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VALIDATION

1. Load File Unload File Unload All Files Save File As Undo Changes Save File Send File Send File to GRAMS Send File to Instep Delete Data Blocks External Program VisualBasic Script Load Data Point Table Scan OPUS Files Find OPUS Files Clone Entry Clone Original Add Comment RS 232 Communication Copy Data Block Change Data Block Type My Work New En IS Print Print Preview Print Setup 1 default ows Exit TF gt Bas os Li SN ZG BZ gt lt Edit Menu Edit Parameter Replay Attach Video Image Remove Traces Add Information Setup Information Mask Import Structure Edit Create Structure Attach Structure Convert 3 D Jcamp Create Spectrum From Structure Contour Levels Setup Filelist Cluster Lists Undo Cut Copy Paste Paste Special Copy To Image File Insert New Object Links Bruker Optik GmbH OPUS VALIDATION 53 Measure Menu GKE NK ZZ RE b eb E Ez B ZEZ AR EVER opus LAB Advanced Measurement Setup Measurement Parameters Routine Measurement Repeated Measurements Rapid Scan Time Resolved Measurement Direct Command Entry Optic Setup and Service Optics Diagnostics Temperature Control Motorized Stage Control video Assisted Measurement Time Resolved Step Scan Chromatography Step Scan Modulation Interleaved Time Resolved Measurement FPA Step Scan Continuous Scan FPA
2. 2 5 Validating Methods Macros VB Scripts and other Software 2 5 1 Evaluation Methods Extended OPUS packages like QUANT and IDENT or other evaluation functions like Integration and Peak Picking have been validated by Bruker This means that the algorithms used for these methods have been proven to work properly If you are going to develop methods based on these functions e g quantification of a certain component in combination with QUANT you have to validate these specific methods yourself The QUANT and IDENT software packages provide tools for method validation For further details see the OPUS QUANT and IDENT manuals OPUS assists you in this respect by restricting the use and setup of methods to signed with released category methods or spectra Bruker Optik GmbH OPUS VALIDATION 7 Software Validation Note The release signature has to be the last entry in the History Block of the spectra If the evaluation method shall be modified later and some of the original spectra in the method have been modified in the meantime these spectra have to be signed by the release category again 2 5 2 Macros Macros can be used to comply with paragraph 11 10 f of the 27 CFR Part 11 regulation User written macros should be validated as well Note that you can only use validated OPUS functions within the macro otherwise the macros might not run when activating the Work in validated environment check box Macros can be easily
3. OPUS Spectroscopy Software User Manual VALIDATION gt lt BRUKER LL O 2006 BRUKER OPTIK GmbH Rudolf Plank StraBe 27 D 76275 Ettlingen www brukeroptics com All rights reserved No part of this manual may be reproduced or transmitted in any form or by any means including printing photocopying microfilm electronic systems etc without our prior written permission Brand names registered trademarks etc used in this manual even if not explicitly marked as such are not to be considered unprotected by trademarks law They are the property of their respective owner The following publication has been worked out with utmost care However Bruker Optik GmbH does not accept any liability for the correctness of the information Bruker Optik GmbH reserves the right to make changes to the products described in this manual without notice This manual is the original documentation for the OPUS spectroscopic software Table of Contents 1 Introd ction AAA ASAS aa eas 1 1 1 General aii AA AS ES 1 1 2 ugal 1 1 3 GRASA 2 2 Soltware Validation ii A las 3 21 Reference to 2 CFR Part Il lt td A 3 2 2 Generala AEE 3 2 3 Validation Sua 3 2 3 1 Working in GLP Mode veritas a gi ed a 4 2 3 2 Working in Validated Environment u u 5 2 4 OPUS Test Plans ee is Ses ar aar edere 7 2 5 Validating Methods Macros VB Scripts and other Software 7 25 1 Evaluation Methods atar raer gada Zi garr taa dada 7 25 25 Macros
4. 2 AREA A E AAA genet a hie ee 8 2 5 3 Visual Basic A A a tdt 9 Daa Other Software A A II Eee 9 2 6 A A MEAS patna dgn de 9 3 System Access Control AA ee en eeys 11 3 1 Reference to 21 CFR Part 11 cas aaa Ponto rubia pos 11 3 2 General senn saire ai bee a d a bara Ea b mana 11 3 3 Access Control Features of the Operating System 11 A General AO A A E E E d 11 3 3 2 beu Points of Access Control Features for the Operating System 12 3 4 OPUS AecEss Control lara puedo paridad ad Habs 13 ZAL General A 2 ease Goin Uk Bacar ante Seeman Ae eRe Bade 13 3 4 2 First Time OPUS Logs et Gra dar 13 3 4 3 Adding a New User to the User Database 14 SAA Global Options da A AE Eee 18 SASS O A edi eiza son A dT 19 3 4 6 User Dependent AGITU 20 SAT MOSOUl 5 ias a Sii Seek Zei 22 3 4 8 Change User Password essa as dad a aes 22 SAD Br kef Service ue EAEk a is ES gra 23 3 4 10 Key Points of OPUS Access Control o oo oooooooooo o 24 3 5 OPUS Workspace Configuration u u 24 JSL General 2 24 2454 vo O ZU A a 24 3 5 2 Customizing Toolbars diia ar caine de Gare aen 25 3 5 3 Customizing Menus tr AA to bars 27 3 5 4 Adding Macros and Visual Basic Scripts to the OPUS Ee reee aaa EE gra i 28 3 5 5 Basic Path Settings ni o gia Ede ie taiutu 28 111 3 5 6 Access Restrictions 0 eee eee eae 29 3 5 7 Key Points of Workspace Configuration 30 Electronic Signatures e arg aa e E
5. A Entry field for the minimum length of user ID B Entry field for the minimum length of password C Check box to enable empty passwords D Entry field for the maximum number of illegal login attempts E Entry field for the number of password recorded by OPUS F Check box to lock OPUS after a certain period of time has passed If you deactivate the Password never expires check box an additional entry field will be displayed to specify the password duration in days 18 OPUS VALIDATION Bruker Optik GmbH OPUS Access Control Password never expires Password duration days 30 Figure 10 Password Duration If the password duration is expired you have to specify a new password see chapter 3 4 8 3 4 5 User Login If you start OPUS the next time the new user MAY can be selected from the User ID drop down list in the OPUS Login dialog OPUS Login UserID May e Defaut OPERATOR Bruker Service Password E i Assigned workspaces je A0PUSASimplel Guz Login Exit from OPUS Figure 11 User Login The workspaces which have been assigned to the user Mayer 1 e Simplel ows and Simple2 ows can be selected from the Assigned workspaces drop down list OPUS Login UserID hay Mayer OPERATOR Password E Exit from OPUS Figure 12 User Login Select Workspace If you enter a wrong or mistyped password a warning message pops up indicating the number of remaining login
6. Bruker Optik GmbH OPUS VALIDATION 3 Software Validation User Settings x General H CRT Rights Preferences Display Diagnostics Company Settings r User has the right to MV Change parameters IV Customize workspace JV Edit VBScripts IV Change user rights and add new workspaces Validation options TT Work in validated environment 21 CFR 11 Work in GLP mode Save original data OK Cancel Apply Help oe Figure 1 User Settings 21 CFR 11 Rights Several options are available in two group fields The options in the User has the right to group field are explained in more detail in chapter 3 5 The Validation options group field with the 27 CFR 11 logo provides two different options e Work in validated environment e Work in GLP mode Save original data Note that all options on this tab do not depend on the kind of user logged in but on the workspace specified i e the options are stored in the workspace Therefore it is essential to activate the required options for all workspaces which are used on the system For more details on the OPUS workspace philosophy refer to chapter 3 5 2 3 1 Working in GLP Mode To work in GLP mode activate the Work in GLP mode Save original data check box figure 1 In this case the original measured spectra are securely stored in the spectrum data file The original data will not be overwritten or deleted in OPUS If you use different manipulat
7. Commands drop down list B If you click on any command in this drop down list a short text C comes up describing this command For further information on this dialog refer to the OPUS Reference Manual Bruker Optik GmbH OPUS VALIDATION 25 System Access Control The Toolbars tab helps to define which OPUS toolbar is to be displayed xi Commands Toolbars Menu Options Toolbars peritua EO v Display Edit Info Reset All VJE valuate Ek New Macro GO Manipulate Hename d Measurement Menu Bar Delete Print i Print Layout Editor Setup x b Show text labels Figure 21 Customize Toolbars Therefore set a check mark in front of the toolbar name If you remove the check mark the toolbar will not be displayed To generate additional toolbars proceed click on the New button For further detailed information on this subject refer to the OPUS Reference Manual To reset the standard OPUS toolbars i e have them displayed by their default symbols names and commands set a check mark in front of the toolbar name and click on the Reset button Similar to this all toolbars which have a check mark in front can be set to their default contents by clicking on the Reset All button Further settings can be made on the Options tab For details refer to the OPUS Reference Manual 26 OPUS VALIDATION Bruker Optik GmbH OPUS Workspace Config
8. 1 Method Q2 Quant 2 Method Quantitative Analysis 2 Setup Quant 2 Method Q2V Quant Validation Result Setup Quant 2 Method Evaluate Menu SEARCH DOL D14 Spectrum Libraries OPUS Format All Search functions Library creation Library K01 K03 Editor Library Browser S01 S02 TXD CSS CWS Spectrum Libraries Sadtler Format All Search functions Library Browser DAT IDX INF IPK ISM NAM SCR LLS Library List All Search functions RNG Frequency Range List Spectrum Search PKL Peak Search Query Peak Search INL Info Search Query Information Search MTD Method file for user library Initialize Library TXD Info Text Definition for user library Initialize Library Evaluate Menu IDENT FAA IDENT Method Identity Test Setup Identity Test Method VAL Validation Report Setup Identity Test Method Evaluate Menu Cluster Analysis CLA Cluster Analysis Method Cluster Analysis Cluster Analysis Test Print Menu PLE Plot Layout Print Spectra Quick Print Plot Layout Editor Bruker Optik GmbH OPUS VALIDATION 63 64 OPUS VALIDATION Bruker Optik GmbH Index Numerics 21 CFR Part 11 1 A Access Control 11 13 Adding Macros 28 Administrator Rights 12 Audit Trail 20 Changing Password 22 Customizing Menus 27 Customizing Toolbars 25 Database 14 Features 13 Global Options 18 Key Points 12 24 L
9. 103 B 20020114 YP428Y04 13 A Quantitative Analysis 1 IgRefl gt lgRefl Quant 2002 01 18 10 42 Quant 1 Method Path C OPUS QUANT Quant 1 Method NIR1 The audit trail of the spectrum shows path and filename of the used method file A B C D NIR1 g1 Signed by Dr Hein Som 2002 01 18 10 42 12 UTC 1 with Release Method File NIR1 q1 2002 01 18 10 42 12 UTC 1 The QUANT report shows the filename B the name of the user who signed the method C and date and time when the signature has been performed D The unambiguousness of the method reference is guaranteed by the unique combination of B C and D If a method has to be changed you have two options e Option 1 store the changed method by using a new file name e Option 2 store the changed method by using the same file name Option 1 is the preferred option for daily routine work The advantage is that you can repeat a previous analysis at any time if required Archive the old method as soon as you have stored a new modified method To prevent an old method from being accidentally overwritten sign it by the Release And Lock category see chapter 4 5 Disadvantage Macros calling up a dedicated method name will not execute any more Option 2 should only be used during the development and test phase of a method The audit trail which is stored in the method clearly shows all initial settings and changes made during development 5 3 4 Copying and Archivi
