contact uses
◦ Feed for purified water system
Microbial Monitoring Devices

 Slit-to-Agar (STA) - Powered by vacuum, air

taken in through a slit below which is a slowly
revolving plate.
 Sieve impactor - Vacuum draws in air through
perforated cover which is impacted onto petri
dish containing nutrient agar
Microbial Monitoring Devices

 Centrifugal Sampler - consists of a propeller

that pulls a known volume of air into the unit
and then propels the air outward to impact
on a nutrient agar strip
 Sterilizable Microbiological Atrium (SMA)-
similar to sieve impactor; cover contains
uniformly spaced orifices; vacuum draws in
air which is impacted on agar plate
Microbial Monitoring Devices

 Surface Air System Sampler - An integrated

unit containing an entry section with an agar
contact plate; behind is a motor and turbine
that pulls air in through the perforated cover
and exhausts it beyond the motor.
 Settle plates - qualitative; may be useful in
worst case locations
Microbial Monitoring Devices

 Surface contaminant monitoring devices:

◦ Contact Plates - plates filled with nutrient agar; for
regular surfaces
◦ Swabs - useful for hard to reach or irregular
surfaces; swab placed in suitable diluent and
inoculated onto microbiological plate
Monitoring Considerations
 Remote sampling probes - validate use of
tubing
 Must sample adequate quantity of air to be
statistically meaningful.
◦ 80-100 ft3/min
 Must validate growth promotion after
exposure of settle plates (or other plates) for
prolonged time periods.
Contamination Control
Methods to Achieve
Cleanliness
 Positive Pressure / Airflow
◦ Keeps contamination out of the work area
◦ Depends on clean air input
 Filtration
◦ Development of effective filtration revolutionized industry
◦ HEPA (High Efficiency Particulate Air) and ULPA (Ultra Low
Particulate Air) Filters
 Materials Selection
 User Protocols
 Cleaning
Facility Design

 Complete cleanroom created with

centralized air handling or fan filter units
 Keeps entire room clean
 Requires complete gowning, careful
materials and equipment selection to
maintain class
 Costly, often unnecessary
Facility Design

 Can use localized clean areas

 Clean Benches: Horizontal and Vertical
Laminar Flow (HLF on left, VLF on right)
Facility design

 Isolators, Glove boxes provide better

protection from outside contamination
Contamination Control by
Layout
 Isolation between processes
prevents cross contamination;
separate rooms, air showers, door
interlocks
 “Onion” concept: cleanest areas are
inside, have to pass through
successively cleaner areas to reach
these areas
Air Flow & Turbulence

 Most airflow is
turbulent—no clear
relation between
velocity vectors at
different points

•Particles can be trapped in eddies for long time

•Not optimal for contamination control!! Long
path length for contamination to leave the room
Laminar (Unidirectional) Air
Flow
 Concept of laminar airflow
 In cleanrooms, often
called uni-directional flow
(UDF)

• Ideal for contamination control—shortest path to

sweep particles out of clean areas; complete room air
change in shortest period of time
High level cleanrooms designed for laminar flow in
most areas
Cost means that for most, clean areas are some
combination of laminar and turbulent flow
Not always a simple tradeoff—with turbulent flow,
require higher air velocities, which require larger air
handlers.
UDF More Important for
Cleaner Areas
Practical Considerations for
UDF
 Any objects in path of laminar flow will
deflect airflow—this usually results in
turbulence; USER BEHAVIOR HAS LARGE
IMPACT
•Most critical for
laminar flow benches
situated in non-clean
areas; not as critical if
located in larger clean
area
Types of Contamination

 Particulate—encompasses most
contamination
 Chemical—films, vapors, etc.
 Biological—bacteria, viruses, etc.; for our
purposes, treat as particles
 Similar concerns for rooms & equipment as
for substrates
Airborne Contamination

From Cleanrooms
Magazine, 2000

Invisible to naked
eye below ~50um
without special
illumination
Particulate Contamination

 Biggest concern for LCI cleanroom users

 Basis for classification of cleanrooms
 Does include biological contamination as a
subset of total particulates
 Many sources: personnel, equipment, etc.
Microbial Contamination

 Outer layer of human skin can host up to 1

million microorganisms per square cm
 Human saliva up to 1 billion per mL
 Bacteria is usually primary concern, but
foreign organic matter, viruses, fungi,
algae are all included here
 Cross contamination can be a big problem.
Contamination Measurement

 Particulate contamination typically

measured with laser particle counter
 Microbial contamination can be measured
in several ways
◦ Centrifugal sampler
◦ Settle plate method
◦ Contact plate method
◦ Swabbing
Usage of Measurements

 Complementary to yield tracking

 Can use measurements to isolate
problem areas
 Regular measurements can help to track
changes, which can then be tied back to
protocol, personnel, or material changes
◦ Don’t depend upon room to maintain itself.
Reality

 In a perfect world, could monitor many

points on a very regular basis
 In reality, this is usually not practical, due
to personnel time and financial constraints
 Important to identify a realistic test &
measurement program
Contamination Control and
Its Relationships
 All sources of contamination and control
are interrelated
Cleaning

 Critical to remove contaminants that

cannot be removed by air handling
 Important to follow procedures
appropriate to your application
 What is appropriate for one industry may
not be appropriate for another
 Most important thing is to develop
standard procedures and FOLLOW THEM
Surfaces are important

 The efficiency of these cleaning methods

depends on the surface being cleaned
 Rough or pitted surfaces are more difficult
to clean
 Sharp corners are difficult to clean
 That’s why inside surfaces of clean rooms
are smooth.
Vacuuming

 Dry and wet

◦ Dry has low (<25% ) efficiency for particles
smaller than 10 microns (about .0005 inches)
◦ wet uses liquids which result in greater force on
the particles and hence better cleaning
Wet wiping

 Can be very efficient

 Liquid breaks some bonds between
surface and particles and allows particles
to float off
 Those adhering on surface can be rubbed
off and retained in wiper.
 Must be careful not to redeposit particles
 Efficiency varies
Tacky rollers

 Efficiency depends of tackiness of roller,

cleanliness of tacky surface and softness
of roller are also very important
Cleaning liquids

 No ideal cleaning liquid

 Most facilities use DI water or isopropyl
alcohol with disinfectant
 Water with surfactant and disinfectant may
be used as well as alcohol-water solutions
 The choice depends on what works, cost,
history, etc.
Materials Selection

 Choice of materials for supplies,

equipment, gowning, etc. is important
 “Clean” materials can become dirty!!
 Look for easy-to-clean materials
 Triboelectricity can cause static problems,
as can low humidity—this exacerbates
contamination problems
 Biofilms!!
General Requirements

 Minimize sources of contaminants

◦ No smoking
◦ No cosmetics
◦ Avoid high particulate clothing, such as wool
sweaters
◦ Cover up! Uncovered skin can lead to more
contamination