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Regulation, Specification, or Guidance Requirement 7 CFR Part 331 (throughout) 9 CFR Part 121 (throughout) [https://www.law.cornell.edu/cfr/text/10/part-20 10 CFR Part 20 (throughout) 21 CFR Part 7 (throughout) 21 CFR Part 58 (throughout) 21 CFR Part 211 (throughout) 21 CFR Part 212 (throughout) 21 CFR Part 225 (throughout) 21 CFR Part 226 (throughout) 21 CFR Part 312 (throughout) 21 CFR Part 606 (throughout) 21 CFR Part 810 (throughout) 21 CFR Part 812 (throughout) 21 CFR Part 820 (throughout) 29 CFR Part 1910.134 (throughout) 29 CFR Part 1910.1030 (throughout) 29 CFR Part 1910.1200 (throughout) 29 CFR Part 1910.1450 (throughout) 40 CFR Part 262.213–14 42 CFR Part 73 (throughout) 42 CFR Part 493.1200 42 CFR Part 493.1232 42 CFR Part 493.1239 42 CFR Part 493.1251 42 CFR Part 493.1291 (j) 45 CFR Part 164 (throughout) A2LA C211 4.3 A2LA C223 4.13 AAFCO QA/QC Guidelines for Feed Laboratories (throughout) AAVLD Requirements for an AVMDL (throughout) ABFT Accreditation Manual (throughout) ASTM E1188-11 3.5.2 ASTM E1492-11 4.3.3.3 and 4.4.4 ASTM E1578-18 D-1-1 CAP Laboratory Accreditation Manual (throughout) CJIS Security Policy (throughout) EMA Guidance on Good Manufacturing Practice and Good Distribution Practice (throughout) EPA 815-R-05-004 (throughout) EPA ERLN Laboratory Requirements (throughout) EPA QA/G-5 (throughout) E.U. Commission Directive 2003/94/EC (throughout) FDA Hazard Analysis Critical Control Point (throughout) ISO 15189:2012 4.3 ISO 15189:2012 5.5.3 ISO 15189:2012 5.9.3 ISO/IEC 17025:2017 5.3 ISO/IEC 17025:2017 5.5 ISO/IEC 17025:2017 8.3.2 NYSDOH CLEP Clinical Laboratory Standards of Practice, General Systems Standards NYSDOH ELAP Medical Marijuana Microbiology Guidance NIST 800-53, Rev. 5 (throughout) OECD GLP Principles 8 OSHA 1910.1200(b)(3) OSHA 1910.1450(e) and (h) PFP Human and Animal Food Testing Laboratories Best Practices Manual TNI EL-V1-2016-Rev.2.1 (throughout) USDA Administrative Procedures for the PDP (throughout) USDA Data and Instrumentation for PDP (throughout) USDA Sample Processing and Analysis Procedures for PDP (throughout) WHO Technical Report Series, #986, Annex 2 (throughout) 7.1 The system shall be capable of creating, managing, and securely holding a variety of document types, while also allowing for the review and approval of those documents using version and release controls. 7 CFR Part 331 (throughout) 9 CFR Part 121 (throughout) 21 CFR Part 7 (throughout) 21 CFR Part 58 (throughout) 21 CFR Part 211 (throughout) 21 CFR Part 212 (throughout) 21 CFR Part 225 (throughout) 21 CFR Part 226 (throughout) 21 CFR Part 312 (throughout) 21 CFR Part 606 (throughout) 21 CFR Part 810 (throughout) 21 CFR Part 812 (throughout) 21 CFR Part 820 (throughout) 29 CFR Part 1910.134 (c) 29 CFR Part 1910.1030 (throughout) 29 CFR Part 1910.1200 (e) 29 CFR Part 1910.1450 (throughout) 40 CFR Part 262.214 42 CFR Part 73 (throughout) 42 CFR Part 93.300–5 42 CFR Part 493.1200 42 CFR Part 493.1232 42 CFR Part 493.1239 42 CFR Part 493.1251 42 CFR Part 493.1291 (j) 42 CFR Part 493.1773 (c–d) 45 CFR Part 160.310 45 CFR Part 164 (throughout) A2LA C211 (throughout) A2LA C223 (throughout) AAFCO QA/QC Guidelines for Feed Laboratories (throughout) AAVLD Requirements for an AVMDL (throughout) ACMG Technical Standards for Clinical Genetics Laboratories (throughout) AIHA-LAP Policies 2022 Appendix H5.8 ASTM E1188-11 3.5.2 ASTM E1492-11 4.3.3.3 and 4.4.4 ASTM E1578-18 D-1-2 CAP Laboratory Accreditation Manual (throughout) CDC Biosafety in Microbiological and Biomedical Laboratories (BMBL), 6th Edition (throughout) CJIS Security Policy (throughout) CLSI QMS22 (throughout) EPA 815-R-05-004 (throughout) EPA ERLN Laboratory Requirements (throughout) EPA QA/G-5 (throughout) E.U. Commission Directive 2003/94/EC (throughout) FDA Hazard Analysis Critical Control Point (throughout) ISO 15189:2012 (throughout) ISO/IEC 17025:2017 (throughout) NYSDOH CLEP Clinical Laboratory Standards of Practice, General Systems Standards NYSDOH ELAP Medical Marijuana Microbiology Guidance NIST 800-53, Rev. 5 (throughout) OECD GLP Principles 8 OSHA 1910.1020 (throughout) OSHA 1910.1200(b)(3) OSHA 1910.1450(h) PFP Human and Animal Food Testing Laboratories Best Practices Manual TNI EL-V1-2016-Rev.2.1 (throughout) USDA Administrative Procedures for the PDP (throughout) USDA Data and Instrumentation for PDP (throughout) USDA Hemp Production Program Laboratory Testing Guidelines (throughout) USDA LAS Laboratory Approval Program (LAP) Policies and Procedures 12.3 USDA Sample Processing and Analysis Procedures for PDP (throughout) WHO Technical Report Series, #986, Annex 2 (throughout) 7.2 The system shall have the ability to readily provide authorized access to electronic documents such as standard operating procedures, quality manuals, laboratory management plans, instrument manuals, employee medical records, material safety data sheets, information exchange agreements, confidentiality agreements, and other applicable documents to designated personnel and officials. 21 CFR Part 820.40 (a) 42 CFR Part 493.1251 (e) A2LA C211 4.3 AAVLD Requirements for an AVMDL Sec. 4.3 ASTM E1578-18 D-1-3 EPA 815-R-05-004 Chap. III, Sec. 11 EPA ERLN Laboratory Requirements 4.2.4.2 EPA QA/G-5 2.1.9 ISO 15189:2012 4.3 ISO 15189:2012 5.5.3 ISO 15189:2012 5.9.3 ISO/IEC 17025:2017 7.5.2 ISO/IEC 17025:2017 8.3.2 USDA Administrative Procedures for the PDP 5.5 WHO Technical Report Series, #986, Annex 2, 15.5 7.3 The system shall be able to clearly provide the most current version of a document and archive prior versions. ASTM E1578-18 D-1-4 7.4 The system shall allow an applicable standard operating procedure revision to be linked with a test performed using that revision. 