Agilent ChemStation Plus

1. Agilent ChemStation Plus Instrument control, data analysis and data management

2. Topics Contents Overview ChemStation ChemStore Security Pack Method Validation Pack ChemAccess Summary

3. What is ChemStation Plus? Overview • ChemStation • Core-product for instrument control,data acquisition, simple data review & reporting • + • any of the following modules;ChemStore ChemAccess Security Pack Method Validation Pack • = • ChemStation Plus

4. Requirements Overview Speeding up the advanced second-pass data review • Including statistics, custom calculations, charting with control limits and powerful reports Hardware related performance data • performance of each module, column quality, system suitability trends... Security • Data storage (raw data and results) in ChemStation Plus is compliant with the latest rules of the FDA (21 CFR part 11) Long-term data storage and data management • Built-in automatic archiving and backup tools help in handling large data amounts Analytical method validation • Automated method validation from planning to overall validation report

5. ChemStation Plus offers... Overview ChemStation Easy-to-use graphical user interface and full level-4 instrument control for a wide variety of chromatographic instruments. ChemStoreIncreases lab productivity by providing a tool for easy management of your chromatography data in a relational database. Security PackFull support of your compliance needs to pass audits easily. Method Validation PackAutomated method validation according to USP, EP, ICH and FDA guidelines following the guidelines of 21 CFR part 11. ChemAccess for effective management and operation of a networked laboratory by providing remote system monitoring and control, plus centralized information storage.

6. ChemStation ChemStation ChemStation – Easy-to-use graphical user interface and full level-4 instrument control for a wide variety of chromatographic instruments.

7. Level-4 instrument control for multiple techniques ChemStation Level-4 instrument control for: • LC • GC • LC-MS • CE* • CE-MS* • A/D-Converter LAN and GP-IB interfacing

8. Unique level-4 features ChemStation Column ID tags for identification of the analytical column • Micro chip stores all important columns information including an injection counter Storage of instrument firmware revisions and serial numbers Needed to fulfill the needs of 21 CFR Part 11

9. Powerful data analysis ChemStation Batch review for first-pass data review 3D data analysis with spectra evaluation, peak purity, spectra libraries and iso-plot

10. Diagnostics and EMF ChemStation Maximising instrument up-time through: • Automatic alerts for instrument maintenance • Minimizes cost of ownership • Advanced 1100 instrument diagnostics for fast and easy trouble- shooting

11. Fast and reliable instrument qualification ChemStation Built-in verification package (OQ/PV) allows instrument qualification in less than an hour. Tests like wavelength calibration document the specified and actual values on paper and on disk.

12. Agilent ChemStore ChemStore Database solution for single-user or networked ChemStations Increases lab productivity in the laboratory by providing a tool for easy management of your chromatography data in a relational database.

13. Data organization ChemStore Data organization • Data organized in studies • Level of data storage defined per study • Include your own custom fields in study to add supplemental data

14. Study-based data access and security levels ChemStore The ChemStore study • Highest organizational element • On a study configurable data access for users • Data security on a study level • separate “container” for Part 11 and non-Part 11 data • Study-based archival of data

15. Custom fields ChemStore Custom fields • To add supplemental ChemStation data or non-chromatographic data • Select from a pool of custom fields • Define new fields of type • True/false • Selection list • Integer or Real number • Text • Date/Time • Selection list allows to specify a collection of default values

16. Result storage ChemStore • Data transfer is set up in the ChemStore menu • Select destination study • Define custom field values • Use “After each analysis” for automated transfer • Automatic data transfer after each run in single run or sequence mode, or • Manual data transfer from Data Analysis screen • AIA Import of data from other vendor’s system Note: with security pack, the transfer checkmark is set by default and can not be disabled!

17. Data review Switch between sample- and compound-focused view Query and filter tool Review, table or charting view ChemStore report template creation tool ChemStore One query result for review, charting and reporting

18. Filter for query builder ChemStore View studies • allows users to query for data from all studies, or • to restrict the data shown in the query dialog to data items only contained in a specific study

19. Control charting of results ChemStore Define columns for table view and results to be charted at the same time Define upper and lower warning limits and critical limits

20. Statistical results review ChemStore Get summary or regression statistics, for example, for compounds • Customize your table to display results of interest • Get summary statistics such as mean value, SD, %RSD or regression statistics • Print the results or export to MS Excel • Sort with two mouse-clicks

21. Custom calculations ChemStore The ChemStore custom calculator facilitates: • Cross-compound calculations (relative retention times, relative area) • Calculations across two runs (concentration ratio) • Calculations based on (statistical) results (average from repetitive injections)

22. Approval (A) Records who approved results and when Only authorized users Reject (R) Records who and when results rejected Batch (B) Runs to transfer back to ChemStation Controlled access for GLP Second pass data review ChemStore

23. Batch creation ChemStore Batch functions • Select runs for a batch • Select method • Assign to a person • Status of pending batches • Smooth integration with the ChemStation Productivity gains • Faster review, reprocessing • Proper person performs the work • Easy to learn and use

24. Report generation ChemStore Integrated tool for report creation A variety of report templates already included For example, full-featured report similar to ChemStation Sequence Summary Report • Chromatogram and spectra in report • All calculations printed with report

25. Automated archiving List of defined archive queries External archive management system ChemStore Automated archiving • Scheduled automatic archives • Pre-defined queries andtime intervals • Checksum-protected XML catalog file • Bi-directional generic archive interface

26. Defining archive queries Archive name and file location Archive query condition Archive frequency ChemStore Selected set of criteria: archive query equals combination of criteria

