Share point configuration guidance for 21 cfr part 11 compliance

SharePoint Configuration Guidance for 21 CFR Part 11 Compliance
April 2012
Microsoft Corporation
Health and Life Sciences Industry Unit
Paragon Solutions
Health and Life Sciences Practice

Draft – SharePoint Configuration Guidance v0.9j
2
Table of Contents
Introduction .....................................................................................................................4
Acknowledgements .........................................................................................................6
Architectural Approaches to Compliance.........................................................................7
Use Cases for 21 CFR Part 11 Compliance ....................................................................9
Electronic Signature Use Cases..................................................................................9
Single Signature Use Case......................................................................................9
Multiple Signature Use Case .................................................................................10
Digital Signatures Use Cases....................................................................................11
Single Signature Use Case....................................................................................11
Multiple Signature Use Case .................................................................................11
User Authentication Use Case...............................................................................12
Architecture for 21 CFR Part 11 Compliance.................................................................13
Windows Server 2008 R2..........................................................................................13
Active Directory Domain Services .............................................................................13
Active Directory Rights Management Server .............................................................13
Active Directory Certificate Services..........................................................................14
What is XAdES?....................................................................................................14
Time stamping and XAdES-T signatures ...............................................................15
Active Directory Federation Services.........................................................................15
SQL Server 2008 R2 .................................................................................................16
SharePoint Designer .................................................................................................16
SharePoint 2010 Architecture for Compliance ...........................................................16
Database Security.....................................................................................................17
Configuring the Electronic Signature Use Cases...........................................................19
Administrator Configuration for Single Signatures .....................................................19
Configure document library templates ...................................................................19
Configure Document Library Version Histories ......................................................22
Configure Document Templates for Workflow and Signatures...............................23
Create workflows for electronic signatures.............................................................26
Create a Signature Page .......................................................................................33
Set Policies for the Document Library....................................................................35
Configure Document Templates for Workflow and Multiple Signatures..................41
Create workflows for multiple electronic signatures ...............................................44
Set Permissions for the Document Library.............................................................51
Digital Signatures Use Case..........................................................................................52
Administrator Configuration for Digital Signatures .....................................................52
Configure Document Library Templates ................................................................52
Configure Document Library Version Histories ......................................................53
Configure Document Templates for Workflow and Digital Signatures ....................53
Create workflows for digital signatures ..................................................................56
Add or Change a Collect Signatures Workflow ......................................................56
Add or change a Collect Signatures workflow for a library or content type.............56
Start a Collect Signatures workflow on a document or workbook...........................58
Set Permissions for the Document Library.............................................................59
View the Version Histories for Digital Signatures ...................................................59

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21 CFR Part 11 Requirements ......................................................................................62
Subpart B Electronic Records .......................................................................................63
11.10 Controls for Closed Systems ...........................................................................63
11.10 (a) Validation of Systems.............................................................................63
11.10 (b) Record Review and Inspection ...............................................................65
11.10 (c) Records protection and retrieval .............................................................65
11.10 (d) System Access.......................................................................................66
11.10 (e) Audit Trail...............................................................................................68
11.10 (f) Operational System Checks ....................................................................68
11.10 (g) Protect records from unauthorized access..............................................68
11.10 (h) Data Input Validation ..............................................................................69
11.10 (i) Training ...................................................................................................69
11.10 (j) Electronic Signature Policy ......................................................................69
11.10 (k) System control........................................................................................70
11.30 Controls for Open Systems.........................................................................71
11.50 Signature Manifestations ............................................................................72
11.50 (a) Signature Manifestation..........................................................................72
11.50 (b) Control of signature information..............................................................72
11.70 Signature/Record Linking ...........................................................................73
Subpart C Electronic Signatures ...................................................................................73
11.100 General Requirements.............................................................................73
11.100 (a) Uniqueness ..........................................................................................73
11.100 (b) Identity Verification ...............................................................................74
11.100 (c) Legal Certification.................................................................................74
11.200 Electronic Signature Components and Controls.............................................74
11.200 (a) Non-biometric Signatures .....................................................................74
11.200 (b) Biometric Signatures ............................................................................75
11.300 Controls for Identification Codes/Passwords ............................................75
11.300 (a) Uniqueness of identity ..........................................................................75
11.300 (b) Password Policy ...................................................................................75
11.300 (c) Deactivation of Users............................................................................76
11.300 (d) Unauthorized use of passwords or identification codes ........................76
11.300 (e) Identification Code Device Testing .......................................................77
Systems Validation and Compliance .............................................................................78

4
Introduction
Since the release of the Microsoft Office SharePoint Server 2007, compliance has been
a major focus of the Microsoft Office System. That focus continues with SharePoint
2010 and includes additional functionality that further enhances compliance capabilities.
In addition to the audit trails and document level security that were introduced in
SharePoint 2007, there are now enhanced capabilities for document and records
compliance. These enhanced features include:
 Records center document libraries can be placed anywhere in a site collection
 In-place records management in any document library
 Centrally managed and distributed content types and taxonomies
 Centrally managed policies and workflow enforced on content types
 Workflow can promote a document from “loose collaboration” to a formally
declared and managed “record”, including the capability for electronic signatures.
 Multi-stage records disposition
 Centralized audit trails and audit trail reporting that is easily configured with no
additional coding necessary.
While these features can be applied to a broad range of regulations, including Sarbanes-
Oxley and HIPAA, they also apply to 21 CFR Part 11. Thus the Microsoft Office
SharePoint Server 2010 when combined with other Microsoft technologies, including
Active Directory, Information Rights Management, and (optionally) the Microsoft PKI
system, provides a system that may be configured to assist with 21 CFR Part 11
compliance.
In a departure from previous whitepapers on the topic, we approach this document a bit
of a different way:
1. Describe the overall SharePoint architecture needed to support compliance
a. Including both conceptual and product-level architectures
2. Provide a set of use cases for compliance and then detail the configurations
necessary to support those use cases.
3. Provide a mapping between 21 CFR Part 11 and the configurations detailed as
part of the use cases that support each individual line of the regulation.
This approach will be more useful for those involved in the validation effort as it provides
the use cases and then the configurations necessary for validation.
Of course, software cannot be compliant by itself, so SharePoint 2010 and other
Microsoft technologies must be used in conjunction with a broader compliance
framework, including appropriate configurations, policies, procedures and validation
documentation that are the responsibility of the implementing party.