21 CFR Part 211.160 21 CFR Part 212.20 (c) 21 CFR Part 212.60 (c) 21 CFR Part 226.58 (e) 21 CFR Part 820.250 (b) 42 CFR Part 493.43 (c) ASTM E1578-18 D-1-5 EPA 815-R-05-004 Chap. IV, Sec. 5 ISO/IEC 17025:2017 6.5 ISO/IEC 17025:2017 7.2.1.3 NYSDOH CLEP Clinical Laboratory Standards of Practice, General Systems Standards NYSDOH ELAP Medical Marijuana Microbiology Guidance PFP Human and Animal Food Testing Laboratories Best Practices Manual TNI EL-V1-2016-Rev.2.1 (V1,M2 5.4) USDA Administrative Procedures for the PDP 8.4 USDA Hemp Production Program Laboratory Testing Guidelines, Summary of Practice 1.2 USDA Hemp Production Program Laboratory Testing Guidelines, Testing Methods 3 WHO Technical Report Series, #986, Annex 2, 15.14 7.5 The system shall allow the creation, approval, rejection, and management of sampling and test methods performed at the laboratory, capturing details about the test method, method reference, specifications, assigned limits, holding times, etc. as required by a reference method or regulation. 21 CFR Part 212.20 (c) 21 CFR Part 212.70 (b) A2LA C211 5.4.5 A2LA C223 5.4 AAVLD Requirements for an AVMDL Sec. 5.4.2.4 ABFT Accreditation Manual Sec. G-12, -14, and -15 ACMG Technical Standards for Clinical Genetics Laboratories C10 ACMG Technical Standards for Clinical Genetics Laboratories F7.3 ASCLD/LAB Supp. Reqs. for the Accreditation of Forensic Science Testing Laboratories 5.4.5.4 EPA QA/G-5 2.2.4 ISO/IEC 17025:2017 7.2.2.1 NYSDOH CLEP Clinical Laboratory Standards of Practice, General Systems Standards NYSDOH ELAP Medical Marijuana Microbiology Guidance PFP Human and Animal Food Testing Laboratories Best Practices Manual TNI EL-V1-2016-Rev.2.1 (V1,M2 4.13.2.3) USDA Administrative Procedures for the PDP 8.4 USDA LAS Laboratory Approval Program (LAP) Policies and Procedures 12.4b WHO Technical Report Series, #986, Annex 2, 4.11 WHO Technical Report Series, #986, Annex 2, 15.13 7.6 The system shall provide a means for recording validation information for modified existing or new in-house test methods, either as a method itself or through some other means. Validation information such as procedures used, specifications, performance characteristics, and results obtained shall be allowed as input. 7 CFR Part 331.10 7 CFR Part 331.15 9 CFR Part 2.32 9 CFR Part 121.10 9 CFR Part 121.15 10 CFR Part 30.34 (j-3) 21 CFR Part 11.10 (i) 21 CFR Part 58.29 21 CFR Part 211.25 21 CFR Part 225.10 21 CFR Part 226.10 21 CFR Part 226.40 21 CFR Part 820.25 29 CFR Part 1910.134 (c) 29 CFR Part 1910.1030 (g-2) 29 CFR Part 1910.1030 (h-2) 29 CFR Part 1910.1200 (h) 29 CFR Part 1910.1450 (f) 40 CFR Part 262.207 40 CFR Part 262.210–12 42 CFR Part 73.10 42 CFR Part 73.15 42 CFR Part 493.43 (c) 42 CFR Part 493.1235 42 CFR Part 493.1251 45 CFR Part 164.308 45 CFR Part 164.530 A2LA C211 5.2 A2LA C223 5.2 A2LA C223 5.7 AAFCO QA/QC Guidelines for Feed Laboratories Sec. 1.4 and 1.6 AAVLD Requirements for an AVMDL Sec. 5.2 AAVLD Requirements for an AVMDL Sec. 5.4.2.2 AAVLD Requirements for an AVMDL Appendix 1 ABFT Accreditation Manual Sec. B ACMG Technical Standards for Clinical Genetics Laboratories B3–B5 ACMG Technical Standards for Clinical Genetics Laboratories C6.4 AIHA-LAP Policies 2022 (throughout) ASCLD/LAB Supp. Reqs. for the Accreditation of Forensic Science Testing Laboratories 4.13.2.12 ASCLD/LAB Supp. Reqs. for the Accreditation of Forensic Science Testing Laboratories 5.2.1.1–3 ASTM E1578-18 C-3-5 ASTM E1578-18 D-1-6 ASTM E1578-18 E-1-6 CAP Laboratory Accreditation Manual CDC Biosafety in Microbiological and Biomedical Laboratories (BMBL), 6th Edition CLSI QMS22 (throughout) E.U. Annex 11-2 E.U. Commission Directive 2003/94/EC Article 7.4 EPA 815-R-05-004 Chap. III, Sec. 10 and 17 EPA 815-R-05-004 Chap. IV, Sec. 1 EPA QA/G-5 2.1.8 ISO 15189:2012 4.1.2.1 ISO 15189:2012 5.1.6 ISO 15189:2012 5.1.9 ISO/IEC 17025:2017 6.2.2 ISO/IEC 17025:2017 6.2.3 ISO/IEC 17025:2017 6.2.5 ISO/IEC 17025:2017 6.2.6 NYSDOH CLEP Clinical Laboratory Standards of Practice, General Systems Standards NYSDOH ELAP Medical Marijuana Microbiology Guidance OECD GLP Principles 1.1.2 PFP Human and Animal Food Testing Laboratories Best Practices Manual TNI EL-V1-2016-Rev.2.1 (V1,M2 4.13.3) USDA Administrative Procedures for the PDP 6.1 7.7 The system shall maintain training and certification records for personnel and allow the assignment of available training paths and certifications to specific personnel, such that only trained, certified, and experienced personnel are able to perform assigned tasks. ASTM E1578-18 D-1-7 7.8 The system shall allow individual modules and sections of the system (e.g., tables, forms) to be linked to one or more documents stored in the system. AAVLD Requirements for an AVMDL Sec. 4.3.4 and 4.3.5 EPA ERLN Laboratory Requirements 4.10.6 7.9 The system shall support the addition of accurate cross-references and page numbers to new documents. AAVLD Requirements for an AVMDL Sec. 4.3.4 7.10 The system shall be capable of uniquely identifying documents created in and added to the system. APHL 2019 LIS Project Management Guidebook 7.11 The system shall provide both standard and 'ad hoc' means to query or search for documents, records, and other types of data and information in the system.

