. Waters Corporation. Functionality ... April, 2004

Transcription

1 .. Waters Corporation Empower Software ality April, 2004

2 Table Of Contents SECTION 1 - INTRODUCTION Basic Principles What Makes Empower Unique?... 1 Multiple User Interfaces Central Database Features... 2 Benefits... 2 Security & Regulatory Compliance Features... Benefits... Component-Based Architecture Features... 4 Benefits... 4 Scalable Architecture... 5 Features... 5 Benefits... 5 Empower Scalability Strategy... 6 S ECTION 2 - TECHNOLOGY Licenses & Key Disks... 1 Named User License Key Disks Base Key Disks... 2 Client/Server and Workstation Specific Option Disks Options Not Requiring Key Disks The Waters Service How Operating System (OS) Security Works... How Operating System (OS) Services Work Data Acquisition and Buffering How Oracle and Server Failures are Recognized... 4 Local Directory and File Organization How Identifiers are Assigned... 5 Empower & Date Handling... 6 How Empower Handles Dates Oracle Date Format... 6 Microsoft Date Format Where Do The Dates Come From?... 7 Empower Use of Oracle Tablespaces Application Components Empower Servers Instrument Server Database Server Processing Server SECTION FUNCTIONALITY... 1 Definitions... 1 Empower General Description... 2 Configuration Manager... Projects... 4

3 Users User Groups... 6 User Types Acquisition Servers Systems... 7 Default Strings Privileges Message Center System Monitor Installation Custom Fields Login Dialog Box Raw Data Security Database Security Client/Server Network Support General Audit Trails General System Audit Trails Project Audit Trails System Policies User Account Policies New Project Policies Other Policies Instrument Control General ality Result Sign Off Pro Interface Pro Window General ality Project Window General ality Views View Filters Tools... 0 Alter Sample... 2 Import / Export... 2 Run Samples... General ality... 4 Run Samples Toolbar... 4 Sample Loading Table Processing General ality... 6 Derived Channels General ality... 8 Review Window... 9 General ality... 9 Review Main Window Toolbar Processing Method Window... 4 Results Window Calibration Curve Window Method Set Editor PDA/MS ality Report Publisher General ality Chromatogram and other Plot Groups... 49

4 Table Groups Calibration Curve Groups Method Groups Drawing Object Groups PDA/MS Groups System Suitability Groups Dissolution Groups Pattern Match Groups Chemical Structure Groups Pr eview QuickStart Interface General ality Open Access Interface Web Interface Empower Software Options System Suitability Option Processing and Reporting System Suitability Results Processing System Suitability Results Reporting System Suitability Results Pattern Matching Option AutoArchive Option Method Validation Option Chemical Structures Option Dissolution Option Gas Chromatography (GC) Option... 61

5 . Section 1 - Introduction 1 Basic Principles Empower Software is an information management application for chromatography data. The application covers a comprehensive range of corporate laboratory concerns: 1. Comprehensive Applications Support 2. Laboratory, Site and Enterprise Wide Information Management. Regulatory Compliance (GLP/GMP/ER/ES) 4. Maximizing Instrument and Application Availability 5. Minimizing System Downtime 6. Data Security, Change Control and Audit Trails 7. Customization and Interaction with rd Party Applications What Makes Empower Unique? The unique properties of the Empower application available include: 1. Empower (and Millennium 2 software) are the only data systems to fully utilize an integrated, relational database. With the Enterprise client/server platform, the centralization of the database minimizes system management requirements by allowing access to all information from a central location. 2. Empower (and Millennium 2 software) provide the most secure environment for the storage of information. Information that is not stored in an isolated, secure environment is open to tampering, either deliberately or accidentally.. Empower (and Millennium 2 software) are the only data systems to provide a fully optimized implementation of client/server technology for both hardware and software. Empower uses a component-based architecture to allow seamless division of the application across multiple computers. 4. Empower (and Millennium 2 software) are the only data system to provide a fully scalable architecture. By being able to scale up, Empower Personal workstation customers are able to expand to the Enterprise architecture without loss of investment while maintaining the same user interface. By being able to scale down, Empower Enterprise customers are able to maximize system uptime. 5. Empower Enterprise extends the capability of the Empower Personal workstation and Workgroup products across a laboratory or enterprise. 1-1 Waters Corporation

