User Guide for the 21 CFR Part 11 Module in SDS Software v1.4

User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
Applied Biosystems 7500/7500 Fast
Real-Time PCR System
User Guide for the
21 CFR Part 11 Module
in SDS Software v1.4
Introduction
Installation
Logging in to the
SDS Software
Configuring the
21CFR11 Module
Audit Trails
E-Signatures
Controlled
Activities
© Copyright 2006, 2010 Applied Biosystems. All rights reserved.
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Part Number 4374432 Rev. C
06/2010
Contents
Preface
v
How to Use This Guide . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . v
How to Obtain More Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . vii
How to Obtain Support . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . viii
Chapter 1
Introduction
1
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
Important Compliance Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Best Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Chapter 2
Installation
7
Required User Privileges for the Activities in this Chapter . . . . . . . . . . . . . . . . . . . . . 8
Selecting the Installation Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Installing with the Real-Time System Setup Wizard . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Creating Users and User Groups in the Operating System . . . . . . . . . . . . . . . . . . . . 12
Chapter 3
Logging in to the SDS Software
23
Logging in to the SDS Software . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
Multiple User Accounts on the Same Computer . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
Chapter 4
Configuring the 21CFR11 Module
31
Before You Begin . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
Configuring the Idle Timeout . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
Configuring User Group Permissions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
Configuring Data Auditing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
Configuring E-Signatures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
Chapter 5
Audit Trails
45
Before You Begin . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
Recording Changes in the Individual Audit Trails . . . . . . . . . . . . . . . . . . . . . . . . . . . 48
User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
iii
Viewing Audit Trails . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49
Chapter 6
E-Signatures
57
Before You Begin . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58
Recording E-Signatures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63
Viewing E-Signatures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66
Chapter 7
Controlled Activities
71
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72
Analyze Data File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73
Calibrate System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73
Configure System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74
Create SDS File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74
Delete SDS File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75
Export Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75
Export Setup . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76
Manage Run List . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77
Perform Function Test . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78
Print Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78
Save SDS File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79
Start Run . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79
Stop Run . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80
View Audit History . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80
iv
Glossary
81
Index
85
User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
Preface
How to Use This Guide
Purpose of This
Guide
The 21 CFR Part 11 module can be purchased as an enhancement to the Sequence
Detection Systems (SDS) Software for the Applied Biosystems 7500/7500 Fast RealTime PCR System. The purpose of this guide is to describe:
• The installation and management tasks related to the 21 CFR Part 11 module.
• The features of the 21 CFR Part 11 module that users in the laboratory may
encounter.
Note: This guide does not describe the general features of the SDS Software. Use this
guide in conjunction with the SDS Software documentation and Help System listed
under “How to Obtain More Information” on page vii.
Audience
This guide is written for:
• System administrators who install and manage the SDS Software (Chapter 2 and
Chapter 4).
• Laboratory staff running assays with the SDS Software. Features of the 21 CFR
Part 11 module that may affect laboratory staff are audit trails, E-Signatures, and
Controlled Activities (Chapter 5, Chapter 6, and Chapter 7).
Assumptions
This guide assumes that you have:
• Familiarity with the Microsoft® Windows® XP operating system.
• A general understanding of hard drives and data storage, file transfers, and copying
and pasting.
• Familiarity with the SDS Software.
Text Conventions
This guide uses the following conventions:
• Bold indicates user action. For example:
Type 0, then press Enter for each of the remaining fields.
• Italic text indicates new or important words and is also used for emphasis. For
example:
Before analyzing, always prepare fresh matrix.
• A right arrow bracket (>) separates successive commands you select from a dropdown or shortcut menu. For example:
Select FileOpen.
User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
v
Preface
How to Use This Guide
User Attention
Words
The following user attention words appear in Applied Biosystems user documentation.
Each word implies a particular level of observation or action as described below:
Note – Provides information that may be of interest or help but is not critical to the use
of the product.
IMPORTANT! – Provides information that is necessary for proper instrument operation,
accurate chemistry kit use, or safe use of a chemical.
Indicates a potentially hazardous situation that, if not avoided, may
result in minor or moderate injury. It may also be used to alert against unsafe practices.
Indicates a potentially hazardous situation that, if not avoided, could
result in death or serious injury.
Safety
Chemical manufacturers supply current Material Safety Data Sheets (MSDSs) with
shipments of hazardous chemicals to new customers. They also provide MSDSs with the
first shipment of a hazardous chemical to a customer after an MSDS has been updated.
MSDSs provide the safety information you need to store, handle, transport, and dispose
of the chemicals safely.
Each time you receive a new MSDS packaged with a hazardous chemical, be sure to
replace the appropriate MSDS in your files.
You can obtain from Applied Biosystems the MSDS for any chemical supplied by
Applied Biosystems. This service is free and available 24 hours a day.
To obtain MSDSs:
1. Go to https://docs.appliedbiosystems.com/msdssearch.html.
2. In the Search field, type in the chemical name, part number, or other information
that appears in the MSDS of interest. Select the language of your choice, then click
Search.
3. Find the document of interest, right-click the document title, then select any of the
following:
• Open – To view the document
• Print Target – To print the document
• Save Target As – To download a PDF version of the document to a
destination that you choose
4. To have a copy of a document sent by fax or e-mail, select Fax or Email to the left
of the document title in the Search Results page, then click RETRIEVE
DOCUMENTS at the end of the document list.
5. After you enter the required information, click View/Deliver Selected Documents
Now.
Refer to the Applied Biosystems 7300/7500/7500 Fast Real-Time PCR System
Installation and Maintenance Getting Started Guide and the Applied Biosystems 7300/
7500/7500 Fast Real-Time PCR System Site Preparation Guide for important safety
information.
vi
User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
Preface
How to Obtain More Information
How to Obtain More Information
Related
Documentation
For information about using the 7500/7500 Fast Real-Time PCR System, refer to the
documents listed below.
Note: The documents listed below do not provide information about the 21CFR11
module.
• Applied Biosystems 7300/7500/7500 Fast Real-Time PCR System Online Help
• Applied Biosystems 7300/7500/7500 Fast Real-Time PCR System Absolute
Quantitation Using Standard Curve Getting Started Guide (PN 4347825)
• Applied Biosystems 7300/7500/7500 Fast Real-Time PCR System Allelic
Discrimination Getting Started Guide (PN 4347822)
• Applied Biosystems 7300/7500/7500 Fast Real-Time PCR System Plus/Minus
Getting Started Guide (PN 4347821)
• Applied Biosystems 7300/7500/7500 Fast Real-Time PCR System Relative
Quantitation Using Comparative CT Getting Started Guide (PN 4347824)
• Applied Biosystems 7300/7500/7500 Fast Real-Time PCR System Installation and
Maintenance Guide (PN 4347828)
• Applied Biosystems 7300/7500/7500 Fast Real-Time PCR System Site Preparation
Guide (PN 4347823)
• Applied Biosystems 7300/7500/7500 Fast Real-Time PCR System Performing Fast
Gene Quantification Quick Reference Card (PN 4362285)
• Real-Time PCR Systems Computer Setup Guide (PN 4365367)
• Real-Time PCR Systems Chemistry Guide (PN 4348358)
Obtaining
Information from
the Help System
The 7500/7500 Fast Real-Time PCR System has a Help system that describes how to use
each feature of the user interface. Access the Help system by doing one of the following:
• Click
in the toolbar of the SDS Software window
• Select HelpContents and Index
• Press F1
You can use the Help system to find topics of interest by:
• Reviewing the table of contents
• Searching for a specific topic
• Searching an alphabetized index
You can also access PDF versions of all documents in the 7500/7500 Fast Real-Time
PCR System document set from the Help system.
Note: The Help system provides only general information about the 21CFR11 module
user interface.
User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
vii
Preface
How to Obtain Support
Send Us Your
Comments
Applied Biosystems welcomes your comments and suggestions for improving its user
documents. You can e-mail your comments to:
[email protected]
How to Obtain Support
For the latest services and support information for all locations, go to http://
www.appliedbiosystems.com, then click the link for Support.
At the Support page, you can:
• Obtain worldwide telephone and fax numbers to contact Applied Biosystems
Technical Support and Sales facilities
• Search through frequently asked questions (FAQs)
• Submit a question directly to Technical Support
• Order Applied Biosystems user documents, MSDSs, certificates of analysis, and
other related documents
• Download PDF documents
• Obtain information about customer training
• Download software updates and patches
viii
User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
Chapter 1
Introduction
Chapter
Icon
Introduction
Installation
Overview
See page 2
Important
Compliance Information
See page 4
Best Practices
See page 5
Logging in to the
SDS Software
Configuring the
21CFR11 Module
Audit Trails
E-Signatures
Controlled
Activities
Notes
User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
1
1
Chapter 1 Introduction
Overview
Overview
The 21 CFR Part 11 module (21CFR11 module) can be purchased as an enhancement to
Sequence Detection Systems (SDS) Software v1.4 for the Applied Biosystems 7500/
7500 Fast Real-Time PCR System. The 21CFR11 module can assist users in complying
with FDA Title 21 Code of Federal Regulations Part 11. FDA Title 21 Code of Federal
Regulations Part 11 regulates electronic records and electronic signatures.
Features
The 21CFR11 module in SDS Software v1.4 provides the features listed below.
Category
Security
Features
The security features prevent unauthorized access to the SDS
Software by:
• Authenticating each user’s login information.
• Automatically locking out access and requiring reauthentication if a
user remains inactive for a set period of time.
• Logging any unauthorized attempts to access the SDS Software in
the Event Log.
• Verifying each user’s permission to perform predefined Controlled
Activities.
• Detecting changes to SDS data that have occurred outside of the
SDS Software. The SDS Software will not open any file that has
been altered without using the SDS Software.
E-Signatures
The E-Signatures features regulate electronic signing by:
• Verifying each user’s permission to record an E-Signature.
• Recording E-Signatures for predefined Signing Types.
• When an E-Signature is required for a Signing Type, restricting the
actions users can perform if a current E-Signature is not recorded.
• Including all current E-Signatures when data are printed or
exported.
Data auditing
The data auditing features track changes to SDS data by:
• Storing audit trails to independently record the date and time users
create, delete, or update SDS data.
• Allowing users to review the audit trails.
Instrument
The instrument features determine the validity of source data by:
• Authenticating that the connected instrument is an Applied
Biosystems 7500/7500 Fast Real-Time PCR System.
• Recording the instrument’s serial number.
Note: You must enter your instrument’s serial number in the SDS
Software during software installation. You can then view the serial
number from within the SDS Software as follows: In the SDS Software
main menu, select InstrumentSerial Number to open the
Instrument window, then select the Configuration tab (default).
Notes
2
User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
Chapter 1 Introduction
Overview
Configurable
Features
An SDS Software System Administrator can tailor the following features of the
21CFR11 module to support your company’s Standard Operating Procedures (SOPs)
and controls:
1
• Idle timeout – The amount of time a user can remain inactive (no mouse or
keyboard activity) before the SDS Software automatically logs the user out.
• User Group Permissions – The authorization each User Group has to perform
predefined Controlled Activities.