Regulation, Specification, or Guidance Requirement 9 CFR Part 2.32 10 CFR Part 20.2103 29 CFR Part 1910.120 29 CFR Part 1910.134 (m) 29 CFR Part 1910.1030 (h-1) 29 CFR Part 1910.1450 (j) 40 CFR Part 262.207 A2LA C211 4.13.2.3 A2LA C223 5.2 A2LA C223 5.7 ACMG Technical Standards for Clinical Genetics Laboratories B3–B5 APHL 2019 LIS Project Management Guidebook CAP Laboratory Accreditation Manual CJIS Security Policy 5.2.3 EPA ERLN Laboratory Requirements 4.2.4.1 EPA QA/G-5 2.1.8 NIST 800-53, Rev. 5, AT-3 and -4 NYSDOH CLEP Clinical Laboratory Standards of Practice, General Systems Standards OSHA 1910.1020 (throughout) OSHA 1910.1200(b)(3) and (h) OSHA 1910.1450 (throughout) PFP Human and Animal Food Testing Laboratories Best Practices Manual TNI EL-V1-2016-Rev.2.1 (V1,M2 5.2) USDA Administrative Procedures for the PDP 6.1 USDA Sampling Procedures for PDP 6.1.2.8 and 6.1.3 8.1 The system shall have the ability to create and maintain individual personnel records for tracking such things as demographics, certifications, training, evaluations, medical history, and occupational exposure. 21 CFR Part 820.198 42 CFR Part 493.1233 E.U. Commission Directive 2003/94/EC Article 13 TNI EL-V1-2016-Rev.2.1 (V1,M2 4.8) WHO Technical Report Series, #986, Annex 2, 2.1 (j) WHO Technical Report Series, #986, Annex 2, 5.0 8.2 The system shall allow authorized personnel to document complaints and problems reported to the laboratory or production facility. 5 CFR Part 930.301 7 CFR Part 331.15 9 CFR Part 121.15 21 CFR Part 211.25 29 CFR Part 1910.1450 (f) 42 CFR Part 73.15 A2LA C223 5.2 APHL 2019 LIS Project Management Guidebook ASCLD/LAB Supp. Reqs. for the Accreditation of Forensic Science Testing Laboratories 5.9.3.3 ASTM E1578-18 E-1-1 CJIS Security Policy 5.2.1 EPA ERLN Laboratory Requirements 4.2.4.1 FDA Hazard Analysis Critical Control Point Guidelines NIST 800-53, Rev. 5, AT-2 and AT-3 NIST 800-53, Rev. 5, CP-3 NIST 800-53, Rev. 5, IR-2 PFP Human and Animal Food Testing Laboratories Best Practices Manual TNI EL-V1-2016-Rev.2.1 (V1,M2 5.2) USDA Sampling Procedures for PDP 6.1.2–3 WHO Technical Report Series, #986, Annex 2, 10 8.3 The system shall allow training sessions and reviews to be scheduled for personnel. 5 CFR Part 930.301 29 CFR Part 1910.1450 (f) ABFT Accreditation Manual Sec. B ASCLD/LAB Supp. Reqs. for the Accreditation of Forensic Science Testing Laboratories 5.2.7 ASTM E1578-18 E-1-2 FDA Hazard Analysis Critical Control Point Guidelines NYSDOH CLEP Clinical Laboratory Standards of Practice, General Systems Standards 8.4 The system should provide access to relevant training materials to personnel attending training sessions. 5 CFR Part 930.301 29 CFR Part 1910.1450 (f) 40 CFR Part 262.207 A2LA C223 5.2 ACMG Technical Standards for Clinical Genetics Laboratories C6.3 ASCLD/LAB Supp. Reqs. for the Accreditation of Forensic Science Testing Laboratories 4.13.2.12 ASCLD/LAB Supp. Reqs. for the Accreditation of Forensic Science Testing Laboratories 5.2.1.1–3 ASCLD/LAB Supp. Reqs. for the Accreditation of Forensic Science Testing Laboratories 5.2.6.2 ASCLD/LAB Supp. Reqs. for the Accreditation of Forensic Science Testing Laboratories 5.9.3.3 and 5.9.3.5 ASTM E1578-18 E-1-3 CDC Biosafety in Microbiological and Biomedical Laboratories (BMBL), 6th Edition CJIS Security Policy 5.2.3 EPA ERLN Laboratory Requirements 4.2.4.1 EPA QA/G-5 2.1.8 E.U. Commission Directive 2003/94/EC Article 7.4 FDA Hazard Analysis Critical Control Point Guidelines ISO 15189:2012 5.1.9 NIST 800-53, Rev. 5, AT-2–AT-4 NIST 800-53, Rev. 5, CP-3 NIST 800-53, Rev. 5, IR-2 NYSDOH CLEP Clinical Laboratory Standards of Practice, General Systems Standards TNI EL-V1-2016-Rev.2.1 (V1,M2 5.2) USDA Administrative Procedures for the PDP 6.1 USDA LAS Laboratory Approval Program (LAP) Policies and Procedures 12.4e USDA Sampling Procedures for PDP 6.1.2.8 and 6.1.3 WHO Technical Report Series, #986, Annex 2, 2.1 (e) WHO Technical Report Series, #986, Annex 2, 9.4 WHO Technical Report Series, #986, Annex 2, 10 8.5 The system shall be able to record for every trainee their training attendance, progress, assessments, licenses, and certificates of completion for in-house training, continuing education courses, and other required courses of certification. ABFT Accreditation Manual Sec. B ASTM E1578-18 E-1-4 8.6 The system should allow the results of tests taken by personnel to be uploaded and made available to authorized individuals for reference. ASTM E1578-18 E-1-5 NIST 800-53, Rev. 5, AT-2 and AT-3 NIST 800-53, Rev. 5, CP-3 NIST 800-53, Rev. 5, IR-2 8.7 The system should be able to produce a training matrix of personnel. 