6 Multiple User Interfaces The Empower Software allows the user to choose the software interface that is appropriate for their individual requirements. 1 Central Database 1. Pro provides a look and feel that is similar to Millennium 2 software; for Empower users, system administrators and compliance managers. 2. Open Access for walkup users that need to run and process samples on the fly. Results can be ed to appropriate individual(s).. Web read-only access to data being acquired and processed results. 4. QuickStart simple, single window interface that optimizes access to available functionality. Everything required to run samples and get answers is located in one place. Takes the software s performance features and makes then as accessible to the occasional user as they are to the everyday user. Features One central database supports multiple clients running the Empower application. One central location for all chromatography information Access and share information from multiple instruments, laboratories and sites easily. Assistance with regulatory compliance (GLP/GMP/ER/ES) Interact with the system where it is appropriate and convenient for the user. Benefits Minimized system management and simpler data archival. Each system management task needs to be done only once. The user can create combined summary reports across labs, instruments and projects without concern for where the data was acquired or processed. The user does not need to search for information in more than one place. Productivity is enhanced when information can be shared easily. Laboratories can pass methods and information electronically. Different sites can work with all the information across an enterprise without needing to worry about where the information is stored. All method information and raw data is stored with results. Nothing is overwritten and all versions are available for review. Audit trails allow traceability and proof of modification or deletion. Specific features have been implemented to allow compliance with ER/ES (21 CRF Part 11) for customers who must comply with FDA regulations. Access any information on the system from any client computer. Work can be done where it is most convenient. Laboratory space can be utilized for instruments without needing to use valuable bench space for computers/clients. 1-2 Waters Corporation

7 Security & Regulatory Compliance 1 Features Empower user levels and logon security. Electronic Record (ER) and Electronic Signature (ES) compliant-ready Fully Secure Sample, Method and Result information Fully Secure Raw Data Benefits Ensures that only valid users are able to access the system and that each user can do only what they should be allowed to do. Full compliance with the ER/ ES rule of the FDA (21 CRF Part 11) ensures that pharmaceutical laboratories meet their obligations to the regulatory authorities. All information (excluding the raw data) is stored in the database. Users do not have access to this information without authorization. Any changes to this information can be audit trailed to ensure traceability Access to raw data is controlled by the Waters Service. No user is able to modify or delete raw data except by using the Waters Service, and then only if authorized and their actions can be audit trailed. Raw data integrity algorithms assess data each time it is fetched to determine if the data has been tampered with; either accidentally or intentionally. If the data is found to me modified from its original contents, the chromatogram is not displayed and en error is sent to the Message Center. Information is stored remotely from the user On an Enterprise client/server system, information is not stored on the local hard disk where the user can interact with it using the operating system. The information is stored on a remote, secure server, with the remote user only having access using all of security of the Windows 2000 or Windows XP operating systems and Empower. 1- Waters Corporation

8 Component-Based Architecture Features Application load is balanced between hardware components. Database operations are isolated optimized on the server. and Acquisition operations are isolated and optimized on the LAC/E 2 acquisition server. Processing operations are performed where it is most appropriate. Benefits Traditional workstation or LAN-based implementations of data systems burden one of the system components more than the others. This results in performance that changes dramatically as the load on the system changes. By optimizing the load on each component of the Empower Enterprise system, performance is improved and remains essentially constant under different loads. The server can be configured to allow the database to operate optimally. There does not need to be a compromise to the configuration to allow user interaction, acquisition or other applications to run. The server can be upgraded without impacting on the other system components. The LAC/E 2 can be configured to allow acquisition to operate optimally. There does not need to be a compromise to the configuration to allow user interaction. More systems can be run on a LAC/E 2 than can be run on a client, minimizing the cost of acquisition. Processing is done on the client when the user wants to interact with the data or reprocess previously acquired information. During normal run & report while acquiring, processing is done on the LAC/E 2. This leaves the most processing power available at the client. The client can be logged out or even turned off and acquisition, processing and online reporting can continue Waters Corporation

9 Scalable Architecture Features Seamlessly scale up from Personal workstation to Enterprise client/server. Minimize downtime. Benefits Using the component-based architecture of Empower, customers can choose whichever configuration is best for them. Later they can scale up to an Enterprise system without needing to obsolete or trade-in any software or hardware. No retraining is required. With traditional data systems, if one component fails, the system is unavailable until the faulty component is repaired. With an Empower Enterprise system, if one component fails, an alternate component can be brought online to ensure that downtime is minimized and samples can continue to be run. If the server fails, store data in a local database. If an acquisition server fails, perform acquisition locally Waters Corporation

10 Empower Scalability Strategy 1 Empower is an information management strategy for chromatography data. Method Development Content Uniformity LIMS Structure Searches T o o l k I t Empower Applications Environment Elements: Database Reporting HPLC Control Customization GC System Suitability GPC / GPCV LC/MS Pattern Matching Simulated Distillation Other... Platforms Windows Windows 2000 XP Dissolution Other... Empower is a family of products or a technology, it is not just a piece of software. It comprises: 1. A base set of features (the application environment) 2. A series of add-on applications from Waters to enhance functionality. Availability on industry standard platforms 4. The Toolkit, a recognition that Waters cannot meet all the demands of the customers. 5. A series of partner applications to round out the functionality and make Empower a true laboratory solution 1-6 Waters Corporation

