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Considerations for validating instrument software per the

GAMP 5 guide
This white paper describes requirements that should be Recommendations on how the instrument software can be
considered in order to validate the Applied Biosystems™, implemented for compliance with 21 CFR Part 11 are shown in
Invitrogen , and Ion Torrent instrument software in accordance
™ ™
the Appendix (Table 2) at the end of this document.
with the Good Automated Manufacturing Practice (GAMP™) 5
guide for Validation of Automated Systems in Pharmaceutical Who is responsible for validation?
Manufacture. The principles and approach outlined in the Under the (European) Organisation for Economic Co-operation
GAMP 5 guide were developed by the International Society and Development (OECD) regulations, validation is the
for Pharmaceutical Engineering (ISPE) based on input from responsibility of the “test site management”. In good laboratory
pharmaceutical industry professionals in an effort “to narrow practice (GLP), validation is the responsibility of the “system
interpretation of regulatory standards for improved compliance owner” or “business process owner” [5]—often this is the
and quality, efficiency, and cost reductions” [1]. laboratory manager. While the laboratory manager may have
ultimate responsibility for validation, the validation team should
What is computer system validation? include representatives from all stakeholders. The quality
As described in FDA 21 CFR Part 11 and EMA Annex 11, Section assurance team certainly has a role to play in validation, ensuring
4, the validation of computer systems is to ensure accuracy, thorough review to help verify that all company policies are met.
reliability, consistent intended performance of data records, Management also plays a key role, because they provide the
and the ability to discern invalid or altered records as a critical impetus and resources for validation. They will also have ultimate
requirement of electronic record compliance [2,3]. responsibility if validation efforts prove to be inadequate.

Confirmation of conformity to user needs (“intended use”) Organizations can enlist third parties to design and perform
is obtained by comparing actual system performance to system validation, but responsibility for the validation,
predetermined requirements. This is accomplished by compliance, and maintenance of a compliant validated state
executing test procedures and collecting objective evidence cannot be delegated and remains with the system owner.
(computer-screen captures, printed reports, data files, etc.) to
demonstrate that validation activities were properly planned, and
that the tests were executed according to the plan.

Computer system validation (CSV) is distinct from assay validation

or method validation. It is also distinct from instrument hardware
qualification (such as installation qualification (IQ)/operational
qualification (OQ)/instrument performance verification (IPV)/
performance qualification (PQ)) [4]. To help ensure understanding
of system limitations and operational readiness, it is advisable
to complete instrument hardware qualification and CSV prior
to validating assay(s). Changes to a system in response to CSV
could impact assay validation.
To validate or not? The cost of compliance vs. noncompliance
The most important update in the GAMP 5 guide over previous Deciding to forego validation when it is required could mean
versions is the focus on risk management [6]. The GAMP 5 that an organization accepts the risk of noncompliance with
guide requires “validation if there could be an impact on … applicable requirements. Companies are sometimes reluctant
product quality, or data integrity” [7]. Therefore, the decision to to invest in validation efforts that may cost several thousand
validate, what to validate, and how to validate is an exercise in dollars. This has proven to be a short-sighted strategy in many
risk management. cases. A brief review of recent judgments against pharmaceutical
companies and independent/contract labs reveals that the
Risk should be assessed based on critical functionality. For
cost of noncompliance can be millions of dollars along with lost
example, in the Applied Biosystems™ 3500 Series Data Collection
revenue and productivity, possible process rework, and damaged
Software System, acquisition of sample data would be more
investor and customer confidence and goodwill.
critical than formatting reports. Therefore, more in-depth
validation testing would need to be defined and created for
Balancing risk and validation cost
sample data acquisition, and prioritized over report formatting.
Fully validating all components of a system further minimizes risk,
The GAMP 5 guide recognizes that higher system complexity but with a higher cost that is not necessarily commensurate with
increases the potential for risk and the need to mitigate it [4]. the level of risk reduction. Compliance can be accomplished by
For example, a system configured to transfer data to secondary validating critical subsystems thoroughly while minimizing the
analysis software would be more complex than a stand-alone validation effort for less critical functions. This approach does not
system. Therefore, additional tests would be required to validate eliminate risk but could reduce it to manageable levels, controlling
the system. validation effort and expense.

