计算机系统验证专项方案.doc

Computerised System Validation计算机系统验证质量保证部QADept.部门： Date/日Effective DateMonth/月Year/年生效日期： Confidential Level机密级别： Top-secret 绝密 Confidential 机密 Cryptical 秘密 Distribution List:分发清单：QA部、QC部、OSP固体制剂部、Lo.物控部、EN工程部、TD技术部、EQ设备部Role 负责人Draft 起草人Review 审核人Review 审核人Review 审核人Review 审核人Review 审核人Review 审核人Approve 批准人Dept. 部门QAQCOSPLo. ENTDEQQDName姓名Signature签名Date日期1Objective 目Test and assessment should be taken for URS，design，purchase，installation，function，as well as process adaptability of computerized and PLC control system related to GMP in compliance with this SOP so as to ensure that computerized and PLC are fit for design requirement and stated technical criteria and are able to work stably for a long time.测试、评估采用URS、设计、采购、安装、功能以及计算机控制和PLC控制系统符合GMP，以保证计算机和PLC符合设计规定和工艺规定并且可以稳定工作很长时间。2Scope范畴This SOP is fit for the validation management of computerized and PLC control system related to GMP，which apply to material control and management，laboratory equipment control and communication management，manufacturing process control，and utilities control. 本SOP合用于电脑,PLC控制系统管理与否符合GMP,物料控制和管理,实验设备控制和通信管理、生产过程控制、公用设施控制验证。3Responsibilities 职责QA is responsible for drafting，revising，reviewing，training，implementing and supervising this SOP.QA负责起草、修订、审核、培训、实行和监督本SOP。The quality director is responsible for approving this SOP.质量副总负责批准本SOP。Relevant departments are responsible for reviewing and implementing this SOP。有关部门负责审核和实行本SOP。4Definitions定义Computerized or PLC control system：It composed of hardware， system software，applications，and relevant peripheral devices is a system that can implement a function and a set of functions.无论是计算机化还是PLC控制系统:都是由硬件、系统软件、应用、及有关周边设备构成一种系统,可以实现某一功能和一套功能。Source code：It is source program of computer whose format( program language) can be read by operator，before computer execution，it should be translate to machine language whose format can be executed by computer.源代码:它是计算机源程序(程序语言),可以在电脑执行前被计算机辨认,它应当被翻译成可以被计算机辨认机器语言。5Procedures 程序5.15.1.15.1.2Organization of Validation team and responsibility验证机构及责任Validation team is composed of supplier，QA，Equipment Department，use department.验证团队由供应商,QA、工程设备部和使用部门构成。Implementation department responsibility of system validation 系统验证明行部门职责l Use department：Responsible for providing written URS，preparing validation protocol and report，implementing approved IQ and OQ protocol，completing final report and participating validation deviation investigation and alteration review.l 使用部门:负责提供书面URS,准备验证方案和报告、实行批准IQ,OQ合同,完毕最后报告偏差并参加调查及变更验证审核。l Equipment Department：Responsible for cooperating with use department to prepare URS and validation protocol，receiving system，installing system and implementing IQ，guiding use department on IQ and OQ process and participating validation deviation investigation and alteration review. l 设备部门:负责准备使用部门合伙合同,并确认你接受系统,安装系统,实行IQ,指引使用部门关于IQ和OQ验证过程和参加验证偏差调查和变更回顾。l QA：Responsible for reviewing validation draft and final report，implementing validation protocol，participating validation deviation investigation and alteration approval and archiving validation protocol and report. QA:负责审查验证,也是最后一项报告草案、实行验证方案,参加调查及变更验证偏差批准验证方案和归档,并做好报告。5.2System classification系统分级5.2.1Before validation，evaluation and classification should be carried out for system so as to insure that different grade validation should be provided for different type computerized and PLC control system. Classification as follows:在验证之前,评估和分级应当进行系统分类,以保证不同级别验证需提供不同类型计算机化,PLC控制系统,分类如下:Classification分类Description描述Validation method验证办法Operating system，network网络操作系统,Established network and operating system for commerce. E.g. DOSWindows 95/98NT.