11 Empower software is comprised of software components that work together. The user sees a single application but the component-based nature of the software gives you the flexibility to create a wide variety of configurations to meet different business needs. 1 Acquisition & Control Database Processing & Reporting In a Personal workstation, all components are present in the same PC. However, with Personal workstation systems you must make a decision - you want convenience and availability but you also want to reduce the cost. To get the best availability, it is ideal to have one system per workstation and, as you add more systems, you add more workstations. Note that the different software components in the following diagrams are abbreviated to a single letter, P=Processing, D=Database and A=Acquisition. P D A P D A P D A 1-7 Waters Corporation

12 1 To minimize cost, multi-system Personal workstations are available. The issue is that this strategy can compromise the availability of the systems and the software due to the limited number of keyboards. P D A So, what can be done? Must there be a compromise and a less than optimal solution? One option is to add processing stations where users could work to do data reduction. This added more keyboards without the cost of the acquisition component. P D A P D 1-8 Waters Corporation

13 The problem has always been how does the data get to the processing station? This not only meant that the data had to be manually moved via floppy disk or network, it also meant there were multiple copies of the data created. This solution has had limited applicability. 1 Empower Workgroup solves this problem. A maximum of four clients can be used together; all can 2 perform processing and data acquisition. There is no limit to the number of LAC/E acquisition servers you can use. There is no manual transfer of data and only a single copy of data is required. This is a good solution where the laboratory already has one or more workstations. P D A Ethernet P D Empow er Workgroup provides a true multi-user, multi-keyboard solution with the LAC/E 2 module as the hub of the wheel. It is important that the LAC/E 2 can also process data so that the PC is not burdened with anything that can be done somewhere else. Note how the building blocks are now being moved around to accomplish business requirements, without the user needing to worry about where the different components are. 1-9 Waters Corporation

14 1 P D LAC/E 2 P P P A Extending Empower Workgroup creates an Enterprise system, which is a full-scale client/server configuration. The Empower Enterprise solution can be scaled to any number of instruments and users across a laboratory, site, or an entire enterprise. There is no magic to client/server - it is just another way to configure Empower. Additional laboratories can be added at any time, and processing stations can be put where they are best utilized rather than needing to be with the instruments Waters Corporation

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16 So, no matter how a laboratory needs to grow, there is a configuration that makes sense. If you know that one day the lab would like to have an Enterprise system, you can head toward that goal from the beginning - knowing that any investment is protected, that scaling up is just the addition of new components and that no retraining will be needed. No other company can offer this and it gives great comfort to the user - knowing they do not have to accurately predict where they will be in several years and knowing that the strategy adapts to their changing circumstances. 1 The scalability is also two way - scaling down is sometimes a good idea...what happens if you have a client/server system and the server fails! If the only database resided on the server then samples could not be run until it was fixed. But, with the scalability of Empower, some clients can also have a database and, if the server is unavailable, you run samples locally. When the server is available again, the information is merged back into the central database. But, what if the entire network is down? In that case some clients can also include acquisition capability. Now everything can continue as if you had standard workstations. The concept is simple but it means a great deal to a business. Uptime is paramount in the modern laboratory and allowing this dynamic reconfiguration gives the system administrator the flexibility and peace of mind that they cannot get with any other package. This is the real message of Empower and scalability Waters Corporation

17 Section 2 - Technology 2 Licenses & Key Disks Empower utilizes licenses key disks to activate named user licenses and software options, respectively. Note: With Empower, no site-wide licenses are available. All licenses, options and key disks are specific to a single database (Personal workstation, Workgroup or Enterprise). The various types of licenses and options available, with information on their use is as follows: Named User License Key Disks Named User Licensing is used in Empower. Named user licensing is an easy scheme to understand and implement. licensing A named user is defined by Waters as any individual person who can access the Empower software (the database). Each named user must have a license whether they are logged into Empower or not. An Empower user can have a status of Active, Disabled or Removed. A Named User is defined in Empower as any Empower user account with a status of "Active" or "Disabled". "Removed" accounts do not count against the number of Named User Licenses available to you. In addition, the "SYSTEM" account is a special account and also does not use a Named User License. Named user licensing applies to all Empower configurations - Personal, Workgroup and Enterprise. All configurations are supplied with 5 Named User Licenses in the base configuration. You may then purchase any additional Named User Licenses (key disks) to configure the system for the required number of analysts. Named User Licensing does allow you to load the Empower client software on any number of computers. Named User Key Disks are floppy disks that, when installed to a Empower database, will allow additional active user accounts to be created, up to the number installed. These license key disks are available in a number of sizes, enabling 1, 5, 10, 15, 20, 50 or 100 users to be enabled with a single disk. To create a new user account once that limit is reached, you must either purchase more Named User Licenses or they must flag one (or more) user accounts as "Removed" to free existing licenses. Named User Licenses may be removed (uninstalled) from one database so that they can be transferred to another. You must ensure that you do not have more "Active" accounts than licenses when this occurs. You can do this simply by flagging accounts as "Removed" until they are within their license limits. If the number of active accounts exceeds the number of licenses because licenses have been removed, the next time a login occurs, the license violation will be detected and all non-administrator accounts will be marked as "Removed". A system administrator will then need to activate accounts up to your license limit to allow users access to the system. 2-1 Waters Corporation

