cloud and saas in gxp 2020 01 14 - validation...
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Cloud and SaaS in GxP
By Praxis Life Sciencesa division of Treximo
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Cloud and SaaS in GxP
© Copyright 2020 by Praxis Life Sciences. All rights reserved. No part of these materials may be reproduced or transmitted in any form without the written permission of Praxis
v.20.01
Your Praxis Facilitator
Validation Center™ 2
• Debra Bartel, MBA, CQA, PMP
• VP, Life Sciences
• 30 years experience specializing in software quality assurance, validation and regulatory compliance, Information Systems project management, and process design
• Prior to joining Praxis, held management positions in the pharmaceutical industry in both Quality Assurance and Information Systems organizations
• Active member of American Society for Quality (ASQ), Northeastern Illinois Section, Software Division
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Intro to Praxis Life Sciences
Validation Center™ 3
Follow us!
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Target Audience
Validation Center™ 4
• Pharmaceutical & Biologics• Medical Device• Clinical Studies• Blood Products
Industries
• Operating in the US
• Selling to the US MarketRegions
• IT Personnel and Managers
• Quality Personnel and Managers
• Auditors and Audit ManagersRoles
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Webinar Outline
Validation Center™ 5
• Terminology and Definitions1
• Benefits, Risks, and Trends2
• Regulatory Requirements3
• Changed Responsibilities4
• Supplier Audits and Assessments5
• Key Take Aways6
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Terminology andDefinitions
Part 1
Validation Center™ 6
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Part 1: Terminology & Definitions
Validation Center™ 7
• Section Overview• GxP
• GLP = Good Laboratory Practice
• GCP = Good Clinical Practice
• GMP = Good Manufacturing Practice
• GDP = Good Distribution Practice
• “Cloud” Terminology• “as a Service” Terminology• SLAs
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“Cloud” Terminology
Validation Center™ 8
Shared computing resources • Software applications• Computing power• Storage space• Networks• Software development and deployment platforms
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Public Cloud
Validation Center™ 9
Shared computing resources • Software applications• Computing power• Storage space• Networks• Software development and deployment platforms
Pharma Distributor
Blood Supply
Medical Device Maker
Auto Maker
Medical Research Lab
Gas Station ChainRestaurant
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Community Cloud
Validation Center™ 10
Shared computing resources • Software applications• Computing power• Storage space• Networks• Software development and deployment platforms
Pharma Distributor
Blood Supply
Medical Device Maker
Medical Research Lab
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Private Cloud
Validation Center™ 11
Company X
External Private Cloud
Company X
Internal Private Cloud© 2020 Praxis Life Sciences
a division of Treximo
Hybrid Cloud
Validation Center™ 12
Company XCompany X
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Validation Center™ 13
“as a Service” Terminology
Software as a Service
Platform as a Service
Infrastructure as a Service
SaaS
PaaS
IaaS
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Traditional IT Model
Validation Center™ 14
ApplicationsApplications Company DataCompany Data
VirtualizationVirtualization
Storage SpaceStorage Space
RuntimeProgramsRuntime
Programs
NetworkingNetworking
Operating SystemOperating System
Computer HardwareComputer Hardware
MiddlewareMiddlewareManaged by Regulated Company
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Infrastructure as a Service (IaaS)
Validation Center™ 15
ApplicationsApplications Company DataCompany Data
VirtualizationVirtualization
Storage SpaceStorage Space
RuntimeProgramsRuntime
Programs
NetworkingNetworking
Operating SystemOperating System
Computer HardwareComputer Hardware
MiddlewareMiddleware
Managed by Regulated Company
Managed by Vendor
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Platform as a Service (PaaS)
Validation Center™ 16
ApplicationsApplications Company DataCompany Data
VirtualizationVirtualization
Storage SpaceStorage Space
RuntimeProgramsRuntime
Programs
NetworkingNetworking
Operating SystemOperating System
Computer HardwareComputer Hardware
MiddlewareMiddleware
Managed by Regulated Company
Managed by Vendor
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Software as a Service (SaaS)
Validation Center™ 17
ApplicationsApplications Company DataCompany Data
VirtualizationVirtualization
Storage SpaceStorage Space
RuntimeProgramsRuntime
Programs
NetworkingNetworking
Operating SystemOperating System
Computer HardwareComputer Hardware
MiddlewareMiddleware
Managed by Vendor
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Validation Center™ 18
Service Level Agreement (SLA)
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Benefits, Risks and Trends
Part 2
Validation Center™ 19
Part 2: Benefits, Risks, and Trends
Validation Center™ 20
• Section Overview• Adoption Trends• Benefits of Cloud and SaaS Deployments• Risks of Cloud and SaaS Deployments
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Trends
Validation Center™ 21
•“The fastest‐growing segment of the market is cloud system infrastructure services (IaaS), which is forecast to grow 35.9% in 2018 to reach $40.8 billion.”