已做好网络和操作系统例如:DOS Windows 95/98NT.Validate name and edition number确认名称及版本号Standard device，microcontroller，sensitive equipment原则配备,微控制器,敏捷电气设备These system is designed by non-consumer for driving firmware which can be installed in special integrate circuit (IC) for application，read only memory (ROM)，random access memory (RAM)，PLC sometimes，such as bar code modem，single-cycle controller，filling device，Checkweigher， temperature controller etc.这些系统是依照顾客可以安装在特殊集成电路(IC)驱动固件,只读存储器(ROM)、随机存取存储器(RAM)、PLC,例如条形码调制解调器,single-cycle控制器、灌装设备,重量控制、温度控制器等来设计。Validate construction and configuration确认构造及配备Standard package原则程序包Ready-made package for commerce，such as multiplan software，standard chemical analysis software etc.现成软件包,例如多筹划软件,原则化学分析软件等。Validate application process验证应用过程Configurable package可配备程序包Users develop their own application throughpre-definite software modules and developing application modules can be carried out in this system，such as man-machine dialogue port，management control，data acquisition system，adaptive control system for laboratory，information management system for laboratory，material requirement planning system，data processing system for system/ application and product， part PLC etc.顾客自己开发应用可通过pre-definite软件模块和发展应用模块都可以在这个系统中运营,采用人机对话端口,管理控制,数据采集系统,自适应控制系统,信息管理系统,原材料需求筹划系统、数据解决系统和产品、系统应用某些可编程序控制器(PLC)等。Audit supplier and validate application process and some pre-established codeSystem developed within firm公司内部系统开发Modifying or developing system in compliance with requirement of himself修改或开发符合自己规定系统Implement all validation processes of computerized and PLC control system实行计算机及PLC控制系统验证全过程5.2.2Some computerized and PLC control system with complex construction should be classified in accordance with developing degree of each module. 某些计算机化和PLC控制系统复杂限度应当跟各分类模块开发限度相一致。5.2.3Validation of computerized and PLC control system should be carried out not only for use process of system，e.g. validation of new system should be carried out not only for initial definition and designing phase but also whole life cycle of system development.计算机验证,PLC控制系统不但体当前系统使用过程,如新系统验证不但在初始定义和设计阶段进行,并且贯穿于所有生命周期体系发展。5.3Validation implementation验证明行5.3.1URSURS should be prepared by system user and project expert detailed with fundamental requirement，expectation and performance index of new/changed computerized and PLC control system，which will be use to determine system designing criteria. Content as follow:URS应当为系统顾客和项目专家准备基本规定详细,预期和新性能指标、改计算机化和PLC控制系统,可以用来决定系统设计原则。内容如下:5.3.1.1System description：what to do about system，how connection and interaction between different module， control methods (e.g. logic control，separation control，interlock control，alarm control，location control，temperature control，pressure control，time control，counting and other multipolar control)，implementing process， ports and safety requirement for operator.系统描述:系统做到什么限度,如何关联不同模块、控制办法(例如:逻辑控制、分离控制,连锁控制、报警控制、位置控制,温度控制,压力控制、时间控制、计数和其她多级控制)、实行流程、操作员端口和安全原则。5.3.1.2Physical requirement：include sufficient space，location，peripheral environment，etc.物理规定:涉及有足够空间,位置,周边环境等。5.3.1.3Document criteria for hardware：include chart paper，schematic chart，hand book， spare parts list etc.硬件文献原则:涉及:图纸,原理图,操作指南,备件清单等。5.3.1.4Document criteria for software：include program number and revising number，output program and detailed explanation，reproduction of software provision and retention condition，system block drawing and configuration list. 软件文献原则:涉及程序编号和修改编号,输出接口程序和详细阐明、软件追加和保存条件、系统分程序图纸和配备清单。