Building blocks for compliance controls

Technical and procedural controls
Validation throughout a system’s lifecycle: Consider design and placement of appropriate system controls
prospective vs. retrospective
for compliance. Controls can be classified as either technical or
Validation should begin with the process of system
procedural. Technical controls are enforced through hardware
procurement. Since one of the main goals of CSV is to
and software. They reduce human effort through automation,
document that the system fulfills “user needs” and that the
thereby reducing the incidence of human error. Procedural
requirements of the software “can be consistently fulfilled”,
controls are processes that are documented, approved, and
outlining the precise requirements of the system is an
enforced—typically in a standard operating procedure (SOP).
essential first step. Basing procurement decisions on an
explicit understanding of the needs of stakeholders and An example of a system component with both technical and
validation requirements helps to ensure that a new system procedural controls is a lab door with an electronic lock.
is an appropriate choice for the lab-intended use—and Procedurally, the lab should have an SOP describing the
simultaneously helps to fulfill CSV requirements. assignment, distribution, and maintenance of identification (ID)
devices such as pass codes, ID cards (or badges), or biometric
However, validation is sometimes also needed for installed
identification equipment. The devices themselves are considered
systems. Whether this is required due to changes in the
technical controls because the door lock uses hardware and
system or is the initial validation of a preexisting system, it
software to allow or deny entry to the lab.
is essential to capture system requirements and verify that
those requirements are met. For example, transferring a
system from R&D to a preclinical environment would require
a CSV.

A final consideration is that planning for the ultimate

retirement of the system, and the data it generates, is also
part of the validation process, and issues such as data and
method transfer should be considered.

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A procedural control could instruct users to “identify” themselves control process should be documented in an SOP. By carefully
with a pass code or ID card to the lock in order to open the door. following a predefined plan for evaluating and approving changes
It could further specify that pass codes or ID cards should remain to the system, the physical environment, and the procedural
in the sole possession of the employees to whom they were environment, a system can be maintained in a validated state
assigned. If an employee were to loan an ID device to another over time.
employee, who then used it to access a restricted area, the
Failure to properly control and document system changes could
procedural control would be compromised.
result in a system that is no longer validated, exposing the
This example illustrates why it is important to put both technical business to noncompliance risk.
and procedural controls in place.
Important updates in the GAMP 5 guide
SOPs
GAMP 5 software categories
Since some requirements, such as training, cannot be met using
Previous versions of the GAMP™ Good Practice Guide: Validation
technical controls, but should be satisfied through procedural
of Laboratory Computerized Systems classified computer
controls, SOPs are an important part of system controls.
software in five categories [7]. There were some changes to
Examples of important SOPs include the following:
categorization of software introduced in the GAMP 5 guide and
• Issuance and control of usernames and passwords category 2 was discontinued, but the remaining categories were
not renumbered. Therefore, Applied Biosystems, Invitrogen,
• System access assignment and revocation
and Ion Torrent instrument software remain in category 4:
• Training procedures configurable commercial off-the-shelf (COTS) software [8].
• Change control procedures
The instruments are classified as configurable because they
• Documentation maintenance procedures accommodate the storage and persistence of usernames,
passwords, customized audit trails, and instrument configuration.
• Backup and restoration of data
The effort required to validate a configurable system such as
• Archiving and retrieving of data
the 3500 Series Data Collection Software System is greater
It is also advisable to document your company’s computer than that required to validate operating systems, firmware,
system validation procedures and electronic signature policies (if and standard software functions such as simple arithmetic in
applicable) in SOPs. Microsoft™ Excel™ software.

Change control The 3500 Series Data Collection Software System provides
Validation efforts for an instrument should encompass the entire command-line interface (CLI) utilities that allow automation or
system lifecycle, from inception to retirement. Yet, change is semi-automation of certain tasks. These utilities can be used to
inherent in any computerized system. As new requirements customize the application. Custom software (GAMP 5 category 5)
are identified, errors are found, and procedures are revised, requires an even greater validation effort.
changes to the system could become necessary. It is essential
to carefully control any changes to a validated system through
documentation, analysis, and testing. Furthermore, since
changes to one subsystem might affect other, seemingly
unrelated parts of the system could present risk. A change
analysis should be performed including risk assessment of
impacts to the entire system. It is not adequate to test only the
change; testing should also include any potentially impacted
functionality. The most important tool for maintaining a system
in its validated state is the change control procedure. Typically,
changes would be requested in writing via a change request.
These should be analyzed and approved by the technical
personnel and key stakeholders involved. In addition, the risk
assessment for the system may need to be updated. Finally,
change requests should be approved by the quality assurance
unit and the system owner or equivalent, and the change