1
• “Within the platform as a service (PaaS), category, the fastest‐growing segment is database platform as a service, expected to reach almost $10 billion by 2021 .”
2
• “Software as a service (SaaS) remains the largest segment of the cloud market, with revenue expected to grow 22.2% to reach $73.6 billion in 2018.”
• “Gartner expects SaaS to reach 45% of total application software spending by 2021.”
3
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Validation Center™ 22
Trends
• ‐‐ Article ‐‐ Headed to the Cloud, November 2016
• “Forrester Research calculates that 43 percent of businesses worldwide are currently moving their legacy ERP systems to the cloud or plan to do so within the next two years. Customer experience, ease of use, and high value are becoming more important in the dynamic and competitive ERP landscape”
1
• ‐‐ Article ‐‐ Why This is the Year of the Cloud, November 2017
• “Gartner projects that 50 percent of IT spending will occur outside the IT department by 2020, rising from 17 percent today.“
2
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Validation Center™ 23
Trends
•“The analysis of more than 135,000 organizations indicates that global cloud adoption has topped 81% – a 37% increase since 2016, and a 238% increase since 2014.”
1
• “Office 365 usage has grown from 34.3% in 2016 to 56.3%.”2
• “Amazon Web Services (AWS) has emerged as the go‐to infrastructure as a service (IaaS) solution. 13.8% of companies worldwide are using AWS with the technology industry leading the way at 21.5% adoption.”
3
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Validation Center™ 24
Benefits
Space
Expertise
Scalability Elasticity
Price
Staffing
UpgradesMaintenance
Start Up Time
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Validation Center™ 25
Risks
Security Privacy
Support
Availability
Vendor Longevity
Change Control
Data Mobility
RegulatoryCompliance
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Regulatory Requirements
Part 3
Validation Center™ 26
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Part 3: Regulatory Requirements
Validation Center™ 27
• Section Overview• Software Requiring Validation• Regulatory Expectations for purchased systems
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CSV Regulatory Requirements
Validation Center™ 28
Computer System Validation is require for companies that …
Activities Design
Develop
Conduct clinical trials
Manufacture
Package
Label
Store
Distribute
Install
Service
Products Pharmaceuticals
Biologicals
Medical Devices
Blood and Blood Components
Human Cell and Tissue Products
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What Software Requires Validation?
Validation Center™ 29
What Types of Computer
Systems and Software Require
Validation?
What Types of Computer
Systems and Software Require
Validation?
Medical Device Software• Software used as a component, part, or accessory
of a medical device• Software that is itself a medical device
Medical Device Software• Software used as a component, part, or accessory
of a medical device• Software that is itself a medical device
Sources: General Principles of Software Validation: Final Guidance for Industry and FDA StaffGuidance for Industry Part 11, Electronic Records; Electronic Signatures — Scope and Application
© 2020 Praxis Life Sciencesa division of Treximo
Examples: Medical Device Software
Validation Center™ 30
Medical Device SoftwareSoftware used as a component, part, or accessory of a medical device.
And, software that is itself a medical device.
Medical Device SoftwareSoftware used as a component, part, or accessory of a medical device.
And, software that is itself a medical device.
Patient Monitoring Software
Infusion Pump Software
Robotic Surgery Software
Wheelchair and Scooter Software
Laboratory Diagnostics
Software
Hospital Bed Software
Injury Treatment Machine Software
Heart Arrhythmia Detection Software
Radiation Treatment Control
Software
Blood Donor Management
Software
Medical Imaging System Software
Blood Supply Management
Software
Laser Treatment Software
Defibrillator Software
Pacemaker Software
Oxygen Regulating Software
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What Software Requires Validation?