• Data auditing – The File Types that maintain audit trails, when to prompt for an
audit trail comment, and whether a comment entry is optional or required.
• E-Signatures – The File Types that maintain E-Signatures and whether an ESignature is optional or required for predefined Signing Types.
For more information, see Chapter 4, “Configuring the 21CFR11 Module,” on page 31.
File Types
The File Types discussed in this document are described in the table below.
File Type
Description
Data is stored in...
User Runs
SDS Documents created by users.
*.sds files
User Studies
SDS Multi-Plate Documents created by users.
*.sdm files
Templates
SDS Templates created by users.
*.sdt files
System
Configuration
Configuration data used by the system. This
includes configuration data for the 21CFR11
module, system analysis parameters, and
hardware.
––
System Calibration
Calibration data collected from a 7500/7500
Fast instrument and used by the SDS Software.
––
Note: Each 7500/7500 Fast instrument
generates its own calibration data. Each
instrument’s calibration data should be applied
only to assays performed on that instrument.
System Run List
References to all User Runs and User Studies
created in or imported into the SDS Software.
––
Notes
User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
3
Chapter 1 Introduction
Important Compliance Information
Important Compliance Information
The 21CFR11 module in SDS Software v1.4, in conjunction with your company’s SOPs,
can assist you in complying with FDA Title 21 Code of Federal Regulations Part 11.
You must ensure that all parts of the FDA regulation are followed. Compliance may
include (but is not necessarily limited to):
• Validating your Real-Time PCR System.
• Controlling access to and use of your system documentation.
• Determining that the system users have the education, training, and experience
required to perform their assigned tasks.
• Verifying the identity of each user.
• Restricting user accounts appropriately.
• Checking or revising user account passwords periodically.
• Performing loss management procedures to deauthorize compromised accounts.
• Certifying to the FDA the use of electronic records and electronic signatures.
• Configuring the SDS Software 21CFR11 module consistently with your intended
use.
• Establishing and following conforming SOPs.
Note: For suggestions on establishing SOPs, see “Best Practices” on page 5.
For More
Information
For more information on complying with the FDA Title 21 Code of Federal Regulations
Part 11, refer to the FDA website:
http://www.fda.gov
Notes
4
User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
Chapter 1 Introduction
Best Practices
Best Practices
1
Your company may wish to consider the Best Practices listed below when establishing
its SOPs.
Category
E-Signatures
Best Practice
Establish policies to periodically check the SDS Software Event Log
in order to detect unauthorized E-Signature attempts.
Establish policies that hold individuals accountable and responsible
for fraudulent actions initiated under their E-Signature.
Microsoft® Windows®
XP operating system
security
Establish policies for using the Windows Audit Policies tool to audit
the Windows System Event Log of account logon events, account
management events, audit policy changes, and object access
events.
Establish account lockout policies, using the Security Settings in
your Windows XP operating system.
Establish policies for maintaining defunct user names by disabling
user accounts instead of deleting user accounts. Disabling user
accounts guarantees unique user names and prevents the reuse
and/or reassignment of user names to individuals.
Establish a policy that all user passwords expire within a period
dictated by your risk level. Use the Security Settings in your Windows
XP operating system to enforce your policy.
Establish policies to set the Windows XP operating system time on
the computer to prevent alteration without proper controls.
SDS data
Establish policies for archiving and backing up SDS data that are
submitted to the government.
Establish a policy for creating SDS data in secure folders (that is, file
system directories with limited access permissions).
Establish a policy NOT to manage or manipulate SDS data outside of
the SDS Software.
Training
Establish training policies for users of SDS Software v1.4.
Virus control
Establish policies for using virus scan software to add protection
against undesired alterations of SDS data.
Note: Applied Biosystems recommends that you do not schedule
virus scanning to occur during a run.
Notes
User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
5
Chapter 1 Introduction
Best Practices
Notes
6
User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
Chapter 2
Installation
2
Introduction
Installation
Required User Privileges
for the Activities
in this Chapter
See page 8
Selecting the
Installation Method
See page 8
Installing with the
Real-Time System
Setup Wizard
See page 9
Creating Users
and User Groups
in the Operating System
See page 12
Logging in to the
SDS Software
Configuring the
21CFR11 Module
Audit Trails
E-Signatures
Controlled
Activities
Notes
User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
7
Chapter 2 Installation
Required User Privileges for the Activities in this Chapter
Required User Privileges for the Activities in this Chapter
You must belong to the Administrators group in the Microsoft® Windows® XP operating
system to perform the activities in this chapter.
Selecting the Installation Method
You can install your Real-Time PCR System using one of the following:
• (Recommended) The Real-Time System Setup Wizard on the Installation CD.
The Real-Time System Setup Wizard guides you through all of the procedures
required to install/upgrade your Real-Time PCR System, including the procedures
required to install the 21 CFR Part 11 module. See “Installing with the Real-Time
System Setup Wizard” on page 9.
• (Not recommended) The Applied Biosystems 7300/7500/7500 Fast Real-Time PCR
System Installation and Maintenance Guide.
The Installation and Maintenance Guide provides procedures for a standard
installation/upgrade, but does not include the procedures required to install the
21 CFR Part 11 module. If you choose to install/upgrade using the Installation and
Maintenance Guide, you will also need to perform the following procedures in this
User Guide in order to use the 21CFR11 module:
– “Creating Users and User Groups in the Operating System” on page 12
– “Configuring the 21CFR11 Module” on page 31
Notes
8
User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
Chapter 2 Installation
Installing with the Real-Time System Setup Wizard
Installing with the Real-Time System Setup Wizard
The Real-Time System Setup Wizard is a software tool that you can use to install or
upgrade your Real-Time PCR System. The wizard includes the following installation
procedures for the 21 CFR Part 11 module:
• Registering the product.
• Creating users and User Groups in the Windows XP operating system.
• Configuring the 21CFR11 module.
2
Note: These procedures are briefly summarized in step 4 on page 10.
1. Set up the computer and log in to the Windows XP operating system as a Windows
Computer Administrator, as described in the Applied Biosystems Real-Time PCR
System Computer Setup Guide.
2. Insert the Software CD in the computer CD drive. The wizard starts automatically
after a short delay.
If the wizard does not automatically start, double-click
(My Computer),
navigate to the CD drive, then double-click SystemSetupWizard.exe.
3. Select the appropriate installation procedure:
• If this is a new installation, click Unpack and Set Up a New Instrument.
• If this is a software upgrade, click Install the SDS Software.
Notes
User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
9
Chapter 2 Installation
Installing with the Real-Time System Setup Wizard
4. Follow the wizard instructions. If you purchased the SDS Software with the
21CFR11 module, the wizard instructs you to:
a. Complete the Product Registration dialog box for the 21 CFR Part 11 module.
The registration code can be found on the SDS Software CD case.
b. Create SDS Software User Groups in the Windows XP operating system
(Configure Users and Groups button).
IMPORTANT! To complete all of the installation procedures, you will need to
configure the 21CFR11 module, perform functional testing, and run the
RNase P Verification plate. Be sure to add your user account to an SDS
Software User Group (or Groups) that has permission to perform the Analyze
Data File, Calibrate System, Configure System, Create SDS File, Perform
Function Test, Save SDS File, and Start Run Controlled Activities.
Notes
10
User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
Chapter 2 Installation
Installing with the Real-Time System Setup Wizard
c. Configure the 21CFR11 module (Configure 21 CFR Part 11 Properties
button).
2
IMPORTANT! When you click the Configure 21 CFR Part 11 Properties
button, the User Login dialog box appears. During installation, you are
required to log in to the SDS Software any time you attempt to perform a
Controlled Activity (for example, the Configure System and Perform Function
Test Controlled Activities). For login procedures, see Chapter 3, “Logging in
to the SDS Software,” on page 23.
5. Complete the installation:
• If you clicked Unpack and Set Up a New Instrument in step 3 on page 9, the
wizard provides procedures for performing functional tests and calibration.
• If you clicked Install the SDS Software in step 3 on page 9, the wizard returns
to the Welcome screen shown in step 2 on page 9.
Creating User
Groups and
Configuring After
Installation
If necessary, you can also create users and User Groups or configure the 21CFR11
module after installation. See the following procedures in this User Guide:
• “Creating Users and User Groups in the Operating System” on page 12
• “Configuring the 21CFR11 Module” on page 31
Notes
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11
Chapter 2 Installation
Creating Users and User Groups in the Operating System
Creating Users and User Groups in the Operating System
The 21 CFR Part 11 module uses the Microsoft Windows XP operating system to
manage user names and passwords. In order for the 21CFR11 module to work correctly,
you must create users and User Groups in the Windows XP operating system as
described in the procedures below.
Creating Users
IMPORTANT! Be sure to use this procedure when creating users in the Windows XP
operating system. Creating a user with the StartControl PanelUser Accounts
option does not allow you to enter the user’s full name. A user’s full name will be
needed to record an E-Signature.
1. On your desktop, right-click
(My Computer), then select Manage.
2. In the Computer Management dialog box, select System ToolsLocal Users and
GroupsUsers.
2
3
3. Right-click anywhere in the right-hand panel (where the contents of the Users
folder is displayed); in the pop-up menu that appears, click New User.
4. Complete the New User dialog box:
a. In the User name field, type the user’s login name (for example, MSmith).
b. In the Full name field, type the user’s full name (for example, Mary Smith).
IMPORTANT! The Windows XP operating system allows a blank (empty) Full
name field and the SDS Software allows it for all User Groups except the
ESignatures User Group. The SDS Software will not allow a user in the
ESignatures User Group to record an E-Signature if the user account’s Full
name field is blank.
Notes
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Chapter 2 Installation
Creating Users and User Groups in the Operating System
c. (Optional) Type a Description.
d. Type a Password, then retype it to confirm the password.
IMPORTANT! Do not assign blank (empty) passwords. Although the
Windows XP operating system accepts blank passwords, the SDS Software
does not. Users will receive an error message if they try to log in to the SDS
Software without a password.
e. Select the password attributes as desired.
2
f. Click Create.
4a
4b
4c
4d
4e
4f
5. Repeat step 4 for the remaining users.
Notes
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Chapter 2 Installation
Creating Users and User Groups in the Operating System
6. Click Close to save the changes and close the New User dialog box. The new users
appear in the Computer Management dialog box.
7. Close the Computer Management dialog box.
Creating User
Groups
Note: This procedure describes how to create a new User Group, then immediately add
users to that group. If you need to add a user to an existing User Group, see page 18.
There are five predefined User Groups in the SDS Software:
•
•
•
•
•
SDS Administrators
SDS Scientists
SDS Technicians
SDS Service
SDS ESignature
In order for the SDS Software to access these User Groups, you must create the User
Groups in the Windows XP operating system, then assign users to each User Group. By
assigning a user to a User Group, you can control the user’s ability to perform the
Controlled Activities in the SDS Software (see “Configuring User Group Permissions”
on page 35).
Note: Users can be assigned to multiple User Groups. Users are allowed to perform any
Controlled Activity that is permitted to any of the User Groups to which they are
assigned.
Notes
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Chapter 2 Installation
Creating Users and User Groups in the Operating System
To create User Groups in the Windows XP operating system:
1. On your desktop, right-click
(My Computer), then select Manage.