7 CFR Part 331.15 9 CFR Part 121.10 9 CFR Part 121.15 21 CFR Part 11.10 (i) 21 CFR Part 58.29 21 CFR Part 211.25 21 CFR Part 225.10 21 CFR Part 226.10 21 CFR Part 226.40 21 CFR Part 820.25 29 CFR Part 1910.1030 (g-2) 29 CFR Part 1910.1030 (h-2) 29 CFR Part 1910.1200 (h) 29 CFR Part 1910.1450 (e) 42 CFR Part 73.10 42 CFR Part 73.15 42 CFR Part 493.43 (c) 42 CFR Part 493.1235 45 CFR Part 164.308 45 CFR Part 164.530 A2LA C223 5.2 AAFCO QA/QC Guidelines for Feed Laboratories Sec. 1.4 and 1.6 AAVLD Requirements for an AVMDL Sec. 5.2 AAVLD Requirements for an AVMDL Sec. 5.4.2.2 AAVLD Requirements for an AVMDL Appendix 1 ABFT Accreditation Manual Sec. B AIHA-LAP Policies 2022 (various parts) ASCLD/LAB Supp. Reqs. for the Accreditation of Forensic Science Testing Laboratories 4.13.2.12 ASCLD/LAB Supp. Reqs. for the Accreditation of Forensic Science Testing Laboratories 5.2.1.1–3 ASTM E1578-18 C-3-5 ASTM E1578-18 D-1-6 ASTM E1578-18 E-1-6 E.U. Annex 11-2 EPA 815-R-05-004 Chap. III, Sec. 10 and 17 EPA 815-R-05-004 Chap. IV, Sec. 1 EPA QA/G-5 2.1.8 ISO 15189:2012 4.1.2.1 ISO 15189:2012 5.1.6 ISO 15189:2012 5.1.9 ISO/IEC 17025:2017 6.2.2 ISO/IEC 17025:2017 6.2.3 ISO/IEC 17025:2017 6.2.5 ISO/IEC 17025:2017 6.2.6 OECD GLP Principles 1.1.2 USDA Administrative Procedures for the PDP 6.1 8.8 The system shall map available system tasks (such as approved test methods) or sample types (such as select agents and toxins) to available training paths and certifications, such that only trained, certified, and experienced personnel are able to perform assigned tasks.

Regulation, Specification, or Guidance Requirement 7 CFR Part 331.17 9 CFR Part 121.17 21 CFR Part 11.10 (e) 21 CFR Part 11.70 21 CFR Part 58.130 (e) 42 CFR Part 73.17 42 CFR Part 493.1251 (d) ASTM E1578-18 C-4-7 ASTM E1578-18 E-2-1 EPA ERLN Laboratory Requirements 4.9.1 and 4.9.7 E.U. Annex 11-9 E.U. Annex 11-14 OECD GLP Principles 8.3.5 USDA Data and Instrumentation for PDP 8.1.3 9.1 The system shall accurately and consistently capture and add a time and date to created electronic records, as well as any modifications made to them. The system shall also prompt the user to enter a mandatory reason for any change made to a record. 21 CFR Part 11.10 (e) 21 CFR Part 11.70 21 CFR Part 58.130 (e) 21 CFR Part 211.68 21 CFR Part 211.100 21 CFR Part 211.160 (a) 21 CFR Part 211.188 21 CFR Part 211.194 45 CFR Part 170.315 (d) ASTM E1578-18 E-2-2 CJIS Security Policy 5.4.1.1 CJIS Security Policy Appendix G.5 EMA Guidance on Good Manufacturing Practice and Good Distribution Practice EPA ERLN Laboratory Requirements 4.9.1 and 4.9.7 E.U. Annex 11-9 E.U. Annex 11-12.4 E.U. Annex 11-14 E.U. Commission Directive 2003/94/EC Article 9.2 NIST 800-53, Rev. 5, AC-2(4) and AC-6(9) NIST 800-53, Rev. 5, AU-2 and AU-3 NIST 800-53, Rev. 5, CM-5(1) OECD GLP Principles 8.3.5 PFP Human and Animal Food Testing Laboratories Best Practices Manual TNI EL-V1-2016-Rev.2.1 (V1,M2 4.13.3) WHO Technical Report Series, #986, Annex 2, 15.7 and 15.9 9.2 The system shall document in the audit trail any event—including administrative and privileged functions—that creates, modifies, and deletes data, including user accounts, passwords, files, directories, logs, and other system resources. 21 CFR Part 11.10 (e) 21 CFR Part 11.70 21 CFR Part 58.130 (e) 21 CFR Part 211.68 21 CFR Part 211.100 21 CFR Part 211.160 (a) 21 CFR Part 211.188 21 CFR Part 211.194 42 CFR Part 493.1274 45 CFR Part 170.315 (d) ASTM E1578-18 E-2-3 CJIS Security Policy 5.4.1.1 CLSI QMS22 2.2.3.2 CLSI QMS22 2.4.3 E.U. Annex 11-12.4 E.U. Annex 11-14 E.U. Commission Directive 2003/94/EC Article 9.2 NIST 800-53, Rev. 5, AU-3 and AU-8 OECD GLP Principles 8.3.5 USDA Data and Instrumentation for PDP 8.1.4 WHO Technical Report Series, #986, Annex 2, 15.7 and 15.9 9.3 The system's audit trail shall document the date, time, and user associated with a given event, as well as whether the event succeeded or failed. 21 CFR Part 11.10 (e) 21 CFR Part 11.70 21 CFR Part 58.130 (e) 21 CFR Part 211.68 21 CFR Part 211.100 21 CFR Part 211.160 (a) 21 CFR Part 211.188 21 CFR Part 211.194 45 CFR Part 170.315 (d) ASTM E1578-18 E-2-4 EPA ERLN Laboratory Requirements 4.8.6 E.U. Annex 11-14 E.U. Commission Directive 2003/94/EC Article 9.2 ICH GCP 4.9.0 and 4.9.3 NIST 800-53, Rev. 5, AU-3 OECD GLP Principles 8.3.5 WHO Technical Report Series, #986, Annex 2, 15.7 and 15.9 9.4 The system's audit trail shall document the previous and current value of a modified field. 