5
Disclaimer
The information contained in this document represents the current view of Microsoft
Corporation on the issues discussed as of the date of publication. Because Microsoft
must respond to changing market conditions, it should not be interpreted to be a
commitment on the part of Microsoft, and Microsoft cannot guarantee the accuracy of
any information presented after the date of publication.
This White Paper is for informational purposes only. MICROSOFT MAKES NO
WARRANTIES, EXPRESS, IMPLIED OR STATUTORY, AS TO THE INFORMATION IN
THIS DOCUMENT.
Complying with all applicable copyright laws is the responsibility of the user. Without
limiting the rights under copyright, no part of this document may be reproduced, stored in
or introduced into a retrieval system, or transmitted in any form or by any means
(electronic, mechanical, photocopying, recording, or otherwise), or for any purpose,
without the express written permission of Microsoft Corporation.
Microsoft may have patents, patent applications, trademarks, copyrights, or other
intellectual property rights covering subject matter in this document. Except as
expressly provided in any written license agreement from Microsoft, the furnishing of this
document does not give you any license to these patents, trademarks, copyrights, or
other intellectual property.
©2011 Microsoft Corporation. All rights reserved.
Microsoft, Microsoft Office 2010, Microsoft SharePoint 2010, Microsoft Word, Microsoft
Excel, Microsoft PowerPoint, Microsoft Rights Management Services, Active Directory,
Windows Server 2008 R2, Windows 7, Windows Vista, Windows XP, Microsoft Windows,
Microsoft Certificate Lifecycle Manager, Microsoft Visual Studio, Microsoft Forefront are
either registered trademarks or trademarks of Microsoft Corporation in the United States
and/or other countries.
The names of actual companies and products mentioned herein may be the trademarks
of their respective owners.

6
Acknowledgements
As with any effort of this size, there are a myriad of persons involved in its development.
In this case, the efforts of Paragon Solutions (http://www.consultparagon.com) in the
development of the demonstration system, SharePoint configurations, workflows,
SharePoint Designer configurations and sample source code, all of which were
absolutely essential for this project to be successful.
It is also necessary to acknowledge the Life Sciences Industry Unit members who wrote
and reviewed the configuration text, the use cases, regulation interpretation and guided
the development of the end product.
Finally, it is necessary to acknowledge the efforts of the Microsoft Consulting Services
on the 2007 version of this whitepaper, portions of which remain intact especially in the
section that maps each part of 21 CFR Part 11 to the needed configuration step.

7
Architectural Approaches to Compliance
When considering regulatory compliance, whether it be for eDiscovery, Part 11, DDMAC,
SOX, or any other regulation, the most important step in the process is planning the
architecture. While the SharePoint system is eminently flexible, that flexibility can also
pose challenges down the road if you take a wholly haphazard approach. A good plan,
consistently applied, will take you far and avoid pitfalls.
When building the plan it is important, first and foremost, to understand the overall
capabilities of the platform. In this case, it is important to understand that SharePoint
has a plethora of capabilities in the Enterprise Content Management (ECM) space.
Equally matched by the capabilities Foundational ECM capabilities in SharePoint are the
plethora of partners that embrace and extend the SharePoint platform. These include
vendors that provide out-of-the-box Part 11 and GxP compliance, vendors that provide
capabilities for scientists through electronic lab notebooks and LIMS systems, even
vendors that provide manufacturing and plant floor monitoring capabilities – all on
SharePoint. These are in addition to the workloads listed in the graphic above.
For the purposes of Part 11 compliance, we will be looking at the features that Microsoft
categorizes as “Records Management”. For planning “Records Management” systems,
the implementer will need to factor in a couple key considerations:
 Policies & Workflow
 File & Archival Plan – In-Place Records vs. Centrally Archived
 Managed Metadata and the Taxonomy Term Store
Managed Metadata and the Taxonomy Term Store provide more flexibility to the end
user as well as the system administrator when it comes to Metadata. Users are no
longer simply consigned to setting the metadata through dialog boxes at upload time, but
can actually set the metadata for a document during the authoring process. Similarly,
Supplemental ECM
Embrace and Extend Workloads with Partners
Physical Records
Management
Business Process
Management
Transactional
Content
Management
Scanning and
Capture
Archiving and
Library Services
Industry Specific
Solutions
Foundational ECM
Document
Management
Records
Management
Web Content
Management
Rich Media
Managment
Document
Output
Human
Centric
Workflow
E-Mail
Archiving*

8
content managers have the ability to manage the metadata, through hierarchical means,
and propagate those terms throughout a site collection.
The decision whether to use in-place records or centrally archived records becomes
crucial when configuring the system for Part 11 compliance. In this document, the
workflows and configurations demonstrate both approaches, by using in-place records
for most electronic and digital signature workflows, but then using a central archive
record store once a document’s lifecycle has run its course.
Policies and workflow are central to configuring SharePoint 2010 for compliance with
any regulation. In this whitepaper we will discuss at length the use of workflow for
electronic and digital signatures, as well as the use of policies to determine which
documents need signatures.
Given those key considerations, the balance of this document will be split into two parts:
1. A discussion of configuring SharePoint 2010 for Part 11 compliance
a. Utilize a “Use Case” methodology so the document can be used providing
guidance for your own validation efforts
b. Provide the architecture to support the Use Cases
c. Detail the workflow and policies for electronic signatures
d. Detail the workflow and policies for digital signatures
e. The promotion of “records” to in-place and centrally managed records
2. Mapping 21 CFR Part 11 to the areas of the previous use case to demonstrate
how SharePoint meets those regulations

