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Computer / Software Validation

Download more than 350 documents: SOPs, examples, templates, checklists, FDA waning letters, 483 inspectional observations, FDA and other official guidelines, presentations/publications from FDA personnel.

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Standard Operating Procedures

 

SOP
Training for GxP, 21 CFR Part 11 and Computer Validation

S-125

Defines responsibilities and how to specify training needs, training techniques and how to document results.

 

SOP
Risk Assessment for Systems Used in GxP Environments

S-134

FDA’s 21st CGMP initiative suggests risk-based inspections. Companies are expected to document risks that the system has on product quality, product safety and public health. Information is used, for example, to define the extent of validation, to define the scope of 21 CFR Part 11 and to implement controls such as electronic audit trail, electronic copies and archiving of records. This procedure establishes a method for identifying, evaluating and prioritizing the risks associated with the use of systems in applicable GxP applications, specifically but not only where such systems are subject to regulation under 21 CFR Part 11.

 

SOP
Maintenance of Equipment

S-241

 

SOP
Risk-Based Validation of Computer Systems

S-252

Software and computer systems should be validated for compliance and business reasons. The extent of validation depends on the risk the system can have on product quality and safety and on the complexity. This SOP gives guidelines on what the extent of validation should be for risk categories

 

SOP
Development of Requirement Specifications for Computer System

S-253

The first and most important step of validation and qualification is writing the specifications. Without clear specifications computer systems cannot be fully tested. Well-written System Requirement Specifications (SRS) or User Requirement Specifications (URS) facilitate all consecutive validation/qualification steps and help to meet business objectives. The SOP applies to the development of Requirement Specifications (URS or SRS) for Computer Systems used in GxP regulated environments.

 

SOP
Configuration Management and Version Control of Software

S-259

 

SOP
Change Control of Software and Computer Systems

S-262

Computer hardware and software are frequently changed. Insufficient documentation and uncontrolled changes can have a negative effect on the reliability of software and computer systems. This SOP should help ensure that changes computer hardware, firmware, software and computer systems follow documented procedures. It describes procedures for initiation, implementation, approval and documentation of the changes.

 

SOP
Validation of Spreadsheet Applications

S-264

Quality standards, regulatory agencies and some company policies require software used for evaluation of critical data to be properly validated. Spreadsheet applications are considered as software and should be validated to demonstrate suitability for their intended use. The purpose of this operating procedure is to ensure that Spreadsheet applications are validated during their development and installation and periodically reevaluated during operation.

 

SOP
Validation of Electronic Laboratory Notebooks

S-267

Software and computer systems should be validated for compliance and business reasons. This SOP gives guidelines on how to validate electronic laboratory notebooks. It applies to commercial e-notebooks with and without customization.

 

SOP
Using Electronic Laboratory Notebooks in FDA Regulated Environments

S-268

Electronic Laboratory Notebooks (ELN) are frequently used in regulated development and QC laboratories. The purpose of this operating procedure is to ensure that ELNs used in regulated environments comply with regulations . Following this SOP does not mean that users comply with all regulations in all aspects. The procedure applies whenever Electronic Laboratory Notebooks are used in a regulated environments      

 

SOP
 Validation of Electronic Document Management Systems

S-270

Documentation is a valuable asset to any company as it can contain information, which if lost or altered may be critical for the company. Electronic Document Management Systems (EDMS) control and retain documents from creation, use, maintenance and storage, through to archiving and retrieval. The trustworthiness and integrity of electronic information is dependent on the reliability and integrity of the EDMS. Validation helps to achieve proper design, development, installation and use of EDMS and is a requirement of regulations. This SOP gives guidelines on how to validate Electronic Document Management Systems.

 

SOP
Validation of Commercial Off-the-Shelf (COTS) Computer Systems

S-271

Software and computer systems should be validated for compliance and business reasons. Validation helps to generate accurate, reliable and consistent analytical results. This SOP gives guidelines on how to validate commercial off-the-shelf (COTS) computer systems.