Validation Center™ 31
What Types of Computer
Systems and Software Require
Validation?
What Types of Computer
Systems and Software Require
Validation?
Medical Device Software• Software used as a component, part, or accessory
of a medical device• Software that is itself a medical device
Medical Device Software• Software used as a component, part, or accessory
of a medical device• Software that is itself a medical device
Production Software• Software used in the production of the FDA
regulated product
Production Software• Software used in the production of the FDA
regulated product
Sources: General Principles of Software Validation: Final Guidance for Industry and FDA StaffGuidance for Industry Part 11, Electronic Records; Electronic Signatures — Scope and Application
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Examples: Production Software
Validation Center™ 32
Production SoftwareSoftware used in the production of the FDA regulated product
Production SoftwareSoftware used in the production of the FDA regulated product
Laboratory Management
Software
Laboratory Instrument Software
Laboratory Calculations (e.g.,
spreadsheets)
Labeling SoftwareBuilding
Management Systems
Product Testing Software
Product/Part Inspection Software
Batch Release Software
Production MonitoringSoftware
Programmable Logic Controllers
(PLCs)
Computer Numerical
Controls (CNCs)
Manufacturing Automation
Software
Material Control Software
Bill of Material Software
Yield CalculationsWork Order
Management Software
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What Software Requires Validation?
Validation Center™ 33
What Types of Computer
Systems and Software Require
Validation?
What Types of Computer
Systems and Software Require
Validation?
Medical Device Software• Software used as a component, part, or accessory
of a medical device• Software that is itself a medical device
Medical Device Software• Software used as a component, part, or accessory
of a medical device• Software that is itself a medical device
Production Software• Software used in the production of the FDA
regulated product
Production Software• Software used in the production of the FDA
regulated product
Quality Management Software• Software used to implement the FDA-required
quality management system
Quality Management Software• Software used to implement the FDA-required
quality management system
Sources: General Principles of Software Validation: Final Guidance for Industry and FDA StaffGuidance for Industry Part 11, Electronic Records; Electronic Signatures — Scope and Application
© 2020 Praxis Life Sciencesa division of Treximo
Examples: Quality Management Systems
Validation Center™ 34
Preventive Maintenance Management
Inventory Control Software
(e.g., ERPs)
Document Management
Software
Calibration Software
CAPASoftware
ComplaintsSoftware
Non-Conformance Tracking Software
Deviation TrackingSoftware
Internal Audit TrackingSoftware
Change ControlSoftware
Device HistorySoftware
Specification Management
Software
Product Recall Management
Software
Product Returns Management
Software
Specification Setting Software
Quality Trending Software
Quality Management SoftwareSoftware used to implement the FDA-required quality management system
Quality Management SoftwareSoftware used to implement the FDA-required quality management system
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What Software Requires Validation?
Validation Center™ 35
What Types of Computer
Systems and Software Require
Validation?
What Types of Computer
Systems and Software Require
Validation?
Medical Device Software• Software used as a component, part, or accessory
of a medical device• Software that is itself a medical device
Medical Device Software• Software used as a component, part, or accessory
of a medical device• Software that is itself a medical device
Sources: General Principles of Software Validation: Final Guidance for Industry and FDA StaffGuidance for Industry Part 11, Electronic Records; Electronic Signatures — Scope and Application
Production Software• Software used in the production of the FDA
regulated product
Production Software• Software used in the production of the FDA
regulated product
Quality Management Software• Software used to implement the FDA-required
quality management system
Quality Management Software• Software used to implement the FDA-required
quality management system
Software for FDA-Regulated Records• Software used to create, modify, maintain, archive,
retrieve, or transmit FDA-required records. And electronic records submitted, per FDA requirement.
Software for FDA-Regulated Records• Software used to create, modify, maintain, archive,
retrieve, or transmit FDA-required records. And electronic records submitted, per FDA requirement.