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GAMP 5 guide increases supplier quality awareness
for configurable and networked systems Plan Report
The GAMP 5 guide recognizes that most computerized systems

Risk management
are now based on configurable packages that utilize computer
networks (Figure 1). Therefore, it recommends that software
validation testing should focus on the specific configuration
of the software program rather than on its core operational
Specify Verify
characteristics, especially when the system supplier can
demonstrate that its core operational functionality was tested [9].
Because of these revisions, supplier audit programs have more
importance in the GAMP 5 guide; increasingly, system-supplier
certificates are accepted in lieu of actual supplier audits.
Configure
Important validation documents
The validation documentation set contains documents 01 through
08, 10, and 12 described in Table 1. We provide documents 09 Figure 1. GAMP 5 validation lifecycle [1]. Because the GAMP 5 guide
recognizes that most systems are configurable software, it suggests a
and 11 for CSV of the applicable instrument software. Table 1
simplified “V” validation lifecycle as shown here.
also includes a mapping of these documents to the GAMP 5
validation lifecycle.

Table 1. Software validation document descriptions and their relation to the GAMP 5 validation lifecycle.

GAMP 5 guide lifecycle

Validation document category Description
01. Validation plan (VP) Plan The VP is a document that is essential to the success of the
validation project. The VP defines the scope of the validation
effort and key documentation deliverables. The VP will describe
components such as the system lifecycle from inception to
retirement, system application, scope of work, order of activity, and
responsible individuals, as well as any relevant details for testing,
including collection of objective evidence, and exceptions.
02. V
 alidation risk Plan and risk management The VRA documents identified operation risks of the system,
assessment (VRA) impacts, and prescribed mitigations in accordance with
GAMP 5 guidelines.
03. User requirements Specify The URS objectively states the system requirements. The URS
specification (URS) includes details such as technical controls, procedural controls,
capacities, accuracy, security, fault tolerance, and physical
environment, among others defined. It is critical to the validation
success that the URS be a complete statement of the needs and
objectives of the acquiring organization.
04. S ystem configuration Specify and configure The SCS objectively describes the organization’s intended
specification (SCS) configuration, including any variations in the instrument, peripheral
equipment, security, and data processing. As the vendor, we
will provide documentation for the design and development of
software for a COTS system. This document replaces a functional
and design specification document in a traditional validation of a
GAMP 5 category 5 system.

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 GAMP 5 guide lifecycle
Validation document category Description
05. Test plan Plan The test plan describes all testable user requirements identified.
The test plan and its objective results are linked to the traceability
matrix for closure. The test plan supplements the validation plan
with details for test execution, collection of objective evidence,
and documentation.
06. Installation Configure and verify The IQ, OQ, and PQ are three phases of testing that involve the
qualification (IQ) execution of a defined set of tests referenced in the test plan, using
specific scripts, instructions, results, and acceptance criteria.
07. Operational Verify Tests in an IQ include verification that the system, including the
qualification (OQ) software, was correctly installed.
08. Performance Verify Tests in an OQ include verification that the system is performing as
qualification (PQ) configured in the SCS. There may be separate tests for secondary
analysis software identified for use as part of the SCS.
Tests in a PQ include performing an application run, and
generating reports in both primary and secondary analysis
software if applicable.

09. 21 CFR Part 11 Configure and verify US FDA 21 CFR Part 11 provides guidance to industry on the
security, reliability, and integrity of laboratory data as it relates
to use of electronic records and electronic signatures. When
software developed with essential 21 CFR Part 11 features are
configured correctly and SOPs are in place, this assists with
laboratory compliance.
The Part 11 Assessment (Table 2) contains a checklist that assists
with compliance through system functionality and procedural
control.
10. T
 raceability matrix Plan, verify, and report The TM makes it possible to confirm that each identified testable
(TM) user requirement has been executed and documented in
accordance with the validation plan.

11. Q
 uality assurance Verify and report QAU review is essential to the success of the validation project. A
unit (QAU) review customer’s quality department’s engagement in the development,
review, and approvals of the validation steps and documentation
determines the effectiveness of validation for use of applicable
features and functions in the defined environment.

12. V
 alidation summary Report The VSR contains an executive summary of results for the
report (VSR) software validation. The executive summary includes high-level
plan execution and decision recommendations for pass, fail, and
exceptions noted.
The VSR is often the starting point for regulatory auditors.