2. In the Computer Management dialog box, select System ToolsLocal Users and
GroupsGroups.
3. Right-click anywhere in the right-hand panel (where the contents of the Groups
folder is displayed); in the pop-up menu that appears, click New Group.
2
2
3
4. Add the SDS Administrators User Group in the New Group dialog box:
a. In the Group name field, type SDS Administrators.
b. (Optional) Type a Description.
4a
4b
5
Notes
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Chapter 2 Installation
Creating Users and User Groups in the Operating System
5. Click Add to open the Select Users dialog box.
6. Complete the Select Users dialog box:
a. Type the Windows XP operating system user name of the user you want to
add.
5a
5b
b. Click Check Names. The Select Users dialog box is redisplayed with the
user’s location and name; verify that you have selected the correct user.
Note: If you have problems locating the correct user, click Object Types to be
sure the Users checkbox is selected and/or click Locations to select the correct
location.
c. Click OK. The user name appears in the Members field of the New Group
dialog box.
Notes
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Chapter 2 Installation
Creating Users and User Groups in the Operating System
2
7. Repeat steps 5 and 6 for each user you want to add to the SDS Administrators User
Group.
8. Click Create. The SDS Administrators User Group is created and the New Group
dialog box fields become open (blank).
9. Repeat steps 4 through 8 for the remaining four User Groups:
•
•
•
•
SDS Scientists
SDS Technicians
SDS Service
SDS E-Signature
10. Click Close to save the changes and close the New Group dialog box. The five SDS
Software User Groups appear in the Computer Management dialog box.
Notes
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Chapter 2 Installation
Creating Users and User Groups in the Operating System
11. Close the Computer Management dialog box.
12. After creating the User Groups, configure the permissions each User Group has to
perform the Controlled Activities within the SDS Software. See “Configuring User
Group Permissions” on page 35.
Adding a User to
an Existing User
Group
If you need to add a user to an SDS Software User Group after you have already created
the User Group in the Windows XP operating system, follow the procedure below.
Note: Users can be assigned to multiple User Groups. Users are allowed to perform any
Controlled Activity that is permitted to any of the User Groups to which they are
assigned.
To add a user to an existing User Group in the Windows XP operating system:
1. On your desktop, right-click
(My Computer), then select Manage.
2. In the Computer Management dialog box, select System ToolsLocal Users and
GroupsGroups.
Notes
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Chapter 2 Installation
Creating Users and User Groups in the Operating System
3. Double-click the appropriate SDS Software User Group.
2
2
3
4. In the Properties dialog box, click Add to open the Select Users dialog box.
4
Notes
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Chapter 2 Installation
Creating Users and User Groups in the Operating System
5. Complete the Select Users dialog box:
a. Type the user’s Windows XP operating system user name.
5a
5b
b. Click Check Names. The Select Users dialog box is redisplayed with the
user’s location and name; verify that you have selected the correct user.
Note: If you have problems locating the correct user, click Object Types to be
sure the Users checkbox is selected and/or click Locations to select the correct
location.
c. Click OK. The user name appears in the Members field of the Properties
dialog box.
Notes
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Chapter 2 Installation
Creating Users and User Groups in the Operating System
2
6. Click OK to save the changes and close the Properties dialog box.
7. Close the Computer Management dialog box.
Notes
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21
Chapter 2 Installation
Creating Users and User Groups in the Operating System
Notes
22
User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
Chapter 3
Logging in to the SDS Software
Introduction
Installation
3
Logging in to the
SDS Software
Logging in to
the SDS Software
See page 24
Multiple User Accounts
on the Same Computer
See page 27
Configuring the
21CFR11 Module
Audit Trails
E-Signatures
Controlled
Activities
Notes
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23
Chapter 3 Logging in to the SDS Software
Logging in to the SDS Software
Logging in to the SDS Software
The 21 CFR Part 11 module requires that users log in to the Sequence Detection Systems
Software each time they start the software.
1. Log in to the Microsoft® Windows® XP operating system.
2. On your desktop, double-click
(instrument software) to start the SDS
Software. If you do not have the shortcut on your desktop, select StartAll
ProgramsApplied Biosystemsinstrumentinstrument software.
3. If the registration code for the 21CFR11 module was not entered at installation, the
Product Registration dialog box appears:
a. Enter your name.
b. Enter your organization.
c. Enter the registration code, which can be found on the SDS Software CD case.
d. Click OK.
Note: Once you successfully enter the registration code, the Product Registration
dialog box will not be displayed when you log in again.
4. If the registration code for the ∆∆CT Study was not entered at installation, the
Product Registration dialog box appears:
a. Enter the registration code, which can be found on the SDS Software CD case.
b. (Optional) Click OK to enter additional registration codes.
c. Click Done.
Note: Once you successfully enter the registration code, the Product Registration
dialog box will not be displayed when you log in again.
Notes
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Chapter 3 Logging in to the SDS Software
Logging in to the SDS Software
5. Complete the User Login dialog box:
a. User name and Password – Enter the user name and password for your SDS
Software user account. Typically, your SDS Software user name and password
are the same as the Windows XP operating system user name and password
you entered in step 1 on page 24.
IMPORTANT! If you have multiple user accounts on the same computer and
use different user accounts to log in to the operating system and the SDS
Software, see page 27.
b. (Variable) Domain – Enter the name of the domain in which your user account
exists. If your user account exists on the local computer, you can enter the
local computer’s name or leave the Domain field empty.
Note: The Domain field is available if the computer on which you are working
is registered in a domain (belongs to a network with domain servers). The
Domain field is not available if the computer on which are working is a
member of a workgroup (peer-to-peer network or standalone).
c. Click OK. The SDS Software starts.
Note: If your login information is incorrect, the SDS Software does not start.
The failed login attempt is recorded in the Event Log.
5a
5b
5a
5c
User Login dialog box for a computer registered in a domain
Notes
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3
Chapter 3 Logging in to the SDS Software
Logging in to the SDS Software
5a
5c
User Login dialog box for a computer that is a member of a workgroup
Notes
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Chapter 3 Logging in to the SDS Software
Multiple User Accounts on the Same Computer
Multiple User Accounts on the Same Computer
User Account
Properties
Every user account has:
Multiple User
Accounts
Multiple user accounts can occur on the same computer as follows:
• A desktop unique from the desktops of all other user accounts.
• Mapped drives that may be different from the mapped drives for other user
accounts.
• Access to applications to which other user accounts may not have access (or vice
versa).
• Access to drives and directories to which other user accounts may not have access
(or vice versa).
• A single user may have more than one user account on the same computer.
• Several users may be using the same computer.
3
When multiple user accounts occur on the same computer, the following may be
affected:
• Access to the desktop, applications, drives, and directories (below).
• Several functions in the SDS Software (page 28)
Access Scenarios
If there are multiple users accounts on the same computer, the desktop, applications,
drives, and directories that are accessible from each user account may be different, as
illustrated in the scenarios below.
Access From Within the SDS Software
Scenario
Desktop and Applications
A user logs into the operating system:
user name = MSmith.
Drives and Directories
The user can access the same desktop, applications, drives and directories he
or she can access from the operating system.
The same user then logs into the SDS
Software using the same user account:
user name = MSmith.
A user logs into the operating system:
user name = MSmith.
The same user then logs into the SDS
Software using a different user account:
user name = MSmith02.
A user logs into the operating system:
user name = MSmith.
The user can access the desktop and
applications of the account used to
log in to the SDS Software. The user
may not be able to access the
desktop and applications of the
account used to log in to the
operating system.
The user may or may not be able to
access the same drives and
directories as in the operating system
Explorer, depending on the varying
access rights of the two accounts.
A second user then logs into the SDS
Software: user name = JDoe.
Notes
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Chapter 3 Logging in to the SDS Software
Multiple User Accounts on the Same Computer
Affected
Functions
If a user is logged in to the SDS Software with a different user account than the user
account logged in to the Windows XP operating system, the user may encounter errors
when performing the following functions in the SDS Software:
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
FileOpen
FileSave
FileSave As
FileImport Sample Setup
FileExportSample Setup
FileExportCalibration Data
FileExportSpectra
FileExportComponent
FileExportRn
FileExportDelta Rn
FileExportCt
FileExportDissociationRaw & Derivative Data
FileExportDissociationTm
FileExportResults
FileView Exported Results
FilePrint
Export as JPEG
Export To PowerPoint
Export All To PowerPoint
Preventing Errors
Be sure your user account(s) is configured in the Windows XP operating system to have:
•
•
•
•
Read/write access to the desired directories
Create access in the desired directories
Access to the desired printers
Access to the Microsoft® PowerPoint® Software
Note: The PowerPoint Software must be installed on the computer.
For directory and printer access, see your SDS Software System Administrator or the
Windows XP operating system documentation.
For PowerPoint Software access:
1. Log in to the Windows XP operating system with the user account causing the error
in the SDS Software.
2. Select StartAll ProgramsMicrosoft PowerPoint.
Notes
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Chapter 3 Logging in to the SDS Software
Multiple User Accounts on the Same Computer
3. At the prompt, click OK to run the installation program.
IMPORTANT! You must repeat this procedure for each user account that will perform
the Export To PowerPoint and Export All To PowerPoint functions in the SDS Software.
3
Notes
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Chapter 3 Logging in to the SDS Software
Multiple User Accounts on the Same Computer
Notes
30
User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
Chapter 4
Configuring the 21CFR11 Module
Introduction
Before You Begin
See page 32
Overview
See page 32
Configuring the Idle Timeout
See page 33
Configuring
User Group Permissions
See page 35
Configuring Data Auditing
See page 37
Configuring E-Signatures
See page 40
Installation
Logging in to the
SDS Software
4
Configuring the
21CFR11 Module
Audit Trails
E-Signatures
Controlled
Activities
Notes
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31
Chapter 4 Configuring the 21CFR11 Module
Before You Begin
Before You Begin
User Group
Permissions
To perform the procedures in this chapter, you must:
• Log in to the SDS Software as a member of a User Group that has permission to
perform the Configure System Controlled Activity. (For information on configuring
User Group Permissions, see page 35. For information on Controlled Activities, see
Chapter 7 on page 71.)
Or
• Be a member of the Administrators group in the Microsoft® Windows® XP
operating system and log in to the SDS Software with a valid SDS Software user
account.
Note: As a cautionary measure, any user who is a member of the Administrators group
in the Windows XP operating system is always allowed to open the configuration utility
(Config21cfr11.exe) and configure the 21CFR11 module.
Logging In
For login procedures, see Chapter 3 on page 23.
Overview
Configurable
Features
You can tailor the following features of the 21CFR11 module to support your company’s
Standard Operating Procedures (SOPs) and controls:
• Idle timeout – The amount of time a user can remain inactive (no mouse or
keyboard activity) before the SDS Software automatically logs the user out
(page 33).
• User Group Permissions – The authorization each User Group has to perform
predefined Controlled Activities (page 35).
• Data auditing – The File Types that maintain audit trails, when to prompt for an
audit trail comment, and whether a comment entry is optional or required (page 37).