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Use Cases for 21 CFR Part 11 Compliance
In this section we will detail common use cases that require 21 CFR Part 11 compliance
and then will step through the configuration of the system for that use case.
There is another use case allowed for in Part 11, namely Biometric based signatures.
While the combination of Windows 7, Active Directory and hardware manufacturers
provide for this capability which can be extended to SharePoint, it is so uncommon a
method of authentication and signature that it won’t be dealt with in this context.
Electronic Signature Use Cases
The following use cases will detail the configurations and resulting process for applying
an electronic signature to a document either in a single signature scenario or in a
multiple signature scenario.
Single Signature Use Case
To support the use case where the process requires a single electronic signature per
document the site administrator will:
 Configure document library templates for electronic signatures
o Update the document library with new columns
o Set the Content Approval Status
o Set the Document Version History settings
o Create and add document templates for embedded signatures (optional)
 Create workflows for Electronic Signatures
o Utilize SharePoint Designer
o Attach the workflow to the document library
 Set the policies for the document template
o Create custom security for the content-type
o Set permissions on the content-type so that regulated documents cannot
have the version history changed or versioned documents modified
 Create a customized page that captures the username and password for the
electronic signature
o Twelve lines of source code (provided) are used to call the LDAP store to
authenticate the signature before storing it with the record.
o The source code for authentication is added to the SharePoint Designer
page created for the signature workflow.
Note: This system details use of an optional embedding of the signature into the Word
Document, providing a visible record in the document itself of the signature process.
The user will:
 Navigate from the their project page to the document management library for that
project
 View the documents currently in process and the workflow status of each
document

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 Author the document to make necessary changes
 Save the document to the library
 Submit the document for workflow approval
 Sign the document as part of the approval workflow
 View the audit trail (workflow history) of the document library
Multiple Signature Use Case
To support the use case where the process requires multiple electronic signatures per
 Configure document library templates for electronic signatures
o Set the Document Version History settings which turns on audit trails.
o Create and add document templates for embedded signatures (optional)
 Create workflows for Electronic Signatures
have the version history changed or versioned documents modified
 Create a customized page that captures the username and password for the
electronic signature
o Twelve lines of source code (provided) are used to call the LDAP store to
authenticate the signature before storing it with the record.
o The source code for authentication is added to the SharePoint Designer
page created for the signature workflow.
Note: This system details use of an optional embedding of the signature into the Word
Document, providing a visible record in the document itself of the signature process.
Each signing user will:
project
document
 Sign the document as part of the approval workflow

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Digital Signatures Use Cases
The following use cases will detail the configurations and resulting process for applying a
digital signature to a document either in a single signature scenario or in a multiple
signature scenario.
Single Signature Use Case
To support the use case where the process requires a single digital signature per
 Configure document library templates for digital signatures
o Update the document library with appropriate columns for workflow
o Create and add document templates for digital signatures
 Create workflows for Digital Signatures
o Utilize SharePoint Designer (if designed)
have the version history changed
These configurations will enable the user to:
project
document
 Sign the document in Office 2010 client
 Save the document to the document library as part of the workflow
Multiple Signature Use Case
To support the use case where the process requires a single digital signature per
 Configure document library templates for digital signatures
o Create and add document templates for embedded signatures

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 Create workflows for Digital Signatures
have the version history changed
The user will:
project
document
 Sign the document in Office 2010 client
 Save the document to the library as part of the workflow
User Authentication Use Case
Security and access control are central concepts for compliance. With the new reality of
cross-company collaboration, authentication control is even more important.
However this is also more straightforward, as there are clear instructions in other
Microsoft documents on the use of Active Directory and Active Directory Federation
Services with the use of SharePoint that a discussion here is not necessary.

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Architecture for 21 CFR Part 11 Compliance
Given the use cases detailed above, there are a few key architectural components that
are required in order to provide 21 CFR Part 11 compliance. As we detail each of these
architectural components we will see how Microsoft technologies, when used together
can provide compliance with many different regulations, but only as configured and
implemented in the end-user's system and in the context of the implementers
requirements.
Windows Server 2008 R2
Windows Server is the basis for all the components needed for regulatory compliance.
Some of the key compliance features of Windows Server 2008 R2:
 The ability to provide detailed IQ reports when used with a software distribution
system such as Microsoft Systems Center Configuration Manager
 The ability to provide detailed OQ reports when used with the systems
management provided through Microsoft Systems Center Operations Manager.
 The ability to provide Network Access Protection which enforces health
requirements by monitoring and assessing the toll of client computers when they
attempt to connect or communicate on a network. Client computers that are not
in compliance with the health policy can be provided restricted network access
until their configuration is updated and brought into compliance with policy.
 The concept of server roles allows server administrators to quickly and easily
configure any Windows -- based server to run a specific set of tasks and remove
extraneous 0S code from system overhead. Windows Server 2008 R2 further
extends this model would support work more rules in a broadening of current role
support. The Server Core installation option is important to mention here as it
only includes necessary components for running applications such as SharePoint.
Active Directory Domain Services
Part of Windows Server 2008 R2 Core Infrastructure is Active Directory Domain
Services. While SharePoint can utilize an LDAP system, Active Directory provides the
means to manage the identities and relationships that make up your organization's
network in a way that is easily integrated with the rest of your Microsoft-based
infrastructure. It gives out-of-the-box functionality needed to centrally configure and
administer system, user, and application settings.
Active Directory Rights Management Server
The next component in the identity and access management system is Active Directory
Rights Management Services (AD RMS). With AD RMS you can augment and
organizations security strategy by protecting information through a persistent usage