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Examples: Records Software
Validation Center™ 36
Adverse Event Reporting Software
Service Records Software
DistributionRecords
Electronic Submissions
Software
Clinical Trial Records Software
Prescription Order Fulfilment Software
Warehouse Management
Software
IRB Records Software
Organ / Tissue Donor Records
Call Center Records Software
Training Records Software
Learning Management
Software
Supplier Approval Records
Validation Records
Software for FDA-Regulated RecordsAny software used to create, modify, maintain, archive, retrieve, or transmit
FDA-required records. And, electronic records submitted, per FDA requirement.
Software for FDA-Regulated RecordsAny software used to create, modify, maintain, archive, retrieve, or transmit
FDA-required records. And, electronic records submitted, per FDA requirement.
MDR Reporting Software
Product Rework Records
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Overall Responsibility
Validation Center™ 37
The … manufacturer is responsible for ensuring that the product development methodologies used by the OTS (off‐the‐shelf) software developer are
appropriate and sufficient for the device manufacturer’s intended use of that OTS software
FDA, General Principles of Software Validation
The regulated company has overall responsibility
for the system
1Although much of the
software validation may be accomplished by outside firms, such as computer or software vendors, the
ultimate responsibility for program suitability rests with the pharmaceutical
manufacturer.
FDA, ORA Guide to Inspection of Computerized Systems in Drug Processing
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Validation Scope
Validation Center™ 38
For example, a device manufacturer who chooses not to use all the vendor‐supplied capabilities of the software only needs to validate those functions that will be used and for
which the device manufacturer is dependent upon the software results as part of production or the
quality system
FDA, General Principles of Software Validation
Validation scope can be limited to the features that will be
used by the regulated company
2
The device manufacturer retains the ultimate responsibility for ensuring that the production and
quality system software:∙ is validated according to a written procedure for
the particular intended use; and∙ will perform as intended in the chosen application.
FDA, General Principles of Software Validation
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Intended Use
Validation Center™ 39
The acceptance of vendor‐supplied validation data in
isolation of system configuration and intended use is not acceptable. In
isolation from the intended process or end user IT infrastructure, vendor
testing is likely to be limited to functional verification only, and may not fulfil the
requirements for performance qualification.
MHRA, GMP Data Integrity Definitions and Guidance
Validation must be specific to the regulated company’s planned and documented use of the
application
3
All production and/or quality system software, even if purchased off‐the‐shelf, should have
(a) documented requirements that fully define its intended use, and
(b) Information against which testing results and other evidence can be compared, to show that the software is validated for its intended use.
FDA, General Principles of Software Validation
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Vendor Assessment
Validation Center™ 40
Each manufacturer shall … ensure that all purchased … services conform to specified
requirements.
Each manufacturer shall evaluate and select potential suppliers, contractors, and consultants on the basis of
their ability to meet specified requirements, including quality requirements.
The evaluation shall be documented.
FDA 21 CFR 820 Quality System Regulation
The regulated company needs a documented assessment of
vendor suitability
4
The regulated user should take all reasonable steps to ensure that the system has been developed in
accordance with an appropriate quality management system.
The supplier should be assessed appropriately.
Eudralex Annex 11, Computerised Systems
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Vendor Audits
Validation Center™ 41
… depending upon the … risk involved, the … manufacturer should consider auditing the
vendor’s design and development methodologies used in the construction of
the OTS software.
The audit should demonstrate that the
vendor’s procedures for and results of the verification and
validation activities performed the OTS software are appropriate and sufficient
…
FDA, General Principles of Software Validation
For critical risk level systems, the regulated company may need to audit the vendors
5
The need for an audit should be based on a risk assessment.
Quality system and audit information relating to suppliers or developers of software and
implemented systems should be made available to inspectors on request.
Eudralex Annex 11, Computerised Systems
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Less Testing
Validation Center™ 42
Records of software validation should be maintained by the drug establishment, although when conducted by outside
experts such records need not be voluminous but rather
complete enough (including protocols and general results) to allow the drug manufacturer
to assess the adequacy of the validation.
Mere vendor certification of software suitability is
inadequate.
FDA, ORA Guide to Inspection of Computerized Systems in
Drug Processing
Less validation testing is needed for systems from
qualified vendors
6
Commercially available software that has been qualified does not require the same level of testing
ICH Q7A Good Manufacturing Practice Guide for Active Pharmaceutical Ingredients
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Vendor Documentation
Validation Center™ 43
If the vendor can provide information about their system requirements, software requirements,
validation process, and the results of their validation,
the medical device manufacturer can use that information as a beginning point for their required
validation documentation.