21 CFR Part 11.10 (e) 21 CFR Part 11.70 21 CFR Part 58.130 (e) 21 CFR Part 211.194 42 CFR Part 493.1251 (d) 45 CFR Part 164.310 ASTM E1578-18 E-2-5 EPA ERLN Laboratory Requirements 4.8.6 E.U. Annex 11-14 OECD GLP Principles 8.3.5 9.5 The system shall provide electronic signature support to users who require the review, approval, rejection, modification, or disposition of a record. 21 CFR Part 11.70 E.U. Annex 11-14 9.6 The system shall prevent a user from copying and pasting the electronic signature of another user. 21 CFR Part 11.10 (e) 21 CFR Part 58.130 (e) 42 CFR Part 493.1274 (d) E.U. Annex 11-9 NIST 800-53, Rev. 5, AU-6 and AU-12 OECD GLP Principles 8.3.5 9.7 The system shall be able to generate a complete and accurate copy of the audit trail in a human-readable and printable format.

Regulation, Specification, or Guidance Requirement ASTM E1578-18 E-3-1 10.1 The system should provide a means for tracking usage of laboratory equipment and instruments. ASTM E1578-18 E-3-2 10.2 The system shall provide a means for planning the use of and reserving equipment and instruments. ASTM E1578-18 E-3-3 10.3 The system shall be able to bring an instrument online and take an instrument offline both manually and via a configurable scheduler. ASTM E1578-18 E-3-4 10.4 The system should record instrument usage time to assist laboratory personnel with capacity planning and scheduling. ASTM E1578-18 E-3-5 10.5 The system shall allow users to configure and record multiple instrument events for the same instrument, including different event types and different frequencies for the same event type. ASTM E1578-18 E-3-6 10.6 The system shall be able to group instruments together in specific ways, including by type and laboratory location. 21 CFR Part 211.67–68 21 CFR Part 211.160 (b-4) 21 CFR Part 212.30 (b) 21 CFR Part 212.60 (e) 21 CFR Part 225.30 (b-4) 21 CFR Part 606.60 21 CFR Part 820.70 (g) 21 CFR Part 820.72 42 CFR Part 493.1252 (b-3) 42 CFR Part 493.1255 A2LA C211 5.5.2 A2LA C223 5.5 AAFCO QA/QC Guidelines for Feed Laboratories Sec. 2 AAVLD Requirements for an AVMDL Sec. 5.5 ABFT Accreditation Manual Sec. E-20 ACMG Technical Standards for Clinical Genetics Laboratories C1.5 ASCLD/LAB Supp. Reqs. for the Accreditation of Forensic Science Testing Laboratories 5.6.1.1 AIHA-LAP Policies 2022 2C.3.7–2C.3.10 ASTM E1578-18 E-3-7 CAP Laboratory Accreditation Manual CLSI QMS22 2.6.1 EPA 815-R-05-004 Chap. IV, Sec. 7 EPA ERLN Laboratory Requirements 4.11.11–13 EPA QA/G-5 2.2.6–7 ISO 15189:2012 5.3.1.4 ISO/IEC 17025:2017 6.4.7 ISO/IEC 17025:2017 6.4.8 NIST 800-53, Rev. 5, MA-2 and MA-2(2) USDA Administrative Procedures for the PDP 5.2.4 USDA Data and Instrumentation for PDP 5.2 USDA Data and Instrumentation for PDP 6 WHO Technical Report Series, #986, Annex 2, 13.5 WHO Technical Report Series, #986, Annex 2, 16.23 10.7 The system shall allow for the configuration of calibration and maintenance frequency and time frames for—as well as the manual and automatic scheduling of calibration or maintenance of—equipment, instruments, and systems. Available intervals should be include days, weeks, months, and years. 21 CFR Part 225.30 (b-4) AAVLD Requirements for an AVMDL Sec. 5.5.9 ASTM E1578-18 E-3-8 WHO Technical Report Series, #986, Annex 2, 16.23 10.8 The system shall provide clear alerts or notifications when an instrument nears its calibration due date. 21 CFR Part 211.160 (b-4) A2LA C211 5.5.7 A2LA C223 5.6 ABFT Accreditation Manual Sec. E-21 ASTM E1578-18 E-3-9 CLSI QMS22 2.1.2.1 ISO 15189:2012 5.3.1.5 ISO/IEC 17025:2017 6.4.9 NYSDOH CLEP Clinical Laboratory Standards of Practice, General Systems Standards TNI EL-V1-2016-Rev.2.1 (V1,M2 5.5.7) WHO Technical Report Series, #986, Annex 2, 13.10 10.9 The system shall clearly identify any instrument that is out-of-calibration, beyond its preventative maintenance due date, or under investigation and prevent it from being selected for use. 21 CFR Part 820.72 (b-2) ASTM E1578-18 E-3-10 EPA ERLN Laboratory Requirements 4.11.11–13 EPA QA/G-5 2.2.6–7 ISO/IEC 17025:2017 6.4.8 NIST 800-53, Rev. 5, MA-2, MA-2(2), and MA-6(1) WHO Technical Report Series, #986, Annex 2, 16.23 10.10 The system shall be able to show all instances of scheduled calibration, preventative maintenance, and service dates for an instrument. 