14
policies, which remain with the information, no matter where it is moved. You can use
AD RMS to help prevent sensitive information such as clinical trial reports, site
monitoring documentation or even e-mails from intentionally or accidentally getting into
the wrong hands.
In SharePoint 2010 this is configured through the Information Rights Management (IRM)
screen which can be applied at the document library or document library template level.
It is important to note that users do not have to have Office installed to read protected
documents and messages. SharePoint 2010 with Web Applications understands rights
management, so any user with access to a browser and rights to the document can view
the document.
It is also important to note that users do not need to reside within your organization, as
long as they are granted appropriate rights. Any user with a Hotmail account or a LiveID
can be granted access to a document and then able to view it through a SkyDrive
account or through e-mail.
Active Directory Certificate Services
Active Directory Certificate Services provides customizable services for issuing and
managing certificates used in software security systems employing public key
technologies. Active directory certificate services cast that allows organizations to deploy
a digital certificate infrastructure, creating a Web of authentication between devices,
users, and applications.
AD CD is a role in Windows Server, which provides an integrated public key
infrastructure (PKI) that enables capabilities such as digital signatures, strong
authentication, and secure communications.
These certificates when used in conjunction with Office 2010 provide the ability to sign
Microsoft Office documents which are compliant with the XML-DSign and XAdES
standards for digital signatures. Since XAdES forms the basis of other standards such
as Safe BioPharma, this system can be integrated into a SAFE-compliant system in a
fairly straightforward manner.
What is XAdES?
XAdES (XML Advanced Electronic Signatures) is a set of tiered extensions to XML-DSig,
the levels of which build upon the previous to provide more and more reliable digital
signatures.
By implementing XAdES, Office complies with the European Union Advanced Electronic
Signature Criteria in Directive 1999/93/EC as well as a new Brazilian government
directive which defines XAdES as the accepted standard for digital signing in Brazil.
Office 2010 can create different levels of XAdES signatures on top of XML-DSig
signatures:

15
Time stamping and XAdES-T signatures
Time stamping digital signatures (XAdES-T signatures) is an important scenario we
focused on in Office 2010. In order to create a time stamped signature, you’ll need to:
 Set up a timestamp server that complies with RFC 3161.
 Configure signature policy to let the client systems know where to locate the
timestamp server. You’ll also need to add the timestamp server’s root certificate
to the root certificate store.
Once everything is configured, you can just create signatures like you normally would. A
timestamp from a trusted timestamp server extends the life of your signature, because
even after the certificate expires, the timestamp proves that the certificate had not
expired at the time of signing. As a result, time stamping protects against certificate
expiration, and if the certificate was revoked after the signature was applied, the
signature is still valid.
Active Directory Federation Services
While not a hard and fast requirement for Part 11 compliance, ADFS provides simplified
access and single sign-on for on premises and cloud-based applications in the
enterprise, across organizations, and on the web. In the case of access to compliant
SharePoint sites, it allows IT administrators and end users to grant access to known
entities, even users outside their organizational boundaries.
ADFS and SharePoint together accomplish this by using SAML 2.0 standard claims-
based authentication and security. Once the ADFS servers of two organizations are
“pointed” at each other through a simple configuration, end users from both

16
organizations are free to collaborate, participate in workflow and even execute electronic
or digital signatures in both organizations SharePoint sites.
SQL Server 2008 R2
Microsoft SQL Server 2008 R2 is a complete set of enterprise ready technologies and
tools that provide the database and business intelligence technologies for SharePoint
and many of the other Microsoft platforms.
As a database management platform, SQL Server 2008 R2 manages databases more
efficiently and effectively. It provides your people with built-in tools for greater control
and oversight. It manages at scale, automate automates tasks, and streamlines
troubleshooting.
As the business intelligence platform, it is a comprehensive platform for business
intelligence that includes enhanced reporting, deeper and more powerful analysis, rich
data modeling, master data management capabilities, and full integration with Microsoft
Office.
Microsoft SQL Server 2008 R2 also provides the database and business intelligence
platform for SharePoint 2010. This “better together” capability means that not only does
SQL Server store the objects and configurations of SharePoint, but it also provides on-
demand and self-service business intelligence, list generation and PowerPivot
capabilities.
SharePoint Designer
SharePoint Designer is the mechanism the IT Professionals and Power Users can use to
create workflows, design custom pages and other tasks that are not available in the
SharePoint interface itself.
SharePoint 2010 Architecture for Compliance
When you bring all the pieces and parts together, you end up with a general architecture
for compliance that includes capabilities for workflow, electronic and digital signatures,
document retention and archival and audit trails or histories to prove that the signatures
and documents are valid.

17
While the overall architectural components are important, it is also key to identify proper
organization, sizing of the server farm, navigation and other concepts. Those elements
are largely outside scope of this document.
For information on the concepts of sizing, navigation and geographical disbursement,
please visit http://msdn.microsoft.com as well as http://www.microsoft.com/itshowcase
for best practice information on SharePoint implementation on an enterprise scale.
Database Security
21 CFR 11.10(d) notes that access to IT applications must be limited to authorized
individuals. In addition to internal safeguards built into a computerized system, external
safeguards and policies should be put in place to ensure that access to the
computerized system and to the data is restricted to authorized personnel. Staff should
be kept thoroughly aware through training and procedures of system security measures
and the importance of limiting access to authorized personnel. Procedures and controls
should be put in place to prevent the altering, browsing, querying, or reporting of data via
external software applications that do not enter through the protective system software.
IT guidelines, standard operating procedures and controls typically ensure that access to
back-end servers and applications is controlled.
There is a potential security issue where a person with elevated permissions to the
WSS-Content-Database could alter records in the database table and impact the Signed
Windows Server 2008 R2
Active
Directory
Rights
Management
Services
Certificate
Services
FAST
Enterprise
Search
SQL Server 2008 R2
SharePoint 2010
Document
Mgmt
Policy
Mgmt
Workflow
Records
Mgmt
Electronic &
Digital
Signature
Workflow

18
Person, Date signed, and Purpose of Signing tables. Per typical IT operating measures,
people with elevated permissions are typically authorized and working under strict
operating procedures. The likelihood of malicious changes is low. However, if someone
did alter the underlying database tables, SharePoint will not recognize these changes;
hence the signature would become invalidated.
If this is viewed as a security issue not handled well enough by internal IT operating
procedures, there are options. To fix this issue, an encryption key can be generated and
stored in the document library. This key would be used to determine if changes were
made to the document properties using SQL update. A hash key can be generated
using the following columns from the document library:
 Signer Name
 Purpose of Signing
 DateTime (of signing)
 Version of the Document
 Document Status
A timer service can run to check approved documents to see if any changes were made
in the WSS-Content-Database. The encryption key is examined, and any changes
noted will invalidate the document. If the document is found to be invalid, a workflow will
be invoked to send an email to the signer and/or an administrator to note that the
document has been changed by an unknown person and hence the document is
invalid.
There are other options for achieving this level of check and balance to ensure that a
malicious activity at the database level is discovered and accounted for. However, for
most organizations internal IT operating procedures preclude unauthorized access to
servers and applications.