18 Named User License Key Disks, when loaded, place a token into the database. While the token remains in the database, the key disk cannot be loaded into another database. If you have more than one database available (multiple servers or instances) these key disks can be uninstalled from one database and then installed on another. Key disks do not need to be uninstalled in any specific order. Each key disk will uninstall exactly the number of named user licenses that were loaded from it in the first place. 2 Base Key Disks This type of key disk allows different types of platforms (Personal vs. Workgroup vs. Enterprise) to be configured and sold. One of these key disks is required for every platform and, when loaded, defines the type of platform. This key disk must be uninstalled if the system is to be reloaded. The base key disk for Empower Personal will also activate 5 named user licenses on the system where it is installed. The base key disk for Workgroup or Enterprise will not activate any named user licenses each Workgroup or Enterprise installation will include at least one 5 named user key disk. Client/Server and Workstation Specific Option Disks Most option disks are specific to the type of system on which they will be loaded, Personal, Workgroup or Enterprise. An Enterprise option disk will not operate on a Personal workstation, and vice versa. Software option disks (e.g. GC, System Suitability, GPC, GPCV, Toolkit, Pattern Matching, Open Access, LIMS Interface, Chemical Structures, Agilent 1100, Light Scattering, AutoArchive and Dissolution) enable the specified software option for one database (Personal workstation, Workgroup or Enterprise as appropriate). These option disks must be uninstalled if the data system is to be reloaded. Millennium 2 option key disks will not function in Empower. Options Not Requiring Key Disks The Waters Service Detector option disks (e.g. PDA and MS) do not require option disks. The software option is always enabled on each database as the appropriate detector is required to acquire this type of data. The Web and Open Access options also do not require key disks. The Waters Service is a Windows service that eliminates data security concerns and minimizes the administration required for acquisition server modules. Once the Waters Service is enabled: 1. DCOM does not need to be configured on acquisition servers, minimizing setup time. 2. No domain account is required by Empower, minimizing security concerns.. Autologon is not required on any acquisition servers, minimizing setup time and security concerns. 2-2 Waters Corporation

19 4. The hidden file share used for raw data storage is secure, with all users having read only privilege to the location where raw data files are stored, minimizing security issues. 2 Note: The Waters Service will be used on the server and any clients. How Operating System (OS) Security Works Every OS process runs on behalf of an account. Each account is identified internally by a Security Identifier (SID) and has an associated set of privileges. A particularly useful account is System. The system account has unlimited privileges on the local machine, but has no access to network resources (except as described later). It cannot be disable, deleted, or modified. It cannot be used interactively (i.e. cannot access the screen, mouse, etc.). It does not have a password since one does not log onto it. It is intended mainly for running OS services. Every OS object specifies which accounts are allowed to access it and what those accounts are allowed to do to it. In our case, the objects we re interested in are Shares, Directories, and Files. We want to allow the local System account full control over the raw data share, directories, and files; but allow other accounts only to read them. As stated earlier, the System account on one machine cannot access objects on another machine. It isn t even considered part of the domain s Everyone group. So, for example, when a Processing Server process on one machine tried to read a file on another machine, it wouldn t be allowed to (even if the file were shared to Everyone ). The Processing Server s SID is considered to be the NULL SID on the remote machine, and connections are considered to be NULL Sessions. Fortunately, a registry entry allows a share on a machine to be specified as a NullSessionShare thus allowing System accounts on other machines to access it. The Share itself should continue to be named Waters_Projects$. 2- Waters Corporation