21 CFR Part 820.72 (b-1) 42 CFR Part 493.1255 A2LA C211 5.6.2.1 A2LA C223 5.6 AAVLD Requirements for an AVMDL Sec. 5.6.1–2 AIHA-LAP Policies 2022 2C.3.7 and Appendix H5.1-5.3 EPA 815-R-05-004 Chap. IV, Sec. 7 ISO/IEC 17025:2017 6.5 OECD GLP Principles 4.2 TNI EL-V1-2016-Rev.2.1 (V1,M2 5.6.2.1 and 5.6.4.1) USDA Data and Instrumentation for PDP 6.1 10.11 The system shall be able to link a calibration activity to certified reference material or designated measurement processes. ASTM E1578-18 E-3-11 10.12 The system shall support the use of predefined intervals when calculating instrument event dates. 21 CFR Part 211.105 (b) 42 CFR Part 493.1255 A2LA C211 5.5.4 and 5.5.5 AAVLD Requirements for an AVMDL Sec. 5.5.4–5 ASTM E1578-18 E-3-12 EPA 815-R-05-004 Chap. IV, Sec. 7 EPA QA/G-5 2.2.6–7 ISO 15189:2012 5.3.1.7 ISO/IEC 17025:2017 6.4.8 ISO/IEC 17025:2017 6.4.13 NIST 800-53, Rev. 5, CM-8 NYSDOH CLEP Clinical Laboratory Standards of Practice, General Systems Standards TNI EL-V1-2016-Rev.2.1 (V1,M2 5.5) USDA Administrative Procedures for the PDP 7.2 USDA LAS Laboratory Approval Program (LAP) Policies and Procedures 12.4j 10.13 The system shall be able to uniquely identify each instrument and any associated components and maintain that and other information—such as manufacturer, model number, serial number, and calibration and maintenance history—within the system. ASTM E1578-18 E-3-13 10.14 The system shall be able to automatically take a parent instrument offline when a child instrument or component goes offline. 10 CFR Part 20.2103 21 CFR Part 58.63 21 CFR Part 211.67–68 21 CFR Part 211.160 (b-4) 21 CFR Part 211.182 21 CFR Part 211.194 (d) 21 CFR Part 212.30 (b) 21 CFR Part 212.60 (e) 21 CFR Part 820.70 (g) 21 CFR Part 820.72 42 CFR Part 493.1254 42 CFR Part 493.1255 A2LA C211 4.13.2.1 A2LA C211 5.5.2 A2LA C211 5.10.4 AAFCO QA/QC Guidelines for Feed Laboratories Sec. 2 AAVLD Requirements for an AVMDL Sec. 5.5 ABFT Accreditation Manual Sec. E-20 and -23 ABFT Accreditation Manual Sec. F-1 and I-1 AIHA-LAP Policies 2022 2C.3.7–2C.3.10 ASTM E1578-18 E-3-14 CAP Laboratory Accreditation Manual CLSI QMS22 2.2.2.1 EPA 815-R-05-004 Chap. IV, Sec. 7 EPA ERLN Laboratory Requirements 4.11.11–13 EPA QA/G-5 2.2.6–7 ISO 15189:2012 5.3.1.4 ISO/IEC 17025:2017 6.4.4 NIST 800-53, Rev. 5, MA-2, MA-2(2), and MA-4 NYSDOH CLEP Clinical Laboratory Standards of Practice, General Systems Standards OECD GLP Principles 4.2 TNI EL-V1-2016-Rev.2.1 (V1,M2 5.5) USDA Administrative Procedures for the PDP 5.2.4 USDA Data and Instrumentation for PDP 5.4 USDA LAS Laboratory Approval Program (LAP) Policies and Procedures 12.4c WHO Technical Report Series, #986, Annex 2, 15.46 WHO Technical Report Series, #986, Annex 2, 16.23 10.15 The system shall be capable of chronologically logging details for scheduled and unscheduled calibration and maintenance activities for each instrument, including calibration status, calibration standard, date and time of calibration or maintenance, work performed, who conducted it, and signatures of those verifying the completed activities.

Regulation, Specification, or Guidance Requirement 21 CFR Part 58.105 (a) 21 CFR Part 211.80 21 CFR Part 225.102 21 CFR Part 226.102 ASTM E1578-18 E-4-1 EPA ERLN Laboratory Requirements 3.3 EPA ERLN Laboratory Requirements 4.10.1 OECD GLP Principles 6.2 11.1 The system shall provide a means for organizing samples or processes into identifiable batches based upon pre-defined criteria. 21 CFR Part 211.80 21 CFR Part 225.102 21 CFR Part 226.102 ASTM E1578-18 E-4-2 EPA ERLN Laboratory Requirements 4.10.1 11.2 The system shall maintain the links between component parts of a batch and track the batch throughout the system. 21 CFR Part 211.80 21 CFR Part 225.102 21 CFR Part 226.102 21 CFR Part 820.65 ASTM E1578-18 E-4-3 11.3 The system shall allow for identifying a batch as a unique entity that can be quality controlled in the same way as, e.g., a single sample. ASTM E1578-18 E-4-4 11.4 The system should provide a means for determining the effectiveness of a process and designate the disposition of a batch based on study or experiment results. E.U. Annex 11-15 11.5 The system shall allow only authorized personnel to certify the release of batches, requiring an electronic signature to do so.