19
Configuring the Electronic Signature Use Cases
Electronic signatures are a central component to 21 CFR Part 11 compliance. As
specified in the use cases, we’ll detail two mechanisms for electronic signatures: single
signature documents and documents that require multiple signatures.
In both use cases the configuration chosen makes a few key decisions:
 While not necessary, the electronically signed documents will contain a
“representation” of the signature that includes the name of the signing party, the
date of the signature and the reason for signing.
 Once signed, the document will be protected through Rights Management, so
that the signed version cannot be tampered with, but it may also be used to
create another version.
 The electronic signature will remain in the document as well as in the audit
trail/version history of that document.
 Workflow can take the final electronically signed document and copy it to the
records center for final disposition and archival.
Administrator Configuration for Single Signatures
To support the use case where the process requires a single electronic signature per
document the site administrator will do the following tasks:
Configure document library templates
The first task is to select the document library to be enabled for electronic signatures.

20
Once in the target document library, click on the “Library Tab” in the Ribbon Bar. This
brings you to the “Document Library Settings” page which enables you to add the
necessary columns for electronic signatures.
Navigation Steps to Add Columns:
To add columns in the document library Click Library Tools > Library > Document Library
Settings and Create columns
The following columns will be added:
 Username
 Purpose of Signature
 Document Status (needed for workflow processing)
 Date Signed
 Signers
To add columns in the document library Click Library Tools > Library > Document Library
Settings and Create columns

21
After adding the necessary columns, while still in the “Document Library Settings”, click
on “Versioning Settings”.
This brings you to “Document Library > Document Library Settings > Versioning Settings”
screen which enables you to control the versioning for the document library.

22
Click “Yes” under “Require content approval for submitted documents”
Click “Create major versions”, or other settings as needed by your company’s policies
and procedures.
Configure Document Library Version Histories
After adding the necessary columns, while still in the “Document Library Settings”, click
on “Versioning Settings”.
This brings you to “Document Library > Document Library Settings > Versioning Settings”
screen which enables you to control the versioning for the document library.
Click “Yes” under “Require content approval for submitted documents”
Click “Create major versions”, or other settings as needed by your company’s policies
and procedures.
Once you click “Submit” for the “Versioning Settings” screen, you will be returned to
“Document Library > Document Library Settings” screen.
This turns on the "audit trail” functionality, which allows users to be able to view the audit
trail of the system through simple reports. In the Document Library those changes can
be reflected in the document view itself on a document by document basis.

23
For Centralized Audit Reporting, and administrator would need to turn on this feature
under > Site Actions > Site Settings > Site Collection Audit Settings.
Configure Document Templates for Workflow and Signatures
In order to set the document templates needed for electronic signatures, click on
“Advanced Settings” in the “Document Library > Document Library Settings” screen.

24
In “Document Library > Document Library Settings > Advanced Settings Screen” click
“Edit Template” in the Document Template section under the Template URL: dialog.
This will launch the template editor in Microsoft Word. Click on the “Insert” tab in the
Ribbon Bar. On the “Insert Tab”, click on the “Quick Parts > Document Property” dialog
and pull-down.

25
Drag and drop the fields “DateSigned”, “DocumentStatus”, “PurposeOfSignature”,
“Username” and other fields added to the document library to support electronic
signatures.
This then results in a document that has a signature line added in through metadata.
Note that this document, once signed, can be protected via Rights Management Service
so that it cannot be modified once signed, even if e-mailed or a thumbdrive used to copy
the document elsewhere.
Once Rights Management has been set up for a SharePoint site, setting rights on any
given document is as simple as having the document inserted or created in a document
library with specific rights.
Those permissions – or rights - are then inherited by all the documents in that library, or
items in a list. This means that with the appropriate rights set on the document library,
as shown in this document, you have the ability to lock down documents – with or
without a formal records declaration – and prevent those documents from being changed
by those without permissions.

26
Create workflows for electronic signatures
In order to create the workflows necessary to support electronic signatures, you will
need to open SharePoint Designer.
Once in SharePoint Designer, click on the “File” tab, then the “Open Site” button. If the
site is displayed in the Recent Sites, then click to open that site.

27
To create an electronic signature workflow, click on the “Workflows” link under
“Navigation>Site Objects”.

28
Once the workflow tab is open, click on the “Workflows” tab in the Ribbon Bar, then click
on the “List Workflow” button.
To configure the workflow for the electronic signature document library, click on the
appropriate document library name in the “List Workflow” pull-down.

29
In creating the workflow, the first step is to add condition checks for Approval Status.
This will use the Content Approval Status Column in the list library. This condition check
will determine if the document is Approved, Rejected, or if the document is already
signed.

30
You can then define the e-mail message that can be sent to the users involved in the
workflow. This is configured through steps during the SharePoint design Workflow
creation process. (see define e-mail Message below)

31
To do this, simply go to Actions > Send an Email

32

33
Note, again, that the document, when placed into a library can inherit the permissions –
and Information Rights Management Policies through RMS. Since RMS is not an
inherently necessary part of Part 11 compliance, please see the MSDN documents on
the topic.
Create a Signature Page
The one area of SharePoint that requires customized code to comply with current
guidance on 21 CFR Part 11 is on the Signature Page.
Many other federal regulations utilize electronic signatures. But 21 CFR Part 11 is the
only one with a concept of a “signing password”, where the user re-authenticates in
order to validate the signing event. In most other federal regulations, it is sufficient for
the user to a) be authenticated and then during the signing event simply type in their full
name as evidence that they are “signing” the record.
To meet the “re-authentication” for the signing event, in this case, simply requires 12
lines of code. Creating the signing page with all the buttons requires more code – but
that can be done through other methods besides code, including SharePoint designer.
The primary step here is attaching the authentication code to the workflow.
The code itself is relatively straightforward. Written in C#, the basic idea of the code is
to take the users username and password and authenticate against LDAP – this is done
in the “ValidateActiveDirectoryLogin” function below:
/// <summary>
/// Method to validate user for a given credentials
/// </summary>
/// <param name="domain"></param>