FDA, General Principles of Software Validation
Vendor documentation can be used as the starting point for
validation
7
Documentation supplied with commercial off‐the‐shelf products should be reviewed by regulated users to check that user requirements are fulfilled
Eudralex Annex 11, Computerised Systems
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Formal Agreements
Validation Center™ 44
When third parties are used e.g. to provide, install,
configure, integrate, validate, maintain (e.g. via remote access), modify or retain a computerised system or related service or for data
processing, formal agreements must exist between the
manufacturer and any third parties, and these agreements
should include clear statements of the
responsibilities of the third party.
Eudralex Annex 11, Computerised Systems
Formal agreements are required to document
responsibilities
8
Purchasing documents shall include, where possible, an agreement that the suppliers, contractors, and consultants agree to notify the manufacturer of
changes in the product or service so that manufacturers may determine whether the changes
may affect the quality of a finished device.
FDA 21 CFR 820 Quality System Regulation
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Responsibilities
Part 4
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Part 4: Responsibilities
Validation Center™ 47
• Section Overview• Quality Management Processes• Computer System Validation• Part 11 Compliance• SLAs
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Validation Center™ 48
Quality Management Procedures
User TrainingUser TrainingUser Management
User Management
Application UseApplication Use
Record Retention
Record Retention
Audit Trail Review
Audit Trail Review
Business ContinuityBusiness Continuity
Issue Management
Issue Management
Supplier Qualification
Supplier Qualification
Validation / Quality Assurance
Validation / Quality Assurance
Disaster RecoveryDisaster Recovery
Defect TrackingDefect TrackingData Center Security
Data Center Security
Back-Up & Restore
Back-Up & Restore
Performance Monitoring
Performance Monitoring
System Maintenance
System Maintenance
Code ReviewCode ReviewDesign ReviewDesign ReviewSoftware Dev.
Life CycleSoftware Dev.
Life Cycle
Businessand User
Procedures
QualityAssuranceProcedures
TechnicalProcedures
Risk Assessment & Mitigation
Risk Assessment & Mitigation
Change Management
Change Management
Periodic Validation Review
Periodic Validation Review
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Validation Center™ 49
Procedures: Traditional IT Model
Procedures Owned
by Regulated Company
User TrainingUser TrainingUser Management
User Management
Application UseApplication Use
Record Retention
Record Retention
Audit Trail Review
Audit Trail Review
Business ContinuityBusiness Continuity
Issue Management
Issue Management
Supplier Qualification
Supplier Qualification
Validation / Quality Assurance
Validation / Quality Assurance
Disaster RecoveryDisaster Recovery
Defect TrackingDefect TrackingData Center Security
Data Center Security
Back-Up & Restore
Back-Up & Restore
Performance Monitoring
Performance Monitoring
System Maintenance
System Maintenance
Code ReviewCode ReviewDesign ReviewDesign ReviewSoftware Dev.
Life CycleSoftware Dev.
Life Cycle
Businessand User
Procedures
QualityAssuranceProcedures
TechnicalProcedures
Risk Assessment & Mitigation
Risk Assessment & Mitigation
Change Management
Change Management
Periodic Validation Review
Periodic Validation Review
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Change Management
Issue Management
Supplier Qualification
Validation / Quality Assurance
Validation Center™ 50
Procedures: SaaS Model
Procedures Owned
by Regulated Company
User TrainingUser TrainingUser Management
User Management
Application UseApplication Use
Record Retention
Record Retention
Audit Trail Review
Audit Trail Review
Business ContinuityBusiness Continuity
Risk Assessment & Mitigation
Risk Assessment & Mitigation
Change Management
Change Management
Periodic Validation Review
Periodic Validation Review
Issue Management
Issue Management
Supplier Qualification
Supplier Qualification
Validation / Quality Assurance
Validation / Quality Assurance
Disaster Recovery
Defect TrackingData Center Security
Back-Up & Restore
Performance Monitoring
System Maintenance
Code ReviewDesign ReviewSoftware Dev.