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It is important for the validation document set to be well in family and one for replicate systems. The validation TM should
organized. This can be accomplished by numbering the trace both the first in family and the replicated systems. More
documents in a clear, easy-to-read manner. For example, each than one trace table may be required. The VSR should list the
document is numbered 01–12 as shown above. Each document validation status of each system and any anomalies encountered
also has a code corresponding to the company, document, and for each system.
version, such as CMPY-SCS-01 in the example shown in Figure
2. This type of cross-referencing makes the CSV document set Conclusion
easy to use and modular, and can assist any auditor in finding Validation of instrument software containing 21 CFR Part 11
information quickly. features and functionality need not be an onerous undertaking.
By adopting the best practices prescribed by the GAMP 5 guide
1. Introduction and other regulatory bodies and professional societies, validation
Terms used in this document: can be performed efficiently. The GAMP 5 guide introduced
Vendor Thermo Fisher Scientific some changes to software validation. These include:
Company Company name (CMPY)
• Validation based on risk management, with more testing
Team The 3500 Series Data Collection Software System required for functionality that could impact product quality or
data integrity
Validation Project Team defined in the Software Validation
Plan CMPY-SVP-01 • Increased awareness of configurable and networked systems

System Defined in the System Configuration Specification • Changes to the “V” validation lifecycle using
risk management
CMPY-SCS-01
• Simplified document approval process
IQ The 3500 Series Data Collection Software System
Installation Qualification created by the Team in accordance In addition to regulatory compliance, the processes and business
with the Software Validation Plan CMPY-SVP-01 objectives of the organization could be enhanced by proper
validation, and much of the overall risk to a business and its
Figure 2. Example of a typical introduction section in the document processes could be mitigated.
set of the 3500 Series Data Collection Software System.

Replicated system validation

When more than one instrument is being installed in a
laboratory at the same time, it would be redundant and costly
to perform a complete software validation on each system. The
following are guidelines for tailoring the software validation for
replicated systems.

First, the VP can describe that several instruments are being

validated at the same time. The strategy is to test all requirements
on one system called “first in family”, then test a subset of
requirements on the replicated systems.

The test plan can denote tests to be performed on the first in

family and tests to be performed on replicated systems. Tests to
be performed on replicated systems include security, audit trail
configuration, and acquisition settings. Thus, testing is limited to
confirming that the configuration is correct. Additionally, a small
number of samples should be run on each instrument to ensure
the instrument is acquiring data properly. Quantitation validation
would not be necessary, nor would testing reporting, because
these functions have been tested on the first in family.

There should be two sets of IQ/OQ/PQ protocols, one for the first

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Contact us References
1. International Society for Pharmaceutical Engineering.
Contact a consulting services specialist at
http://www.ispe.org/gamp-5. Accessed August 25, 2016.
thermofisher.com/csv for information on services available 2. GAMP 5: A Risk-Based Approach to Compliant GxP Computerized Systems. (2008)
to assist you with your computer system validation needs. International Society for Pharmaceutical Engineering. 356 pp.
For Research Use Only. 3. IEEE 1012-2016, IEEE Approved Draft Standard for System, Software and Hardware
Verification and Validation (2016) The Institute of Electrical and Electronic Engineers.
118 pp.
4. GAMP Good Process Guide: Validation of Laboratory Computerized Systems. (2005)
International Society for Pharmaceutical Engineering. 96 pp.
5. Organisation for Economic Co-operation and Development.
http://www.oecd.org. Accessed August 25, 2016.
6. General Principles of Software Validation; Final Guidance for Industry
and FDA Staff. (2002) U.S. Department of Health and Human Services,
Food and Drug Administration.
7. GAMP 4 to GAMP 5 Summary. (2008) International Society for Pharmaceutical
Engineering. 10 pp.
8. Holistic Approach to Science-based Risk Management. 13 March 2008.
GAMP 5 Newsletter.
9. Martin KC, Perez A (2008) GAMP 5 Quality Risk Management Approach.
Pharmaceutical Engineering 28(3).