10. 12 12 16 26 UTC 1 E Figure 16 User Management Audit Trail A Use this button to go to the previous user record B User name C Use this button to go to the next user record D The selection field shows the audit trail with User ID actions performed date and time of the single actions E This button clears the audit trail of the selected user Note that the audit trail cannot be restored F This button allows the current audit trail to be exported into a text file for archiving G This button allows the audit trails of all users to be exported into a text file for archiving H You must store the record if you have cleared the audit trail The audit trail cannot be deleted or modified by standard operators as they have no access to the User Management command Bruker Optik GmbH OPUS VALIDATION 21 System Access Control 3 4 7 Logout The Logout command in the Setup menu allows to change between users without closing OPUS If you click on the Logout command the OPUS Login dialog will be displayed see chapter 3 4 2 You can either login again using the same or a different user ID or exit OPUS Thus selecting the Logout command also allows to temporarily lock OPUS 3 4 8 Change User Password Whenever required each user can change his password provided the user is logged into OPUS by the previous password Select the Change User Password command from the Setup menu No separate login is required Change Use
11. Measurement Protein Dynamics Extract Data Add Traces Assemble GC File Assemble MAP File Compute Trace Transpose Binning Control Process Setup Process Convert Process Sample Wheel Measurement Opus LAB Manipulate Menu Led LOIL bd Baseline Correction Spectrum Subtraction AB lt gt TR Conversion Straight Line Generation Spectrum Calculator Cut Normalization Make Compatible Convert Spectra Smooth Derivative Frequency Calibration Raman Correction Black Body Interferogram to Spectrum Inverse FT Post Zerofilling Fourier Self Deconvolution Symmetric FT Kramers Kronig Transformation Split Interferograms Spectrum from Interferograms Extrapolation 1 cm lt gt um nm Averaging Merge Spectral Ranges Atmospheric Compensation Straylight Correction Noise Generation Moving mean Make monotone 54 OPUS VALIDATION Bruker Optik GmbH Evaluate Menu Curve Fit Integration E EO Quantitative Analysis 1 Setup Quant 1 Method Signal to Noise Ratio Peak Pickimg Quick Identity Test Quality Test Multi Evaluation Setup TRIAS ea GA mo ZE ES Multi Evaluation Test Quick Compare Setup Quick Compare Statistics Layer Thickness Spectrum Search Peak Search Information Search Structure Search Initialize Library Store Spectrum in Library Library Editor Library Browser PS oF SHEBE ZZEE g U j Band Assignment Chart Quantita
12. attempts The maximum number of login attempts can be specified on the Global Options tab in the User Bruker Optik GmbH OPUS VALIDATION 19 System Access Control Management dialog Once a user login has been successful the attempt count is automatically reset Error during Login xi Wrong password Tries left 2 Figure 13 Error During Login Wrong Password After the allowed number of tries the user will automatically be locked Error during Login xi No Access to OPUS User is locked Ask your Administrator for Help Figure 14 User Locked The lock prohibits any further access to OPUS until the administrator has deactivated the Lock user check box on the Setup Record tab in the User Management dialog IV Lock user Force user to change password Store Cant Figure 15 Deactivate to Unlock User 3 4 6 User Dependent Audit Trail All logins illegal login attempts and password changes are recorded in a user specific audit trail This audit trail can be controlled by the administrator The Audit Trail tab of the User Management dialog shows the audit trail of each user 20 OPUS VALIDATION Bruker Optik GmbH OPUS Access Control User Management xi A Setup Record Global Options Audit Trail 3 Mayer Operator MAY Login 2002 03 11 12 15 45 UTC 1 MAY Wrong Password 2002 03 12 12 16 18 UTC 1 MAY Wrong Password 2002 03 12 12 16 23 UTC 1 MAY Login 2002 03
13. can be identified as electronic records in the sense of the 21 CFR Part 11 regulation are stored in a proprietary binary format Data which logically belong together e g spectrum reports audit trail signatures etc are always stored in a single physical file Thus it is ensured that not any piece of data can be accidentally lost during copying or archiving The data files are internally stored in several different data blocks which are preceded by a file header containing information about the type size and physical location of a data block within the data file 5 3 2 Spectrum Files The original measured data Raw Data results of manipulation functions Result Data Type 1 and evaluation functions Result Data Type 2 as well as the audit trail which shows all manipulation parameters Meta Data Type 1 and signatures are always stored in a single data file Therefore no additional content management system is required to manage and track the data 5 3 3 Evaluation Methods The only type of records which are not part of a spectrum file are the evaluation methods required for QUANT IDENT SEARCH and integration Meta Data Type 2 These methods are stored in separate files and a clear unambiguous reference to these files is stored in the resulting report as well as the audit trail for a quantitative analysis see below 44 OPUS VALIDATION Bruker Optik GmbH OPUS Data Format Operator Default Version 0 Build 3 0 23
14. company regulations This account is useful because access to the OPUS User database and Signature data base is only allowed for users with Administrator rights for Windows and OPUS see chapter 3 4 If the company policy does not allow to have Administrator rights for the operating system you need the assistance of the IT department to modify the OPUS User and Signature database e Standard operators should have User or Power User rights but never Administrator rights This is important to prevent operators accessing the OPUS User database see comments above e You can create individual user accounts for each operator working on the system and you can implement a single group account for all operators as OPUS itself offers an independent User Management see chapter 3 4 e The user account should limit access to drives directories files used for special purposes like archiving etc Appendix B includes in the most relevant OPUS files and file extensions all files which can be set to read only for standard operators and files which require write access during standard operation of the system e For directories which are used to store measured spectra the right to delete files should be disabled This allows the user to measure new data and process this data but does not allow the user to delete any files in these directories e The user account should limit the possibility to modify system set tings e The screen saver of the opera
15. password is always case sensitive and is required to log into the signature function The entry in the password field is shown as a sequence of D Re enter the password for verification This prevents problems with typing errors The entry field changes its color from red to yellow when you start typing and switches to white if the entry matches the password Otherwise the entry field changes to red In such a case either re enter the password or the password verification The entry in the password verification field is also shown as a sequence OTE Bruker Optik GmbH OPUS VALIDATION 33 Electronic Signatures E First name of the signer This name is written into the signature block to identify the signer F Last name of the signer This name is written into the signature block to identify the signer OPUS does not allow two identical combinations of the first and last name on one single system G This line shows the current password duration if any The password duration option can be specified on the Global Options tab H Entry field for signature meaning 1 The category of this meaning is Release and Lock which means that a file signed by this meaning can no longer be modified in OPUS This category is mainly used for archiving purposes of spectra or to prevent accidental overwriting of method files see chapter 4 5 for more details Note If you use this category for spectrum files which have been signed the files
16. spectrometer is only possible from the local data station and not from external systems e g via internet or telephone lines In the latter case the IT personnel within the company must implement measures to ensure that access to the spectrometer system and the data is strictly limited to authorized personnel only In general this should be a very rare exception 33 Access Control Features of the Operating System 3 3 1 General OPUS requires Windows NT 4 0 Windows 2000 or Windows XP as an operating system These operating systems already offer a quite extensive level of access security and allow the set up of individual user accounts for all operators working with the system The setup of security specifications and user accounts highly depends on the operating system and requires a knowledgeable and careful configuration Thus this will not be referred to in this manual In general the management and configuration of operating system security is regulated by internal company standard operating procedures SOPs and is performed by the IT department The items listed below are to be seen as a guideline and should ideally be in accordance with your company SOPs Bruker Optik GmbH OPUS VALIDATION 11 System Access Control 3 3 2 Key Points of Access Control Features for the Operating System The head of the laboratory or department should have a separate account with administrator rights if this is in compliance with your
17. spectroscopy software packages It is possible to store OPUS files in these formats which however are not 21 CFR Part 11 compliant and just show the spectrum and a few other parameters Evaluation results signatures and audit trails are not stored with these formats For example the standardized JCAMP DX format which is a pure text format can in no way be verified and protected against falsification Therefore Bruker provides a separate OPUS file viewer which can be used to display OPUS data files including all its data blocks 7 6 Key Points of Data Retention e Use automated tools to create backups of all your data e Make regular backups of all measured and processed spectra e Make backups of all measurement experiments evaluation methods reference spectra required for methods and search libraries when cre ating and modifying methods e Store data in OPUS format only to ensure a secure and complete data preservation e Note that JCAMP and GRAMS formats are not 21 CFR Part 11 compliant Therefore do not use these formats to back up data 52 OPUS VALIDATION Bruker Optik GmbH Appendix A Validation Mode Functions File Menu D501504 B ZI IA ZE amp OPUS menus in validation mode are shown in the following The grayed functions are either not conform to the 27 CFR Part 11 regulation or have not yet been validated These grayed functions cannot be used neither directly nor by means of macros or VB scripts