Life Cycle
Businessand User
Procedures
QualityAssuranceProcedures
TechnicalProcedures
Procedures Owned
byService Provider
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Validation Center™ 51
Validation
UserRequirementsSpecification
FunctionalSpecifications
DesignSpecifications
PerformanceQualificationTests (PQ)
OperationalQualificationTests (OQ)
InstallationQualification
Tests (IQ)
SystemBuild
Verifies
Verifies
Verifies
Planning ReportingVerifies
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Validation Center™ 52
Validation: Traditional IT Model
UserRequirementsSpecification
FunctionalSpecifications
DesignSpecifications
PerformanceQualification
Tests (PQ)
OperationalQualificationTests (OQ)
InstallationQualification
Tests (IQ)
SystemBuild
Verifies
Verifies
Verifies
Planning ReportingVerifies
Activities Performed
byRegulated Company
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Validation Center™ 53
Validation: SaaS Model
UserRequirementsSpecification
FunctionalSpecifications
DesignSpecifications
PerformanceQualification
Tests (PQ)
OperationalQualificationTests (OQ)
InstallationQualification
Tests (IQ)
SystemBuild
Verifies
Verifies
Verifies
Planning ReportingVerifies
Activities Performed
byServiceProvider
Activities Performed
byRegulated Company
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Validation Center™ 54
Validation Process: Traditional IT Model
Change Request
URS FS
DesignBuild,
Config.Unit Test
Val. Plan
Test Plans
Test Plans
Test Plans
Test Plans
Test Plans
Write OQs & PQs
Test Plans
Test Plans
Run OQs
Test Plans
Test Plans
Run PQs
Test Summary
Val.Summary
ReportRun IQ
TIME
Trace Matrix
WriteIQs
Regulated Company
Risk Assess-
ment
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Validation Center™ 55
Validation Process: SaaS Model
Change Control
URS FS
Design BuildUnit Test
Quality Plan
Test Plans
Test Plans
Test Plans
Test Plans
Test Plans
Write Tests (OQ)
Test Plans
Test Plans
Run OQs
Test Summary
QualitySummary
ReportRun IQ
Trace Matrix
WriteIQs
Service Provider
Confirmed by Supplier Qualification
Change Control
URS
DesignConfig-uration
ValidationPlan
Test Plans
Test Plans
Write Tests (PQ)
Test Plans
Test Plans
Run PQs
Validation Summary
Report
Trace Matrix
Regulated Company
Risk Assess-
ment
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Validation Center™ 56
21 CFR Part 11
Actions
Policies & Procedures
Technology
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Validation Center™ 57
21 CFR Part 11: Technology
Requirement Ref.
Electronic signature manifestations 11.50
E‐Sig Linkage to Electronic Reports 11.70
User ID /Password uniqueness 11.100(a), 11.300(a)
Continuous E‐Sig sessions 11.200(a)
Biometric signature uniqueness 11.200(b)
Password expiration 11.300(b)
Reporting invalid access attempts 11.300(d)
Service Provider Responsibilities
Technology
Requirement Ref.
Secure audit trails 11.10(e)
Inspectable copies of records 11.10(b)
Limited access to authorized users 11.10(c)
User access levels 11.10(g)
Operational system checks 11.10(f)
Device checks 11.10(h)
Encryption (open systems) 11.30
Digital signatures (open systems) 11.30
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Validation Center™ 58
21 CFR Part 11: Activities/Actions
Requirement Ref.
Validation 11.10(a)
Protection of records through retention period
11.10(b)
Service Provider Responsibilities
Requirement Ref.
Validation 11.10(a)
Certification letter to FDA before use of electronic signatures
11.100(c)
Regulated Company Responsibilities
Actions
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Validation Center™ 59
21 CFR Part 11: Policies & Procedures
Requirement Ref.
Process to qualify the people who build and support system
11.10(i)
Process for updating and controlling system documentation
11.10(k)
Process for controlling system maintenance procedures
11.10(k)
Service Provider Responsibilities
Requirement Ref.
