GUIDELINES ON VALIDATION APPENDIX 5 VALIDATION OF .

Working document QAS/16.667/Rev.1page 7 210system acceptance criteria;vendor selection and assessment;computerized system validation steps;configuration management and change control procedures;back-up and recovery;error handling and corrective action;contingency planning and disaster recovery;maintenance and support;system requirement;validation deliverables and documentation; template, formats, annex; 412422432442452462472482493.GLOSSARYThe definitions given below apply to the terms used in these guidelines. They may have differentmeanings in other contexts.archival. Archiving is the process of protecting records from the possibility of beingfurther altered or deleted, and storing these records under the control of independent datamanagement personnel throughout the required retention period. Archived records shouldinclude, for example, associated metadata and electronic signatures.audit trail. The audit trail is a form of metadata that contains information associated withactions that relate to the creation, modification or deletion of GXP records. An audit trailprovides for secure recording of life-cycle details such as creation, additions, deletions oralterations of information in a record, either paper or electronic, without obscuring oroverwriting the original record. An audit trail facilitates the reconstruction of the history of suchevents relating to the record regardless of its medium, including the “who, what, when and why”of the action.For example, in a paper record, an audit trail of a change would be documented via a single-linecross-out that allows the original entry to remain legible and documents the initials of the personmaking the change, the date of the change and the reason for the change, as required tosubstantiate and justify the change. In electronic records, secure, computer-generated, timestamped audit trails should allow for reconstruction of the course of events relating to thecreation, modification and deletion of electronic data. Computer-generated audit trails shouldretain the original entry and document the user identification, the time/date stamp of the action,as well as the reason for the change, as required to substantiate and justify the action. Computergenerated audit trails may include discrete event logs, history files, database queries or reports or

Working document QAS/16.667/Rev.1page 283284285286287288289other mechanisms that display events related to the computerized system, specific electronicrecords or specific data contained within the record.automatic or live update. It is used to bring up to date software and systemfunctionalities in a silent or announced way. More specifically the update takes placeautomatically with or without the user's knowledge.backup. A backup means a copy of one or more electronic files created as an alternativein case the original data or system are lost or become unusable (for example, in the event of asystem crash or corruption of a disk). It is important to note that backup differs from archival inthat back-up copies of electronic records are typically only temporarily stored for the purposes ofdisaster recovery and may be periodically overwritten. Such temporary back-up copies shouldnot be relied upon as an archival mechanism.business continuity plan. A documented plan that defines the ongoing process supportedby management and funded to ensure that the necessary steps are taken to identify the impact ofpotential losses, maintain viable recovery strategies and recovery plans and assure continuity ofservices through personnel training, plan testing and maintenance.cloud based. A model for enabling on-demand network access to a shared pool ofconfigurable computing resources (e.g. networks, servers, storage, applications, and services)that can be rapidly provisioned and released with minimal management effort or service providerinteraction. These computing resources should be appropriately qualified.computerized system. A computerized system collectively controls the performance andexecution of one or more automated processes and/or functions. It includes computer hardware,software, peripheral devices, networks and documentation, e.g. manuals and standard operatingprocedures, as well as personnel interacting with hardware and software.computerized systems validation. Confirmation by examination and provision ofobjective and documented evidence that computerized system’s predetermined specificationsconform to user needs and intended use and that all requirements can be consistently fulfilled.configuration management. A discipline applying technical and administrative directionand surveillance to identify and document the functional and physical characteristics of aconfiguration item, control changes to those characteristics, record and report change processingand implementation status and verifying compliance with specified requirements.COTS. Commercial off-the-shelf software; a vendor-supplied software component of acomputerized system for which the user cannot claim complete software life-cycle control.