20 How Operating System (OS) Services Work Services are special OS processes that are started by the OS Service Control Manager (SCM). The code exists as an Executable (.EXE) file and must be properly registered so the SCM knows about it (it will appear in the NT Services utility and so forth). The SCM starts the service by calling the EXE s main entry point. 2 The WatersService implements file and COM services. These are independent and could have been implemented as separate service but, for simplicity, they are packaged in the single Waters Service application. In addition to providing these facilities, the Waters Service application launches the InstSrv application when it starts. Since a service can be configured to start automatically at machine bootup, and since InstSrv boots the buslac/e if necessary, this time consuming operation will usually be complete before the first user tries to access instruments. Data Acquisition and Buffering 2 On an Empower acquisition server (LAC/E or acquisition client), two processes (INSTSRV and CHROMSRV) are responsible for data acquisition and control. When the acquisition server is booted, INSTSRV is started. INSTSRV then starts one CHROMSRV process for each configured, on-line system on the acquisition server. Each CHROMSRV is dedicated to a particular chromatographic system. When an Empower chromatographic system (the CHROMSRV application) acquires data destined for a database on another machine in the network, it first writes the data locally to files. This includes data destined for Oracle, and the chromatogram data files. As each injection completes, the chromatogram data files for that injection are copied to the database server and, if the copy succeeds, the local copy is deleted. At the successful end of a sample set, the file containing the Oracle data is also deleted. If CHROMSRV is unable to transfer data to Oracle or copy files to the server, it continues to run but no longer attempts to converse with Oracle or the server s data directory. Data continues to be written locally to files. CHROMSRV is said to be in buffering mode. It remains in buffering mode until the next sample injection. Before the next injection is done, CHROMSRV attempts to re-establish connection to the database and, if successful, will send all buffered data to the database and will come out of buffering mode, continuing operation as normal. If it fails to connect, the set continues but is run in buffering mode. Every 10 minutes (approximately) after the end of the sample set (assuming buffering is still in progress) INSTSRV examines the directory of local files and, if it finds a sample set or single injection in need of recovery, tries to connect to the appropriate server and project. If the connection is successful, it transfers the Oracle data from the local file to the remote Oracle, and copies local data files to the proper directory on the server. If the copy is successful the local copies are deleted. How Oracle and Server Failures are Recognized CHROMSRV uses the normal Empower calls to store Sample Sets, Injections, Chromatograms and so forth in the database. When one of these fails, as would be the case when Oracle is not reachable, the call returns an error. If CHROMSRV sees an error, it goes into buffering mode. CHROMSRV likewise uses Empower calls to write and copy files. These in turn use the underlying Microsoft file routines. So if one of these Microsoft routines were to report a failure, CHROMSRV would also go into buffering mode. Local Directory and File Organization 2-4 Waters Corporation

21 The Oracle destined data is kept in a file named SampSetxxxx.dat where xxxx is a number corresponding to the Sample Set s Identifier in Oracle. The chromatogram data is kept in files named Dxxxx.dat where the xxxx likewise corresponds to the Oracle channel (chromatogram) identifier. These files can be found in a directory named Empower\InstrumentServer on the acquisition server. This directory is in turn organized into subdirectories organized by System, Database Server, and Project. So, for example, the following file would indicate that System MySystem is acquiring data destined for server MyServer and project MyProject. If Oracle were currently reachable you would see a Sample Set with identifier 124 in the Project application s Sample Set view. 2 \Empower\InstrumentServer\MySystem\MyServer\MyProject\SampSet124.dat A similar technique is used for single injections, but an empty file named Singlexxxx.dat is used in place of SampSetxxxx.dat. The file simply indicates that there is a matching Dxxxx.dat file being acquired or in need of recovery. How Identifiers are Assigned If Oracle is reachable, the Oracle entries for Sample Sets and Chromatograms are made directly to Oracle and the identifier assigned by Oracle is used. These tend to be large numbers (identifiers start at 1000). If Oracle is not reachable, CHROMSRV assigns a local identifier by simply incrementing a counter that starts at 1. In other words, these files have low numbers like SampSet4.dat and D12.dat. During recovery, CHROMSRV asks Oracle to make entries for, and assign actual identifiers to, items it had to identify locally. The timestamps used for injections use the same technique if Oracle is reachable then Oracle s data/time is used. If not, the local machine s date/time is used. 2-5 Waters Corporation

22 Empower & Date Handling 2 How Empower Handles Dates Empower internally stores and operates on dates using Oracle and Microsoft date formats and date handling routines. These formats are summarized below. Empower does all date arithmetic and comparison using these internal formats, so the number of digits used to display the year are irrelevant. In other words, there should be no year 2000 problem (the year 471, however, is another story). Dates are formatted and displayed using Microsoft formatting routines. The format is specified via the Microsoft Control Panel settings. So a user could, for example, choose a date format that represented the year as 2 digits. In this case, a year of 00 could appear on the screen or in a report. But again, that s not what is stored or computed with. Changing the control panel to a 4 digit date representation would change the display to The one place where date formats can cause unexpected behavior is in user specified view filters. Filters can be specified to select dates before or after a specified one. For example, >//97 means dates greater than March, Empower uses the Oracle conventions in view filters, and Oracle defaults 2 digit years to the century 19. So even after the turn of the Millennium, this filter would still work as expected. However, when Oracle releases new versions after the year 2000, they will probably change to a century default of 20. If the do this, in this example, the view filter would not show new rows (i.e. rows with years like 00, 01,..). The actual data is still stored properly, and a user can remedy the problem by specifying a 4 digit date in the view filter. Oracle Date Format Oracle represents dates using one byte each for century, year, month, day, hour, minute and second. This format supports dates ranging from January 1, 4712 BC through December 1, 4712 AD with 1 second resolution. Microsoft Date Format Microsoft represents dates using an 8 byte floating point number with December at midnight being the number So, for example, January 4, 1900 at noon is internally represented as the floating point number This format and related Microsoft routines support dates ranging from January 1, 100 to December 1, 9999 with an approximate resolution of 1 millisecond. 2-6 Waters Corporation