5.3.1.5Test requirement：test items and record required to be carried out on system developing process，including module separated test and integrated test.测试规定:测试项目和记录必要在系统发展过程中进行,涉及模块测试和集成分离测试。5.3.1.6 Other requirement to supplier：such as finished system validation，quality control and change control on developing process，etc. 对供应商其她规定:如在发展进程中完毕系统验证、质量控制和变更控制等。5.3.2System design系统设计5.3.2.1System design should compose of system configurable chart design，hardware design，and software design. After document of system design reviewed and approved by consumer which should be prepared by supplier，system configurable chart design should be carried out，including system PID (process and instrument)，I/O (input/output) connection diagram，control element pareto diagram.系统设计应当由系统配备图、硬件设计和软件设计构成。在供应商准备系统设计被顾客评估和检查后，可配备系统图纸设计应当完毕,涉及系统PID，I/O (输入/输出)连接图、连接原理帕累托图。5.3.2.2Hardware design：include all I/O (input/output) connection template and type，CPU selection，communication template，man-machine Interface controller，screen viewer selection，medium relay，memory，printer，auxiliary power unit，electronic element/wire/cable，other elements etc.硬件设计:涉及所有I/O (输入/输出)连接模板和类型,CPU选型,通信模板、人机界面控制器,屏幕查看选取、中继电器、记忆存储器、打印机、辅助动力装置,电子部件/电线/电缆、其她元件等。5.3.2.3Software：include system software，application，and data.软件:涉及系统软件、应用和数据。5.3.3IQIQ should be carried out to ensure that system installation is fit for design criteria and needed technical data should be completely provided. Special content as follow:IQ应当保证该系统安装符合设计原则和工艺需求，数据完全提供。特殊内容如下:5.3.3.1Document qualification should consist of consumer technical guide，SOP，training plan，post-sale service agreement，equipment inventory，security program，hardware qualification，software qualification，source code，instrument list，instrument calibration procedure，PID，control loop diagram，I/O (input/output) device list and connection diagram，spare parts list，and maintenance procedure. 文献确认应当由顾客工艺规定、SOP,培训筹划,售后服务合同、设备库存,安全程序、硬件阐明,软件阐明,源代码、仪器清单、仪器校准程序、PID、控制回路图,I/O(输入/输出设备清单和连接图,备件清单和维护规程。5.3.3.2Installation process qualification：qualify that installation is fit for requirement PID and operating manual.安装过程阐明:安装符合PID和操作手册规定。5.3.3.3Circumstance and utilities qualification事件和实用程序阐明(1) Qualify and record circumstance of system installation，such as clean level，radiofrequency/electromagnetic interference，physical protection，temperature，humility，sound，lighting，etc.系统安装环境检查和记录:例如干净水平、射频/电磁干扰、物理保护、温度、湿度、声音、照明等。(2) Record condition of critical utilities and qualify that critical nature of utilities should be fit for instruction including fire alarm announcement/prevention，cooling system，electric power and its adjustment，continuous power supply，wide area network connection，local area network connection，disaster recovery，telephone figure/ analog，etc.记录核心设施以及条件，鉴定公共设施应当跟阐明一致:涉及消防报警公示/防止系统、冷却系统、电力及调节,持续供电、大面积网络连接,本地区域网络连接,劫难恢复、电话图形/模仿等(3) Qualify that record system is fit for requirement of man-machine engineer. 条件和记录系统符合人控机工程师规定。5.3.3.4System test and qualification 系统测试、条件(1) The first step to do is to qualify that report items of FAT (factory acceptance test) should be completely supplied by supplier and fit for design criteria.第一步要做是,报告项目FAT验收测试应当完全由供应商提供,合用于设计原则。(2) Necessary test should be carried out for system on operational circumstance. Essential content as follow:应当对系统运营状况开展必要测试。基本内容如下:5.3.4l All instruments and meters should be calibrated and on expire day of calibration. Calibration should be fit for definite criteria and corresponding certification should be provided.所有仪器仪表应当被校准和标注过期日，校准应当有明确原则及应提供相应检查证件。