18. the complete OPUS command line allows all functions to be replayed and to repeat all processing steps if required The separate Add Comment function in the File menu allows to add comment lines to the audit trail Method Audit Trails Method audit trails record the creation of a method and all subsequent modifications of the method itself or method parameters A __ Operator D efault Version 0 Build 3 0 23 112 B 20020212 quant2 q1 Store Quant 1 Method 2002 02 15 13 34 54 UTC 1 Parameter set to Standards Compounds 1 eee Data Block AB Quant 1 Type linear Compounds Table Number Name Unit Use Reference F Pp Added 1 Comp 1 mg No E Spectia Table Number Path Filename Comp 1 Added 1 D opus Debug DATA abboe05 0 D Added 2 D opus Debug DATA Abboe08 0 D D Added 3 D opus Debug DATA Abboe12 0 D ia Integration Areas Compound Number Type Freq 1 Freq 2 Added 1 A 3684 5 3176 1 Store Quant 1 Method 2002 02 15 13 35 51 UTC 1 Parameter Old Value New Value Quant 1 Type linear quadratic E Integration Areas Compound Number Type Freq 1 Freq 2 Changed from 1 A 3684 5 3176 1 Changed to 1 A 3517 1 3008 7 Figure 33 Method Audit Trail If loaded like a spectrum the method audit trail can be displayed like a spectrum audit trail The header line A is the same as for spectra but the remaining part of the history is distinguished in different chapters B to D The changes of parameters are listed in a similar format E If you op
19. with user authentication and workspace selection e Logout function within OPUS to switch users without leaving OPUS or to temporarily lock OPUS e User dependent audit trail e User Management function to add new users or modify user records e Global settings to adapt the system to company requirements e g password ageing e Change User Password function e Workspace configuration to customize the OPUS user interface Independent access control for OPUS is essential if you want to implement a shared desktop system for multiple operators working on a single system Shared desktop means that a group of operators can login into the operating system with a single User ID Password combination which is known to all members of the group while access to OPUS requires each operator to use a private User ID Password combination which is only known to the operator The advantage of such a configuration is obvious as this allows new users to login without re booting the whole system In addition you can change between different users without even leaving OPUS 3 4 2 First Time OPUS Login When installing OPUS a default user database is installed which includes two pre defined user records Default and Administrator This allows immediate access to OPUS similar to all previous versions If you start OPUS the following login dialog is shown Bruker Optik GmbH OPUS VALIDATION 13 System Access Control A fi Defaut y C BP Default ADMINI
20. A ds 31 4 1 Reference to 21 CFR Part NAE 31 4 2 Definitions area re A AO NA EA RA aa d egie 31 4 3 Setting up Signature Records iio a te ae eet aawes 32 4 3 1 Signature Setup A A A E hig ania en aa ee 32 432 Global OPON it ett iaki iee 35 4 3 3 Signature Audit Trail A E EAE LTE Sb 37 4 4 Signing a Fillens EEN E EA e a AE n a erte ie 38 4 5 Sienature Categories ua a sacs daca burut o apd Gg Pees 40 4 6 Changing Signature Password assa 41 4 7 Key Points of Electronic Signatures 2 zaa iria da ll ao 42 ALL Set pand Databases Sarakoa gab ia 42 Ajo Sienna PICS AE aa re a Cad E et E Ra Wee eio 42 Electronic Records 000 A A bek EE 43 5 1 Reterence to 2 CPR Part dl sado 43 5 2 Definitions ri E dade An RE 43 5 3 OPUS Data Form ts sireni ea a A a 44 Sel AECA a deie E a SA e Zea rda Se a 44 5 39 27 Pee Files 2 0 5 perane etna de peda ped Laos ina 44 5 3 3 Evaluation Methods resis dan a Sie 44 5 3 4 Copying and Archiving OPUS Data Files 45 5 3 5 Viewing and Printing OPUS Data u z 46 5 4 Key Points of Electronic Records ia Pak HERS Sa eres va 46 AUTE TASA AAA 47 6 1 R ferenc to 21 CFR arta ge ceris A A Ei gere 47 6 2 O a gie didakti lei deiei dieta Gure Lawes geta 47 6 3 Spectrum A dit Trails A A E ae ta 47 6 4 Method Audit Trails pi A A A O A ee 48 6 5 Key Points of Audit Trails o oooooooooomononormmmom or 49 OPUS GE SN SO LEO 51 7 1 Reference to 21 CFR Part 11 A tata EA e 51 7 2 General aar Ge
21. Empty library for For more details refer See OPUS Mod subdirectories the QC macros A to the QC macro doc libraries BACKUP copy is storedin umentation LST Mod Sample name list TESTLIB the BACKUP 7 GO EO THR Mod Threshold list y example library is in the TESTLIB directory QCMACROS QC macros and For more details refer MTX No OPUS macros text documentation to the QC macro doc format umentation in this BMP Yes Bitmaps for OPUS directory toolbars PLE Yes Plot script QUANT Empty This directory is used Q1 Mod QUANT 1 method to store all methods Q2 Mod QUANT 2 method related to QUANT 1 A Ee part of OPUS IR and Q2V Mod Result of validation OPUS QUANT For binary more details refer to the QUANT documenta tion ROUTINE Files for the ROU DLL Yes Dynamic Link Librar TINE interface and ies for setting up the EXE Yes Executable program ROUTINE inter face OBS Yes VB Scripts OCX Yes ActiveX Control PAR No Parameter files ROU Macros for use All macros called from MTX Mod OPUS macros text TINE MACRO with ROUTINE within ROUTINE must format be stored here ROUTINE MEAS Default path for nnn No OPUS spectra measured files ROUTINE METH Method files for All methods used for Depends on the Mod ODS evaluation evaluation within evaluation ROUTINE must be stored here ROUTINE XPM Measurement All experiments used XPM Mod _ Measurement experi experiments fo
22. ID Password combinations 11 300 b Periodic check of Passwords 11 300 d Reporting illegal access attempts 4 2 Definitions Electronic Records OPUS spectra files and method files are electronic records in the sense of the 27 CFR Part 11 regulation Electronic Signature An electronic signature is stored in a separate data block of the spec tra file as soon as this file is signed This data block contains all the information required by the 27 CFR Part 11 regulation Signature Record The data of a person who is authorized to sign files is stored as a sig nature record in a data base A separate signature record is created for each person Signature Database The database where the signature records are stored The same data base is used for user records Signature User ID User ID of a signer This user ID is required to access the signature function within OPUS Bruker Optik GmbH OPUS VALIDATION 31 Electronic Signatures e Signature Password Password to access the signature function within OPUS The combi nation of the signature user ID and signature password must be unique on one single system 4 3 Setting up Signature Records Before you can sign any files in OPUS you must specify at least one signature record Note User Records and Signature Records can only be created modified or deleted by operators who have Administrator rights for the operating system as well as for OPUS Otherwise this func
23. OPUS VALIDATION 15 System Access Control K Button to delete the current record L Check box to force user to change password M Button to store all changes Click on the gt gt button C to go to a new empty page User Management x Setup Record Global Options Audit Trail 3 User records D User ID E Password F Password verification Password expires Never Operator name User group LabManager Unlimited access to workspaces Figure 6 User Management New Record The entry fields D E F and H are now marked in red which means that these fields are required Once you start entering text in any of the fields the field turns yellow until the entry specification e g minimum length of User ID is fulfilled Once the entry specification is met 3 characters in figure 7 the entry field color turns to white User ID M User ID MAY Figure 7 Entering User ID Enter the following text User ID gt MAY e Password gt test e Password Verification gt test e Operator Name gt Mayer Select Operator from the User group drop down list I in figure 8 16 OPUS VALIDATION Bruker Optik GmbH OPUS Access Control The lower part of the User Management dialog now shows a selection field M and two additional buttons N and O in figure 8 Operator List of assigned workspaces User group Add Workspace Remove Workspace I Lock user Delete R
24. PUS Click on the Change Password button C and the OPUS Login dialog is displayed again Now login by using the new password 3 4 9 Bruker Service Due to security reasons no special Service record has been added to the default OPUS User Database Therefore make sure that the Bruker service engineer can get Administrator access to OPUS if any service is required We recommend writing a special procedure for service visits which clearly defines what has to be done prior to during and after a service visit Bruker Optik GmbH OPUS VALIDATION 23 System Access Control 3 5 3 4 10 Key Points of OPUS Access Control e As soon as you have installed OPUS immediately change the pass word for Default and Administrator users e If there is no global company policy define a password policy to ensure authenticity and confidentiality of user passwords e Adapt the Global Settings to your company password policy e Setup a user record for each operator who works with OPUS e Keep the OPUS CD at a secure place to prevent temporary replace ment of your user database e Do not write protect the user database but protect it against deletion e Implement procedure controls for service visits and train operators accordingly OPUS Workspace Configuration 3 5 1 General Due to the configuration of the OPUS user interface the OPUS workspaces provide an additional extended level of security The basic features which can be
25. STRATOR a ais Password D E gt Assigned workspaces etopustdefault OWS v F 5 G Figure 4 OPUS Login The User ID of all registered users can be selected from the User ID drop down list A This prevents login attempts with unknown or incorrect user IDs Below the User ID drop down list the operator name B is indicated which can differ from the User ID together with the user type Administrator or Operator C The password D must be typed in and is always shown as a sequence of TE The OPUS workspace which will be loaded when OPUS is started is selected from the Assigned workspaces drop down list E see chapter 3 5 for details about workspaces Clicking on the Login button F will start OPUS while clicking on the Exit from OPUS button G will close this dialog Important To prevent unauthorized access to OPUS you must change the pass word for Default and Administrator users see chapter 3 4 8 We do NOT recom mend deleting these two user records 3 4 3 Adding a New User to the User Database Select the User Management function from the OPUS Setup menu This function can be used to modify existing records or add new user records In order to ensure unique User ID Password combinations the User Management function does not allow to create user records with the user ID or operator name being identical to an existing record Both cases are clearly indicated and such a record cannot be stored How to creat