23 Where Do The Dates Come From? The following table shows the place of origin of Empower dates in a Workgroup or Enterprise environment (on a Personal workstation everything is based on the local PC clock). Note that a client in this case is either a process ing client or an acquisition server (eg.lac/e 2 ). 2 Item Normal Operation Buffering Mode Note Date Acquired Server Client 1,4 Date Processed Server N/A Date Calibrated Server N/A Sample Set Start Date Server Client 4 Sample Set Finish Date Server Client 4 Result Set Date Server N/A Library Create Date Server N/A Method Create Date Server N/A Current Date ( Report) Client N/A 2,4 Sign Off Date 1 Client N/A 4 Sign Off Date 2 Client N/A 4 Data File Create Date Server Server (DXXXX.DAT) Project Create Date Server N/A Project Last Archived Date Client N/A 4 Notes: 1. When Empower is buffering data acquisition (due to a loss of communication with the server) there is the potential for a lengthy delay between the acquisition of a sample and its later storage on the server. In this case the local client internal clock is used to determine Date Acquired. 2. The system create date must be the client internal clock date since the system is created by the InstSrv process. This process does not communicate to the database so must use the local internal clock.. The data file creation date is the date at which the data file was placed onto the server hard disk and is the system date and time. Since the file may be placed on the server some time after acquisition is complete when in buffering mode, the "Date Acquired" field and the data file creation date may not be similar. This is normal behavior when buffering has occurred. 4. The Client clock can easily and automatically be synchronized with a time server on the network. This will ensure that the same time is reported for both the server and the client, avoiding any confusion over time stamps. 2-7 Waters Corporation

24 Empower Use of Oracle Tablespaces 2 Empower Software contains an Oracle database, which is fully integrated into the application. This approach was designed to offer enterprise grade Oracle technology without requiring additional IT resources to manage it. Oracle considers an Embedded License Application (such as Empower) to be an application where the database is truly embedded into the application and the customer has little or no knowledge that the Oracle database exists in the application. Waters does not grant an Oracle license -- rather Waters grants to Empower users the use of its Oracle license under a sub-license distribution agreement with Oracle. The Empower application has been designed and developed by Waters to eliminate program administration tasks by the customer. This is done by enabling centralized and remote administration and by including built in program administration functions. All administration scripts including startup, shutdown, and back up are provided by Waters and reside within the application program. In addition, all support for program operations are provided by Waters. Additional information is located in the following documents: - Empower Software System Administrator s Guide ( , Revision A) - Emp ower System Installation and Configuration Guide ( , Revision A) Oracle organizes data in logical units called Tablespaces. Oracle allows a tablespace to occupy multiple disk files, but for simplicity Empower uses only a single file per tablespace. These tablespaces / files are: Tablespace File Initial Maximum System \Empower\Ora\Database\System01.dbf Project \Empower\Ora\Database\Usr1Wat.dbf Undo \Empower\Ora\Database\Undo01.dbf Index \Empower\Ora\Database\Idx1Wat.dbf Temporary \Empower\Ora\Database\Tmp1Wat.dbf N/A N/A The initial size of these tablespaces is determined by the Empower Installer and is based on the type of configuration. As tablespace is used up, Oracle will automatically extend the size of a file by a specified increment up to the specified maximum size. Oracle uses the Temporary tablespace to sort rows and do other internal housekeeping. When the sort is complete, Oracle frees the storage. The amount of temporary storage used goes up and down, but never (so far) exceeds the maximum allowed file size. When Oracle adds or removes items, it enforces the concept of a Transaction. A transaction is something that either runs to completion or not at all. So, for example, when you store a result with 10 peaks, either all 10 peaks are stored, or none at all. This is true, for example, even if the system s power is turned off after storing of the 10 peaks. When Oracle starts up, it will roll back the transaction as if in never happened In order to enforce a transaction, Oracle must keep track of what it is doing so it can be undone. Oracle does this in Rollback Segments that reside in the Undo Tablespace. Much like the temporary tablespace, the amount of storage used goes up and down because Oracle can free the storage once the transaction is complete. It should rarely be necessary to change the Undo tablespace settings. These should not be changed unless Oracle reports errors. Oracle uses the System Tablespace to remember which tablespaces, tables, projects, indexes and so forth it is managing. The actual data for these items (projects for example) is stored in other tablespaces, but information about the items is stored here. It is unlikely that there will be a need to change the System Tablespace settings. In a very large installation with hundreds of projects, the user may get an Oracle error complaining about System tablespace when they try to create or restore a project. Only then should the settings be changed. 2-8 Waters Corporation

