VALIDATION OF COMPLEX COMPUTERISED SYSTEMS

復雜計算機化系統(tǒng)的驗證

Note: Mandatory requirements in this guideline and its annexes are defined using the terms ?shall? or ?must?. The use of ?should? indicates a recommendation. For these parts of the text other appropriately justified approaches are acceptable. The term ?can? indicates a possibility or an example with non-binding character.

注：本指南及其附錄的強制要求明確使用“shall”或“must”。使用“should”表示建議。對此，其他適當?shù)暮侠矸椒ㄒ彩强梢越邮艿摹Ｊ褂谩癱an”表示可能或不具約束力的舉例。

1. INTRODUCTION

介紹

This is the 2nd Annex of the core document “Validation of Computerised Systems”, and it should be used in combination with the latter when planning, performing and documenting the validation steps of complex computerised systems Excel spreadsheet validation is described in the 1st Annex of the core document and not subjected here.

此為核心文件《計算機化系統(tǒng)驗證》的第二個附錄，當計劃、執(zhí)行和記錄復雜計算機化系統(tǒng)驗證時，應(yīng)與其一起使用。EXCEL電子表格的驗證見附錄一，本文不適用。

2. USER REQUIREMENTS SPECIFICATIONS (URS)

用戶需求規(guī)范(URS)

The selection and purchase of new software and the associated computer and laboratory equipment should follow a conscious decision-making process based on the requirements for the intended use of the computerised system. A User Requirements Specification (URS) should describe the functional and technical requirements of the computerised system, as defined by the OMCL, in terms of both software and hardware. It should also cover the aspects of information security and

data integrity.

新軟件和相關(guān)計算機和實驗室設(shè)備的選擇和購買應(yīng)遵循基于計算機化系統(tǒng)的既定使用需求的決策程序。用戶需求規(guī)范(URS)應(yīng)描述計算機化系統(tǒng)軟件和硬件的功能和技術(shù)要求。同時，應(yīng)包括信息安全和數(shù)據(jù)可靠性方面的要求。

Some of the items that can be included are:

包括：

a) Description of the software used (e.g. Excel, Access, Oracle), including version;

軟件的描述(如EXCEL、Access、Oracle)，包括版本

b) Requirements on hardware components and operating system;

硬件配件和操作系統(tǒng)的要求

c) Description of functions;

功能的描述

d) Description of the attributes of data;

數(shù)據(jù)屬性的描述

e) Terminology (e.g. important especially for the consistent description of input masks /fields);

專業(yè)術(shù)語

f) Database design, including masks and fields as well as a map of the data relationships;

數(shù)據(jù)庫設(shè)計，包括mask和field以及數(shù)據(jù)關(guān)系圖

g) Specifications of macros, formulas and control commands;

宏指令、公式和控制命令的規(guī)范

h) Specifications of the data inputs (e.g. format, decimal places, units);

數(shù)據(jù)輸入的規(guī)范(如格式、小數(shù)位數(shù)、單位)

i) Specification of the mandatory fields for data;

數(shù)據(jù)必填項目的規(guī)范

j) Specifications of the protection of masks, working sheets or the whole application;

Mask、工作表或整個應(yīng)用的保護

k) Planning of the data migration, if applicable;

數(shù)據(jù)遷移的計劃，如適用

l) Specifications for traceability of data entry and changes (audit trail) of interfaces to other system components, if applicable.

數(shù)據(jù)輸入、修改(審計追蹤)

The URS shall be released by a responsible person. Changes to the requirements are possible but the changes should be traceable and the URS document should be version controlled or an equivalent system established in order to ensure traceability. New or changed requirements should be communicated to all persons involved.