• E-Signatures – The File Types that maintain E-Signatures and whether an ESignature is optional or required for predefined Signing Types (page 40).
Auditing of
System
Configuration
Data
Any saved changes you make to the 21CFR11 module are audited. Configuring the
21CFR11 module falls under the System Configuration File Type category. For this File
Type:
• Auditing is always enabled.
• The auditing is silent (that is, a Reason for Change Entry dialog box is never
displayed).
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Chapter 4 Configuring the 21CFR11 Module
Configuring the Idle Timeout
• All saved changes are recorded in the Configuration Audit Trail.
Note: For information on auditing of File Types, see “File Types” on page 37. For
information on the Configuration Audit Trail, see “Viewing the Configuration Audit
Trail” on page 49.
Configuring the Idle Timeout
You can set the amount of time a user can remain inactive before the SDS Software
automatically logs the user out.
If a user is logged in and is inactive (no mouse or keyboard activity) for the configured
Idle Timeout period, the SDS Software automatically logs the user out and displays the
Idle Timeout dialog box shown below. A user cannot perform any activities in the SDS
Software until he or she successfully logs in.
4
Note: The Idle Timeout dialog box may also include the Domain field. For more
information, see “Logging in to the SDS Software” on page 24.
Setting the Idle
Timeout
1. In the SDS Software main menu, select 21CFR11Configuration (Admin Only).
If you do not have permission to perform the Configure System Controlled Activity,
the alert message below is displayed.
Notes
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33
Chapter 4 Configuring the 21CFR11 Module
Configuring the Idle Timeout
2. In the Application Idle Timeout field, type the desired value. You can enter any
value from 0 to 600 minutes.
IMPORTANT! If you enter 0 minutes, the SDS Software will never timeout.
2
3
3. Click Save. The SDS Software saves the changes. The changes are recorded in the
Configuration Audit Trail.
Notes
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Chapter 4 Configuring the 21CFR11 Module
Configuring User Group Permissions
Configuring User Group Permissions
Controlled
Activities
Controlled Activities are operations within the SDS Software that users can either be
allowed to perform or prevented from performing. The following Controlled Activities
are predefined in the SDS Software:
When selected ‡ in the User Group Permissions tab,
allows the User Group members to...
Controlled Activity
Analyze Data File
Analyze runs for *.sds files.
Calibrate System
Calibrate the Real-Time PCR System.
Configure System
Configure the SDS Software 21CFR11 module.
Create SDS File
Create *.sds, *.sdm, or *.sdt files.
Delete SDS File
Delete *.sds, *.sdm, or *.sdt files.
Export Results
Export results for *.sds, *.sdm, or *.sdt files.
Export Setup
Export setup information for *.sds or *.sdt files.
Manage Run List
Access the Run List Manager, where *.sds or *.sdm files can
be opened, moved, deleted, or imported.
Perform Function Test
Perform the Real-Time PCR System functional tests.
Print Report
Print reports for *.sds, *.sdm, and *.sdt files.
Save SDS File
Save *.sds, *.sdm, or *.sdt files.
Start Run
Start runs for *.sds files.
Stop Run
Stop runs for *.sds files.
View Audit History
View the audit trails. (For more information, see “Viewing
Audit Trails” on page 49.)
4
‡ When the Controlled Activity is deselected in the User Group Permissions tab, the User Group members are
prevented from performing the activity.
User Groups
You can assign permissions to perform the Controlled Activities to the following User
Groups:
•
•
•
•
SDS Administrators
SDS Scientists
SDS Technicians
SDS Service
Note: You cannot assign permissions to perform any of the Controlled Activities to the
SDS ESignature User Group. The ESignature User Group is only used to define the set
of users who are allowed to sign data (record E-Signatures). For more information, see
“Configuring E-Signatures” on page 40.
Notes
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35
Chapter 4 Configuring the 21CFR11 Module
Configuring User Group Permissions
Configuring User
Group
Permissions
1. In the SDS Software main menu, select 21CFR11Configuration (Admin Only).
If you do not have permission to perform the Configure System Controlled Activity,
the alert message below is displayed.
2. Select the User Group Permissions tab (default).
2
3
4
3. For each User Group, select the Controlled Activities that users assigned to that
User Group are allowed to perform; deselect any Controlled Activities the users are
not allowed to perform.
4. Click Save. The SDS Software saves the changes. The changes are recorded in the
Configuration Audit Trail.
Notes
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Chapter 4 Configuring the 21CFR11 Module
Configuring Data Auditing
Configuring Data Auditing
Note: This section describes how to configure data auditing. For information on
recording and viewing audit trails, see Chapter 5 on page 45.
File Types
The File Types discussed in this document can be configured for data auditing as
described in the table below.
File Type
User Runs
User Studies
Templates
System Configuration
System Calibration
System Run List
Individual Audit
Trails
Configurable
Yes. You can configure these
File Types for data auditing.
Additionally, you can configure a
user comment (Reason For
Change) to be optional or
required.
No. You cannot configure these
File Types for data auditing.
These File Types are always
audited and the auditing is silent
(that is, a Reason for Change
Entry dialog box is never
displayed to users).
Audit Trail
If data auditing is enabled,
transactions are recorded in an
Individual Audit Trail for the
*.sds, *.sdm, or *.sdt file.
Transactions are recorded in the
Configuration Audit Trail.
Transactions are recorded in the
Calibration Audit Trail.
Transactions are recorded in the
Run List Audit Trail.
When data auditing is enabled for the User Runs, User Studies, or Templates File Types,
the SDS Software creates an Individual Audit Trail for each *.sds, *.sdm, or *.sdt file.
When a user saves changes (creations, deletions, or updates) to a file, the SDS Software
records the following information in the Individual Audit Trail:
• Date & Time – The date and time the change occurred.
• User Login – The name on the logged-in user account when the change occurred.
The user account’s login name is recorded here, rather than the full name.
• Changed Data – The type of data that was affected by the change.
• Reason for Change – Any text the user may have entered in the text field of the
Reason for Change Entry dialog box when making the change.
• Details/Previous Value – The previous value of the changed data.
IMPORTANT! Changes to an *.sds, *.sdm, or *.sdt file are only recorded in the file’s
Individual Audit Trail when the changes are saved by a user. Changes are not recorded
in the Individual Audit Trail as fields are modified. For example, if a user changes the
Sample Volume field in an *.sds file from 50 to 40 to 30 to 10, then saves the *.sds file,
only one entry–indicating the changed volume from 50 to 10–is recorded in the file’s
Individual Audit Trail.
Notes
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4
Chapter 4 Configuring the 21CFR11 Module
Configuring Data Auditing
Individual Audit Trails for User Studies
For *.sdm files, the Individual Audit Trail maintains the history for the User Study itself.
As *.sds files are added to the User Study, the SDS Software creates an embedded copy
of the added *.sds file into the User Study; the User Study then has a snapshot of the
*.sds file’s Individual Audit Trail. If the *.sds file is subsequently updated, the additional
entries to the *.sds file’s Individual Audit Trail are not part of and do not affect the User
Study’s Individual Audit Trail.
Configuration,
Calibration, and
Run List Audit
Trails
Data auditing is always enabled for the System Configuration, System Calibration, and
System Run List File Types. When a user makes changes (creations, deletions, or
updates) to these System files, the SDS Software records the information below in the
appropriate audit trail.
Configuration and Calibration Audit Trails
• Date & Time – The date and time the change occurred.
• User Login – The name on the logged-in user account when the change occurred.
The user account’s login name is recorded here, rather than the full name.
• Changed Data – The type of data that was affected by the change.
• Reason for Change – This field is empty (blank).
• Details/Previous Value – The previous value of the changed data.
Run List Audit Trail
• Date & Time – The date and time the event occurred.
• User Login – The name on the logged-in user account when the event occurred.
The user account’s login name is recorded here, rather than the full name.
• Event – The event that occurred: Failed E-Signature, Failed Login, or Successful
Login.
Configuring Data
Auditing
1. In the SDS Software main menu, select 21CFR11Configuration (Admin Only).
If you do not have permission to perform the Configure System Controlled Activity,
the alert message below is displayed.
2. Select the Auditing and E-Signatures tab.
Notes
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Chapter 4 Configuring the 21CFR11 Module
Configuring Data Auditing
2
3, 4
6
3. Select the User Runs File Type (default).
4. Select the desired auditing requirements for the File Type:
• Enable Auditing – Enables auditing for the selected File Type (User Runs,
User Studies, and Templates). The SDS Software creates an Individual Audit
Trail for each *.sds, *.sdm, or *.sdt file, then records changes to the file in the
file’s Individual Audit Trail.
• Reason For Change Optional – Displays the Reason for Change Entry dialog
box, but does not require the user to enter a reason for the change in the text
field. If the user does not enter a reason, the SDS Software proceeds.
• Reason For Change Required – Displays the Reason for Change Entry
dialog box and requires the user to enter a reason for the change in the text
field. If the user does not enter a reason, the SDS Software does not proceed.
IMPORTANT! If you select Enable Auditing for a File Type, but do not select
either Reason For Change Optional or Reason For Change Required, the
auditing is silent for that File Type (that is, a Reason for Change Entry dialog box is
never displayed to users). Additionally, the Signing Type will not appear in the
Reason drop-down list of the Electronic Signature dialog box.
5. Repeat steps 3 and 4 for the remaining File Types:
• User Studies
• Templates
Note: You cannot configure the System Configuration, System Calibration, or
System Run List File Types for data auditing.
Notes
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4
Chapter 4 Configuring the 21CFR11 Module
Configuring E-Signatures
6. Click Save. The SDS Software saves the changes. The changes are recorded in the
Configuration Audit Trail.
Configuring E-Signatures
Note: This section describes how to configure E-Signatures. For information on
recording and viewing E-Signatures, see Chapter 6 on page 57.
File Types
The File Types discussed in this document can be configured for E-Signatures as
described in the table below.
File Type
User Runs
Configurable
E-Signature Tab
Yes. You can configure these
File Types to record ESignatures for predefined
Signing Types.
E-Signatures are recorded in the
E-Signatures tab in each *.sds,
*.sdm, or *.sdt file.
System Calibration
Additionally, you can configure
the E-Signature to be optional or
required for each Signing Type.
E-Signatures are recorded in the
Calibration E-Signatures tab in
the Instrument window.
System Configuration
No. You cannot configure these
File Types to record ESignatures as there are no
predefined Signing Types.
NA
User Studies
Templates
System Run List
Data Auditing and E-Signatures
Data auditing must be enabled for a File Type in order to record E-Signatures for that
File Type. For example, if you want E-Signatures to be recorded for the User Runs File
Type, you must enable data auditing for User Runs.
If you do not manually enable data auditing for the File Type (page 37), the SDS
Software automatically does it for you when you select the E-Signature requirements for
a Signing Type (see step 4 on page 42).
Signing Types
For each File Type, E-Signatures can be recorded for the Signing Types predefined in
the SDS Software, as listed in the table below.
Note: For a description of each Signing Type, see “Signing Types” on page 58.