25 Oracle uses the Index Tablespace to cross-index tables to improve performance. For example, when the user wants to see all the peaks from a particular result Oracle can find them much faster if it has an index relating peaks to results. This is analogous to looking up someone s phone number. If you know their name, it s easy to find the number because a phone book is indexed by name. Finding someone s name given his or her number is much harder because you have to search the entire book. The amount of Index tablespace used should be roughly proportional the amount of Project tablespace used. As new items are added to a project, Oracle adds new indexes for them. The system administrator should occasionally check how much Index tablespace is used, but remember that Oracle will automatically increase it up to the specified maximum. 2 Finally there is the Project Tablespace. This is somewhat of a misnomer because in addition to Project data, it also contains library and spectral data and information about Empower users, groups, systems, and so forth. Note that the raw chromatogram files themselves are not stored in Oracle, they re kept in files outside of Oracle. The system administrator should occasionally check how much Project tablespace is used, but remember that Oracle will automatically increase it up to the specified maximum. There is one large Project Tablespace file named Usr1Wat.dbf that all projects use as they need. The tablespace number you enter when creating a project, or see when you view project properties is simply a quota. Its only purpose is to keep a project from using up an unfair amount of the project tablespace. There is no performance or storage price to be paid for changing it or for making it large initially. You don t pay until you actually use the storage. Think of it as a credit limit on your charge card. Application Components Empower uses a component-based architecture with three main components, a Processing server, an Acquisition server and the Oracle Database server. Many different Empower executable files communicate with these components, on the same or difference machines, to present the Empower application to the user. The different components and applications are shown in the diagram below: Empower Executables Processing Server Acquisition Server Oracle Database Server Oracle TNS Listener Oracle 9i Windows Operating System TCP/IP Network Interface Card Communication between the Empower executables, processing server, acquisition server and Oracle database server uses COM when the components are within the same machine, and DCOM when the components are remote (on different machines). 2-9 Waters Corporation

26 During database access (for example when processing a sample), the communication between the client and the server is as shown below: 2 Empower Executables Processing Server Acquisition Server Oracle Database Server Oracle TNS Listener Oracle 9i Windows Operating System TCP/IP Network Interface Card Client Oracle TNS Listener Oracle 9i Windows Operating System TCP/IP Network Interface Card Server When accessing raw data files (for example when writing the data file after acquisition), the communication between the client and the server is as shown below. In this case, communication uses standard operating system calls to send and receive raw data. TCP/IP security is used to determine whether the raw data file was successfully delivered to the client or the server (as appropriate). Empower Executables Processing Server Acquisition Server Oracle Database Server Oracle TNS Listener Oracle 9i Windows Operating System TCP/IP Network Interface Card Oracle TNS Listener Oracle 9i Windows Operating System TCP/IP Network Interface Card Client Server Empower Servers Instrument Server An Instrument Server controls a single chromatography system. An instrument server allows clients to observe and control instruments that make up the system. It can carry out a single injection or a sequence of injections. It saves acquired chromatograms locally via a local Storage Server. In some configurations, it may transfer these chromatograms to a remote Storage Server at the end of each injection. It may ask the Processing Server to process and report on each injection s worth of chromatograms. It may also ask the Processing Server if it can continue with the next injection (e.g. interactive suitability, must peak, etc...). The major services it provides are: 2-10 Waters Corporation

27 Get configuration information (head sizes, options installed, etc...) 2 Get instrument status (current temperatures, flows, states, etc...) Get instrument real-time data Set instruments per a specified Instrument Method. Perform an injection Run a sample set s worth of injections Configure a system out of modular instruments (legacy only) Interactively control instruments (auto zero, run diagnostics, etc..) Database Server A Database Server stores and fetches certain standard types of objects. An Instrument Server fetches Instrument Methods and Sample Sets from a Storage Server and stores Chromatograms to a Database Server. Objects can be transferred by fetching from one database server and storing to another. The following objects are standardized for use by the Database Server: Instrument Methods Sample Sets Chromatograms Instrument history (total operating hours, last seal calibration, etc...) Results (Toolkit Only) Processing Server A Processing Server processes an injection s worth of chromatograms to produce results and (optionally) reports. It can also be asked to do special things like Clear Calibration. The Instrument Server asks it to do these thi ngs. The Instrument Server can also ask whether, as a result of the processing, it should continue with the next injection or not. A third party application can hook into processing to compute the value of some custom result fields. The major services it provides are: Process and Report on this Injection Perform this Processing OK to Continue? Hook processing (after results computed, but before reported) 2-11 Waters Corporation