Process to qualify the people who use the system
11.10(i)
Policy for E‐Sig accountability 11.10(j)
Process for controlling system operation procedures
11.10(k)
Process to ensure links between manual signatures and e‐records
11.70
Policies to prevent re‐use of user IDs
11.100(a)
Process to confirm identities prior to allowing e‐signature
11.100(b)
Policies against password sharing 11.200(a)
Process to void compromised IDs 11.300(c)
Regulated Company Responsibilities
Policies & Procedures
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Validation Center™ 60
Service Level Agreements (SLAs)
Business Continuity Investment Protection
Data Protection Regulatory Compliance
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Validation Center™ 61
SLA Contents
Change Management
Compliance
ResponsibilitiesUp Time /
Down Time
Back-Up & Recovery
Security
Defect Management
Service Termination
Performance Monitoring
Data Ownership
Data Location
Data Storage
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Supplier Audits and Assessments
Part 5
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Part 5: Supplier Assessments & Audits
Validation Center™ 63
• Section Overview• When• Method• Audit and Assessment Topics
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When to Assess the Service Provider
• Prior to Purchaseo Ensure investment quality
• Prior to Validationo Leverage vendor documentation
• Other Timing ….o Periodic Supplier Review
o Follow-up to earlier audit
o Investigation of issues
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Assessment Methods
Method Description Pros Cons
On Site Audit
Company representatives conduct formal audit at
vendor’s site
‐ Most thorough‐ Best method toreview policies, procedures, and actual practices
‐ Most Time‐ Most Expense‐ Some vendors won’tagree to audit
Remote AuditCompany representatives conduct formal audit via online meeting, etc.
‐ Less Time‐ Less Expense
‐ Less thorough‐ Some vendor’s won’tagree to audit
Questionnaire
Company representatives send a self‐assessment to
vendor
‐ Little time‐ Little expense
‐ Low assurance ofaccurate responses
‐ Some vendors won’tcomplete questionnaire
Basic Assessment
Company representativesinvestigate public domain information & contact
other users
‐ Little time‐ Little expense‐ Vendor’s can’tdisagree to thisMethod
‐ Surfaceevaluation only
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On‐Site Audits
Method Description Pros Cons
On Site Audit
Company representatives conduct formal audit at
vendor’s site
‐ Most thorough‐ Best method toreview policies, procedures, and actual practices
‐ Most Time‐ Most Expense‐ Some vendors won’tagree to audit
• Traditional Approach
• Scope depends on intended use of vendor’s software and documentation
• Recommended for critical applications, especially when intending to leverage vendor’s documentation
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Off‐Site Audits
Method Description Pros Cons
Remote Audit
Company representatives conduct formal audit via online meeting, etc.
‐ Less Time‐ Less Expense
‐ Less thorough‐ Some vendor’s won’tagree to audit
• Options
• Online Meetings• Phone Interviews• Hybrid
• Scope depends on intended use of vendor’s software and documentation
• Alternative to on site audits for less critical applications
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Questionnaires
Method Description Pros Cons
Questionnaire
Company representatives send a self‐assessment questionnaire or survey
to vendor
‐ Little time‐ Little expense
‐ Low assurance ofaccurate responses
‐ Some vendors won’tcomplete questionnaire
• Scope depends on intended use of vendor’s software and documentation
• Alternative to audits for non‐critical applications and services
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Basic Assessments
Method Description Pros Cons
Basic Assessment
Company representativesinvestigate public domain information & contact
other users
‐ Little time‐ Little expense‐ Vendor’s can’tdisagree to thisMethod
‐ Surfaceevaluation only
• Online information• Financial Ratings• Gartner vendor ratings
• Vendor provided information• Customer lists• Awards received
• User provided information• User groups• Contacts in similar companies• Prior experience• References (from vendor)
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Method Selection
Validation Center™ 70
Decision Factors:
1. System criticality
• Risk to product quality
• Risk to patient safety
• Risk to data integrity and confidentiality
2. Business operations dependency
3. Degree of reliance on vendor deliverables
4. History of Vendor, Service, and Application
5. Experience with the vendor
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Audit and Assessment Topics
Validation Center™ 71
General
•How long has the vendor been in business?
•How long has the vendor been providing this service?
• Is the vendor focused on your industry?
•Does the vendor have sufficient resources to support your company?
Quality Management
•Does the vendor have an independent Quality Assurance function?