URS應(yīng)由具備相應(yīng)責任的人發(fā)行。用戶需求可以修改但應(yīng)可追溯，用戶需求文件應(yīng)進行版本控制或使用具備同等效力的系統(tǒng)以確保可追溯性。新增或修改用戶需求應(yīng)向所有相關(guān)人員溝通。

3. INSTALLATION QUALIFICATION (IQ)

安裝確認(IQ)

The correct installation of the system in the IT environment with defined hardware and operating software shall be documented and tested. Detailed installation procedures should be available and carried out by well-trained personnel only.

系統(tǒng)硬件和操作軟件在IT環(huán)境的正確安裝應(yīng)被記錄并測試。應(yīng)有詳細的安裝規(guī)程并只能由受良好培訓的人員實施。

Checklists with predefined installation steps and acceptance criteria can ensure the correct installation of the system and the traceable qualification of the installation.

檢查表，包含既定安裝步驟和接受標準可以保證系統(tǒng)的正確安裝和安裝確認的可追溯性。

In most cases, the computerised system is connected to a computer network with interfaces to other software (other applications) and hardware (computer equipment or laboratory equipment). It must be ensured that the system is correctly integrated and that all components are operative.

大多數(shù)情況下，計算機化系統(tǒng)通過界面與計算機網(wǎng)絡(luò)連接到其他軟件(其他應(yīng)用)和硬件(計算機設(shè)備或?qū)嶒炇以O(shè)備)。應(yīng)確保系統(tǒng)正確完整，所有部件可用。

The IQ typically includes:

IQ通常包括：

a) A check of the required system resources both of the server and client, when applicable (e.g. supported operating system, database engine, performance of the processor, free space on the hard disk, memory, access rights for installations);

檢查系統(tǒng)資源，包括服務(wù)器和客戶端，如適用。(如支持的操作系統(tǒng)、數(shù)據(jù)庫引擎、處理器性能、硬盤可用空間、內(nèi)存、訪問權(quán)限)

b) Documentation of the components of the system (as a minimum, a description of the components and version of the relevant components with date of implementation);

系統(tǒng)部件的文件記錄(至少描述部件和版本)

c) List of users or user groups with access to the application, including type of access;

可用訪問應(yīng)用的用戶或用戶組清單，包括訪問類型。

d) Integration test and/or communication test for the interfaces to other systems/equipment.

與其他系統(tǒng)/設(shè)備的接口的連接測試和/或通訊測試

Often the installation is supported by the supplier and the internal IT unit.

通常，安裝由供應(yīng)商和內(nèi)部IT部門支持。

4. OPERATIONAL QUALIFICATION (OQ)

運行確認(OQ)

The proper functioning of the software shall be checked by testing the key functions, e.g. calibration and quantification (internal standards, external standards), peak identification, and calculation of system suitability parameters.

軟件的正常運行應(yīng)通過測試關(guān)鍵功能來檢查，如校準和定量(內(nèi)部標準品，外部標準品)、峰鑒定和系統(tǒng)適應(yīng)性參數(shù)的計算。

Ideally, a raw data set can be used for which the results are known. These raw data sets are often provided by the supplier of the software, are processed by the software and the results are then compared to the expected values.

理論上，可以用一組已知結(jié)果的原始數(shù)據(jù)序列進行測試。這些原始數(shù)據(jù)序列通常由軟件供應(yīng)商提供，通過軟件處理，結(jié)果與預期數(shù)值對比。

If no such data sets are available, example raw data sets can be acquired by running typical samples. The results of the processed raw data sets should be verified by recalculating the key parameters (e.g. calibration curves from peak areas of standards) using standard (e.g., spreadsheet) software.

如果沒有這樣的數(shù)據(jù)序列，可以通過運行典型的樣品來獲取原始數(shù)據(jù)序列。這些原始數(shù)據(jù)序列的結(jié)果應(yīng)使用標準軟件(如電子表格)驗算關(guān)鍵參數(shù)(如標準品的峰面積校正曲線)。

Raw data from the testing of functions affecting the measurement result and its associated measurement uncertainty (input and output data, screenshots) shall be documented within the qualification report.