 

SOP
Auditing Computer Systems

S-272

Users of software and computer systems are responsible for validation. This includes validation during development. User firms can delegate part of this validation to vendors of the software or computer systems. User firms should check through a formal vendor assessment process if vendors develop and validate software and computer systems according to regulatory requirements and industry practices. User firms should find the most efficient method for assessment. This can range from simple documentation of experience with the vendor through direct vendor audit. This SOP guides user firms through this assessment process.

 

SOP
Quality Assessment of Software and Computer System Suppliers

S-274

Users of software and computer systems are responsible for validation. This includes validation during development. User firms can delegate part of this validation to vendors of the software or computer systems. User firms should check through a formal vendor assessment process if vendors develop and validate software and computer systems according to regulatory requirements and industry practices. User firms should find the most efficient method for assessment. This can range from simple documentation of experience with the vendor through direct vendor audit. This SOP guides user firms through this assessment process.

 

SOP
Qualification of PC Clients

S-289

PCs that are part of a network should be qualified. This SOP is intended to qualify PC clients in the most economic and efficient way possible. It applies to PC clients as part of a client server network.

 

SOP
Qualification of Servers

S-291

 

SOP
Retention and Archiving of Electronic Records

S-315

Regulations and company policies require records to be available for up to 10 or more years. Ensuring the authenticity, reliability and long-term availability of electronic records is challenging because they can be easily altered. This procedure should help to reliably maintain and retain electronic records over the entire retention period. It applies to the entire retention period of records as required by applicable regulations and company policies.

 

SOP
Scanning of Paper Records for GxP Compliant Archiving

S-316

Records are frequently generated on paper. Archiving large amounts of papers records requires large storage capacities. Such paper archives are also more difficult to search than electronic databases. Therefore companies prefer to scan in paper records into standard electronic files, such as PDF format and add meta data to facilitate search. The purpose of this procedure is to make the scanning and archiving process compliant with GxP regulations. The SOP is used to validate the initial process and to perform scans in the routine.

 

SOP
Data Backup and Recovery

S-317

Availability of records is important not only for compliance but also for business reasons. For example distribution records must be readily available in case of a product recall and without batch records or analytical batch records drug products cannot be shipped. Also there is always a possibility that computer data can be lost in case of hardware, software or operation problems. Therefore good data back-up strategies and procedures are important for quick data recovery in case of such problems. Back-up and restore of electronic records. This SOP applies for manual and automated back-up and restoring of data, operating system files, configuration parameters and application software.

 

SOP
Disaster Recovery of Computer Systems

S-319

 

SOP
Disaster Recovery of Computer Systems

S-320

 

SOP
Risk Based Validation of Laboratory Computer Systems

S-662

 Templates / gap analyses / checklists / case studies

Checklist
Gap Analysis/Checklist: User Requirement Specifications for Software and Computer Systems

E-153

User Requirement Specifications is the most important validation document for computer systems. Inadequate or incomplete specifications can have a high negative impact on later validation phases and when using the system. This checklist should help to identify User Requirement Specifications. Validation and controls are specific for each system

 

Checklist
Using Computerized Systems in Clinical Trials

E-154

Laboratory computer systems used in regulated environments should be validated and well controlled. This form helps to identify qualification and validation requirements for software and computer systems

 

Checklist
Commercial Off-the-Shelf Computer Systems

E-160

Commercial Off-the-Shelf computer systems used in regulated environments should be validated and well-controlled. This checklist should help to identify qualification and validation and to control software and computer systems. Validation and controls are specific for each system. Therefore going through checklists does not mean that everything is covered for each system nor does it mean that all checklist items are applicable for every system.

 

Checklist
Computer validation documents

E-170

Documents that should be developed before, during and after computer validation.

 

Checklist
Retirement of Computer Systems

E-173

Laboratory computer systems used in regulated environments should be validated and well controlled. This form helps to identify qualification and validation requirements for software and computer systems

 

Example
Requirement Specifications (without VBA)

E-268

Real example for a URS of Spreadsheet Applications. You can also use this as a template for other programs.