Regulation, Specification, or Guidance Requirement ASTM E1578-18 E-5-1 USDA Sampling Procedures for PDP 5.6–7 12.1 The system shall allow users to create, maintain, and revise schedules for various laboratory tasks and processes. 21 CFR Part 212.61 (a) 21 CFR Part 211.166 (b) ASTM E1578-18 E-5-2 12.2 The system scheduler shall be capable of working with a variety of laboratory tasks like calibrations, maintenance, and stability studies. ASTM E1578-18 E-5-3 12.3 The system scheduler shall automatically create a sample number specifically for recording the results of calibration, validation, and maintenance. ASTM E1578-18 E-5-4 12.4 The system shall be capable of handling industry-specific testing characteristics (e.g., sampling points, human body sampling location). ASTM E1578-18 E-5-5 12.5 The system shall provide a means for setting a standard or reagent's retest date based on a retest interval.

Regulation, Specification, or Guidance Requirement ASTM E1578-18 E-6-1 13.1 The system shall be able to trigger an instrument event after a definable number of uses of that instrument. ASTM E1578-18 E-6-2 13.2 The system shall be able to automatically take an instrument offline when an instrument's calibration or maintenance date passes without calibration or maintenance taking place. ASTM E1578-18 E-6-3 13.3 The system should allow auto samplers and other robotic systems to be controlled via an application programming interface or web services. ASTM E1578-18 E-6-4 13.4 The system should accurately record instrument information, personnel names, dates, and times relating to entered results or determinations. ASTM E1578-18 E-6-5 13.5 The system should be able to accept the results uploaded from an interfaced instrument. ASTM E1578-18 E-6-6 13.6 The system should be capable of sending sample sequences (e.g., control samples, standards) to an instrument that is bidirectionally interfaced. ASTM E1578-18 E-6-7 13.7 The system should provide a means to interface with simple laboratory instruments using technologies such as RS-232, TCP/IP, and USB. ASTM E1578-18 E-6-8 13.8 The system should support industry communication standards like Specification E1394 and Health Level 7 for bidirectional communication with laboratory instrumentation software.

Regulation, Specification, or Guidance Requirement 21 CFR Part 58.83 29 CFR Part 1910.1200 (g) 29 CFR Part 1910.1450 (h) 42 CFR Part 493.1252 (c) ABFT Accreditation Manual Sec. E-17 ASTM E1578-18 E-7-1 ISO 15189:2012 5.3.2.4–5 OECD GLP Principles 4.4 14.1 The system shall allow for accurate inventory management of all standards, reagents, and consumables used for laboratory testing. The system shall also be able to link manufacturer documents such as material safety data sheets and in-house instructions to their respective materials. 7 CFR Part 331.3 9 CFR Part 121.3 21 CFR Part 312.58 (b) 42 CFR Part 73.3–4 (c) ASTM E1578-18 E-7-2 EPA ERLN Laboratory Requirements 4.1.12 ISO 15189:2012 5.3.2.4 WHO Technical Report Series, #986, Annex 2, 12.20 14.2 The inventory system shall allow a material to be clearly identified as a controlled, regulated, or hazardous substance and flagged based on its physical and/or chemical stability. ASTM E1578-18 E-7-3 ISO 15189:2012 5.3.2.4 14.3 The system shall be capable of tracking standard and reagent consumption and expiration such that a list of items nearing reorder level or expiration date can be produced on demand. ASTM E1578-18 E-7-4 ISO 15189:2012 5.3.2.4 14.4 The system should be capable of tracking standards and volumetric solutions created in-house such that concentration, purity, and molarity factor are recorded and made available during calculation of results. ASTM E1578-18 E-7-5 ISO 15189:2012 5.3.2.4 14.5 The system shall be capable of applying review statuses to a standard or reagent's properties, also requiring additional review if properties such as vendor lot number or expiration date are changed.

Regulation, Specification, or Guidance Requirement ASTM E1578-18 E-8-1 CAP Laboratory Accreditation Manual NYSDOH CLEP Clinical Laboratory Standards of Practice, General Systems Standards 15.1 The system should be capable of accurately tracking the specific quantities of received and consumed test samples and specimens. 21 CFR Part 212.60 (d) ASTM E1578-18 E-8-2 CLSI QMS22 2.1.2 NYSDOH CLEP Clinical Laboratory Standards of Practice, General Systems Standards 15.2 The system should support the recording of inventory items' attributes, including chemical name, internal name, catalog number, reorder level, consumable or reusable status, and expiration date. 21 CFR Part 211.84 21 CFR Part 211.101 21 CFR Part 212.60 (d) 21 CFR Part 226.80 21 CFR Part 606.120 (b) 29 CFR Part 1910.1030 (g) 29 CFR Part 1910.1096 (e-6) 29 CFR Part 1910.1200 (f-6) and (f-10) 40 CFR Part 262.206 ASTM E1578-18 E-8-3 NYSDOH CLEP Clinical Laboratory Standards of Practice, General Systems Standards OSHA 1910.1200(b)(3) and (f) OSHA 1910.1450(h) WHO Technical Report Series, #986, Annex 2, 14.13, 14.35, and 14.41 WHO Technical Report Series, #986, Annex 2, 15.10–12 15.3 The system should be capable of designing and printing labels in a variety of sizes, formats, and inventory categories. 21 CFR Part 212.40 (c) 21 CFR Part 820.50 A2LA C211 4.6 ASTM E1578-18 E-8-4 TNI EL-V1-2016-Rev.2.1 (V1,M2 4.6.4) USDA Administrative Procedures for the PDP 7.1 WHO Technical Report Series, #986, Annex 2, 14.8 15.4 The system should provide a means for ordering inventory through a qualified vendor using a vendor master list containing approval status for order validation. 21 CFR Part 211.196 21 CFR Part 212.90 21 CFR Part 225.110 21 CFR Part 606.165 29 CFR Part 1910.1450 Appendix A (I) A2LA C211 4.6 ASTM E1578-18 E-8-5 NYSDOH CLEP Clinical Laboratory Standards of Practice, General Systems Standards TNI EL-V1-2016-Rev.2.1 (V1,M2 4.6.2) USDA Hemp Production Program Laboratory Testing Guidelines, Summary of Practice 1.5 15.5 The system should provide a means for accurately recording the receipt, approval, distribution, and disposal of materials. 21 CFR Part 211.82 (b) 21 CFR Part 211.84 (a) 21 CFR Part 211.89 21 CFR Part 211.110 (d) 21 CFR Part 211.142 (a) 21 CFR Part 212.40 (c) ASTM E1578-18 E-8-6 WHO Technical Report Series, #986, Annex 2, 12.18 15.6 The system should provide a means for quarantining specific material types until they can be validated by a quality control test or disposed of. 21 CFR Part 211.89 21 CFR Part 211.110 (d) 42 CFR Part 493.1252 (d) ASTM E1578-18 E-8-7 15.7 The system should allow authorized personnel to retire faulty or poor quality materials from use. 21 CFR Part 211.89 ASTM E1578-18 E-8-8 15.8 The system shall clearly designate a standard or reagent as being disposed or consumed.

