计算机系统验证方案
上海高考数学-大学生暑期实践报告
Computerised
System Validation
计算机系统验证
Dept.
部门：
QA
Effective Date
生效日期：
Year年
质量保证部
Month月
Date日
Confidential Level
机密等级：
□ 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 Draft Review
责任人 起草人 审核人
Dept.
QA QC
部门
Name
姓名
Signature
签名
Date
日期
Review
审核人
OSP
Review
审核人
Lo.
Review Review
审核人 审核人
EN
TD
Review
审核人
EQ
Approve
批准人
QD
1
Objective 目的
2
3
4
5
5.1
5.1.1
5.1.2
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
采取的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，以确保计算机和
PLC符合设计要求和工艺要求并且能够稳定工作很长时
间。
Scope范围
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适用于电脑
,PLC控制系统的管理是否符合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、
公用设施的控制的验证。
Responsibilities 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、实施和监督本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。
相关部门负责审核和实施本SOP。
Definitions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、及相关的周边设
备组成的一个系统,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:它是计算机的源程序(程序语言),
可以在电脑执行前被计算机识别,它应该被翻译
成可以被计算机识别的机器语言。
Procedures 程序
Organization 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组成。
Implementation
department responsibility of system validation
系统验证实施部门的职责
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.
5.2
5.2.1
使用部门:负责提供书面的URS,准备验证方
案和报告、实施批准IQ,OQ协议,完成
最终报告偏差并参与调查及变更验证审核。
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.
设备部门:负
责准备使用部门的合作协议,并确认你接收系统,安装系统,实施IQ,指导
使用部门关于IQ和OQ的
验证过程和参与验证偏差调查和变更回顾。
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、实施验证方案,参与调查及变更验证偏
差的批准验证方案和归档,并做好报告。
System classification
系统分级
Before
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,以确保不同等级验证需提供不同类型的计算
机化的,PLC控制系统,分类如下:
Validation
Classification Description
method
分类 描述
验证方法
Validate
Operating Established network and operating
system for name and
system, commerce. E.g.
DOSWindows 9598NT. edition
network
已做好网络和操作系统例如:DOS Windows number
网络操作系统,
9598NT. 确认名称及版
本号
These system is designed
by non-consumer for
driving firmware which
can be installed in special
Standard integrate
circuit (IC) for application, read only
device, memory (ROM), random access memory
(RAM), Validate
microcontroller, PLC
sometimes, such as bar code modem, construction
sensitive single-cycle controller, filling
device, and
equipment Checkweigher,
temperature controller etc. configuration
标准配置,微控这些系统是根据用户可以安装在特殊的集成电路确认构造及配
制器,灵敏的电(IC)的
驱动固件,只读存储器(ROM)、随机存取存储置
气设备 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
来设计的。
Ready-made package for commerce, such as
Validate
Standard multiplan software,
standard chemical analysis
application
package software etc.
process
标准程序包
现成的软件包,例如多计划软件,标准化学分析软件
验证应用过程
等。
5.2.2
5.2.3
5.3
5.3.1
5.3.1.1
Users develop their own
application through
pre-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, Audit supplier
adaptive control system for laboratory, and
validate
Configurable
information
management system for laboratory, application
package
material requirement planning
system, data process and
可配置的程序包
processing system for system application and
some pre-
product, part PLC etc. established
用户自己开发应用可通过pre-definite软件模块和code
发展应用模块都可以在这个系统中运行,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,原材料需求计划系统、数据处理
系统和产品、系统应用部分可编程
序控制器(PLC)
等。
Implement all
validation
processes of
System computerized
developed Modifying or developing system in
compliance and PLC
within firm with
requirement of himself control
公司内部系统开修改或开发符合自己要求的系统 system
发
实施计算机及
PLC控制系
统验证的全过
程
Some
computerized and PLC control system with complex
construction should be
classified in
accordance with developing degree of each module.
一些计算机化的和PLC控制系统复杂程度应当跟各分类模块的开发程度相一致。
Validation 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
不仅体现在系统使用过程,如新系统的验证不仅在初始定义
和设计阶段进行,而且贯穿于全部生命周期体
系的发展。
Validation implementation
验证实施
URS
URS should be prepared by system user
and project expert detailed with
fundamental
requirement, expectation and performance index of
newchanged
computerized and PLC control
system, which will be use to determine system
designing criteria. Content as follow:
URS
应该为系统用户和项目专家准备基本要求详细的,预期和新的性能指标、更改计算
机化和PLC控制系统
,可以用来决定系统设计标准。内容如下:
System description:
what to do about system, how connection and
interaction
5.3.1.2
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:系统做到什么程度,如何关联不同
模块、控制方法(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、计数和其他多级控
制)、实施流程、操作员的端口和安全标准。
Physical
requirement: include sufficient space, location,
peripheral environment, etc.