26. ample Single Channel Exit Cancel Help Figure 3 Work in validated Environment Measurement Dialog OPUS VALIDATION Bruker Optik GmbH OPUS Test Plans The Setup Measurement Parameters command in the Measure menu allows complete access to all measurement parameters and released 1 e electronically signed measurement experiments In this case you can also use changed parameters in combination with the Advanced Measurement command without storing the corresponding measurement experiment The HISTORY data block see chapter 6 however precisely indicates which parameters have been changed compared to the released measurement experiments If you want to make sure that only unmodified and released measurement experiments are used in validation mode you have to assign limited access workspaces to the different users These workspaces must not allow the user to access the Setup Measurement Parameters command in the Measure menu 2 4 OPUS Test Plans All test plans which have been used to validate OPUS functions the necessary validation macros test data and reference data as well as the required documentation are included in the OPUS Software Validation Manual In contrast to the hardware which has to be validated on a regular basis using OVP OPUS Validation Program it is normally not necessary to repeat the software validation tests for an installed system For further details on OVP refer to the OPUS Reference Manual
27. ature database login attempts by using his user ID are registered as unknown user Store all new records and modifications in the data base by clicking on the Store button The total number of signature records is shown on top of the Signature Setup dialog between the two arrow buttons All entry fields which must be filled in are initially marked red If you start filling in any of the red entry fields the color of the entry field changes to yellow after the first character has been typed in The color of the entry field remains yellow as long as the number of characters typed in is lower than the number specified for the current field If the minimum number of characters is reached the entry field color changes to white indicating a valid input The default settings for the different fields are e UserID 3 characters e Password 4 characters The default settings can be changed on the Global Options tab and will immediately influence all signature records 34 OPUS VALIDATION Bruker Optik GmbH Setting up Signature Records The color of the password verification field will only change to white if the text entered is identical with the text entered into the password field Duplicate user IDs or duplicate combinations of first and last names are not allowed and will be indicated by red entry fields It is not possible to store the signature records unless all entry fields and at least one signature meaning field show valid e
28. can only be displayed in OPUS but not modified anymore Even evaluation functions cannot be used anymore as they write results into the file D Entry field for signature meaning 2 The category of this meaning is Release The Release signature is required to use measurement experiments and all other types of method files in validation mode Spectrum files must have a Release signature if they are to be used for creating methods In contrast to the Release and Lock category the signed files can still be modified in OPUS after they have been signed Note that a modification after signing invalidates the Release signature K Three entry fields for signature meaning 3 4 and 5 The category of this meaning is Review This type of signature has no special effect in OPUS and thus can be used without limitation L Option to lock a signer The lock is automatically set if the number of illegal login attempts 1 e a signer tries to log in with a wrong password for the signer exceeds the maximum number specified on the Global Options tab This option can also be used to temporarily disable signature access e g if a signer is temporarily absent from the company M If you activate the Force user to change password check box the user has to change the signature password when performing a signature next time N Use the Delete Record button to permanently delete the current record from the signature database Once a signer has been removed from the sign
29. ctive signature OPUS records these passwords which cannot be used anymore when changing the password The settings apply immediately to all signature records in the data base Therefore you have to check all signature records if you have modified any of the options Illegal entries will be marked in red 36 OPUS VALIDATION Bruker Optik GmbH Setting up Signature Records 4 3 3 Signature Audit Trail The Audit Trail tab shows the audit trail of all actions for each signer The following events are recorded e Successful login e Signature execution e Password change e Login attempt of a locked user e Login with expired password A global audit trail user index 0 shows all login attempts of unknown users SignatureS etup Setup Record Global Options Audit Trail peg 216FR 11 A 1 Hein gt gt hiso Login 04 10 01 10 00 50 ben Signature 04 10 01 10 00 53 ben Wrong Password 04 10 01 10 01 02 hso Login 07 10 01 10 01 55 ben Signature 07 10 01 10 02 09 hiso Password is expired 10 10 01 10 03 19 hiso Password is expired 10 10 01 10 03 31 C hso Change Password 10 10 01 10 03 39 Clear Audit Trail Save current Save all Store Cancel Help Figure 27 Signature Setup Audit Trail A Use these buttons to go to the previous or next user records and global records B This selection field shows the audit trail Bruker Optik GmbH OPUS VALIDATION 37 Electronic Signa
30. e a new user record will be described in the following The user records are stored in the same database as the signature records USERDATABASE DAT in the USERDATABASE sub directory of OPUS The file is encrypted and thus cannot be modified externally We recommend protecting this file against deletion using the security options of Windows and making a backup copy whenever the file is modified 14 OPUS VALIDATION Bruker Optik GmbH OPUS Access Control Due to the necessity to write the audit trail into the database you must not set this file to read only User Management xj Setup Record Global Options Audit Trail i 3 User records Ta O CE Password Eo o oo ek Password verification A G Pod expires Never Operator name Labmanager I o User group LabiManager v Unlimited access to workspaces A B Delete Record A Lock user Force user to change password Store Cancel Help Figure 5 User Management Setup Record To add a new user select the User Management function in the Setup menu A Total number of user records B Go to the previous record C Go to the next or to a new record D Entry field for User ID of user E Entry field for user password F Entry field for password verification G Information about password expiration H Entry field for operator name I Drop down list for the user group J Check box to temporarily lock a user Bruker Optik GmbH
31. e allowed No or needs to be write allowed only if the file is manually modified Mod Refer to footnotes if available e Purpose shows the purpose of the specific file or file type Table 1 List of OPUS Directories and File Extensions Directory Meaning Comments Files Read Purpose of the files Only OPUS root Files needed to run This is the root direc PCI 01n Yes Optic firmware OPUS tory for OPUS No files BAT Yes Batch files may be removed from dd OPUS BG No Last background spec this directory trum BIN Yes Binary system files BRUKER DBD No System file for SEARCH DLL Yes Dynamic Link Librar ies for OPUS EXE Yes Executable programs FCS Yes Firmware system files OPUS FNC Yes List of DLLs to be loaded on OPUS start INI No Some settings for OPUS Bruker Optik GmbH OPUS VALIDATION 57 Table 1 List of OPUS Directories and File Extensions USER Mod Lei of user defined MAC LST macros scripts NTA No Settings for current instrument NTI Yes Instrument settings for different spectrometer types OBS Mod _ VB Scripts OWS No OPUS workspaces ORIGINAL P Yes Backup of OPUS parameters PAR No OPUS parameter files PLE Mod _ Plot layouts for Quick Print BRUK Yes Registry file for optics ERIR REG driver T8n Yes Software
32. e not or only partially discussed in this manual 11 10 i Education and training 11 10 j Written policies for electronic signatures 11 10 k Systems Documentation 11 10 k 1 Distribution access and use of documentation 11 10 k 2 Documentation revision and change control 11 30 Controls for open systems 11 100 b Identity of the individual 11 100 c Legal binding of electronic signatures 11 100 c 1 Certification for 11 100 c 11 200 a 2 Signing by genuine owners 11 200 a 3 Abuse of signatures 11 200 b Biometric authentication Bruker Optik GmbH OPUS VALIDATION 1 Introduction 11 300 c Following loss management 11 300 e Periodic testing of identification devices Make sure that you read the comments for these paragraphs in 2 I 1 3 About this Manual This manual includes the following main topics e Software Validation 2 e System Access Control 3 e Electronic Records 5 e Audit Trails 6 e Electronic Signatures 4 e Retention of OPUS Data 7 Each chapter will start with a reference listing those paragraphs of the 21 CFR Part 11 regulation which are discussed in the chapter As already mentioned the text of these paragraphs and a comprehensive description of the implementation can be found in 2 i At the end of each chapter you will find a comprehensive list of Key points which can be used as a check list for actions and measures to be taken 1 2 See refere
33. e steps have been performed and properly executed is to execute a macro or Visual Basic script In such a case we recommend removing all functions from the menus and toolbars and adding only the macros VB scripts describing the pre defined sequence of steps to menus and toolbars A global list of all executable macros and VB scripts which should be made available in OPUS can be set up by selecting the Setup User Macro List command in the Setup menu For further details on this subject refer to the OPUS Reference Manual Both the Customize Toolbars and Customize Menus command allows these macros VB scripts to be used in exactly the same way as native OPUS functions 3 5 5 Basic Path Settings The User Settings command which has partly been described in chapter 2 3 displays the individual path settings of a workspace on the General tab User Settings d x General E CFR1 Rights Preferences Display Diagnostics Company Settings User Default Paths User base path je WProgramDPUS User work path je WProgramiDPUSVWORK User data path jc Program OPUSS DATA Mult evaluation path je Program MultiE valuation Validation base path C Program OPUS Walidation Opus executable C Program OPUS m Lab journal I Runa lab journal Figure 23 Basic Path Settings 28 OPUS VALIDATION Bruker Optik GmbH OPUS Workspace Configuration A The user base path is the individual workspace
34. ecord I Force user to change password Store Cancel Help Figure 8 Assigned Workspaces for Operators M Selection field of assigned workspaces N Button to add a workspace to the list O Button to remove the selected workspace from the selection field Users belonging to the Administrator user groups have unlimited access to all OPUS workspaces while users defined as Operator can only access those workspaces which have been added to the selection field of assigned workspaces M e Click on the Add Workspace button the OPUS load box opens e Select the Simplel ows and Simple2 ows workspaces and click on the Load button Both workspaces are added to the selection field M To remove a workspace from the selection field M select the workspace and click on the Remove Workspace button Click on the Store button to save the changes Bruker Optik GmbH OPUS VALIDATION 17 System Access Control 3 4 4 Global Options The Global Options tab of the User Management dialog allows any company specific regulations to be applied User Management xj Setup Record Global Options Audit Trail Minimum length of user ID p A Minimum length of password 3 Allow for empty passwords C IV Password never expires D Max no of illegal login attempts fi 0 Number of passwords recorded by OPUS 3 be Lock OPUS if not worked at for 5 min O E Store Cancel Help Figure 9 Signature Setup Global Options