l I/O (input/output) signal test should be carried out so as to ensure that single can transmit from control system to device and return.I/O (输入/输出)信号实验应保证信号可以在控制系统设备间进行传播和反馈。l Data acquisition and transmission and signal memory test 数据采集,传送和信号记忆测试l Other tests l其她测试OQ (operation qualification)运营确认The purpose of OQ is that all function tests should be carried out on operational circumstance so as to ensure that system and operation should be fit for design criteria. Content as follow；OQ目是进行所有功能运营状况方面测试以保证系统和运营符合设计原则，内容如下：5.3.4.1Test for system security：“worst case” of all logic systems should be tested，e.g. use authority of different persons should be tested so as to identify that operation unauthorized should be forbidden.测试系统安全:“最坏状况”系统逻辑应当进行测试,如使用不同权限以便确认未经授权运营与否被禁止。5.3.4.2Various processes control function tests required by system request：“ worst case “ ( e.g. maximum communication load，process of considerable data document，etc.) test for all function of system and decision routines should be carried out in accordance with various requirements and criteria supplied by system definition. (It is important that a functional diagram including all branch routines should be provided. )依照系统规定进行各种各样过程控制功能测试:“最坏状况”(例如最大通信承载、过程相称大数据文献等)实验检查系统和决策程序功能,应依照系统不同规定和原则提供定义。(提供功能图表涉及所有浮现偏差是非常重要。)5.3.4.3Test for alarm and interlock：efficacy of corresponding program should be tested on the condition of alarm and interlock for system in accordance with system operation manual.检测报警及连锁:程序连锁应依照报警条件及系统连锁操作手册进行测试。5.3.4.4Test for timer and sequencer：establish time and program of system generating corresponding function according to system operation manual so as to validate efficacy of system timing or ordering program. 定期器和定序器测试：依照系统操作手册设立时间和系统产生相应功能以确认系统有效时间或程序命令5.3.4.5Test for data disposal and memory测试数据解决和记忆(1) Qualify correct data memory，collection and search of systems own.对的数据记忆,精确数据采集和系统自我搜索确认。(2) Qualify disposal of data output length，carry and empty数据解决输出长度、承载和空载确认(3) Qualify the function of saving data to corresponding folder.数据保存到相应文献夹功能确认。Test for shutdown/ recovery关机/恢复测试5.3.4.6(1) Check condition of the data acquisition before and after shutdown so as to ensure that data have not been damaged or lost.在系统关闭之前和之后检查数据采集状况,保证数据没有损坏或丢失。(2)Check the function of backup power supply，uninterruptible power supply，power adjuster and power generator. 检查备用电源供应、不间断电源供应器、电力调节器和电力发电机。(3)System breakdowns or failures should be made in accordance with system operation manual so as to ensure that back-up system should be provided.系统故障和失败时候,可以依照系统操作手册提供系统备份。Other function test其她功能测试5.3.4.7Performance qualification (PQ)性能确认5.3.5The purpose of PQ is that qualify the efficacy and stability of running process on operational circumstance. Test items should be established in accordance with achieving desired result and duplicate qualification should be also carried out.PQ目是确认系统运营过程中有效性和稳定性方面状况。测试项目应拟定跟盼望达到成果相一致、二次确认也应当执行。If system is part of production，laboratory or utilities，PQ of system should be completed conformity with PQ of equipment (utilities).如果系统是生产,实验室或公共设施系统一某些,系统PQ必要依照设备PQ进行完整性测试。5.3.5.1If a manual system is being replaced by computerized and PLC control system，the two should be run in parallel.当一种人工系统被电脑,PLC控制系统取代时,两者需要平行运营。5.3.5.2Regarding to production equipment，the test for product specification，such as assay，test for packaging specification，etc，should be carried out so as to ensure that the all process control functions are effective. Tests should be carried out for at least 3 consecutive batches