27. Easy and fast retrieval of archives XML archive catalog TOC Managing ChemStore archives in Cerity ECM (or other external archive management system) ChemStore Generic XML catalog file • For indexing of archives in archive management system – simplifies retrieval • Generated with each ChemStore archive unit • Contains detailed information on the archive content: • sample information (sample name, acquisition info) • result information (results, approval status)

28. Security Pack Your information Calculations and statistics Charting Reporting Archiving and organization Security and compliance Security Pack For full support of your compliance needs to pass audits easily

29. 21 CFR Part 11 Security Pack Security Integrity • Limit Access • Prevent data modification • Change control • Link Raw Data and Results Traceability • Who did what when and why? • Previous entries must not be obscured

30. Part 11 Technical Controls Security Pack • §11.10a Systems must be validated (P) • §11.10b Accurate and complete copies (T) • §11.10c Protection of records (P,T) • §11.10d Access limited to authorized individuals (P,T) • §11.10e Secure, computer-generated, time-stamped audit trail (T) • §11.10f/g/h Checks (device, authority, system checks) (T) • §11.50 Signature manifestations (T) • §11.70 Signature/record linking (T) • §11.100 Uniqueness of E-signature to individual (P,T) • §11.200 E-signature components and controls (P,T) • §11.300 Controls for identification codes and passwords (P,T) P = Procedural controls (usually the responsibility of the pharmaceutical company to develop) T = Technical controls (usually the responsibility of the supplier to develop)

31. General rules for paperless record systems Security Pack • Appropriate control procedures for the laboratory (SOPs) • System that fulfills the FDA guidelines for electronic records and electronic signatures 1 + 2 = General rules for implementing a paperless record system

32. System Validation (§11.10a) Users may outsource validation services to the vendor Security Pack “The systems used for the creation and maintenance of the electronic records must be validated” • Validation by the vendor • Development qualification • Validation by the user • Formal acceptance testing • Installation qualification • Operational qualification (OQ/PV) • Performance qualification

33. System validation Security Pack Agilent validation services • Installation Qualification (IQ) • Operational Qualification (OQ) • Procedures and documentation that meet the requirementsof GLP, ISO 9000 and other regulatory agencies

34. Limited system access (§11.10d) Security Pack “System access must be limited to authorized individuals” • Procedural controls (SOP‘s) • Automatic system controls

35. Managing access security Security Pack What? • Accounts/groups? • Password security? • File security? • Set inactivity timeout? How? • Windows user management! • Windows password policy! • NTFS permissions! • Time-based application lock!

36. User management Mandatory login Complements NT security scheme Password policies with automated account lockout, expiry date and minimum length Users must be set up for access to the database User management Security Pack

37. Session locking Security Pack • For periods of unattended operation security pack provides for: • Explicit lock function • Private session locking when leaving the session unattended such as during a break • Non-private session locking such as for shift changes • Configurable inactivity timeout • Releasing requires authentication with both user ID and password

38. Record protection (§11.10c) Sign Secure Maintain integrity Retrieve Security Pack “Records must be protected to enable accurate and ready retrieval throughout the record retention period”

39. Linking and versioning Security Pack Data integrity is ensured by storing all results, raw and meta data (sequence, method, etc.) in a relational database • Data can be buffered on acquisition PC • Each version is added to the record - iterations are stored as revisions in the database • Transfer is documented and checksum protected No data is ever overwritten!

40. Data integrity Security Pack • Data integrity equates to secure, version-controlled, unbreakably linked and centrally stored data • No data is ever overwritten • All calculated results are stored as individual revisions in the database • All revisions are automatically linked to original injection run • No deletion of single run versions possible – either all versions or none • Audit-trail documents all versions with timestamp and operator ID

41. ChemStore spooler Security Pack • The ChemStore spooler works like a printer spooler: • Prepares the background data transfer • Buffers the data if a transfer problem occurs • Can be paused and resumed • Removes the buffered data from local drive after successful transfer

42. Audit trail (§11.10e) Security Pack “Secure, computer-generated, time-stamped audit trails must be used” Who did what, when and why?

43. Results audit trail Includes change history Computer-generated & user-independent Time-stamped (local time zone information) Printable Includes manual integration details Security Pack

44. Database logbook Event Affected user Application and client details Executing user and time stamp of activities Logbook documents application-related activities that are relevant to security and data integrity. For example, the administrator removed access restrictions for the guest account. Access to event details Query for specific events Security Pack

45. Database logbook event details Check for data access status: detailed modification of permission rights Query all entries for the relevant setting:the time interval, the user and affected user plus the reason for the entry Security Pack

46. Run information screen Injection information Processing information Data storage Restore raw and meta data to a human-readable format Direct access to audit-trail, instrument and column configuration Security Pack

47. Checks (§11.10 f/g/h) Security Pack Checks • Limit system access to authorized users • Check permitted sequence of steps • Check authorization of users • Written policies to hold users accountable for their actions and signatures

48. Authority checks (§11.10g) Security Pack Logon to the application: • User must exist as a system user • Requires valid user-name/password combination • Access level determined by individual permissions • Logon is independent of user who logged on to the operating system • Independent sessions can have individual users

49. Authority checks (§11.10g) Define which database actions the user is authorized to do Use standard profiles template, or define individual user profiles Define ChemStation access level and command line access Security Pack Setting up new users

50. System checks (§11.10g) Security Pack • Formal result review/approval • For approval,user must provide: • User-ID • password • mandatory signature meaning