 

Example
Program and Validation Package for MD5 hash calculations

E-306

Simple example for complete validation package
MD5 hash calculations can be used to verify data file integrity. Regular or occasional checks of file integrity are recommended for software installation, data archiving, network transactions and e-mail transfer. This ZIP file includes an easy to use program that can be used to learn about the concept and for simple manual operations. It also includes procedures and protocols to test the program and a procedure on how to use the program to verify integrity of e-mail attachments. There is also a 21 page technical description with code and implementation reference for those who want to write their own program.

 

Example
User Requirement Specifications - 20 Good/Bad Examples

E-308

Examples are equipment and computer systems

 

Checklist
Software/Computer System Vendor Assessment

E-321

Laboratory computer systems used in regulated environments should be validated and well controlled. This form helps to identify qualification and validation requirements for software and computer systems

 

Example
Identification of computer systems.

E-322

This document is a must for installation qualification (IQ)

 

Example
Functional Testing

E-358

This is a complete 29 pages functional test script for an Excel Spreadsheet. It includes a test schedule, two different test traceability matrices and 12 functional tests with test procedures, acceptance criteria and actual results. Test results are summarized in a summary sheet. You can also use this as a template for other programs.

 

Example
Test procedure: Limited System Access

E-362

Limited access to systems and data is a key requirement of all GxP regulations and quality standards. The function is built into most operating systems or application software. However, because of the importance of this functions, it needs to be tested.

 

Example
Requirement Specifications - Document Management System

E-741-02

 

Example
Supplier Assessment - Document Management System

E-741-04

 

Example
 Installation Qualification - Document Management System

E-741-07

 

Example
Requirement Specifications - Chromatography Data System

E-781-02

Reference papers and presentations, private authors

Reference Paper
Reference Paper: Support from Instrument Vendors for Compliance

A-109

 

Reference Paper
Qualification of Equipment and Computerized systems

A-264

published in PharmCanada, written by L.Huber

 

Reference Paper
The Future State of Computer Validation, Part 1 and Part 2

A-267

Written by nine world experts on computer validation

 

Reference Paper
Qualification and validation of software and computer systems in laboratories
Part 1: Validation during development,

A-556

 

Reference Paper
Qualification and validation of software and computer systems in laboratories
Part 2: Qualification of the vendor

A-557

published in Accreditation and Quality Assurance

 

Reference Paper
Qualification and validation of software and computer systems in laboratories,
Part 3: Installation and Operational Qualification

A-558

 

Reference Paper
Qualification and validation of software and computer systems in laboratories,
Part 4: Evaluation and validation of existing systems

A-559

 

Comparison
Part 11 and Annex 11

H-219

The table relates requirements of FDA's 21 CFR Part 11 to Annex 11 of the EU/EC GMP directive.

 

Presentation
Ready for a Computerized System Validation Audit

P-213

David Bergeson, former FDA expert for computer validation.

 

Presentation
Operational Compliance of Legacy Systems

P-214

FDA's expectations, enforcement practices and examples of warning letters. Nine steps for implementation

 

Presentation
Validation of equipment hardware, software and computer systems

P-215

Do you need to train yourself or your people on how to validate and qualify equipment and computer systems? This presentation with many graphic is an ideal way to start.

 

Presentation
Computer Systems & Software Validation
The expectations and observations of a European Inspector

P-222

Presented at the IVT CSV Conference, Amsterdam, December 2006
It rarely happens that inspectors from Europe give presentations at public conferences. However this happened at IVT's European Annual Computer System Validation Conference on December 5-7 in Amsterdam with Ludwig Huber as chair person. Malcolm Olver from UK's MHRA gave a presentation with the title: Computer Systems & Software Validation: The expectations and observations of a European Inspector. Mr. Olver explained the audience the regulatory framework presented lists with questions typically asked during inspections. Key point of the observations has been that the Validation Master Plan (VMP) typically is raised too late in the project. He also noted that frequently testing is not related critical functions of the process. Most deviations have been related to inadequate change control, for example, lack of control of software upgrades and no recommendations for revalidation

FDA regulations and official FDA guidelines

 

FDA Regulation
Code of Federal Regulations, Title 21, Food and Drugs, Part 11

F-282

"Electronic Records; Electronic Signatures

 

FDA Industry Guidance
FDA General Principles of Software Validation (for Medical Devices)

F-381

This guidance outlines general validation principles that the Food and Drug Administration (FDA) considers to be applicable to the validation of medical device software or the validation of software used to design, develop, or manufacture medical devices.