28 .. Empower ality Version 4.0 Section ality Definitions This section presents acronyms and definitions of terms used in this document. Other terms are explained in context through the document. Term Definition baseline A line drawn from the start point of a peak to end point of peak needed to calculate peak area or peak height. baseline noise Short-term fluctuations in a detector baseline signal that are due to background electrical noise and other environmental variations. The interference keeps the baseline from being perfectly flat. bracketing The technique of running standards before and after and/or interspersed with samples in a sample set to construct one or more calibration curves. Each calibration curve is then used to determine the concentration or amount of the sample bracketed by the standards. This technique can help to compensate for variations in chromatography caused changes in temperature, flow, or solvent evaporation that may occur during the course of injecting a set of samples. chromatographic run A set of standards and/or samples injected during the same chromatographic experiment. EP European Pharmacopoeia exponential skim A method of resolving small rider or shoulder peaks from a larger peak by estimating the shape of the larger peak using an exponential function. JP Japanese Pharmacopoeia peak area The detector response (reported in units of µv-seconds or equivalent) integrated over time between the start-of-peak and end-of-peak points minus the baseline. peak height The detector response (reported in units of µv or equivalent) measured between the apex of the peak and the baseline value measured at the same run time. peak name The name assigned by the user to components eluting at a given response time. retention time The elution time of a component at the apex of the peak. selectivity A measure of the relative retention on a chromatographic column of two components under the same mobile phase and stationary phase conditions. sequence A set of standards and/or samples injected during the same chromatographic experiment. SOP Standard Operating Procedure tangential skim A method of resolving rider or shoulder peaks from a larger parent peak by drawing a (straight) line to tangentially skim the rider peak from the parent peak. USP United States Pharmacopoeia -1 Waters Corporation

29 General Empower General Description Empower Software is a 2-bit data management platform with advanced integrated database architecture. It acquires, processes, reports, and manages chromatographic information. Empower offers easy-to-use technology and converts high-quality, accurate results into usable information while meeting security and regulatory compliance requirements. It is a complete chromatography and results management system that you can adapt to your individual chromatography requirements by using as many or as few Empower software capabilities as you require. Empower is available in different configurations: The Empower Personal workstation is a stand-alone, single-user personal computer. It includes a buslac/e card interface and a local database that supports the Empower chromatography application software to acquire, process, report, and manage chromatographic information. You can connect up to four online HPLC systems to an Empower workstation. The Empower Workgroup is a small client/server system with a maximum of four clients. There is no limit to the number of LACE 2 Acquisition Servers (a network device dedicated to chromatographic instrument control and data acquisition) that can be configured. The Empower Enterprise system is a corporate-wide networked version of the Empower workstation. Four different user interfaces are available: Empower Pro - provides access to all features of the Empower software. This interface is similar to that of Millennium 2 and will therefore be familiar to Millennium 2 users. Empower Open Access - provides access to the features of Empower software required in an environment for routine analysis, one with many infrequent/new users and/or walkup users. Empower Web - provides simplified access to Empower software via a web browser. Empower QuickStart - provides a streamlined interface to the main features of Empower software with an emphasis on simplicity and ease of use. A ll interfaces are supplied in the base Empower software package. Users can choose the interface to log in to within the login dialog. A default interface is defined for each user, so that the user s p referred interface does not have to be explicitly chosen at each log in. Empower is a 2-bit Microsoft Windows application. Empower is available in English, Japanese, Chinese, and Korean versions. Empower is based around an Oracle database. No data is overwritten in the Empower database. Using Empower software, you can: Acquire data and control chromatographic instrumentation Process data interactively or in the background -2 Waters Corporation

30 Customize management of project information Customize report design and generation Using Empower software you can easily perform simple acquisition and processing requirements such as: Making a single injection Processing data Printing a report Using Empower you can perform sophisticated applications such as: Interactively creating and acquiring sample sets Defining custom reports Creating and adding custom fields, and calculating custom database results Performing tracking and trending of results using the Empower database Empower development and testing follows a documented software development lifecycle (SDLC). Empower is ISO 9001 TickIT certified. Comprehensive, context-sensitive Windows online help is supplied with the Empower application. Waters maintains all development documentation, including al Specifications, Source Code, Test Protocols and other information related to product life cycle. Source code for each version of Empower is available in an Escrow Account. Automated qualification is available for Empower workstations, clients and acquisition servers. Custom programs that interact with or control Empower may be written using the Empower Toolkit. The Toolkit is a programming interface to Empower functionality. Multiple Toolkit applications may be run at the same time to execute different tasks. The Toolkit supports any programming language that supports Microsoft standards such as ActiveX and COM (for example: Visual Basic, VBA, Visual C++ etc.). The Toolkit allows applications to be configured into the Empower user interface by adding menu items to various Empower windows as required. The Empower LIMS Interface provides a seamless interface to LIMS systems. Specific LIMS systems/formats supported include: ASCII AIA (ANDI) PE SQL*LIMS LabSystems LabManager LIMS Installation, Configuration and System Management Configuration Manager The Configuration Manager is a graphical user interface that provides system management functions to control various parts of the Empower software. These functions include managing: Project information Custom fields Acquisition servers (configuring local and network acquisition servers) Chromatographic systems (creating and configuring local and network systems) Spectral libraries Library spectra Users User groups - Waters Corporation