5.3.1.3
5.3.1.4
5.3.1.5
5.3.1.6
5.3.2
5.3.2.1
5.3.2.2
5.3.2.3
5.3..3
物理要求:包括有足够的空间,位置,周边环境等。
Document
criteria for hardware: include chart paper,
schematic chart, hand book,
spare parts list
etc.
硬件的文件标准:包括:图纸,原理图,操作指南,备件清单等。
Document 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.
软件的文件标准:包括程序编号和修改编号,输出接口程序和详细说明、软件的追加和保
留条件、系统分
程序图纸和配置清单。
Test requirement: test items and
record required to be carried out on system
developing process, including module separated
test and integrated test.
测试要求:测试项目和记录必须在系统的发展过程中进行,包括模块测试和集成分离测
试。
Other requirement to supplier: such as
finished system validation, quality control
and change control on developing process, etc.
对供应商的其他要求:如在发展进程中完成系统验证、质量控制和变更控制等。
System
design
系统设计
System 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),
IO (inputoutput) connection
diagram, control element pareto diagram.
系统设计应
该由系统配置图、硬件设计和软件设计组成。在供应商准备的系统设计被
用户评估和检验后，可配置的系
统图纸设计应该完成,包括系统PID, IO (输入输出)连
接图、连接原理帕累托图。
Hardware design: include all IO (inputoutput)
connection template and type, CPU
selection,
communication template, man-machine Interface
controller, screen viewer
selection, medium
relay, memory, printer, auxiliary power unit,
electronic
elementwirecable, other elements
etc.
硬件设计:包括所有IO (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,屏幕查看选择、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、
其他元件等。
Software: include system software,
application, and data.
软件:包括系统软件、应用和数据。
IQ
IQ 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应该确保该系统安装符合设计标准和工艺需求，数据完全提供。特殊内容如下:
5.3.3.1
Document qualification should
consist of consumer technical guide, SOP, training
5.3.3.2
5.3.3.3
5.3.3.4
5.3.4
plan, post-sale service agreement,
equipment inventory, security program, hardware
qualification, software qualification, source
code, instrument list, instrument
calibration
procedure, PID, control loop diagram, IO
(inputoutput) device list and
connection
diagram, spare parts list, and maintenance
procedure.
文件确认应该由用户工艺要求、SOP,培训计划,售后服务协议、设备库存
,安全程序、
硬件说明,软件说明,源代码、仪器清单、仪器校准程序、PID、控制回路图,IO(输
入输
出设备清单和连接图,备件清单和维护规程。
Installation
process qualification: qualify that installation
is fit for requirement PID and
operating
manual.
安装过程说明:安装符合PID和操作手册的要求。
Circumstance and utilities qualification
事件和实用程序说明
(1)Qualify and record
circumstance of system installation, such as clean
level,
radiofrequencyelectromagnetic
interference, physical protection, temperature,
humility, sound, lighting, etc.
系统安装环境的检验和
记录:例如洁净水平、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
announcementprevention, cooling
system,
electric power and its adjustment, continuous
power supply, wide area
network connection,
local area network connection, disaster recovery,
telephone
figure analog, etc.
记录关键设施以及条件,
鉴定的公共设施应该跟说明一致:包括消防报警公告预防系
统、冷却系统、电力及调整,持续供电、大面
积网络连接,本地区域网络连接,灾难恢
复、电话图形模拟等
(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的要求。
System 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.
第一步要做的是,报告项目FAT的验收测试应该完全由供应商提供,适用于设计标准。
(2) Necessary test should be carried out for
system on operational circumstance.
Essential
content as follow:
应该对系统运行情况开展必要的测试。基本内容如下:
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.
所有仪器仪表应该被校准和标注过期日，校准应该有明确的标准及应提供相应的检查
证件。
IO (inputoutput) signal test should be
carried out so as to ensure that single can
transmit from control system to device and
return.
5.3.4.1
5.3.4.2
5.3.4.3
5.3.4.4
5.3.4.5
IO
(输入输出)信号试验应确保信号可以在控制系统设备间进行传输和反馈。
Data
acquisition and transmission and signal memory
test
数据采集,传送和信号记忆测试
Other tests
其他测试
OQ (operation qualification)
运行确认
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的目的是进行所有功能运行情况方面的测试以确保系统和运行符合设计标准，内
容如下：
Test 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:“
最坏情况”的系统逻辑应该进行测试,如使用不同权限以便确认未经授
权运行是否被禁止。
Various 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. )
根据系统要求进行的各种各样的过程控制功能
的测试:“最坏情况”(例如最大通信承
载、过程相当大的数据文件等)试验检查系统和决策程序的功能
,应根据系统不同的要求
和标准提供的定义。(提供功能图表包括所有出现的偏差是非常重要的。)
Test 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:程序连锁应根据报警条件及系统连锁操作手册进行测试。
Test 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.