34
/// <param name="username"></param>
/// <param name="password"></param>
/// <returns>Boolean returns true if success</returns>
protected Boolean ValidateActiveDirectoryLogin(string domain, string
username, string password)
{
Boolean success = false;
System.DirectoryServices.DirectoryEntry Entry = new
System.DirectoryServices.DirectoryEntry("LDAP://" + domain, username, password);
DirectorySearcher searcher = new DirectorySearcher(Entry);
searcher.SearchScope = System.DirectoryServices.SearchScope.Subtree;
try
{
searcher.Filter = "(SAMAccountName=" + username + ")";
searcher.PropertiesToLoad.Add("cn");
System.DirectoryServices.SearchResult results = searcher.FindOne();
// userFullName =
results.GetDirectoryEntry().Properties["CN"].Value.ToString();
success = (results != null);
}
catch (Exception ex)
{
success = false;
lblMessage.Text = "Error: " + ex.Message;
}
return success;
}
Full source code for all the functions will be provided as an appendix to this whitepaper.
Using the provided source code, the signature page appears as follows.

35
Though not required, as the “signature” is stored with the document in SharePoint, it is a
nice touch that helps users know that a signature has been applied to a given document.
Thus, in the solution provided, code was added to append the signature to the document
itself. In addition, the document is protected by rights management as part of the
workflow cycle, so that no changes can be made to the document once signed.
It is important to note that this is still an electronic signature and not a digital signature.
The configuration methods for digital signatures are provided later in the document.
Set Permissions for the Document Library
SharePoint 2010 has the ability to set permissions on the Document level, Document
Library level and site level.
To set permissions for a document library, Navigate to your document library > click on
Library > Library Permissions
Set Policies for the Document Library
One of the more important aspects of configuring SharePoint 2010 for 21 CFR part 11
compliance is configuring sitewide policies that dictate permission levels and rules. This
is done to prevent users particularly content administrators from changing permission
levels that would invalidate the compliance of any given document library.
To configure site wide auditing:
Go to Site Actions > Site Settings > Site Collection Audit Settings

36
To add stage properties for a document library goto Document library settings >
Information Management Policy Settings
Click Change Resource link to change staging properties for the documents library

37
On clicking the hyper link “Add Retention stage” the below popup will be shown to
configure the document into Records Center.
Note that the Content Organizer can also be used to send records into the records
center that are subject to Part 11 compliance based on their content-type.

38
Once delivered to its final destination after approval, the document is automatically
declared a record.

39
Navigate to > Site Actions > Site Settings > Record Declaration Settings for globally
setting this throughout the site.
The last step in the process is creating the Custom Permission Levels for Site Roles, so
Versioning, Content Approval Settings, and Workflow can’t be manipulated.

40
This is an important consideration for Part 11 compliance, as it assures – with proper
configuration – that the audit histories, electronic signatures and other vital information
for compliance is not changed in any fashion.
This configuration of SharePoint and workflow has all records transferred to their
preferred locations via the records retention policies based on the “Signed Doc” attribute.
When the Document becomes approved, then the attribute is set as a record inside the
workflow.
To see more on the process of transferring “signed” documents to the records center,
please see http://technet.microsoft.com/en-us/library/ee424395.aspx

41
Once in the target document library, click on the “Library Tab” in the Ribbon Bar. This
brings you to the “Document Library Settings” page which enables you to add the
necessary columns for electronic signatures.
The following columns will be added, which include the single signature columns as well
as additional columns for multiple signatures:
 Username
 Purpose of Signature
 Date Signed
 Signers
 Additional fields as outlined below.
The steps for setting version history and version control are the same as for creating
single electronic signatures.
Configure Document Templates for Workflow and Multiple Signatures
In order to set the document templates needed for multiple electronic signatures in a
single document, click on “Advanced Settings” in the “Document Library > Document
Library Settings” screen.

42
This will launch the template editor in Microsoft Word. Click on the “Insert” tab in the
Ribbon Bar. On the “Insert Tab”, click on the “Quick Parts > Document Property” dialog
and pull-down.
Drag and drop the fields “DateSigned”, “DocumentStatus”, “PurposeOfSignature”,
“Username” and other fields added to the document library to support electronic
signatures.

43
This then results in a document that has a signature line added in through metadata.
Note that this document, once signed, can be protected via Rights Management Service
so that it cannot be modified once signed, even if e-mailed or a thumbdrive used to copy
the document elsewhere.

44
Create workflows for multiple electronic signatures
In order to create the workflows necessary to support electronic signatures, you will
need to open SharePoint Designer.
Once in SharePoint Designer, click on the “File” tab, then the “Open Site” button. If the
site is displayed in the Recent Sites, then click to open that site.

45
To create an electronic signature workflow, click on the “Workflows” link under
“Navigation>Site Objects”.
Once the workflow tab is open, click on the “Workflows” tab in the Ribbon Bar, then click
on the “List Workflow” button.

46
To configure the workflow for the electronic signature document library, click on the
appropriate document library name in the “List Workflow” pull-down.

47
In creating the workflow, the first step is to add condition checks for Approval Status.
This will use the Content Approval Status Column in the list library. This condition check
will determine if the document is Approved, Rejected, or if the document is already
signed.

48
You can then define the e-mail message that can be sent to the users involved in the
workflow.
Go to Actions > Send an Email and Confgure properties approprately

49

50
Again, it is important to note that while not necessary for Part 11 compliance, the use of
Rights Management Service in conjunction with SharePoint will ensure that the rights
become part of the document itself, originally applied as part of workflow or when a
document is loaded into the document library.