Working document QAS/16.667/Rev.1page 323324325326327328329data. All original records and true copies of original records, including source data andmetadata and all subsequent transformations and reports of these data, which are generated orrecorded at the time of the good manufacturing practices (GMP) activity and allow full andcomplete reconstruction and evaluation of the GMP activity. Data should be accurately recordedby permanent means at the time of the activity. Data may be contained in paper records (such asworksheets and logbooks), electronic records and audit trails, photographs, microfilm ormicrofiche, audio- or video-files or any other media whereby information related to GMPactivities is recorded.data integrity. Data integrity is the degree to which data are complete, consistent,accurate, trustworthy and reliable and that these characteristics of the data are maintainedthroughout the data life cycle. The data should be collected and maintained in a secure manner,such that they are attributable, legible, contemporaneously recorded, original or a true copy andaccurate. Assuring data integrity requires appropriate quality and risk management systems,including adherence to sound scientific principles and good documentation practices (5).data life cycle. All phases of the process by which data are created, recorded, processed,reviewed, analyzed and reported, transferred, stored and retrieved and monitored until retirementand disposal. There should be a planned approach to assessing, monitoring and managing thedata and the risks to those data in a manner commensurate with potential impact on patientsafety, product quality and/or the reliability of the decisions made throughout all phases of thedata life cycle.disaster recovery. It is a documented process or set of procedures to recover and protecta business information technology infrastructure in the event of a disaster. It appropriatelydefines resources and actions to be taken before, during and after a disaster.functional specifications. The functional specifications document, if created, definesfunctions and technological solutions that are specified for the computerized system based upontechnical requirements needed to satisfy user requirements (e.g. specified bandwidth required tomeet the user requirement for anticipated system usage).legacy system. It refers to outdated computer system, programming language, applicationsoftware, or process that are used instead of available upgraded versions and are deemed not tofully satisfy current good manufacturing practices requirements.master data. It is a single source of business data used across multiple systems,applications, and processes and subject to change control to ensure accuracy through the data lifecycle.

Working document QAS/16.667/Rev.1page 2363364365366367368369metadata. Metadata are data about data that provide the contextual information requiredto understand those data. These include structural and descriptive metadata. Such data describethe structure, data elements, interrelationships and other characteristics of data. They also permitdata to be attributable to an individual. Metadata necessary to evaluate the meaning of datashould be securely linked to the data and subject to adequate review. For example, in weighing,the number 8 is meaningless without metadata, i.e. the unit, mg. Other examples of metadatainclude the time/date stamp of an activity, the operator identification (ID) of the person whoperformed an activity, the instrument ID used, processing parameters, sequence files, audit trailsand other data required to understand data and reconstruct activities.production environment. For regulated computerized systems, the productionenvironment is the business and computing operating environment in which the computerizedsystem is being used for good manufacturing practices regulated purposes.regression analysis and testing. A documented software verification and validation taskto determine the extent of verification and validation analysis and testing that must be repeatedwhen changes are made to any previously examined software component or system.system life cycle. The period of time that starts when a computerized system is conceivedand ends when the system is retired taking into consideration regulatory requirements. Thesystem life cycle typically includes a requirements and planning phase; a development phase thatincludes: a design phase and a programming and testing phase; a qualification and release phasethat includes: system integration and testing phase; validation phase; release phase; an operationand maintenance phase; and finally a system retirement phase.user acceptance testing. Verification of the fully-configured computerized systeminstalled in the production environment (or in a test environment equivalent to the productionenvironment) to perform as intended in the business process when operated by end-users trainedin end-user standard operating procedures that define system use and control. User-acceptancetesting may be a component of the performance qualification (PQ) or a validation step separatefrom the PQ.user requirements specification. The user requirements specification, if prepared as aseparate document, is a formal document that defines the requirements for use of thecomputerized system in its intended production environment.4.COMPUTERIZED SYSTEM VALIDATION PROTOCOLS AND REPORTS4.1A computerized system needs to be validated according to an approved protocol and final

Working document QAS/16.667/Rev.1page 2403404405406407408409report including results and conclusions prior to routine use.Validation protocol4.2Validation should be executed in accordance with the validation protocol and applicablewritten procedures.4.3 A validation protocol should define the objectives, the validation strategy, includingroles and responsibilities and documentation and activities to be performed. The protocol shouldat least cover the scope, risk management approach, the specification, testing, review and releaseof the computerized system for GMP use.4.4The validation protocol should be tailored to the system type, impact, risks andrequirements applicable to the system for which it governs validation activities.Validation report4.5A validation report should be prepared, summarizing system validation activities.4.6It should make reference to the protocol and outline the validation process, and includean evaluation and conclusion on results. Deviations from the validation protocol and applicablewritten procedures should be described, investigated, assessed and justification for theiracceptance or rejection should be documented.4.7Results should be recorded, reviewed, analyzed and compared against the predeterminedacceptance criteria. All critical and major test discrepancies that occurred during theverification/validation testing, should be investigated and if accepted they should beappropriately justified.4.8 The conclusion of the report should state whether or not the outcome of the validation wasconsidered successful and should make recommendations for future monitoring whereapplicable. The report should be approved after appropriately addressing any issue identifiedduring validation and the system should then be released for GMP use.5.VENDOR MANAGEMENT5.1When third parties (e.g. vendors, service providers) are used, e.g. to provide, install,configure, validate, maintain, modify or retain a computerized system or related service or fordata processing or system components, including cloud-based systems, an evaluation of thevendor-supplied system or service and the vendor’s quality systems should be conducted and