•Does the vendor perform internal quality assurance audits?
•Are the vendor’s practices and procedures focused on providing high quality products and services?
System Life Cycle
•Does the vendor have a documented, standard methodology for developing and modifying systems?
•Does the vendor consistently follow this methodology?
•Does the Quality Assurance function have an appropriate role in the methodology?
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Audit and Assessment Topics
Validation Center™ 72
Design and Development
•Does the vendor document requirements prior to designing the system?
•Does the vendor conduct design review to mitigate risk?
•Does the vendor have and follow development standards?
Testing
•Does the vendor have sufficient testing practices for the risk level?
•Do the vendor’s testing practices include regression testing?
•Can any of the vendor’s requirements or/or testing documents be used in your validation?
Documentation
•Does the vendor have up‐to‐date documentation for system requirements, design, and testing?
•Does the vendor retain the documentation for previous versions of the system?
• Is the vendor’s documentation sufficient to support the system?
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Audit and Assessment Topics
Validation Center™ 73
Data Privacy
•Can the vendor access your data? Would you know?
• Is your data protected from other clients? How?
• Is the vendor certified for compliance to standards such as HIPAA?
•Will you be notified of breaches?
Data Security
•Does the vendor have adequate physical security, e.g. for data centers?
•Does the vendor provide adequate logical security, e.g., user management?
•Does the vendor provide adequate cyber security, e.g., from hackers?
•Does the vendor encrypt data?
Data Retention
•Does the vendor provide adequate back‐ups, mirroring, archiving or other method or data retention?
• Is the vendor able to retain data for the duration required by FDA predicate rules?
• If not, can your data be extracted for retention elsewhere?
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Audit and Assessment Topics
Validation Center™ 74
Disaster Recovery
•Does the vendor have disaster recovery plans for natural disasters, hardware failures, hacking, and major defects?
•Are the vendor’s disaster recovery plans documented?
•Have the vendor’s disaster recovery plans been tested?
Defect Resolution
•Does the vendor have an adequate escalation process for defects reported by clients?
•Does the vendor promptly notify clients of reported defects?
•Are the vendor’s defect management and communication procedures documented?
Support
•Are the vendor’s support hours sufficient to support your business?
•Are the vendor’s support and issue escalation processes adequate to support your business?
•Does vendor provide any training materials that you can use in your training program?
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Audit and Assessment Topics
Validation Center™ 75
Performance History
•What has been the vendor’s performance history for:
o Uptime/downtime
o Time to failover
o Time to disaster recovery
o Defect introduction
o Defect resolution
o Security breaches
Personnel
•Does the vendor have documented training requirements for each role?
•Does the vendor have training records demonstrating that each person has completed assigned training?
•Does the training program include temporary staff?
Vendor Management
•Does the vendor have a suitable program for qualifying its suppliers, contractors, and service providers?
•Does the vendor monitor the performance of its suppliers, contractors, and service providers?
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Audit and Assessment Topics
Validation Center™ 76
Functionality
•Does the vendor’s system meet the requirements of Part 11 and other regulations? e.g.,
o Security audit trails
o Unique user IDs
o Password protection
o Data elements required by predicate rules
Maintenance
•Does vendor have adequate procedures for maintaining the system? e.g.,
o Performance monitoring and management
o Virus protection updates
o Proactive infrastructure additions and upgrades
Scalability
•Can the vendor’s system and services grow with your company’s needs? e.g.,
o Projected data growth
o New users
o New geographical locations
o Integrated features for future use
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Conclusion
Part 5
Validation Center™ 77
Validation Center™ 78
Summary
• Cloud, SaaS, PaaS, IaaS• Trends, Benefits, Risks• Regulatory Compliance• Responsibilities• Vendor Assessment• Service Level Agreements (SLAs)
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Validation Center™ 79
How Can Praxis Help?
ValidationCenter.com Library of Template and SOPs
Online and Classroom CSV Training
Computer System Validation Services
Vendor and Service Provider Audits
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Thank You!
Validation Center™ 80
Thanks for your interest in Cloud and SaaS Compliance!
Any questions about what we have discussed today?Please, feel free to contact me:
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Deb Bartel
+1 (847) 295‐[email protected]
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