35. ectrum data file is backed up all relevant information results signature and audit trails are also automatically stored as they are an integral part of the spectrum file The organization of the directories to store newly measured spectra depends on the amount of data produced and can be operator week or day specific We always recommend performing a daily back up regardless of the number of spectra measured 7 4 Method Retention Measurement experiments evaluation methods e g QUANT and IDENT methods as well as search libraries are the only type of data which are not stored together with spectral data Therefore these methods have to be backed up separately on a regular basis For QUANT and IDENT methods you always require reference spectra which have to be backed up as well Bruker Optik GmbH OPUS VALIDATION 51 OPUS Data Retention In general a backup of both methods and newly added reference spectra is required whenever a method is created or changed Although all method changes are documented in the audit trail we recommend storing changed methods using different names if possible in order to facilitate tracing of evaluation results 7 5 Retention in a Human Readable Form The FDA requires that data is stored in a Human Readable Form Currently OPUS data files are only visible in OPUS However there are some standard formats e g JCAMP DX or Galactic Grams data format which are supported by several other
36. en a method by the Methods Add Signature Show History command in the Validate menu the history gives a structured view of the different chapters and can be printed in this format as well 48 OPUS VALIDATION Bruker Optik GmbH Key Points of Audit Trails Methods Add Signature Show History D dopusiDebugiMethodsiquant2 q1 Signature History Print History use Landscape A B Operator Default Version 0 Build 3 0 23 112 8 20020212 quant2 q1 2002 02 15 13 34 54 UTC 1 3 1 AB linear Number Name 1 Comp 1 Path DaiopusiDebugiDATA DiopusiDebugiDATA DiopusiDebugiDATA Intneration Arnac Comnound himbhnr T Figure 34 Methods Show History 6 5 Key Points of Audit Trails e Audit Trails are automatically generated e Use the Add Comment command from the File menu to add additional explanations to the audit trail Bruker Optik GmbH OPUS VALIDATION 49 Audit Trails 50 OPUS VALIDATION Bruker Optik GmbH Reference to 21 CFR Part 11 OPUS Data Retention 7 1 Reference to 21 CFR Part 11 The following paragraphs are discussed in this chapter 11 10 b Review of Electronic Records 11 50 b Readability of Electronic Records 7 2 General Several standard software tools are available to make backup copies of data Thus OPUS does not provide a separate tool for this purpose but supports the generation of complete backups by its data format 7 3 Spectrum Retention Whenever a sp
37. f Release and Lock category this file cannot be modified in OPUS anymore A locked file is marked by a blue lock symbol in the browser window SO EE If a locked file is illegally modified only possible when using an external program this modification is immediately indicated by a red lock symbol if such a file is loaded in OPUS If a file is signed by the meaning of Release category this file is marked by a green R symbol in the browser window This symbol is only displayed if the signature is the last function applied to the data file As soon as the file is modified by any other OPUS function the file is no longer released a El er ERO E 1 Pase istorv sicwar 40 OPUS VALIDATION Bruker Optik GmbH Changing Signature Password If such a released file is illegally modified only possible when using an external program this modification is immediately indicated by a red cross SD isplay gammel aws gt K abbo205 0 1 Ese wistory sicwar 4 6 Changing Signature Password Each user is allowed to change his signature password There are several different reasons to change the signature password e A new signature record has been entered In this case the administra tor enters the initial password and the user has to change it e The Password Expiration option is deactivated and the password expires after the specified period of time In this case the user can no longer
38. for Acquisi tion Processor AAR Dir sub All files needed for DAT No AAR settings directories the Automatic BMP No Bitmap files Accessory Recog E E EEE nition AAR f es other files OBS Yes COMPH20C02 All files for H O No and CO compen sation DATA Example spectra This directory is nnn No OPUS Spectrum files intended for storing manipulated spectra DATA LIBRARY _ Example libraries DOL Mod All extensions for a OPUS and Sadtler D14 library in OPUS for format KOI mat K02 K03 S01 S02 TXD CSS CWS Yes All extensions for a DAT IDX library in Sadtler for INF IPK mat ISM NAM SCR DATA SEARCH Example spectra 0 No for SEARCH 58 OPUS VALIDATION Bruker Optik GmbH Table 1 List of OPUS Directories and File Extensions DBFILTERS Dynamic Link Do not remove these DLL Yes Dynamic Link Librar Libraries DLLs files even if you do not ies DLLs needed for access use spectrum libraries BIN Yes Binary system file ing spectrum at all libraries in Sadtler format DOCUMENTA OPUS Documenta Depending on the PDF Yes Documents for the TION subdirecto tion in PDF format installed language the Acrobat reader ries documentation is in the ENGLISH subdirectories GERMAN ENGLISH GERMAN FRENCH or FRENCH The doc umentation can thus be installed in more than one language H18 All files needed for No the H18 meth
39. gnature Records as soon as signers leave the company Check the Signature Audit Trail on a regular basis 4 7 5 Signing Files Sign all measurement experiment methods evaluation methods and search libraries by a Release signature when they are to be used by operators Sign all spectrum files which are to be used to create methods or store them in search libraries by a Release signature Make sure that you no longer need to modify files if you decide to sign them by a Release and Lock signature 42 OPUS VALIDATION Bruker Optik GmbH Reference to 21 CFR Part 11 Electronic Records 5 1 Reference to 21 CFR Part 11 The following paragraphs are discussed in this chapter 11 10 b Accurate and complete copies of records 11 10 c Protection of records 5 2 Definitions In general an electronic record is any piece of data generated by an analytical instrument as soon as these data records hit a durable storage device e g a hard disk This is the FDA definition and therefore all the data recorded by modern analytical instruments are automatically handled as electronic records in the sense of the 21 CFR Part 11 regulation It can be distinguished between three major classes of electronic records e Raw Data Measured data generated by the instrument and stored e g on the hard disk of a PC e Result Data Results derived from raw data by manipulation or evaluation functions e Meta Data Processing parameters
40. home directory i e operators can measure and store spectra in this directory or its sub directories specified Other operators should not get access to this path B All temporary files are stored in this path C All user data are stored in this path D Multi evaluation method files are stored in this path E All OVP data i e reports files databases etc are stored in this path 3 5 6 Access Restrictions The 2 CFRI1 Rights tab provides several access restrictions also see chapter 2 3 User Settings x General 4 CRH Rights Preferences Display Diagnostics Company Settings r User has the right to A IV Change parameters B rr E V Customize workspace MV Edit VBScripts c e ka Change user rights and add new workspaces 5 _ oe Validation options b Work in validated environment 21 CFR 11 b Work in GLP mode Save original data OK Cancel Apply Help __ Cancel e Figure 24 User Rights A If you deactivate the Change parameters check box function dialogs will not show any parameter tabs and disable the setting of parameters on the first main tab You can only execute functions by using the pre defined parameters Furthermore if you deactivate this check box make sure that the parameters for all accessible functions are properly set If you want to allow the selection of certain parameters for certain functions only you have to write an appropriate macro or Visual Basic sc
41. ion functions these functions 4 OPUS VALIDATION Bruker Optik GmbH Validation Options will only modify a copy of the original data At any time it is possible to restore either the original data or any step in the sequence of manipulation evaluation of the data using the Replay command in the Edit menu 2 3 2 Working in Validated Environment This option is required for all systems which run in a validated environment If you activate the Work in validated environment check box the Work in GLP mode check box is automatically activated as well and cannot be deactivated The validation state is clearly indicated by the red 27 CFR 11 logo User Settings l x General 21 CRH Rights Preferences Display Diagnostics Company Settings User has the right to ld Change parameters IV Customize workspace IV Edit VBScripts ld Change user rights and add new workspaces Validation options 21 CFR 11 Y Work in validated environment IV Work in GLP mode Save original data Help Apply Cancel Figure 2 User Settings Work in validated environment The Work in validated environment option has the following effects e The only OPUS functions that are available are those that have been declared as being Validated Functions see chapter 2 2 and appendix A All other functions will not be accessible neither directly nor by macros or VB scripts e When measuring a spectr
42. l EAT O 51 7 3 Spectrum Retention santa ni pedir ie Gg aa 51 7 4 Method Retention aaa a A dos 51 7 5 Retention in a Human Readable Form aate da EZE ied ts 52 7 6 Key Points of Data Retention assa 52 EA A Ue AEE 53 Appendix A A ese sates cada d 57 General Introduction 1 1 General Spectrometers running OPUS as spectrometer software may be used in companies or institutes which are legally bound to quality regulations One of these regulations is 21 CFR Part 11 Electronic Records Electronic Signatures 1 issued by the United States Food and Drug Administration FDA Federal Register 62 n 54 1997 This document deals with electronic records and electronic signatures as a replacement for printed documents and hand written signatures Bruker develops software that helps users to comply with the 27 CFR Part 11 regulation General information about the 21 CFR Part 11 regulation and a summary of OPUS features supporting the regulation and or actions to be taken by the users of the spectrometer system can be found in the Bruker documentation Compliance of OPUS with 21 CFR Part 11 2 This document includes all the paragraphs of the regulation and provides information on how each paragraph has been implemented 1 2 Scope This manual focuses solely on the software related aspects of the regulation and will assist you in setting up your system according to the 2 CFR Part 11 regulation The following paragraphs of the regulation ar