Working document QAS/16.667/Rev.1page 2443444445446recorded. The scope and depth of this evaluation should be based upon risk managementprinciples.5.2The competence and reliability of a vendor are key factors when selecting a productand/or service provider and vendor management is an on-going process that requires periodicassessment and review. Vendor evaluation activities may include but are not limited to:completion of a quality related questionnaire by the vendor; gathering of vendor documentationrelated to system development, testing and maintenance including vendor procedures,specifications, system architecture diagrams, test evidence, release notes and other relevantvendor documentation; an on-site audit of the vendor’s facilities should be conducted to evaluatethe vendor’s system life-cycle control procedures, practices and documentation.5.3A contract should be in place between the manufacturer and the vendor and/or theservice provider defining the roles and responsibilities and quality procedures for both parties,throughout the system life cycle. The contract acceptor should not pass to a third party any ofthe work entrusted to her/him under the contract without the manufacturer’s prior evaluation andapproval of the arrangements.5.REQUIREMENTS SPECIFICATIONS6.1Requirements specifications should be written to document user requirements andfunctional or operational requirements and performance requirements. Requirements may bedocumented in separate user requirements specifications (URS) and functional requirementsspecifications (FRS) documents or in a combined document.User requirements specifications6.2The authorized URS document, or equivalent, should describe the intended uses of theproposed computerized system and should define critical data and data life-cycle controls that willassure consistent and reliable data throughout the processes by which data is created, processed,transmitted, reviewed, reported, retained and retrieved and eventually disposed.6.3The URS should be written in a way to ensure that the data will meet regulatory requirementssuch as the WHO Guidance on good data and record management practices (5).6.4Other aspects that should be specified include, but are not limited to, those related to:447448 449 the data to be entered, processed, reported, stored and retrieved by the system, includingany master data and other data considered to be the most critical to system control and data output;the flow of data including that of the business process(es) in which the system will be

Working document QAS/16.667/Rev.1page 13450451452453 454455456457458459460461 462463464465 466467468469 470 471472473474475476 477 478479480481 482483 484 4854864874886.5used as well as the physical transfer of the data from the system to other systems ornetwork components. Documentation of data flows and data process maps arerecommended to facilitate the assessment and mitigation and control of data integrityrisks across the actual, intended data process(es);networks and operating system environments that support the data flows;how the system interfaces with other systems;the operating program;synchronization and security controls of time/date stamps;controls of both the application software as well as operating systems to assuresystem access only to authorized persons;controls to ensure that data will be attributable to unique individuals (for example, toprohibit use of shared or generic login credentials);controls to ensure that data is legibly and contemporaneously recorded to durable(“permanent”) media at the time of each step and event and controls that enforce thesequencing of each step and event (for example, controls that prevent alteration ofdata in temporary memory in a manner that would not be documented);controls that assure that all steps that create, modify or delete electronic data will berecorded in independent, computer-generated audit trails or other metadata oralternate documents that record the “what” (e.g. original entry), “who” (e.g. useridentification), “when” (e.g. time/date stamp) and “why” (e.g. reason) of the action;backups and the ability to restore the system and data from backups;the ability to archive and retrieve the electronic data in a manner that assures that thearchive copy preserves the full content of the original electronic data set, includingall metadata needed to fully reconstruct the GMP activity. The archive copy shouldalso preserve the meaning of the original electronic data set;input/output checks, including implementation of procedures for the review oforiginal electronic data and metadata, such as audit trails;controls for electronic signatures;alarms and flags that indicate alarm conditions and invalid and altered data in orderto facilitate detection and review of these events;system documentation, includin

Validation of computerized systems,136 is the Appendix 5 of the overarching guidances on 137 validation. 138 139 The following is an overview of the appendices that are intended to complement the general text 140 on validation: 141 142 Appendix 1 143 Valida