51
The instructions for updating SharePoint for Information Rights Management can be
found on MSDN.
Create a Signature Page
The signature page for multiple signatures is the same as for single signatures.
The final signed document with the signatures appears as follows:
The methods for setting permissions for the document library are the same as for single
signatures.
To set permissions for a document libray, navigate to the document library > click on
Library > Library Permissions

52
The methods for setting policies for the document library are the same for multiple
signatures as they are for single signatures.
Digital Signatures Use Case
The following scenarios detail configuring SharePoint 2010 and Office 2010 to use digital
signatures based on X.509 Certificates. Note that the provisioning and deployment of
those signatures are outside the scope of this document.
Configuring Digital Signatures in SharePoint and Office 2010 is far simpler than
configuring electronic signatures and provides a higher level of security and assurance
than simple electronic signatures, even with the added features detailed earlier in this
document.
In fact, SharePoint 2010 comes with an out of the box Approval Workflow called a
“Collect Signatures” workflow. This document will utilize a variant of that workflow for
the Digital Signatures use case.
Administrator Configuration for Digital Signatures
Similar steps are required for creating workflows for Digital Signatures as they are for
Electronic Signatures.
Configure Document Library Templates
Creating the document library templates is essential, as this provides the signature
blocks that will be used during the X.509 certificate signature process.

53
As with the electronic signatures, you first select the document library that will be used
for the Digital Signatures. When there, click on the “Library Tools > Library” tab in the
Ribbon Bar. This brings you to the “Document Library Settings” page which enables you
to add the necessary columns for digital signatures.
The following column will be added:
 Date Signed
 Signers
Configure Document Library Version Histories
While digital signatures are more secure than electronic signatures, it is still important to
create and set version histories for the audit trail capabilities of the document library.
The steps for doing this are the same as for configuring electronic signatures.
Configure Document Templates for Workflow and Digital Signatures
Setting the document templates for digital signatures is straight forward. In the
“Document Library > Document Library Settings” screen, click on “Advanced Settings”

54
This will launch the template editor in Microsoft Word.
The first step in adding a digital signature to the document is by going to the Office 2010
BackStage by clicking on the “File” tab in the Ribbon Bar. Then under “Protect
Document” click on “Add Digital Signature”.
Once the Digital Signature is added, you’ll want to navigate to the section of the
document that will contain the signature. To insert the Signature at that location, Click
on the “Insert” tab in the Ribbon Bar. Click on the “Signature Line” drop down.

55
This will enable you to insert a signature block or multiple signature blocks. In addition,
this drop down provides for multiple signature providers. This enables different
certificates.
Once inserted, an unsigned signature block – or multiple blocks – looks as such:
The signature block can also be a stamped signature, such as would be done for a
SAFE BioPharma logo.
In Signing a document, the user is prompted for “Comment” which is generally used as
the ‘Purpose for Signing’. It is also possible to create a custom signature event, such as
one for SAFE BioPharma that is located at http://www.codeplex.com/safe
Once used by the signer, the signature block appears as such:
Note that digitally signing a document also makes that document read-only. Saving the
document and making any changes invalidates and removes the signature (but not the
unsigned signature block) from the document.

56
Also important to discuss is the role of Rights Management, which can be applied to a
document before the signature process, further protecting the document from change.
Create workflows for digital signatures
Creating workflows that utilize digital signatures is actually more straightforward than for
electronic signatures. These workflows can either be created in SharePoint itself, or
through SharePoint Designer.
In fact, as mentioned previously, SharePoint 2010 contains out of the box workflows for
digital signatures, in this called “Collect Signatures”.
The MSDN Article used to configure this part of the document can be found at:
http://office.microsoft.com/en-us/sharepoint-server-help/use-a-collect-signatures-
workflow-HA010154428.aspx
Along with more basic articles on approval workflow:
http://office.microsoft.com/en-us/sharepoint-designer-help/understand-approval-
workflows-in-sharepoint-2010-HA101857172.aspx?CTT=1
Add or Change a Collect Signatures Workflow
Before a Collect Signatures workflow can be used, it must be added to a library or
content type to make it available for document or items in a specific location.
The Collect Signatures workflow is intended primarily for use in libraries and can be
started only on documents that open in Office Word 2007 or Office Excel 2007. You
must have the Manage Lists permission to add a workflow to a library or content type. In
most cases, site administrators or individuals who manage specific lists or libraries
perform this task.
The availability of the workflow within a site varies, depending on where it is added:
 If you add a workflow directly to a library, it is available only for documents in that
library.
 If you add a workflow to a list content type (an instance of a site content type that
was added to a specific library), it is available only for items of that content type
in the specific library with which that content type is associated.
 If you add a workflow to a site content type, that workflow is available for any
items of that content type in every list and library to which an instance of that site
content type was added. If you want a workflow to be widely available across
libraries in a site collection for items of a specific content type, the most efficient
way to achieve this result is by adding that workflow directly to a site content type.
Add or change a Collect Signatures workflow for a library or content
type
If you want to add a Collect Signatures workflow to a library or content type, or if you
want to change a Collect Signatures workflow that is already associated with a library or
content type, you follow the same steps.

57
1. To go to the Add a Workflow page or the Change a Workflow page for the library
or content type to which you want to add a workflow, do one of the following:
o For a library:
1. Open the library to which you want to add or change a workflow.
On the Settings menu , click the settings for the type of
library that you are opening.
For example, in a document library, click Document Library Settings.
2. Under Permissions and Management, click Workflow settings.
o For a list content type:
1. Open the library that contains the instance of the list content type for
which you want to add or change a workflow.
On the Settings menu , click the settings for the type of
library that you are opening.
For example, in a document library, click Document Library Settings.
2. Under Content Types, click the name of the content type.
o For a site content type:
1. On the home page for the site collection, on the Site Actions menu
, point to Site Settings, and then click Modify All Site
Settings.
2. Under Galleries, click Site content types.
Click the name of the site content type for which you want to add or
change a workflow, and then click Workflow settings.
NOTE If workflows have already been added to this library or content type, this step
takes you directly to the Change Workflow Settings page, and you need to click Add a
workflow to go to the Add a Workflow page. If no workflows have been added to this
library or content type, this step takes you directly to the Add a Workflow page.
3. On the Change Workflow Settings page, click Add a workflow or
click the name of the workflow for which you want to change the
settings.
Do one of the following:
If you are adding a workflow, on the Add a Workflow page, in the Workflow section,
click the Collect Signatures workflow template.