File Type ‡
System Calibration
Signing Type
Approval of Document Submission
Approval of Calibration Data
Notes
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Chapter 4 Configuring the 21CFR11 Module
Configuring E-Signatures
File Type ‡
User Runs
Signing Type
Approval of Document Submission
Approval of Analysis Results
Approval of Analysis Settings
Approval of Calibration Data
Approval of Acquisition Data
Approval of Thermal Cycler Program
Approval of Plate Setup
User Studies
Approval of Document Submission
Approval of Analysis Results
Approval of Analysis Settings
Templates
Approval of Document Submission
Approval of Thermal Cycler Program
Approval of Plate Setup
‡ There are no predefined Signing Types for the System Configuration or System Run List
File Types.
E-Signatures
Tabs
For the System Calibration File Type, the SDS Software records E-Signatures in the
Calibration E-Signatures tab in the Instrument window. For the User Runs, User Studies,
and Templates File Types, the SDS Software records E-Signatures in the E-Signatures
tab in each *.sds, *.sdm, or *.sdt file. The SDS Software records the following
information in the E-Signatures tabs:
• Date & Time – The date and time the E-Signature was recorded.
• User Printed Name – The name on the logged-in user account when the
E-Signature was recorded. The user account’s full name is recorded here, rather
than the login name.
• Signed Data – The Signing Type for which the E-Signature was recorded.
• Status – The status of the data for which the E-Signature was recorded.
• Comment – Any text the user may have entered in the Comment field of the
Electronic Signatures dialog box.
• E-Signed Data pane – Displays the details of the signed data.
SDS ESignature
User Group
Only users who are members of the SDS ESignature User Group are allowed to
electronically sign data. For information on assigning users to the SDS ESignature User
Group, see “Creating Users and User Groups in the Operating System” on page 12.
IMPORTANT! Applied Biosystems recommends that your company provides additional
controls and SOPs for qualified E-Signature users.
Notes
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41
4
Chapter 4 Configuring the 21CFR11 Module
Configuring E-Signatures
Configuring ESignatures
1. In the SDS Software main menu, select 21CFR11Configuration (Admin Only).
If you do not have permission to perform the Configure System Controlled Activity,
the alert message below is displayed.
2. Select the Auditing and E-Signatures tab.
2
3
4
6
3. Select the System Calibration File Type.
4. Select the desired E-Signature requirement for each Signing Type specified for the
File Type:
• Optional – A user in the ESignature User Group can electronically sign for the
selected Signing Type (for example, Approval of Document Submission).
• Required – A user in the ESignature User Group must electronically sign for
the selected Signing Type. If an E-Signature is not recorded, the SDS Software
restricts further action(s) related to the Signing Type. For more information,
see “Restrictions for Required E-Signatures” on page 61.
Note: If you have not manually enabled data auditing for the File Type (page 37),
the SDS Software automatically does it for you when you select Optional or
Required for the Signing Type.
Notes
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Chapter 4 Configuring the 21CFR11 Module
Configuring E-Signatures
5. Repeat steps 3 and 4 for the remaining File Types:
• User Runs
• User Studies
• Templates
Note: You cannot configure the System Configuration or System Run List File
Types to record E-Signatures as there are no predefined Signing Types.
6. Click Save. The SDS Software saves the changes. The changes are recorded in the
Configuration Audit Trail.
4
Notes
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43
Chapter 4 Configuring the 21CFR11 Module
Configuring E-Signatures
Notes
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User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
Chapter 5
Audit Trails
Introduction
Installation
Before You Begin
See page 46
Overview
See page 46
Logging in to the
SDS Software
Configuring the
21CFR11 Module
5
Audit Trails
Recording Changes
in the Individual Audit Trails
See page 48
Viewing Audit Trails
See page 49
E-Signatures
Controlled
Activities
Notes
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45
Chapter 5 Audit Trails
Before You Begin
Before You Begin
User Group
Permissions
Logging In
To perform the procedures in this chapter, you must log in to the SDS Software as a
member of the User Group specified in each procedure. For information on configuring
User Group Permissions, see page 35.
For login procedures, see Chapter 3 on page 23.
Overview
Audit Trails
Audit trails are electronic records of transactions that occur within the SDS Software.
There are four audit trail types within the SDS Software:
Name
Description
Configuration Audit Trail
Displays the history of creations, deletions, or updates that occur
in system configuration data. This includes configuration data for
the 21CFR11 module, system analysis parameters, and
hardware.
Calibration Audit Trail
Displays the history of creations, deletions, or updates that occur
in system calibration data collected from a 7500/7500 Fast
instrument.
Note: Each 7500/7500 Fast instrument generates its own
calibration data. Each instrument’s calibration data should be
applied only to assays performed on that instrument.
Event Log
Individual Audit Trail
Displays the history of creations, deletions, or updates that occur
in an *.sds, *.sdm, or *.sdt file.
Run List Audit Trail
Displays the history of creations, deletions, or updates of the
*.sds or *.sdm files that are included in the System Run List.
The SDS Software also maintains an Event Log, which displays the history of System
Audit Events that occur in the system files. There are three predefined System Audit
Events:
• Failed login attempt
• Successful login
• Failed E-Signature attempt
Data Auditing
Configuration
System Calibration, System Configuration, and System Run List
For the System Calibration, System Configuration, and System Run List File Types:
• Data auditing is always enabled.
• The auditing is silent (that is, a Reason for Change Entry dialog box is never
displayed to users).
Notes
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Chapter 5 Audit Trails
Overview
• All saved changes are recorded in the appropriate audit trail:
– Configuration Audit Trail
– Calibration Audit Trail
– Run List Audit Trail
Transactions are recorded for the life of the Real-Time PCR System.
User Runs, User Studies, and Templates
For the User Runs, User Studies, and Templates File Types, auditing can be configured
by the SDS Software System Administrator as described in the table below.
Configuration
Description
Enabled and silent
Saved changes are recorded when a user creates, deletes, or
updates the file. A Reason for Change Entry dialog box is never
displayed.
Enabled, with Reason
For Change Optional
Saved changes are recorded when a user creates, deletes, or
updates the file. A Reason for Change Entry dialog box is displayed
and the user may optionally enter a reason for the change.
Enabled, with Reason
For Change Required
Saved changes are recorded when a user creates, deletes, or
updates the file. A Reason for Change Entry dialog box is displayed
and the user must enter a reason for the change.
Disabled
Saved changes are not recorded. A Reason for Change Entry dialog
box is never displayed.
Audit Trail
All saved changes are
recorded in the file’s
Individual Audit Trail.
Transactions are
recorded for the life of the
file.
An Individual Audit Trail is
not maintained for the
file.
IMPORTANT! The SDS Software does not maintain Individual Audit Trails for legacy
files (*.sds, *.sdm, or *.sdt files from an earlier version of the SDS Software), even when
data auditing is enabled for the File Type.
5
IMPORTANT! Changes to an *.sds, *.sdm, or *.sdt file are only recorded in the file’s
Individual Audit Trail when the changes are saved by a user. Changes are not recorded
in the Individual Audit Trail as fields are modified. For example, if a user changes the
Sample Volume field in an *.sds file from 50 to 40 to 30 to 10, then saves the *.sds file,
only one entry–indicating the changed volume from 50 to 10–is recorded in the file’s
Individual Audit Trail.
Note: For information on configuring data auditing, see page 37.
Using the Save As
Function
When using the Save As function for *.sds, *.sdm, or *.sdt files, be aware of the
following data auditing issues:
• The original file remains unchanged.
Notes
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47
Chapter 5 Audit Trails
Recording Changes in the Individual Audit Trails
• The new file is enabled/disabled for data auditing per the current data auditing
configuration for the File Type (User Runs, User Studies, or Templates).
• If the original file contains an Individual Audit Trail and data auditing is currently
enabled for the File Type, the original file’s Individual Audit Trail is copied to the
new file. In the new file’s Individual Audit Trail, the Event column displays
Created From File and the Data column displays the original file’s name.
• If the original file contains E-Signatures and data auditing is currently enabled for
the File Type, the original file’s E-Signatures are copied to the new file.
Recording Changes in the Individual Audit Trails
Assumptions
The procedure below assumes the following:
• Auditing is enabled for the File Type.
• Auditing is configured with Reason For Change Optional or Reason For Change
Required.
• You have permission to perform the desired Controlled Activities.
Recording
Changes
1. Create, update, or delete an *.sds, *.sdm, or *.sdt file.
2. When you are done, click
(Save Document) or select FileSave to save your
changes. The Reason for Change Entry dialog box is displayed.
3. Complete the text field:
• If the SDS Software System Administrator configured the data auditing as
Reason For Change Optional, you can enter a reason for the change in the text
field or leave the field empty.
Notes
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Chapter 5 Audit Trails
Viewing Audit Trails
• If the SDS Software System Administrator configured the data auditing as
Reason For Change Required, you must type a reason for the change in the
text field. If you click OK in the Reason for Change Entry dialog box without
entering text in the field, the error message below is displayed. The SDS
Software will not proceed until you enter text in the field.
4. Click OK to close the Reason for Change Entry dialog box. The SDS Software
records the text you entered in the Reason for Change Entry dialog box in the file’s
Individual Audit Trail, under the Reason for Change column. (See “Viewing an
Individual Audit Trail” on page 53 for a description of the audit trail information.)
Viewing Audit Trails
User Group
Permission
Viewing the
Configuration
Audit Trail
To perform the procedures in this section, you must log in to the SDS Software as a
member of a User Group that has permission to perform the View Audit History
Controlled Activity.
5
1. In the SDS Software main menu, select 21CFR11Configuration Audit Trail to
open the System Audit window. If you do not have permission to perform the View
Audit History Controlled Activity, the alert message below is displayed.
2. Select the Configuration Audit Trail tab (default).
Notes
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49
Chapter 5 Audit Trails
Viewing Audit Trails
Information in the Configuration Audit Trail
• Date & Time – The date and time the change occurred.
• User Login – The name on the logged-in user account when the change occurred.
The user account’s login name is recorded here, rather than the full name.
• Changed Data – The type of data that was affected by the change.
• Reason for Change – This field is empty (blank). The system configuration data is
audited silently; users cannot enter a reason for changing system configuration data.
• Details/Previous Value – The previous value of the changed data. In the left pane,
each item affected by the change is labeled with Changed Record, Added Record, or
Deleted Record.
Note: Select a row in the upper pane to view the previous value for that data in the
Previous Value pane.
Notes
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Chapter 5 Audit Trails
Viewing Audit Trails
Viewing the Event
Log
1. In the SDS Software main menu, select 21CFR11System Event Log to open the
System Audit window. If you do not have permission to perform the View Audit
History Controlled Activity, the alert message below is displayed.
2. Select the Event Log tab (default).
Information in the Event Log
• Date & Time – The date and time the event occurred.
• User Login – The name on the logged-in user account when the event occurred.
The user account’s login name is recorded here, rather than the full name.
• Event – The event that occurred: Failed E-Signature, Failed Login, or Successful
Login.
5
Notes
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51
Chapter 5 Audit Trails
Viewing Audit Trails
Viewing the
Calibration Audit
Trail
1. In the SDS Software main menu, select 21CFR11Calibration Audit Trail to
open the Instrument window. If you do not have permission to perform the View
Audit History Controlled Activity, the alert message below is displayed.