定时器和定序器测试:
根据系统的操作手册设置时间和系统产生相应的功能以确认系统
有效时间或程序命令
5.3.4.6
5.3.4.7
5.3.5
5.3.5.1
Test for data
disposal and memory
测试数据处理和记忆
(1)
Qualify correct data memory, collection and search
of system’s own.
正确的数据记忆,准确的数据采集和系统的自我搜索的确认。
(2) Qualify disposal of data output length,
carry and empty
数据处理的输出长度、承载和空载的确认
(3)
Qualify the function of saving data to
corresponding folder.
数据保存到相应文件夹的功能确认。
Test for shutdown recovery
关机恢复测试
(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的情况,确保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.
检查备用电源的供应、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.
系统故障和失败的时候,能够根据系统的操作手册提供系统备份。
Other
function test
其他功能测试
Performance
qualification (PQ)
性能确认
The 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的目的是确认系统运行过程中的有效性和稳定性方面的情况。测试项目应确定跟
期望达到的结果相一致、二次确认也应该执行。
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的一部分,
系统的PQ必须根据设备的PQ进行
完整性测试。
If a manual system
is being replaced by computerized and PLC control
system, the
two should be run in parallel.
当一个人工系统被电脑,PLC控制系统取代时,两者需要平行运行。
5.3.5.2
Regarding 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 on the some
production condition.
对于生产设备,要进行产品规格测试,如化验、包装规
格测试等等,确保所有的过程控制
功能都是有效的，应当在相同的生产的条件下进行至少3个连续批次的
测试。
5.3.5.3
Monitoring for
equipment of consecutive process disposal should
be carried out, e.g.
5.3.5.4
5.3.6
5.3.7
5.3.7.1
5.3.7.2
index of clean-
air system, such as dust particle, microorganism,
temperature,
humidity, air flow, pressure
difference, air exchange frequency, etc, should be
monitored during a period.
对设备的连续过程进行监控应当
进行,如空气净化体系的指标,例如尘埃粒子、微生物、
温度、湿度、风量、压差、换气频率等,应在一
个周期内被监控。
Validation deviation
偏差验证
The disposal of system validation
deviation can refer to < Validation Organization
and Implementation>.
处置系统偏差验证可参阅<验证组织和实施>。
Change control
变更控制
Change
classification: change is composed of hardware
change, software change
and change of critical
parameters in database.
变更的分类:变更是由硬件变更、软件变更，和数据库的临界参数变更组成。
If
change occurring, change control should be carried
out so as to ensure that
system should be on
validated status.
若发生改变,变更控制应确保系统处在已验证状态
(1) Written application should be prepared by
use department, including change
reason,
evidence, and content and implementation protocol.
使用部门应该准备好书面申请,包括变更原因,证据,内容和实施方案。
(2)Professional technologist, the head of
relevant department and QA are
responsible for
assessing, reviewing and approving.
工艺主管,相关部门经理和QA负责评估、审查和批准。
(3) Whether
revalidation should be taken or not should be on
the basis of impacting
range. E.g. validation
should be carried out for the parts of change
which impacting
the validated statues of
computerized and PLC control system; sometimes
revalidation should not be carried out after
assessment if sufficient evidence can be
6
7
provided.
是否再验证应该在影响范围的基础上，
如当改变的部分影响计算机,PLC控制系统的验
证状态时，改变的各个部分应当进行验证;
有时如果在评估之后可以提供充分的证据表
明没有影响，那么就不需要再验证,。
(4)
The implementation should be carried out after
change approved by relevant
personnel and
altering content of approved change should be
forbidden .
变更实施后,经有关人员、改变批准的变更内容是被禁止的。(不会翻译)
(5) Influence of change to other relevant
system should be taken into consideration,
and
assessment of influenced systems should be carried
out, where necessary,
revalidation should also
be carried out for relevant systems.
对于变更对其他有关系统的影响，应当进行考核和系统评估,必要时,
相关系统还要进
行再验证。
(6) The records should be
made or completed at the time each action is
taken, such
as change application, assessment,
approval and revalidation, and in such a way
that all changes are traceable.
记录在每时每刻都要进
行,如变更申请、评估、审批和再验证,用这样一种方式保证所有
的变化可追踪。
Annex附录
None
无
Related
Documents相关文件
SOP01801 Validation Organization
and Implementation
验证的组织和实施
8
Revision History修订记录
Change Contents
修改内容
Effective Date
生效日期
SOP No.
编号
SOP0180201
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