43. login for the signature function e The user fears that someone else knows his password To change the signature password you have to select the Change Signature Password command in the Setup menu The Login for Signature dialog opens Enter the user ID and password If the login has been successful the Change Signature Password dialog opens Change Signature Password x Change Password 21 CFR 11 Name of signer First name A Henry Lastname Meyer B Di password C The new password must be different from the last 3 ones previously used D New password T iis E Cancel Help Figure 31 Change Signature Password Bruker Optik GmbH OPUS VALIDATION 41 Electronic Signatures A The first and last name of the signer is displayed B Entry field for the old password C Entry field for the new password Make sure that the new password is different from the last 3 ones previously used D Entry field for the new password verification Clicking on the Store button stores the new password into the signature record 4 7 Key Points of Electronic Signatures 4 7 4 Setup and Database Make sure that the signature database is protected against deletion Always keep a copy of the database in a secure location Only grant signature rights to persons who must sign files Lock Signature Records as soon as the signers are out of the office for a long period of time Delete Si
44. nal programs as is the case for macros and Visual Basic Scripts Always use compiled software versions of software to prevent abuse and keep the source code of these programs in a secure location i e not on the local drive of the system 2 6 Key Points e The Work in validated environment option Setup gt User Settings gt 2ICFR 11 Rights tab is required for working in a validated environment e Set this option in all OPUS workspaces which are used on the system e Check the list of validated functions and packages If you need access to functions which are not available in Validation mode contact Bruker e Check existing macro and or VB scripts for non validated functions Bruker Optik GmbH OPUS VALIDATION 9 Software Validation e Read the Electronic Signatures chapter e Validate your evaluation methods e Validate and compile macros e Validate and encode VB Scripts e Validate and use compiled versions of other external programs 10 OPUS VALIDATION Bruker Optik GmbH Reference to 21 CFR Part 11 3 3 1 3 2 System Access Control Reference to 21 CFR Part 11 The following paragraphs are discussed in this chapter 11 10 Procedures and controls for closed systems 11 10 d Limiting system access 11 10 f Sequencing of steps 11 10 g Authority checks 11 10 h Device checks General It is assumed that the spectrometer and thus OPUS runs on a closed system This means that the access to the
45. nces in Chapter 1 1 2 OPUS VALIDATION Bruker Optik GmbH Reference to 21 CFR Part 11 Software Validation 2 1 Reference to 21 CFR Part 11 The following paragraph is discussed in this chapter 11 10 a 2 2 General Validation of the entire spectrometer system and the software required to run the spectrometer and manipulate and evaluate data is one of the key points of the 21 CFR Part 11 regulation OPUS is a multi purpose application software consisting of several independent software packages The most commonly used OPUS functions and extended packages have been thoroughly validated Appendix A shows the functions which are available in a Validated Environment and are subject to change without notification Contact Bruker to get an up to date list of all functions available in validation mode A validation certificate is part of the OPUS VALIDATION software package 2 3 Validation Options To use OPUS in a Validated environment it is necessary to allow access to validated functions and software packages only Activate the Work in validated environment check box on the 2 CFRII Rights tab of the User settings command in the Setup menu The 2 CFRI1 Rights tab shows the 21 CFR 11 logo used within OPUS for all features relevant to this regulation If the logo is displayed in red the Work in validated environment check box has been activated If the logo is displayed in gray the check box has been deactivated see figure 1
46. ng OPUS Data Files To copy or archive an OPUS data file i e spectrum files and meta data it is sufficient to copy the physical file onto a different storage medium The internal structure as described in chapter 5 3 1 ensures that the copies are accurate and complete as stated in 11 10 b of the 27 CFR Part 11 regulation We do NOT recommend to use the OPUS export functions JCAMP DX Galactic Grams X Y stages for copying or archiving purposes The binary OPUS format only ensures that copies are complete and accurate Bruker Optik GmbH OPUS VALIDATION 45 Electronic Records 5 3 5 Viewing and Printing OPUS Data An OPUS Viewer provided by Bruker allows to view all kinds of OPUS spectral data including all reports audit trails and signature data without requiring access to a full OPUS license All the different data blocks included in an OPUS data file can be printed if required The OPUS Viewer allows to print all data blocks quickly and efficiently using the Quick Print command from the Print menu Open the data block to be printed and select the Ouick Print command To get customized printouts you need to have a full OPUS version For more details on printing refer to the OPUS Reference Manual Make sure that you print all the data blocks listed in the OPUS browser window if you require a complete copy Note You need a full OPUS version with the appropriate extended software packages to be able to view and print special
47. ntries i e their color turns to white The signature records are stored in the same database as the OPUS users USERDATABASE DAT in the USERDATABASE subdirectory of OPUS The file is encrypted and therefore cannot not be modified externally We highly recommend protecting this file against deletion using the security options of Windows and to make a backup copy whenever you modify this file Due to the necessity to write the audit trail into the database you must not set this file to read only 4 3 2 Global Options The Global Options tab is identical to the Global Options tab described in chapter 3 4 4 The settings apply to both user records as well as signature records Empty passwords are not allowed for signature records Thus this option is not available in the signature setup Bruker Optik GmbH OPUS VALIDATION 35 Electronic Signatures Signature Setup d x Setup Record Global Options Audit Trail 21 CFR 11 Minimum length of user ID 4 A Minimum length of password 3 B Password never expires c Password duration days 30 D Max no of illegal login attempts fi 0 e Number of passwords recorded by OPUS 3 F Store Cancel Help Figure 26 Signature Setup Global Options A Minimum length of user ID B Minimum length of password C Password duration option D Password duration in days E Maximum number of illegal login attempts F Number of passwords previously used for the respe
48. nus e Create a separate home directory for each operator and for all work spaces which are assigned to this operator e Deactivate the Change parameters check box if you do not want an operator to change any of the function parameters e Deactivate the Customize workspaces check box in all workspaces defined for the operator e Deactivate the Edit VB Scripts check box in all workspaces defined for the operator e Deactivate the Change user rights and add new workspaces in all workspaces defined for the operator e Keep copies of all workspaces defined for the operator with the Change user rights check box being activated on a secure location Remove all these workspace copies from the local drive e Remove all workspaces with the Change user rights check box being activated from the local drive 30 OPUS VALIDATION Bruker Optik GmbH Reference to 21 CFR Part 11 4 Electronic Signatures An essential part of the 2 CFR Part 11 regulation is the possibility to electronically sign an electronic record 4 1 Reference to 21 CFR Part 11 The following paragraphs are discussed in this chapter 11 50 a Associated Information in Electronic Signatures 11 50 a 1 3 Components of an Electronic Signature 11 50 b Control of Electronic Signatures 11 70 Record Signature linking 11 100 a Uniqueness of Electronic Signatures 11 200 a 1 lii Execution of Electronic Signatures 11 300 a Uniqueness of User
49. ocal drive e Modify the text version of the macro re validate it and make a new backup copy of the modified macro e Compile the modified macro e Delete the original text macro from the local drive 8 OPUS VALIDATION Bruker Optik GmbH Key Points 2 5 3 Visual Basic Scripts The procedure with Visual Basic Scripts is similar However instead of compiling the text the Visual Basic Script is encoded Just as is the case with macros the encoded script can no longer be modified Unfortunately the encoded script cannot be decoded either Therefore you should always store a copy of the original VB Script before encoding it Encoding a VB script e First make a backup copy of the VB script file extension OBS you want to encode e Make sure that the Edit VB Scripts check box on the 2 CF R11 Rights tab of the User Settings dialog is activated e Open the VB script Click on the Open command in the File menu and select OPUS VB script from the File type drop down list e Switch to Object View e Open the Properties dialog for the form and right click anywhere into the form e Select the Active Engine item e Select VBScript Encode and click on Apply e Switch to Script View e Select Encode from the Edit menu e Save the VB script 2 5 4 Other Software The Client Server interface allows external programs to communicate with OPUS If you are using this option the same restrictions must apply to these exter
50. od determination of Oil in water HELP OPUS online help The online help is CHM Yes Windows help files subdirectories files always installed for all RED ENGLISH languages in the sub GERMAN directories ENGLISH FRENCH GERMAN and FRENCH The lan guage is determined by the language in which OPUS is started MACRO Example macros __ This directory is MTX Mod OPUS macros text and VB scripts intended for storing format IU ranas MTB OPUS macros binary well format OBS VB scripts MCIT Allinstrument tests For each specific MTB No IT macros binary subdirectories which have been instrument configura BMP Yes Bitmap for OPUS specified at instal tion a subdirectory with toolbar lation a separate instrument z a INT Yes Integration method test exists PLE Yes Plot script XPM Yes Measurement experi ment TXT No Settings METHODS Method files for This directory is TXD Mod Info text definition file information spec intended for storing MTD Mod Library method trum library cre your own methods as a ation and JCAMP well PCT Mod JCAMP conversion table export import Bruker Optik GmbH OPUS VALIDATION 59 Table 1 List of OPUS Directories and File Extensions PROCESS Empty This directory is used for the OPUS PRO CESS package Please refer to the PROCESS manual for details QCLIBRARY
51. ogin 13 19 Logout 22 Operating System 11 Password Protection 12 Power User Rights 12 Restrictions 29 Setting Basic Path 28 User Rights 12 Visual Basic Script 28 Workspace Configuration 24 Audit Trail 15 C Client Server Interface 9 D Data Files Archiving 45 Copying 45 Printing 46 Data Retention 51 E Electronic Records 31 43 Key Points 46 Meta Data 43 Raw Data 43 Result Data 43 Spectrum Files 44 Electronic Signature Audit Trail 37 Category 40 Changing Password 41 Database 35 Datablock 39 Global Options 35 Key Points 42 Lock Signature 34 Release Signature 34 Review 34 Setup 32 Signing File 38 Electronic Signatures 31 Evaluation Method 7 44 F FDA 1 M Macros 8 O OPUS Access Control 13 P Password Duration 19 R Release Signature 8 S Signature Database 31 Signature Password 32 Signature Record 31 Signature User ID 31 T Toolbars 25 Vv Validated Environment 3 5 Validation 3 GLP Mode 4 Key Points 9 Library Searching 6 Measurement 6 OPUS Test Plans 7 Visual Basic Script 9 Encoding 9