2. Select the Calibration Audit Trail tab (default).
Information in the Calibration Audit Trail
• Date & Time – The date and time the change occurred.
• User Login – The name on the logged-in user account when the change occurred.
The user account’s login name is recorded here, rather than the full name.
• Changed Data – The type of data that was affected by the change.
• Reason for Change – This field is empty (blank). The system calibration data is
audited silently; users cannot enter a reason for changing system calibration data.
• Details/Previous Value – The previous value of the changed data. In the left pane,
each item affected by the change is labeled with Changed Record, Added Record, or
Deleted Record.
Note: Select a row in the upper pane to view the previous value for that data in the
Previous Value pane.
Notes
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Chapter 5 Audit Trails
Viewing Audit Trails
Viewing an
Individual Audit
Trail
1. Open the *.sds, *.sdm, or *.sdt for which you want to view the Individual Audit
Trail.
2. Select the Audit Trail tab. If you do not have permission to perform the View Audit
History Controlled Activity, the alert message below is displayed.
5
Note: The Audit Trail tab is not available for legacy files.
Information in the Individual Audit Trails
• Date & Time – The date and time the change occurred.
• User Login – The name on the logged-in user account when the change occurred.
The user account’s login name is recorded here, rather than the full name.
• Changed Data – The type of data that was affected by the change.
• Reason for Change – Any text the user may have entered in the text field of the
Reason for Change Entry dialog box when making the change. (See “Recording
Changes” on page 48 for more information.)
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53
Chapter 5 Audit Trails
Viewing Audit Trails
• Details/Previous Value – The previous value of the changed data. In the left pane,
each item affected by the change is labeled with Changed Record, Added Record, or
Deleted Record.
Note: Select a row in the upper pane to view the previous value for that data in the
Previous Value pane.
Notes
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Chapter 5 Audit Trails
Viewing Audit Trails
Viewing the Run
List Audit Trail
1. In the SDS Software main menu, select ToolsRun List Manager to open the
Run List Manager window. If you do not have permission to perform the Manage
Run List Controlled Activity, the alert message below is displayed.
2. Select the Audit Trail tab. If you do not have permission to perform the View Audit
History Controlled Activity, the alert message below is displayed.
Information in the Run List Audit Trail
• Date & Time – The date and time the change occurred.
• User Login – The name on the logged-in user account when the change occurred.
The user account’s login name is recorded here, rather than the full name.
• Event – The change that occurred: File Created, File Imported, File Moved, File
Deleted, or Record Deleted.
• Description – The location and name of the file that was affected.
5
Notes
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Chapter 5 Audit Trails
Viewing Audit Trails
Notes
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User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
Chapter 6
E-Signatures
Introduction
Installation
Before You Begin
See page 58
Overview
See page 58
Recording E-Signatures
See page 63
Logging in to the
SDS Software
Configuring the
21CFR11 Module
Audit Trails
6
E-Signatures
Viewing E-Signatures
See page 66
Controlled
Activities
Notes
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57
Chapter 6 E-Signatures
Before You Begin
Before You Begin
User Group
Permissions
Logging In
To perform the procedures in this chapter, you must log in to the SDS Software as a
member of the User Group specified in each procedure. For information on configuring
User Group Permissions, see page 35.
For login procedures, see Chapter 3 on page 23.
Overview
E-Signatures are electronic signatures that can be recorded in the SDS Software to
approve data associated with predefined Signing Types.
Signing Types
Signing Type
Approval of
Acquisition Data
Approval of
Analysis Results
Approval of
Analysis Settings
The table below describes the Signing Types predefined in the SDS Software.
File Type ‡
Associated Data
(Data Covered by the Approval)
User Runs
Raw data collected during the run.
User Runs
User Studies
User Runs
User Studies
Analysis results.
• For each detector identified/defined in the plate:
– Detector name
– Reporter dye name
– Quencher dye name
– Description
– Comment
– Display color
– Creation time stamp
– Modification time stamp
– Owner
– Auto baseline flag setting
– Auto threshold flag setting
– Baseline begin cycle §
– Baseline end cycle §
– Threshold #
– Quality factor
• For each marker identified/define in the plate:
– Marker name
– Allele X name
– Allele Y name
– Description
– Comment
– Display color
– Creation time stamp
– Modification time stamp
– Owner
– Confidence
– Autocall flag setting
– Cluster setting
When the Approval
Can Be Performed
After the run is
completed.
When analysis results
are available.
Any time.
Notes
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Chapter 6 E-Signatures
Overview
Signing Type
Associated Data
(Data Covered by the Approval)
File Type ‡
Approval of
Calibration Data
User Runs
System Calibration
•
•
•
•
Approval of
Document
Submission
User Runs
User Studies
Templates
System Calibration
User Runs
Templates
All data in the file.
Any time.
• For each well in the plate:
– Sample name
– Description
• For each detector in the well:
– Detector name
– Task
– Quantity (AQ)
– Markers (AD)
• The method run by the instrument
• The global reaction volume
• The data collection step indicator
• The Expert Mode settings (collected filters)
Any time.
Approval of Plate
Setup
Approval of
Thermal Cycler
Program
User Runs
Templates
ROIs
Background calibration
Uniformity calibration
Pure dye calibration
When the Approval
Can Be Performed
Any time.
Any time.
‡ There are no predefined Signing Types for the System Configuration or System Run List File Types.
§ The Baseline begin cycle and Baseline end cycle values are included only if the Auto baseline flag is false.
# The Threshold value is included only if the Auto threshold flag is false.
When recording an E-Signature, the user is approving the current data associated with
the Signing Type. For example, if a user signs for Approval of Plate Setup, the current
well and detector information listed above is approved for the *.sds or *.sdt file.
IMPORTANT! When a user records an E-Signature for Approval of Document
Submission, all current data in the file is approved.
6
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59
Chapter 6 E-Signatures
Overview
E-Signatures
Configuration
The SDS Software System Administrator can configure E-Signatures as follows:
• For each File Type (User Runs, User Studies, Templates, and System Calibration),
E-Signatures can be enabled or disabled.
Note: Data auditing must also be enabled for a File Type in order to record E-
Signatures for that File Type.
• For each Signing Type within the File Type, an E-Signature can be optional or
required:
– If an E-Signature is optional, a user may or may not record an E-Signature for the
Signing Type. The SDS Software proceeds without interruption.
– If an E-Signature is required, a user must record an E-Signature for the Signing
Type. Otherwise, the SDS Software restricts further action(s) related to the
Signing Type. For a list of restrictions, see “Restrictions for Required ESignatures” on page 61.
• When E-Signatures are enabled, the E-Signature information is recorded as follows:
– For the User Runs, User Studies, and Templates File Types, the information is
recorded in the E-Signatures tab within the *.sds, *.sdm, or *.sdt file.
– For the System Calibration File Type, the information is recorded in the
Calibration E-Signatures tab within the Instrument window.
Note: For information on configuring E-Signatures, see page 40.
Notes
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Chapter 6 E-Signatures
Overview
Restrictions for
Required ESignatures
If the SDS Software System Administrator configures a Signing Type to require an ESignature, a user must record an E-Signature for the Signing Type. Otherwise, the SDS
Software restricts further action(s) related to the Signing Type (as described in the table
below) and displays an error message describing the condition.
Note: If an E-Signature is optional for the Signing Activity, the SDS Software proceeds,
whether or not a current E-Signature is recorded. If an E-Signature is required for the
Signing Activity and there is already a current E-Signature recorded, the SDS Software
proceeds.
File Type
User Runs
User Studies
Templates
System Calibration
Signing Type
Approval of Document
Restriction(s) for Required E-Signatures
Submission ‡
There are no restrictions.
Approval of Analysis Results
The data cannot be printed or exported.
Approval of Analysis Settings
Analysis cannot be performed. The data cannot be printed
or exported.
Approval of Calibration Data
Results cannot be generated. The data cannot be printed or
exported.
Approval of Acquisition Data
Results cannot be generated. The data cannot be printed or
exported.
Approval of Thermal Cycler Program
The run cannot be started. The data cannot be printed or
exported.
Approval of Plate Setup
Results cannot be generated. The data cannot be printed or
exported.
Approval of Document Submission ‡
There are no restrictions.
Approval of Analysis Results
The data cannot be printed or exported.
Approval of Analysis Settings
Analysis cannot be performed. The data cannot be printed
or exported.
Approval of Document Submission
There are no restrictions.
Approval of Thermal Cycler Program
The template cannot be used to create a run. The data
cannot be printed or exported.
Approval of Plate Setup
The template cannot be used to create a run. The data
cannot be printed or exported.
Approval of Calibration Data
Approval of Document Submission
No runs can be started.
‡
There are no restrictions.
‡ When a user records an E-Signature for Approval of Document Submission, all current data in the file is approved.
6
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61
Chapter 6 E-Signatures
Overview
Example: Starting a Run
The 7500/7500 Fast Real-Time PCR System uses the following data to perform a run:
• Thermal cycler program data
• System calibration data
There are two Signing Types that include this data:
File Type
Signing Type
User Runs
Approval of Thermal Cycler Program
System Calibration
Approval of Calibration Data
If either Signing Type (Approval of Thermal Cycler Program or Approval of Calibration
Data) is configured to require an E-Signature and a current E-Signature is not recorded
for the Signing Type, the SDS Software cannot use the data. The SDS Software does not
allow the user to start the run and displays one of the error messages shown below.
This error message is displayed if an E-Signature is required but not recorded for the
Approval of Thermal Cycler Program Signing Type.
This error message is displayed if an E-Signature is required but not recorded for the
Approval of Calibration Data Signing Type.
This error message is displayed if an E-Signature is required but not recorded for
both the Approval of Thermal Cycler Program and Approval of Calibration Data
Signing Types.
Notes
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Chapter 6 E-Signatures
Recording E-Signatures
Recording E-Signatures
The SDS Software does not prompt users to record E-Signatures, even when a Signing
Type is configured to require an E-Signature. As described in the following procedures,
you must manually access the Electronic Signatures dialog box:
• For the User Runs, User Studies, and Templates File Types, see page 63.
• For the System Calibration File Type, see page 65.
IMPORTANT! Though you do not receive a prompt when an E-Signature is required, the
SDS Software restricts further action(s) related to the Signing Type until an E-Signature
is obtained. If you attempt to use data that requires an E-Signature and no current ESignature exists, the SDS Software displays an error message describing the condition.
For more information, see “Restrictions for Required E-Signatures” on page 61.
User Group
Permissions
Assumptions
Only users who are members of the SDS ESignature User Group are allowed to record
E-Signatures.
The procedures below assume the following:
• Data auditing is enabled for the File Type.
• E-Signatures have been configured as either Optional or Required.
For User Runs,
User Studies, and
Templates
1. Open the *.sds, *.sdm, or *.sdt for which you want to approve a Signing Type.
2. In the SDS Software main menu, select 21CFR11Enter E-Signature.
Note: If changes have been
made to the file but not yet
saved, the error message at right
is displayed. You will not be
allowed to record an E-Signature
until you click Save And
Continue.