 

FDA Guidance
Off-The-Shelf Software Use in Medical Devices

F-382

September 1999

 

FDA Guidance
Guide to inspections of computerized systems in the food processing industry

F-383

 

FDA Industry Guidance
Computerized Systems Used in Clinical Trials

F-384

September 2004 (Draft)

 

FDA Industry Guidance
Computerized Systems Used in Clinical Trials

F-385

April 1999

 

FDA Guidance
Glossary of computerized system and software development technology

F-386

 

FDA Guidance
Reviewer Guidance for a Premarket Notification Submission for Blood Establishment Computer Software

F-387

 

FDA Guidance
Office of Regulatory Affairs Compliance References: Bioresearch Monitoring (BIMO) Compliance Program 7348.808

F-389

Attachment A: Computerized Systems
The intent of this attachment is to collect, in one place, references to computer systems of the program

 

FDA Investigational Training Manual
Chapter 22C: Inspection of Computer Systems

F-390

This 10 page document is not new but still shows FDA' basic expectations for computer systems, not only for GMP.
The objective is that readers will: understand how the GMPs are applied to computer systems, know the similarities and differences between computer systems and other systems, comprehend what is meant by validation of computer systems, know one method for conducting an inspection of a computer system

 

FDA General Principles of Software Validation (for Medical Devices)
Industry Responses

F-391

The FDA received responses from 36 organizations and individuals, with more than 650 questions, comments or specific recommendations for changes. FDA's comments are useful to understand FDA's current thinking on specific aspects of software validation

 

FDA Industry Guidance
Using Computerized Systems in Clinical Investigations

F-399

May 2007 (Final))

 

FDA Guidance
Part 11 FDA Industry Draft Guidance on Validation (withdrawn in February 2003)

F-424

The guidance document has been withdrawn from the FDA website mainly because all existing part 11 guidance documents have been withdrawn in February 2003. However there is absolutely nothing wrong with this guidance.

Other regulations, official guidelines and recommendations from industry task forces

Annex 11 of EU GMP

H-213

Annex 11 of the EU GMP directive specifies requirements for computers used in GMP regulated environments. To some extent the requirements are similar as FDA's 21 CFR Part 11.

 

Industry Task Force
AVP Interpretation of EU GMP Annex 11

H-217

Interpretation Annex 11 of the EU GMP directive specifies requirements for computers used in GMP regulated environments. The International Association for Pharmaceutical Technology (AVP) has developed this 27 page interpretation guide for easier implementation.

 

Japan GMP Guideline - Using Computers in GMP Environment

H-281

Presentations, publications, interviews with FDA personnel (these are not official guidelines

 

FDA Presentation
Computer Validation

G-305

Janis. v. Halverson during the FDA/Industry Combined Training Session on 21 CFR Part 11: Electronic Records; Electronic Signatures FDA on Jan 12, 1999
This presentation is very much up-to-date and has lots of good FDA recommendations for computer validation.

 

FDA Presentation
Update on FDA Part 11 Validation Guidance: Computer System Validation and E-records/signatures,

G-316

P.Motise, IVT Conference Arlington, April 2002:
This presentation is very much up-to-date and has lots of good FDA recommendations for computer validation.

 

FDA Presentation
How to Take a Risk-based Approach to Computer Validation in an FDA Regulated Environment

G-331

George Smith, Consumer Safety Officer at CDER, US FDA, IVT Conference Arlington, April 2007:

Main topics of the presentation are: Why a risk based approach and how we arrived where we are, understanding what's coming to proceed with validation efforts, choosing which system to validate and appropriate levels of avlidation based on predicate rule. At the end Mr. Smith also gives an update on the status of the new Part 11 regulation.

 

FDA Information Bulletin
Spreadsheet Design and Validation for the Multi-User Applications for the Chemistry Laboratory

G-407

US FDA