52. on the Sign button will sign the selected file s After signing a file a SIGNAT signature data block is added to the file Ei Abboe05 0 1 ase eretze SS Figure 30 Signature Data Block The SIGNAT data block is a report block and can be opened like any other report by clicking twice on it The report header shows the number of signatures in the signature block Bruker Optik GmbH OPUS VALIDATION 39 Electronic Signatures Signature Block Number of Signatures in Signature Block 2 The signature data in the report itself show the first and last name of the signer A B the meaning C category of signature D and the date and time when the signature has been executed E F A B C D E F First Name Last Name Henry Mayer Review Review 2002 01 18 15 51 01 UTC 1 Henry Mayer Release Release 2002 01 18 15 51 29 UTC 1 Signature reports can be printed like any other type of report SIGNAT data blocks can neither be deleted nor copied or transferred to other data files Additionally the signature is also recorded in the HISTORY data block Operator Default Version D Build 3 0 23 103 68 20020114 YP428Y04 11 0 Add Signature Signature 2002 01 18 15 51 Signed by Henry Mayer Add Signature Signature 2002 01 18 15 51 Signed by Henry Mayer Signature Categories Three different signature categories are available which have certain pre defined effects within OPUS If a file is signed by the meaning o
53. r Password x Change Password Operator Operator name Default User group Administrator A BEE Dld password B C The new password must be different from the last 3 ones previously used New password EEE i New password verification cm Je Figure 17 Change User Password The entry field for the old password A is displayed in yellow As soon as you enter the old password the entry field turns to white When entering the new password B make sure that it is different from the last one previously used Verify the new password C The global settings see chapter 3 4 3 1 e minimum length of the password and password duration apply to the Change User Password command as well If the password ageing option is activated the expiration time is automatically reset when changing the password To store the new password click on the Store button 22 OPUS VALIDATION Bruker Optik GmbH OPUS Access Control If a user attempts to log in with an expired password a warning message is shown Error during Login x Password is expired change your Password Figure 18 Error During Login Password Expired If you click on the OK button the OPUS Login dialog pops up Enter the new password A and verify it B OPUS Login A Bee Default ADMINISTRATOR Dime Password verification ess C d EEE SEa Figure 19 Enter and Verify New Password Exit from O
54. r for evaluation within ments ROUTINE ROUTINE must be stored here 60 OPUS VALIDATION Bruker Optik GmbH Table 1 List of OPUS Directories and File Extensions SCRIPTS Predefined plot Depending on the PLE Mod Plot layouts subdirectories scripts Copies for installation language A4 DIN A4 and US the main SCRIPT LETTER Letter format are directory contains plot stored in the subdi scripts either in A4 or rectories A4 and in Letter format LETTER SEARCH Default methods This directory is used INL Mod Query for info search for information for all temporary files fy PKL b fi k h and peak search generated by SEARCH MR and is intended for user REPORTnnn 0 No Search reports from generated methods as peak and info search well USERDATABASE USERDATA This is the database file USERDATA No BASE DAT for OPUS User Man BASE DAT This file is not agement and Signature overwritten by records This file must repeated OPUS not be deleted installations VBSAMPLE Examples for VB OBS Mod _ Visual Basic Script scripts and external FRM VBP Mod Files for Visual Basic programs VBW programs C Mod Source file for the C language WORK Empty This directory is used nnnnnnnn 0 No Temporary work files for all temporary spec automatically trum files generated by deleted OPUS A different path y Result files from dif can be specified in the ferent OPUS functions OPUS User Set
55. r whose results are not stored If for example a peak picking has to be performed several times using different peak sensitivities until a satisfactory result can be stored all previous attempts are recorded in the audit trail Dperator Default Version 0 Build 3 0 23 103 B 20020114 A4bboe08 0 1 Peak Picking AB gt AB Peak 2002 01 15 09 25 Peak Search Method 1 Whole x Range O no 1 yes 0 Lower Peak Limit Abs No Peaks gt 20 000000 Upper Peak Limit No Upper Peak Limit Abs No Peak Pick Mode Auto Max Min 1 Merging Peak Tables Yes Precision User Defined No Precision User Defined intens No Peak Pick End Frequency 400 000000 Peak Pick Start Frequency 4000 000000 Undo Changes 2002 01 15 09 26 Add Signature Signature 2002 01 15 11 43 Signed by Hein Som Figure 32 Spectrum Audit Trail Bruker Optik GmbH OPUS VALIDATION 47 Audit Trails 6 4 Each audit trail includes a header line indicating the operator name OPUS version original file name and a flag which shows whether the validation mode has been activated 1 or not 0 Any time you change one of these items e g the operator a new header line is appended to the audit trail The first column shows all OPUS commands applied to the spectrum with all relevant parameters listed in the second column Date and time are recorded in the third column while the last column may include additional information about the function The column with
56. ra Files File Extension Purpose of the files OPUS Functions Packages one to 3 digits nnn numeric extension OPUS spectra files All DX DXn Data files in JCAMP DX format Save As OPUS loads these files directly DAT Exported data files in Pirouette file Send File to InStep format SPC Data files in GRAMS format Save As Send to Grams OPUS loads these files directly MOL Chemical structures in MOLFILE for Structure handling mat Table 4 OPUS Method Files File Extension Purpose of the files OPUS Functions Packages Edit Menu TXD Information text definition file Information input Create libraries Informa tion search MOL Chemical Structure in MOLFILE format Import Structure Measure Menu XPM Measurement experiments Measurement TRS Method for Time Resolved Measurement Rapid Scan Time Resolved Measurement 62 OPUS VALIDATION Bruker Optik GmbH Table 4 OPUS Method Files XY X Y Mapping positions Motorized Stage Control Evaluate Menu INT Integration method Integration CON Conformity Test Method Conformity Test QT Quality Test Method Quality Test SNT NeuroDeveloper Netfiles NeuroDeveloper Classification Evaluate Menu QUANT 1 and QUANT 2 Q1 Quant 1 Method Quantitative Analysis 1 Setup Quant
57. required to derive result data from raw data If these definitions are applied to the field of Fourier Transform Infrared Spectrometers we will have the following types of electronic records e Raw Data Infrared data which are recorded by the instrument and stored on the hard disk of the PC What type of data you store depends on your internal regulations In most cases only the resulting infrared spectrum is stored but in some cases the interferograms and or single channel spectra might also be requested e Result Data Type 1 The results of manipulation functions applied to the spectra e g baseline correction normalization Manipulation functions modify the spectral data in some way Bruker Optik GmbH OPUS VALIDATION 43 Electronic Records e Result Data Type 2 The results of evaluation functions applied to spectra e g peak picking quantitative analysis Evaluation functions derive results from the spectra without modifying the spectra e Meta Data Type 1 Processing parameters used for manipulation functions e g baseline correction type e Meta Data Type 2 Processing parameters used for evaluation functions e g the calibration data for quantitative analysis 5 3 OPUS Data Format The 21 CFR Part 11 regulation requires electronic records to be accurate and complete These requirements are guaranteed by the unique OPUS data format as well as by validated OPUS functions 5 3 1 Description All OPUS files which
58. ript B The Customize workspace check box enables or disables the customizing of toolbars and menus It is recommended to deactivate this option C The Edit VBScripts check box enables or disables the editing of Visual Basic scripts This option should only be activated in case of operators who are in charge of creating VB script D The Change user rights and add new workspaces check box should generally be deactivated for all operator workspaces Administrators or operators only who are in Bruker Optik GmbH OPUS VALIDATION 29 System Access Control charge of setting up workspaces should be allowed to change user rights and add new workspaces Note that none of the workspace settings can be changed if a workspace is stored with this check box being activated Therefore we highly recommend keeping additional copies of all workspaces where this option is enabled to allow you to modify a workspace without the need to configure it completely from the very beginning Keep these copies at a safe place and delete local copies of these workspaces from the local drive 3 5 7 Key Points of Workspace Configuration e Use the Customize Toolbars command to add icons and OPUS func tions to or remove them from the toolbars e Use the Customize Menus command to add OPUS functions to or remove them from the menus e Supply macros and or Visual Basic Scripts for a pre defined sequence of steps and add these macros VB scripts to toolbars and me
59. specified in a workspace are e Toolbar configuration e Menu configuration e Basic path settings e Access restrictions The ability to configure both the toolbar and the menus allows to limit operator access to just a few selected OPUS functions or even to only specific macros or Visual Basic scripts Each registered user can work with more than one workspace provided these workspaces have been properly assigned see chapter 3 4 3 This enormously extends the flexibility and possibilities when working with OPUS The User Settings dialog has additional options which are not relevant when working in a validated environment and are therefore not discussed in this manual For further details on these options refer to the OPUS Reference Manual 24 OPUS VALIDATION Bruker Optik GmbH OPUS Workspace Configuration 3 5 2 Customizing Toolbars To configure OPUS toolbars select the Customize Toolbars command from the Setup menu xi Commands Toolbars Menu Options Categories Commands b Unload File es Unload All Files E Save File As KO Undo Changes Gil Save File lak Cond Eia hd Macro ARK ation Description Load Spectrum Figure 20 Customize Toolbars The Commands tab contains both the different menu categories and menu commands with the respective icons If you e g select the File category A in figure 20 all commands available for the File menu are displayed in the