3. Complete the Electronic Signature dialog box:
a. In the User name field, enter your login name (for example, 7500Scientist).
6
b. Enter your Password.
c. Select a Signing Type from the Reason drop-down list.
Note: If the SDS Software System Administrator configured the Reason For
Change for a Signing Type as not optional and not required, the Signing Type
will not appear in the Reason drop-down list.
d. (Optional) Enter a comment.
Notes
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Chapter 6 E-Signatures
Recording E-Signatures
The file name is
displayed here.
3a
3b
3c
3d
4
Note: The Electronic Signature dialog box shown above is for *.sds files. The
Electronic Signature dialog boxes for *.sdm and *.sdt files display different Signing
Types in the Reason drop-down menu.
4. Click OK:
• If you are not a member of the SDS ESignature User Group, the alert message
below is displayed.
• If you are a member of the SDS ESignature User Group, the SDS Software
records the E-Signature information in the E-Signatures tab of the *.sds,
*.sdm, or *.sdt file. (See “For User Runs, User Studies, and Templates” on
page 66 for a description of the E-Signature information.)
Notes
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Chapter 6 E-Signatures
Recording E-Signatures
For System
Calibration
1. In the SDS Software main menu, select 21CFR11Calibration E-Signatures to
open the Instrument window.
2. Select the tab Calibration E-Signatures tab (default).
3. Click Add Calibration E-Signature.
4. In the Electronic Signature dialog box:
a. In the User name field, enter your login name (for example, 7500Admin).
b. Enter your Password.
c. Select a Signing Type from the Reason drop-down list.
Note: If the SDS Software System Administrator configured the Reason For
Change for a Signing Type as not optional and not required, the Signing Type
will not appear in the Reason drop-down list.
d. (Optional) Enter a comment.
The file name is
displayed here.
3a
3b
3c
3d
4
5. Click OK:
• If you are not a member of the SDS ESignature User Group, the alert message
below is displayed.
Notes
User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
65
6
Chapter 6 E-Signatures
Viewing E-Signatures
• If you are a member of the SDS ESignature User Group, the SDS Software
records the E-Signature information in the Calibration E-Signatures tab of the
Instrument window. (See “For System Calibration” on page 69 for a
description of the E-Signature information.)
Viewing E-Signatures
User Group
Permission
For User Runs,
User Studies, and
Templates
All users are allowed to view the E-Signatures for the User Runs, User Studies,
Templates, and System Calibration File Types.
1. Open the *.sds, *.sdm, or *.sdt for which you want to view the E-Signatures.
2. Select the E-Signatures tab.
Note: The E-Signatures tab is not available for legacy files.
Information in the E-Signatures Tab
• Date & Time – The date and time the E-Signature was recorded.
• User Printed Name – The user who recorded the E-Signature. The user’s full name
is recorded here, rather than the user’s login name.
Notes
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User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
Chapter 6 E-Signatures
Viewing E-Signatures
• Signed Data – The Signing Type for which the E-Signature was recorded:
File Type
User Runs
Signing Type
Approval of Document Submission
Approval of Analysis Results
Approval of Analysis Settings
Approval of Calibration Data
Approval of Acquisition Data
Approval of Thermal Cycler Program
Approval of Plate Setup
User Studies
Approval of Document Submission
Approval of Analysis Results
Approval of Analysis Settings
Templates
Approval of Document Submission
Approval of Thermal Cycler Program
Approval of Plate Setup
• Status – The status of the data for which the E-Signature was recorded: Current or
Obsolete. Obsolete indicates that the data has been superseded by newer data.
• Comment – Any text the user may have entered in the Comment field of the
Electronic Signatures dialog box.
• E-Signed Data pane – Displays the details of the signed data. (Select a row in the
upper pane to view the details for that data in the E-Signed Data pane.)
6
Notes
User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
67
Chapter 6 E-Signatures
Viewing E-Signatures
Notes
68
User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
Chapter 6 E-Signatures
Viewing E-Signatures
For System
Calibration
1. In the SDS Software main menu, select 21CFR11Calibration E-Signatures to
open the Instrument window.
2. Select the tab Calibration E-Signatures tab (default).
Information in the Calibration E-Signatures Tab
• Date & Time – The date and time the E-Signature was recorded.
• User Printed Name – The user who recorded the E-Signature. The user’s full name
is recorded here, rather than the user’s login name.
• Signed Data – The Signing Type for which the E-Signature was recorded:
Approval of Calibration Data and Approval of Document Submission.
• Status – The status of the data for which the E-Signature was recorded: Current or
Obsolete. Obsolete indicates that the data has been superseded by newer data.
• Comment – Any text the user may have entered in the Comment field of the
Electronic Signatures dialog box.
• E-Signed Data pane – Displays the details of the signed data. (Select a row in the
upper pane to view the details for that data in the E-Signed Data pane.)
6
Notes
User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
69
Chapter 6 E-Signatures
Viewing E-Signatures
Notes
70
User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
Chapter 7
Controlled Activities
Introduction
Installation
Overview
See page 72
Analyze Data File
See page 73
Calibrate System
See page 73
Configure System
See page 74
Create SDS File
See page 74
Delete SDS File
See page 75
Export Results
See page 75
Export Setup
See page 76
Manage Run List
See page 77
Perform Function Test
See page 78
Print Report
See page 78
Save SDS File
See page 79
Start Run
See page 79
Stop Run
See page 80
View Audit History
See page 80
Logging in to the
SDS Software
Configuring the
21CFR11 Module
Audit Trails
E-Signatures
Controlled
Activities
7
Notes
User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
71
Chapter 7 Controlled Activities
Overview
Overview
Within the SDS Software, Controlled Activities are operations that users can either be
allowed to perform or prevented from performing. A user’s access to a Controlled
Activity is based on the User Group(s) to which he or she belongs. Each of the
Controlled Activities within the SDS Software can be permitted to any combination of
the following User Groups:
•
•
•
•
SDS Administrators
SDS Scientists
SDS Technicians
SDS Service
Note: For information on assigning users to User Groups, see “Creating Users and User
Groups in the Operating System” on page 12. For information on assigning Controlled
Activities to User Groups, see “Configuring User Group Permissions” on page 35.
Controlled
Activities
Information in
This Chapter
The following Controlled Activities are predefined in the SDS Software:
•
•
•
•
•
•
•
•
•
•
•
•
•
•
Analyze Data File (page 73)
Calibrate System (page 73)
Configure System (page 74)
Create SDS File (page 74)
Delete SDS File (page 75)
Export Results (page 75)
Export Setup (page 76)
Manage Run List (page 77)
Perform Function Test (page 78)
Print Report (page 78)
Save SDS File (page 79)
Start Run (page 79)
Stop Run (page 80)
View Audit History (page 80)
This chapter describes:
• The function of each Controlled Activity.
• The User Group permission required to perform each Controlled Activity.
With the exception of Configure System and View Audit History, procedures for
performing the Controlled Activities are not provided in this document.
• For procedures on performing the Configure System Controlled Activity, see
“Configuring the 21CFR11 Module” on page 31.
Notes
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User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
Chapter 7 Controlled Activities
Analyze Data File
• For procedures on performing the View Audit History Controlled Activity, see
“Viewing Audit Trails” on page 49.
• For procedures on performing the remaining Controlled Activities, see the SDS
Online Help and the assay Getting Started Guides.
Analyze Data File
The Analyze Data File Controlled Activity controls the ability of users to analyze the
User Runs File Type.
User Group
Permission
The user must belong to a User Group that has permission to perform the Analyze Data
File Controlled Activity.
• If the user has permission, the SDS Software proceeds. No message or prompt is
displayed.
• If the user does not have permission, the alert message below is displayed. The user
cannot analyze the file.
Calibrate System
The Calibrate System Controlled Activity controls the ability of users to calibrate the
Real-Time PCR System.
User Group
Permission
The user must belong to a User Group that has permission to perform the Calibrate
System Controlled Activity.
• If the user has permission, the SDS Software proceeds. No message or prompt is
displayed.
• If the user does not have permission, the alert message below is displayed. The user
cannot calibrate the Real-Time PCR System.
7
Notes
User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
73
Chapter 7 Controlled Activities
Configure System
Configure System
The Configure System Controlled Activity controls the ability of users to configure the
21CFR11 module in the SDS Software.
Note: For procedures on performing the Configure System Controlled Activity, see
“Configuring the 21CFR11 Module” on page 31.
User Group
Permission
The user must belong to a User Group that has permission to perform the Configure
System Controlled Activity.
• If the user has permission, the SDS Software proceeds. No message or prompt is
displayed.
• If the user does not have permission, the alert message below is displayed. The user
cannot configure the 21CFR11 module.
Create SDS File
The Create SDS File Controlled Activity controls the ability of users to create the User
Runs, User Studies, and Templates File Types.
User Group
Permissions
The user must belong to a User Group that has permission to perform the Create SDS
File Controlled Activity.
• If the user has permission, the SDS Software proceeds. No message or prompt is
displayed.
• If the user does not have permission, the alert message below is displayed. The user
cannot create a file.
Notes
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User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
Chapter 7 Controlled Activities
Delete SDS File
Delete SDS File
The Delete SDS File Controlled Activity controls the ability of users to delete the User
Runs, User Studies, and Templates File Types.
User Group
Permissions
The user must belong to a User Group that has permission to perform the Delete SDS
File Controlled Activity.
• If the user has permission, the SDS Software proceeds. No message or prompt is
displayed.
• If the user does not have permission, the alert message below is displayed. The user
cannot delete the file.
Export Results
The Export Results Controlled Activity controls the ability of users to export results for
the User Runs, User Studies, and Templates File Types.
User Group
Permission
The user must belong to a User Group that has permission to perform the Export Results
Controlled Activity.
• If the user has permission, the SDS Software proceeds. No message or prompt is
displayed.
• If the user does not have permission, the alert message below is displayed. The user
cannot export the results.
7
Notes
User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
75
Chapter 7 Controlled Activities
Export Setup
Export Setup
The Export Setup Controlled Activity controls the ability of users to export the plate
setup information for the User Runs and Templates File Types.
User Group
Permission
The user must belong to a User Group that has permission to perform the Export Setup
Controlled Activity.
• If the user has permission, the SDS Software proceeds. No message or prompt is
displayed.
• If the user does not have permission, the alert message below is displayed. The user
cannot export the plate setup information.
Notes
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User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
Chapter 7 Controlled Activities
Manage Run List
Manage Run List
The Manage Run List Controlled Activity controls access to the Run List Manager. Once
in the Run List Manager, users can open, move, delete, and import the User Runs and
User Studies File Types.
User Group
Permission
The user must belong to a User Group that has permission to perform the Manage Run
List Controlled Activity.
• If the user has permission, the SDS Software proceeds. No message or prompt is
displayed.
• If the user does not have permission, the alert message below is displayed. The user
cannot open the Run List Manager.
Access Problems
Users who have access to the Run List Manager will not be able to open, move, delete,
or import *.sds or *.sdm files in the following instances:
• They do not have access to the file location (that is, the user who created the file
placed it in a location only he or she can access).
• The file has been deleted or moved using the Windows XP operating system.