功能測試的原始數(shù)據(jù)影響測試結(jié)構(gòu)，其相關(guān)測量不確定度(輸入、輸出數(shù)據(jù)，截屏)應(yīng)被記錄于確認報告中。

Operational qualification should be repeated in a risk-based approach after installation of new software modules, new software versions, new service packs, patch updates, or after major changes in the software structure of the computer (e.g. new anti-virus software). A similar approach should be taken for every change in hardware platform or system upgrades.

在安裝新的軟件模塊、新的軟件版本、新的服務(wù)程序包、補丁更新后，或在計算機的軟件結(jié)構(gòu)發(fā)生重大變更后應(yīng)基于風險進行運行再確認。對于每次硬件平臺的變更或系統(tǒng)升級，也應(yīng)采取類似的方法。

5. PERFORMANCE QUALIFICATION (PQ)

性能確認

The aim of the performance qualification is to demonstrate that a computerised system is suitable for its intended purpose in the user’s own environment as defined in the URS. The user requirements shall be tested in the PQ phase to cover the overall business use of the system in the daily routine.

性能確認的目的是證實計算機化系統(tǒng)在用戶自身環(huán)境下符合其URS中定義的用途。應(yīng)在PQ階段測試用戶需求，覆蓋系統(tǒng)日常事務(wù)中的總體業(yè)務(wù)應(yīng)用。

The PQ typically includes:

PQ通常包括：

a) Tests of functions (e.g. with a data set to ensure each feature of the application is tested);

功能測試(如使用數(shù)據(jù)序列確認應(yīng)用軟件的每一個特性)

b) Negative or limit test (e.g. input of values outside the specified range);

負面或邊界測試(如輸入超出規(guī)定范圍的數(shù)值)

c) Test of alarm displays, if applicable (e.g. display of an OOS result);

報警顯示測試，如適用(如OOS結(jié)果展示)

d) Unauthorised input of data and access to the application;

數(shù)據(jù)非授權(quán)輸入和應(yīng)用軟件非授權(quán)訪問

e) Tests of aberrant data (e.g. input of data in the wrong data format);

異常數(shù)據(jù)測試(如輸入錯誤格式數(shù)據(jù))

f) Backup system and restore test;

備份系統(tǒng)和恢復測試

g) Verification of data migration, if applicable;

數(shù)據(jù)遷移確認，如適用

h) Conformity with requirements of data protection, if applicable;

數(shù)據(jù)保護是否符合要求，如適用

i) Black box test as acceptance testing of the whole system.

黑盒測試作為整個系統(tǒng)的可接受性測試

Each test scenario should be traceable to the URS being tested and should describe the expected results, the acceptance criteria and the observed results. Each deviation from the expected results and acceptance criteria must be discussed in the test report. A deviation can either lead to a change in the system and the test being run again or be accepted and documented with an update of the corresponding URS. Raw data from the testing (input and output data, screenshots) shall be documented within the qualification report.

每一個測試均應(yīng)可以追溯至URS并應(yīng)描述預期結(jié)果、接受標準和測試結(jié)果。所有不符合預期結(jié)果和接受標準的偏差均應(yīng)在測試報告中論述。偏差可能引起系統(tǒng)變更并重新測試，也可能判定可接受并記錄，更新相應(yīng)的URS。應(yīng)在確認報告中記錄測試的原始數(shù)據(jù)(輸入、輸出數(shù)據(jù)，截屏)。

6. RELEASE FOR USE

放行使用

A summary of all the test findings shall be presented in a validation report, including any deviation and the corrective actions taken. When all deviations are resolved or accepted, a formal release of the system is issued.

驗證報告應(yīng)總結(jié)所有測試的結(jié)果，包括所有偏差和采取的糾正措施。當所有偏差均得到解決或接受后，系統(tǒng)才可以正式放行。

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