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Appendix

Table 2. Recommendations on how the 3500 Series Data Collection Software System can be implemented to
support compliance with FDA 21 CFR Part 11.
21 CFR Part 11
section reference 21 CFR Part 11 requirement Technical and procedural controls
§ 11.10 Controls for Closed Systems
Persons who use closed systems to create, modify, maintain, or transmit electronic records shall employ procedures and controls designed to
ensure the authenticity, integrity, and when appropriate, the confidentiality of electronic records, and to ensure that the signer cannot readily
repudiate the signed record as not genuine. Such procedures and controls shall include:
11.10(a) • Validation of the system to ensure accuracy, This is demonstrated through the entire process of validation
reliability, and consistent intended performance including IQ, OQ, and PQ testing.
The 3500 Series Data Collection Software System
• Validation of the system with the ability to discern programmatically prevents alteration of records outside the
invalid or altered records system. The data are not accessible. In addition, security,
audit trails, and electronic signature functionality prevent the
unauthorized alteration of records from within the application.
Each file has a checksum built in, and if the file is changed outside
the application, it will fail to open the file and inform the user that
the file has been modified outside the application.
11.10(b) The ability to generate accurate and complete copies When configured correctly, reporting functionality can satisfy this
of records in both human readable and electronic form requirement.
suitable for inspection, review, and copying by agency.

11.10(c) Protection of records to enable their accurate and This can be satisfied through customer SOPs for record backup
ready retrieval throughout the records retention period. and data archiving.
11.10(d) System access limited to authorized individuals. The software includes user authentication and access permission
functionality that could be configured to limit system access.
11.10(e) Audit trails shall be used that: The 3500 Series Data Collection Software System includes this
• Are secure, computer generated, and time stamped audit trail functionality.
This could be satisfied through customer SOPs for record backup
• Independently record the date and time of operator and data archiving. Audit trail information is stored by the software
entries and actions that: in the same manner as actual data.
– Create electronic records

– Modify electronic records

– Delete electronic records

• Ensure that record changes do not obscure

previously recorded information
Audit trail documentation is retained for a period
at least as long as that required for the subject
electronic records and is available for agency review
and copying.
11.10(f) Use of operational system checks to enforce permitted This could be demonstrated through the functionality of the
sequencing of steps and events, as appropriate. software itself. It has built-in checks to ensure that steps are
carried out in sequence. Steps and events that occur outside the
software should be defined in SOPs and protocols.
11.10(g) Use of authority checks to ensure that only authorized User authentication and access permissions within the software
individuals can: provide this functionality.
• Use the system and access the operation or
computer system input or output device