IMPORTANT! The SDS Software does not track changes made to *.sds, *.sdm, or
*.sdt files by the Windows XP operating system.
7
Notes
User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
77
Chapter 7 Controlled Activities
Perform Function Test
Perform Function Test
The Perform Function Test Controlled Activity controls the ability of users to perform
functional tests on the Real-Time PCR System.
User Group
Permission
The user must belong to a User Group that has permission to perform the Perform
Function Test Controlled Activity.
• If the user has permission, the SDS Software proceeds. No message or prompt is
displayed.
• If the user does not have permission, the alert message below is displayed. The user
cannot perform any functional tests.
Print Report
The Print Report Controlled Activity controls the ability of users to print reports for the
User Runs, User Studies, and Templates File Types.
User Group
Permission
The user must belong to a User Group that has permission to perform the Print Report
Controlled Activity.
• If the user has permission, the SDS Software proceeds. No message or prompt is
displayed.
• If the user does not have permission, the alert message below is displayed. The user
cannot print any reports.
Notes
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User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
Chapter 7 Controlled Activities
Save SDS File
Save SDS File
The Save SDS File Controlled Activity controls the ability of users to save changes to the
User Runs, User Studies, and Templates File Types. This includes both the FileSave
and FileSave As functions.
User Group
Permission
The user must belong to a User Group that has permission to perform the Save SDS File
Controlled Activity.
• If the user has permission, the SDS Software proceeds. No message or prompt is
displayed.
• If the user does not have permission, the alert message below is displayed. The user
cannot save the file.
Start Run
The Start Run Controlled Activity controls the ability of users to start runs.
User Group
Permission
The user must belong to a User Group that has permission to perform the Start Run
Controlled Activity.
• If the user has permission, the SDS Software proceeds. No message or prompt is
displayed.
• If the user does not have permission, the alert message below is displayed. The user
cannot start the run.
7
Notes
User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
79
Chapter 7 Controlled Activities
Stop Run
Stop Run
The Stop Run Controlled Activity controls the ability of users to stop runs.
User Group
Permission
The user must belong to a User Group that has permission to perform the Stop Run
Controlled Activity.
• If the user has permission, the SDS Software proceeds. No message or prompt is
displayed.
• If the user does not have permission, the alert message below is displayed. The user
cannot stop the run.
View Audit History
The View Audit History Controlled Activity controls the ability of users to view the audit
trails within the SDS Software.
Note: For procedures on viewing and recording audit trails, see Chapter 5 on page 49.
User Group
Permission
The user must belong to a User Group that has permission to perform the View Audit
History Controlled Activity.
• If the user has permission, the SDS Software proceeds. No message or prompt is
displayed.
• If the user does not have permission, the alert message below is displayed. The user
cannot view the audit trail.
Notes
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User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
Glossary
*.sdm file
SDS Multi-Plate Document.
*.sds file
SDS Document.
*.sdt file
SDS Template.
21CFR11 module
See 21 CFR Part 11 module.
21 CFR Part 11
module
An enhancement to SDS Software v1.4 that can be purchased separately. The 21 CFR Part
11 module can assist users in complying with FDA Title 21 Code of Federal Regulations
Part 11, which regulates electronic records and electronic signatures.
authentication
A determination made by the SDS Software that a user has a valid user account, which is
required to log in to the SDS Software. In order for the user account to be valid, it must be:
• Created in the Microsoft® Windows® XP operating system, and
• Be a member of at least one of the SDS Software User Groups.
Calibration Audit
Trail
A data auditing record that displays the history of creations, deletions, or updates that
occur in system calibration data collected from a 7500/7500 Fast instrument.
Configuration Audit
Trail
A data auditing record that displays the history of creations, deletions, or updates that
occur in system configuration data. This includes configuration data for the 21CFR11
module, system analysis parameters, and hardware.
Controlled Activity
A predefined operation in the SDS Software that users are either allowed to perform or
prevented from performing (for example, Configure System).
data auditing
A feature of the 21CFR11 module that records changes (creations, deletions, and updates)
over time for SDS File Types. The record of changes can be viewed in the SDS Software
audit trails:
•
•
•
•
E-Signatures
Calibration Audit Trail
Configuration Audit Trail
Individual Audit Trail
Run List Audit Trail
1) Electronic signatures. An E-Signature is the electronic equivalent of a user’s
handwritten signature.
2) A feature of the 21CFR11 module that regulates E-Signatures for Signing Types
predefined for the SDS File Types.
User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
81
Glossary
Event Log
A record that displays the history of System Audit Events that occur in the system files.
There are three predefined System Audit Events:
• Failed login attempt
• Successful login
• Failed E-Signature attempt
FDA
Food and Drug Administration.
File Type
The file categories that occur within the SDS Software. The File Types discussed in this
document are:
•
•
•
•
•
•
User Runs, which are stored in SDS Documents (*.sds files).
User Studies, which are stored in SDS Multi-Plate Documents (*.sdm files).
Templates, which are stored in SDS Templates (*.sdt files).
System Configuration.
System Calibration.
System Run List.
Individual Audit
Trail
A data auditing record that displays the history of creations, deletions, or updates that
occur in an *.sds, *.sdm, or *.sdt file.
legacy file
A file containing a User Run, User Study, or Template from an earlier version of the SDS
Software. Data auditing and E-Signatures cannot be enabled for legacy files.
permission
The right to perform a particular Controlled Activity.
Run List Audit Trail
A data auditing record that displays the history of creations, deletions, or updates of the
*.sds or *.sdm files that are included in the System Run List.
SDS
Sequence Detection System.
SDS Software
Sequence Detection System Software.
Signing Type
A predefined category in the SDS Software for which an E-Signature can be recorded.
Each Signing Type has a defined meaning and associated data fields when applied to a
specific File Type file.
For example, a user who records an E-Signature in an *.sds file for the Signing Type
Approval of Plate Setup, is approving the current well and detector information for that
*.sds file.
system
The SDS chemistry, consumables, instrument, and software.
System Run List
References to all User Runs and User Studies created in or imported into the SDS
Software.
user
The individual running the SDS Software.
82
User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
Glossary
User Group
A collection of user accounts managed by the Windows XP operating system. There are
five User Groups that the SDS Software is programmed to recognize:
•
•
•
•
•
wizard
SDS Administrators
SDS Scientists
SDS Technicians
SDS Service
SDS ESignature
A software application that guides a user through a sequence of activities.
User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
83
Glossary
84
User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
Index
Numerics
21CFR11 module
and the Configure System Controlled Activity
configurable features 3, 32
configuring 11, 31
configuring after installation 11
definition 81
features 2
procedures required to install 9, 10
registration code 10, 24
74
A
Analyze Data File 73
Applied Biosystems
contacting viii
customer feedback on documentation viii
Information Development department viii
Technical Support viii
assumptions for using this guide v
audit trails
data auditing configuration 46
recording changes 48
viewing 49
within the SDS Software 46
B
Best Practices 5
bold text, when to use
v
D
C
Calibrate System 73
Calibration Audit Trail
and configuring data auditing
description 46
viewing 52
CAUTION, description vi
compliance 4
configurable features 32
data auditing 37
E-Signatures 40
idle timeout 33
User Group permissions 35
Configuration Audit Trail
description 46
viewing 49
Configure System 74
Controlled Activities
Analyze Data File 73
and User Group permissions 35
Calibrate System 73
Configure System 74
Create SDS File 74
Delete SDS File 75
Export Results 75
Export Setup 76
Manage Run List 77
Perform Function Test 78
predefined in the SDS Software 72
Print Report 78
Save SDS File 79
Start Run 79
Stop Run 80
View Audit History 80
conventions
bold text v
for describing menu commands v
IMPORTANT! vi
in this guide v
italic text v
Notes vi
user attention words vi
Create SDS File 74
customer feedback, on Applied Biosystems
documents viii
38
User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
data auditing
and File Types 37
Calibration Audit Trail 38
configuring 37
Individual Audit Trail 37
Run List Audit Trail 38
System Configuration data 32
Delete SDS File 75
documentation, related vii
domain 25
E
errors
Save and Export functions
28
85
Index
E-Signatures
and data auditing 40
and File Types 40
and Signing Types 40
configuration 60
configuring 40
ESignatures User Group 41
recording 63
restrictions for required E-Signatures 61
viewing 66
E-Signatures tabs 41
Calibration 69
User Runs, User Studies, Templates 66
ESignatures User Group 41
Event Log
description 46
viewing 51
Export functions, errors 28
Export Results 75
Export Setup 76
F
FDA Title 21 Code of Federal Regulations Part 11
compliance information 4
FDA website 4
regulation 2
FDA website 4
File Types
and data auditing 37
and E-Signatures 40
definition 82
discussed in this document 3
Signing Types for 58, 61
H
Help system, accessing
vii
I
idle timeout
configuring 33
value 34
Individual Audit Trail
and configuring data auditing 37
description 46
recording changes in 48
saved changes 37
User Studies 38
viewing 53
Information Development department, contacting viii
installation
method 8
required privileges 8
using the Installation and Maintenance Guide 8
86
using the Real-Time System Setup Wizard
italic text, when to use v
8, 9
L
logging in to the SDS Software
24
M
Manage Run List 77
menu commands, conventions for describing
MSDSs, obtaining viii
multiple user accounts 27
v
O
online Help. See Help system
P
passwords 13
Perform Function Test
Print Report 78
78
R
Real-Time System Setup Wizard 8
registration code 10, 24
Run List Audit Trail
and configuring data auditing 38
description 46
viewing 55
S
Save As Function 47
Save functions, errors 28
Save SDS File 79
SDS Software
audit trails 46
Controlled Activities 72
installation method 8
installing 7
logging in 24
Signing Types 58
Signing Types
and E-Signatures 40
associated data 58
predefined in the SDS Software
restrictions 61
Start Run 79
Stop Run 80
58
T
Technical Support, contacting
viii
User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
Index
text conventions v
training, information on
viii
U
user attention words, described vi
User Groups
and Controlled Activities 35
and the Windows XP operating system 12
configuring permissions 35
Controlled Activities 35
creating 14
creating after installation 9
creating during installation 10
users
adding to an existing User Group 18
and the Windows XP operating system 12
assigning to multiple User Groups 14, 18
creating 12
creating after installation 9
creating during installation 10
multiple user accounts 27
passwords 13
V
View Audit History
80
W
WARNING, description vi
wizard. See Real-Time System Setup Wizard
User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
87
Index
88
User Guide for the 21 CFR Part 11 Module in SDS Software v1.4
Worldwide Sales and Support
Applied Biosystems vast distribution and
service network, composed of highly trained
support and applications personnel,
reaches 150 countries on six continents.
For sales office locations and technical support,
please call our local office or refer to our
Web site at www.appliedbiosystems.com.
Applied Biosystems is committed to
providing the world’s leading technology
and information for life scientists.
Headquarters
850 Lincoln Centre Drive
Foster City, CA 94404 USA
Phone: +1 650.638.5800
Toll Free (In North America): +1 800.345.5224
Fax: +1 650.638.5884
06/2010
www.appliedbiosystems.com
Part Number 4374432 Rev. C
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