Regulation, Specification, or Guidance Requirement 21 CFR Part 312.62 (b) 21 CFR Part 812.140 (a-3) 16.1 The system shall be able to create and accurately maintain complete case histories, allowing them to be electronically signed. 21 CFR Part 312.57 (a) 21 CFR Part 312.62 (a) 21 CFR Part 606.165 21 CFR Part 812.140 (a-2) and (b-2) 16.2 The system shall be able to accurately track the reception, use, storage, shipment and disposition of investigational drugs, blood products, and medical devices, including details such as, but not limited to, type, quantity, unique identifiers, dates, names, reasoning for return or disposition, shipping demographics, and signatures. 21 CFR Part 58.81 (a) 21 CFR Part 211.100 21 CFR Part 211.111 21 CFR Part 211.192 21 CFR Part 211.194 21 CFR Part 606.171 42 CFR Part 493.1253 (b-2) A2LA C211 5.4 ABFT Accreditation Manual C-16 ABFT Accreditation Manual F-2 ABFT Accreditation Manual J-3 ASTM E1578-18 E-9-1 CLSI QMS22 2.2.2.2 EPA ERLN Laboratory Requirements 3.3 EPA QA/G-5 2.2.4 ISO/IEC 17025:2017 7.2.1.7 ISO/IEC 17025:2017 7.2.2.1 ISO/IEC 17025:2017 7.10.2 ISO/IEC 17025:2017 8.7.1 NYSDOH CLEP Clinical Laboratory Standards of Practice, General Systems Standards OECD GLP Principles 7.3 PFP Human and Animal Food Testing Laboratories Best Practices Manual TNI EL-V1-2016-Rev.2.1 (V1,M2 4.9 and 5.7.2) USDA Administrative Procedures for the PDP 8.2.2 WHO Technical Report Series, #986, Annex 2, 16.3 16.3 The system shall be able to record instances of identified nonconformance and method deviation, as well as the actions required to restore the process to conformity. In the case of a planned deviation, the system shall require documentation, justification, proof of validation, adjusted reference intervals, and authorization for the deviated process. 42 CFR Part 493.1282 ASTM E1578-18 E-9-2 16.4 The system should clearly identify samples and tests that are out-of-specification (OOS) and out-of-trend (OOT) as unique incidents. 21 CFR Part 606.100 (c) 42 CFR Part 493.1282 ASTM E1578-18 E-9-3 CLSI QMS22 2.1.2.1 CLSI QMS22 2.2.2.3 EPA QA/G-5 2.2.10 WHO Technical Report Series, #986, Annex 2, 17.12 16.5 The system should trigger an alert or notification when an OOS/OOT status is found, indicating a delay in processing and prompting a documented investigation to identify the root cause. 10 CFR Part 30.34 (g) 21 CFR Part 225.58 (d) 21 CFR Part 225.158 21 CFR Part 606.100 (c) 21 CFR Part 820.100 42 CFR Part 493.1282 A2LA C211 4.9 and 4.11 ASTM E1578-18 E-9-4 CLSI QMS22 2.6.4 E.U. Commission Directive 2003/94/EC Article 13 FDA Hazard Analysis Critical Control Point Principle 5 NYSDOH CLEP Clinical Laboratory Standards of Practice, General Systems Standards NYSDOH ELAP Medical Marijuana Microbiology Guidance NIST 800-53, Rev. 5, IR-5 PFP Human and Animal Food Testing Laboratories Best Practices Manual TNI EL-V1-2016-Rev.2.1 (throughout) USDA LAS Laboratory Approval Program (LAP) Policies and Procedures 12.4h WHO Technical Report Series, #986, Annex 2, 2.1 (f, j) WHO Technical Report Series, #986, Annex 2, 5.0 16.6 The system shall allow for the documentation of and corrective and preventive action towards all types of nonconformance. 21 CFR Part 225.58 (d) 21 CFR Part 225.158 42 CFR Part 493.1282 42 CFR Part 493.1289 A2LA C211 4.8 and 4.11 ASTM E1578-18 E-9-5 CDC Biosafety in Microbiological and Biomedical Laboratories (BMBL), 6th Edition CJIS Security Policy 5.3.4 CJIS Security Policy Appendix G.7 E.U. Commission Directive 2003/94/EC Article 13 FDA Hazard Analysis Critical Control Point Principle 5 NYSDOH ELAP Medical Marijuana Microbiology Guidance NIST 800-53, Rev. 5, AU-6(1) NIST 800-53, Rev. 5, IR-4(1) and IR-5 NIST 800-53, Rev. 5, SI-2 and SI-4 WHO Technical Report Series, #986, Annex 2, 2.1 (f, j) WHO Technical Report Series, #986, Annex 2, 5.0 16.7 The system should track and record incidents and associated corrective actions, allowing authorized personnel to document the effectiveness of the actions, identify insufficient resolutions, and curb repeat occurrences. ASTM E1578-18 E-9-6 16.8 The system should provide a means for configurable workflows to manage OOS and OOT incidents according to an organization’s standard operating procedures. 9 CFR Part 2.35 16.9 The system should provide a means for documenting and maintaining records related to the acquisition, disposition, euthanization, and welfare of animals involved in investigations (research), with the ability to include important metadata such as name and demographics of the acquirer, their USDA license or registration number, the USDA tag/tattoo number of the animal, the animal's description, etc.