• Electronically sign a record

• Alter a record

• Perform the operation at hand

21 CFR Part 11
section reference 21 CFR Part 11 requirement Technical and procedural controls
11.10(h) Use of device (e.g., terminal) checks to determine, as The software has built-in checks designed to ensure that there
appropriate, the validity of the source of data input or cannot be incorrect inputs.
operational instruction.
11.10(i) Determination that the following persons have the
education, training, and experience to perform their
assigned tasks:
• Developers of the system Software release certificates from the vendor showing compliance
with ISO standards could satisfy this requirement.
• Maintainers of the system Maintenance contract with vendors or trained staff and SOPs
could satisfy this requirement.
• Users of the system Customer training SOPs and training records should
be maintained.
11.10(j) The establishment of, and adherence to, written Customer SOPs could satisfy this requirement.
policies that hold individuals accountable and
responsible for actions initiated under their
electronic signatures, in order to deter record and
signature falsification.
11.10(k) Use of appropriate controls over systems
documentation, including:
11.10(k)[1] • Adequate controls over the distribution of, access Customer SOPs could satisfy this requirement.
to, and use of documentation for system operation
and maintenance
• Adequate controls over the access to Customer SOPs could satisfy this requirement.
documentation such as directions for modifying
security features
11.10(k)[2] Revision and change control procedures Customer SOPs could satisfy this requirement. Vendor
to maintain an audit trail that documents is ISO certified and maintains revision control of
time-sequenced development and modification of published documentation.
systems documentation.
§ 11.30 Controls for Open Systems
Persons who use open systems to create, modify, maintain, or transmit electronic records shall employ procedures and controls designed to ensure
the authenticity, integrity, and as appropriate, the confidentiality of electronic records from the point of their creation to the point of their receipt.
Such procedures and controls shall include those identified in 11.10, as appropriate, and additional measures such as document encryption and use
of appropriate digital signature standards to ensure, as necessary under the circumstances, record authenticity, integrity, and confidentiality.
11.30 Controls in place to protect open systems as Not applicable. If installed and configured properly, the 3500
effectively as closed systems. Series Data Collection Software System is a closed system.
§ 11.50 Signature Manifestations
Signed electronic records shall contain information associated with the signing that clearly indicates the following:
11.50(a)[1–3] • The signer’s printed name If configured correctly, reporting functionality in the 3500 Series
Data Collection Software System could meet this requirement.
• The date and time when the signature was executed
• The meaning (such as review, approval,
responsibility, or authorship) associated with
the signature
§ 11.70 Signature/Record Linking
Electronic signatures are linked:
11.70 To their respective electronic records to ensure The records and electronic signatures are linked to each other
that the signatures cannot be excised, copied, through the data files. Records as well as electronic signatures
or transferred to falsify an electronic record by are recorded in the same file, so electronic signatures are linked
ordinary means. directly to the respective records. Due to the design of the system
as well as security controls, the signatures cannot be decoupled
from their respective electronic records.
21 CFR Part 11
section reference 21 CFR Part 11 requirement Technical and procedural controls
§ 11.100 General Requirements
11.100(a) Each electronic signature is unique to one individual This is done in the software itself and can also be mandated by
and is not to be reused by, or reassigned to, anyone customer SOPs.
else.
11.100(b) The organization verifies the identity of the individual This is a responsibility of the customer and should be defined in a
before the organization establishes, assigns, certifies, customer’s SOP.
or otherwise sanctions an individual’s electronic
signature, or any element of such electronic signature.
11.100(c)[1–2] Persons using electronic signatures shall, prior to or This is a responsibility of the customer and is independent of
at the time of such use, certify to the agency that the the system.
electronic signatures in their system, used on or after
August 20, 1997, are intended to be the legally binding
equivalent of traditional handwritten signatures.
§ 11.200 Electronic Signature Components and Controls
Electronic signatures that are not based upon biometrics:
11.200(a)[1] Employ at least two distinct identification components Electronic signature functionality requires both username
(e.g., ID code and password). and password.
11.200(a)[1i] • When an individual executes a series of signings Electronic signature functionality requires both username and
during a single continuous period of controlled password for initial signing and, at minimum, the password for
system access, the first signing is executed using subsequent signings in a session.
all electronic signature components; subsequent
signings are executed using at least one electronic
signature component that is only executable by,
and designed to be used only by, the individual.
11.200(a)[1ii] • When an individual executes one or more signings Initial electronic signature functionality requires both username
not performed during a single, continuous period of and password.
controlled system access, each signing is executed
using all of the electronic signature components.
11.200(a)[2] Are used only by their genuine owners. This is a responsibility of the customer and should be defined in
an SOP concerning logical security.
11.200(a)[3] Are administered and executed to ensure that System requires username and password. Password control
attempted use of an individual’s electronic signature is a responsibility of the customer and should be defined in
by anyone other than its genuine owner requires a customer’s SOP concerning logical security and electronic
collaboration of two or more individuals. signature usage.
11.200(b) Electronic signatures based upon biometrics are Not applicable. System does not employ biometrics.
designed to ensure that they cannot be used by
anyone other than their genuine owners.
§ 11.300 Controls for Identification Codes/Passwords
Persons who use electronic signatures based upon the use of identification codes in combination with passwords shall employ controls to ensure
their security and integrity. Such controls shall:
11.300(a) Maintain uniqueness of each combined ID code and Software will not allow identical usernames to be created.
password pair such that no two individuals have the
same combination of ID code and password.
11.300(b) Ensure ID code and password issuances are Password aging is a function of the 3500 Series Data Collection
periodically checked, recalled, or revised (e.g., to Software System. Use of aging and all other aspects of this
cover such events as password aging). requirement are the responsibility of the customer and should be
defined in customer’s SOPs.
 21 CFR Part 11
section reference 21 CFR Part 11 requirement Technical and procedural controls
11.300(c) Provide that loss management procedures exist to Not applicable. Token access is not used by the system.
electronically deauthorize lost, stolen, missing, or
otherwise potentially compromised tokens, cards,
and other devices that bear or generate ID code
or password information, and to issue temporary
or permanent replacements using suitable,
rigorous controls.
11.300(d) Provide that transaction safeguards exist to Users are locked out for a configurable period of time if incorrect
prevent unauthorized use of passwords and/or ID passwords are entered consecutively. In addition, administrators
codes, and to detect and report any attempts at can be notified or actively monitor the system for failed access
their unauthorized use to the administrator and as attempts.
appropriate, to management.
11.300(e) Initial and periodic testing of devices, such as Not applicable. Token access is not used by the system.
tokens or cards, that bear or generate identification
code or password information, to ensure that they
function properly and have not been altered in an
unauthorized manner.

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