60. tested in the macro debugger where you can execute them step by step observe results and verify whether they perform as expected By default macros are stored as text files with the extension MTX To prevent unauthorized macro modifications of the macros you have to compile the macros once they have been validated The compiled macros will have the same name as the original text file but the extension MTB Follow the steps listed below e Validate the text macro s e Copy the original text macros onto a removable storage medium e g disk and keep them in a secure location or copy them onto a secure network server which operators have no access to e Compile the validated macro s Do not forget to compile sub macros used within the main macro s as well Note It is recommended to start with the compilation of sub macros delete the original macro from the directory and check whether the main macro still runs If not it is to be expected that the main macro calls the sub macros using lt macroname MTX gt The compiled sub macros are called lt macroname MTB gt and will not be found by the main macro In such a case the main macro has to be modified such that all lt macroname MTX gt calls are replaced by lt macro name no file extension gt e After copying delete the text macros from the local drive Modifying a compiled macro e Whenever it is necessary to modify a macro copy the original macro text file onto the l
61. ting system should be protected by a password to lock the operating system after a specified short inac tivity time interval This prevents access of unauthorized personnel to the system if the operator is not close to the system e Your company should have SOPs dealing with the importance of password security and consequences of password abuse and pass word sharing e Your company should have an account policy for passwords which regulates for example password length password ageing e A user account should be locked as a result of invalid login attempts i e when using a wrong password e Create a Service account for Bruker service personnel with Adminis trator rights Lock this account by default and unlock it only when service of the instrument is required 12 OPUS VALIDATION Bruker Optik GmbH OPUS Access Control 34 OPUS Access Control 3 4 1 General OPUS offers an independent user account system which regulates access to both OPUS and OPUS workspaces Users are managed in a user database which can only be accessed by operators who are logged into Windows with Administrator rights Thus it is desirable for the responsible person to have a Windows User Account with Administrator rights if this is not in conflict with company regulations As an additional level of security the responsible person also needs to have Administrator rights for OPUS OPUS access control provides the following features e OPUS user login
62. tings XPM Empty This directory is used XPM Mod Measurement experi for storing measure ment experiments ofall kinds ments a Commercial libraries can be set to read only without limitation user generated libraries have to be write allowed whenever an entry is added or modified b The DEFAULT INL and DEFAULT PKL files have to be write allowed because these files are overwritten each time an information or peak search is performed Other user created queries can be set to read only unless they need to be modified Bruker Optik GmbH OPUS VALIDATION 61 Common File Extensions of Files Created by OPUS The following tables show all files which can be generated by OPUS The different tables are sorted by functionality Definitions e File Extension extensions of files generated by OPUS e Purpose of Files describes the purpose and use of the files within OPUS e OPUS Functions Packages packages which generate the files Table 2 OPUS System files OPUS functions and or OPUS File Extension Purpose of the files OPUS Functions Packages OWS OPUS Workspace OPUS User interface and access rights OBS Visual Basic Scripts Used for automation and specific user interfaces MTX MTB OPUS Macros MTX Text format MTB Used for automation and specific user binary format interfaces PLE Plot layouts Print Plot Table 3 OPUS Spect
63. tion is not accessible in OPUS 4 3 1 Signature Setup Select the Signature Setup command from the Setup menu The following dialog opens 32 OPUS VALIDATION Bruker Optik GmbH Setting up Signature Records Signature Setup xj Setup Record Global Options Audit Trail 21 CFR 11 UserID Perea BEE D signature records 1 Password verification Password expires Never c M irst name Last name Definition of signature meaning Category Release and lock H Meaning 1 Category Release I Meaning 2 Category Review Meaning 3 Meaning 4 Meaning 5 L A Lock user Delete Record I Force user to change password N Store Cancel Help Figure 25 Signature Setup Setup Record A Buttons to go to the previous or next signature records B Enter the signature User ID for the signer The user ID must have a minimum length to be specified on the Global Options tab The entry field changes its color from red to yellow when you start typing and switches to white if the length of the user ID is sufficient The user ID is required to log into the signature function itself C Enter the initial signature Password for the signer The password must have a minimum length to be specified on the Global Options tab The entry field changes its color from red to yellow when you start typing and switches to white if the length of the password is sufficient The
64. tive Analysis 2 Quant 2 Analysis File List Setup Quant 2 Method bes D Calibration Design Setup Conformity Test Conformity Test Identity Test Setup Identity Test Method Cluster Analysis Bag ir Cluster Analysis Test CARBon Oxygen Analysis b 2d Correlation ES DMA Factor Map File gt Chemical Mapping GE Factor Map File Postrun TO NeuroDeveloper Classification Macro Menu y Pe Ro E Si Script Recorded History Insert mMyInstrument Macro Converter Run Macro Debug Macro Edit Macro Compile Macro New Procedure Edit Procedure Execute Procedure Bruker Optik GmbH OPUS VALIDATION 55 56 OPUS VALIDATION Bruker Optik GmbH Appendix B Directories and File Extensions The following tables give an overview about files used within OPUS The first table shows the OPUS directories which are generated during installation and the most important file extensions of files which are installed in these directories Files generated during OPUS operation are shown in the other tables Definitions e Directory the paths created during installation All paths are sub directories of the OPUS installation path e Meaning explains the meaning and use of the directory e Files lists the file extensions n represents a number and file names if only one file of this type exists e Read Only Indicates whether a file can be set to read only Yes must be writ
65. tures C Use the Clear Audit Trail button to delete the currently shown and stored audit trail Note that the audit trail will then be lost If you need to keep it write it to a text file If the audit trail has not been stored the Clear Audit Trail button will be disabled D If you click on the Save current button the audit trail of the current signer will be written into a text file for archiving E Use the Save all button to write the audit trails of all signers into a text file for archiving 4 4 Signing a File To sign a file select the Add Signatures command from the Validation menu The Login for Signature dialog opens and you have to enter the user ID and password Login for Signature xi 216FR 11 User ID test Password E Cancel Figure 28 Login for Signature Click on the OK button and the Add Signature dialog opens 38 OPUS VALIDATION Bruker Optik GmbH Signing a File Add Signature Add Signature 21 CFR 11 Files to be signed f C OPUS DATAAbboe 08 0 1 Signer Last Name Mayer Meaning of Signature Review First Name Henry al C E Cancel Help Figure 29 Add Signature A Drag amp drop the file s to be signed into this selection fields Several files can be selected and signed B First name of the logged in signer is displayed C Last name of the logged in signer is displayed D Drop down list to select the signature meaning E Clicking
66. types of meta data for example QUANT or IDENT methods 5 4 Key Points of Electronic Records e Create accurate and complete copies by simply copying the OPUS data files onto a different storage medium e Do not use export formats to create accurate and complete copies e Use the OPUS Viewer to view and print OPUS data e When developing and testing methods store them by using the same file name e If you use measurement experiment methods or evaluation methods in daily work store changed methods by using a new file name 46 OPUS VALIDATION Bruker Optik GmbH Reference to 21 CFR Part 11 Audit Trails 6 1 Reference to 21 CFR Part 11 The following paragraphs are discussed in this chapter 11 10 e Audit Trails 6 2 General According to the 2 CFR Part 11 regulation audit trails should recorded automatically within OPUS All functions applied to any kind of data are recorded in the audit trail The audit trail is not only recorded for spectra Raw Data Result Data Type 1 and 2 and Meta Data Type 1 see chapter 5 2 but also for all measurement experiments evaluation methods and spectral libraries Meta Data Type 2 The audit trail is stored in a separate data block HISTORY within each OPUS file and cannot be deleted modified or copied into any other data file 6 3 Spectrum Audit Trails Spectrum audit trails include all functions applied to a certain spectrum Even operations which are repeated several times o
67. um the original data is securely stored see chapter 2 3 1 Bruker Optik GmbH OPUS VALIDATION 5 Software Validation If you use the Advanced Measurement command from the Measure menu when measuring in validation mode you can only use released i e electronically signed measurements experiments In this case it is not possible to change the measurement parameters The Measurement dialog includes the following Measurements can only be performed by using released i e electronically signed measurement experiment methods For more details on releasing files and methods by electronically signing the files see chapter 4 5 Evaluation functions using method files e g QUANT IDENT can only run by using released i e electronically signed method files Evaluation methods e g QUANT methods can only be set up by using released i e electronically signed spectra Library searching can only be done in released i e electronically signed user generated libraries or access protected commercial libraries Only released i e electronically signed spectra can be stored in user generated libraries Spectra and methods can be modified but cannot be overwritten by other spectra or methods options see figure 3 xi Basic Background Check Signal Experiment Load DEFAULT Operator name Defaut Sample name sampe Sample form ape form Path C Program OPUS File name WORK Background Single Channel S
68. uration 3 5 3 Customizing Menus To configure OPUS menus select the function Customize Menus command from the Setup menu xi Commands Toolbars Menu Options Application Frame Menus m Context Menus Show Menus for Select context menu Opus Dokument Hint select the context menu change the page to Commands and drag the toolbar buttons into the menu window Menu animations None y Y Menu shadows Figure 22 Customize Menu Select the workspace for the menu to be customized from the Show Menus for drop down list You can edit the menus for the following OPUS workspaces e OPUS e PLE Plot Layout Editor e VBScript e GMacro e Default Menu To undo the changes made click on the Reset button and the menus of the workspace in question are displayed again with their standard icons and commands For further detailed information on how to configure menus refer to the OPUS Reference Manual Bruker Optik GmbH OPUS VALIDATION 27 System Access Control moa wD b AN 3 5 4 Adding Macros and Visual Basic Scripts to the OPUS User Interface Macros and Visual Basic Scripts are an important tool to fulfill the requirements of Paragraph 11 10 f of the 27 CFR Part 11 regulation to enforce permitted sequencing of steps If a certain method requires a fixed sequence of manipulation and evaluation steps the only way to ensure that all th

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