58
If you are changing the settings for a workflow, on the Change a Workflow page, change
the settings that you want to change according to the following steps.
In the Name section, type a unique name for the workflow.
In the Task List section, specify a tasks list to use with this workflow.
NOTES
You can use the default Tasks list or you can create a new one. If you use the default
Tasks list, workflow participants will be able to find and view their workflow tasks easily
by using the My Tasks view of the Tasks list.
If the tasks for this workflow will reveal sensitive or confidential data that you want to
keep separate from the general Tasks list, you should create a new tasks list.
If your organization will have numerous workflows or if workflows will involve numerous
tasks, you should create a new tasks list. In this instance, you might want to create tasks
lists for each workflow.
In the History List section, select a history list to use with this workflow. The history list
displays all of the events that occur during each instance of the workflow.
NOTE You can use the default History list or you can create a new one. If your
organization will have numerous workflows, you might want to create a separate history
list for each workflow.
In the Start Options section, specify how, when, or by whom a workflow can be started.
NOTES
Specific options may not be available if they are not supported by the workflow template
that you selected.
The option Start this workflow to approve publishing a major version of an item is
available only if support for major and minor versioning is enabled for the library and if
the workflow template that you selected can be used for content approval.
If you are adding this workflow to a site content type, specify whether you want to add
this workflow to all content types that inherit from this content type in the Update List
and Site Content Types section.
NOTE The Update List and Site Content Types section appears on the Add a
Workflow page only for site content types.
Click OK.
Start a Collect Signatures workflow on a document or workbook
Before you can start a Collect Signatures workflow, you must save the document or
workbook for which you want to collect signatures to a SharePoint library for which
the Collect Signatures workflow is available. You must have at least the Edit Items
permission to start a workflow. Some workflows may require that you also have the
Manage Lists permission in order to start a workflow on an document or item.
NOTE If you want to ensure that workflow participants receive e-mail notifications
and reminders about their workflow tasks after you start a workflow, check with your
server administrator to verify that e-mail notifications have been enabled for your site.
1) If the library is not already open, click its name on the Quick Launch. If the name of
your library does not appear, click View All Site Content, and then click the name of
your library.

59
2) Point to the document or workbook on which you want to start a Collect Signatures
workflow, click the arrow that appears, and then click Edit in Program Name.If the
document or workbook does not already contain signature lines to capture the digital
signatures that you want to collect, insert them now as described previously and
repeated below.If you add new signature lines, click the File Tab, and then click
Save to save your changes.If the document is checked out, you must also check
in the document before you start the workflow. To check in the document, click the
File Tab, point to Server, and then click Check In.For the user go start the workflow,
click the File Tab, and then click Workflows.In the Workflows dialog box, locate the
Collect Signatures workflow that you want to use, and then click Start.In the
Workflow Name dialog box, type the names of the people you want to sign the
document on the appropriate signers lines, or click Signer to select people from
the directory service.If you want to assign the signature tasks in the order in
which signature lines appear in the document, select the Request signatures in
the order above, rather than all at once check box.If you want other people to
receive notifications (not task assignments) when the workflow is started, type
their names on the CC line, or click CC to select people and groups from the
directory service.Click Start.Create a Signature Page
Starting with Office 2007 and continuing with Office 2010, Signature Pages for Digital
Signatures are out-of-the-box.
To sign a document, right click on the “Signature Block” as shown above, select the
certificate to be used, provide the reason for signing, and click OK. You will be
prompted for your Digital Certificate PIN and/or to insert your SmartCard or Token.
Once the PIN is authenticated against the card or token, the signature is placed within
the document and the document is made read-only.
The only change that can be made to a signed document is to add another signature.
These steps are the same as for electronic signatures.
These steps are the same as for electronic signatures.
View the Version Histories for Digital Signatures
Auditing digitally signed documents can be done in a couple ways: within the document
itself as XAdES requires the signing history be kept with the document and also through
the SharePoint version history.
To view additional information and signature history of the document:
Use the following instructions to view information about digital signatures
1. Open the file that contains the signatures that you want to view.

60
2. Click the File tab. The Microsoft Office Backstage view opens.
3. Click the Info tab.
4. Click View Signatures.
5. The Signatures pane appears with a list of signatures.
The following image is an example of the Signatures pane.
In the Signature pane, next to the signature name, click the down arrow and select
Signature Details.
The Signature Details dialog appears. Click See the additional signing information
that was collected.
The Additional Information dialog appears.
The following image is an example of the Additional Information dialog.
The following signature information appears:

61
 What the signature signs
 Local date and time the signature was applied
 The version of the Microsoft Windows operating system installed
 The version of Microsoft Office installed
 The version of the Microsoft Office program used
 The number of monitors installed
 Monitor resolution
You can view the message that indicates the file is not showing hidden content

62
21 CFR Part 11 Requirements
Subpart B Addressed / Not Addressed
11.10 Controls for closed systems Addressed
11.10 (a) Validation of systems Addressed
11.10 (b) Record review and
inspection Addressed
11.10 (c) Records protection and
retrieval Addressed
11.10 (d) System access Addressed
11.10 (e) Audit trail Addressed
11.10 (f) Operational system checks Addressed
11.10 (g) Protect record from
unauthorized access Addressed
11.10 (h) Data input validation Addressed
11.10 (i) Personnel training Not applicable
11.10 (j) Electronic signature policy Addressed
11.10 (k) System control Addressed
11.30 Controls for open system Addressed
11.50 Signature manifestation Addressed
11.50 (a) Signature information Addressed
11.50 (b) Control of signature
information Addressed
11.70 Signature/record linking. Addressed
Subpart C
11.100 General requirements. Not applicable
11.100 (a) Uniqueness Not applicable
11.100 (b) Identity verification Not applicable
11.100 (c) Legal certification Not applicable
11.200 Electronic signature
components and controls Addressed
11.200 (a) Non-biometric signature Addressed
11.200 (b) Genuine use of
biometrics signature Not applicable
11.300 Controls for credentials Addressed
11.300 (a) Maintain of credentials
uniqueness Addressed
11.300 (b) Credential maintenance Addressed
11.300 (c) Process for lost or
compromised credentials Addressed
11.300 (d) Safeguard to
unauthorized credential use Addressed
11.300 (e) Device maintenance Not applicable

63
Subpart B Electronic Records
11.10 Controls for Closed Systems
Persons who use closed systems to create, modify, maintain, or transmit electronic
records shall employ procedures and controls designed to ensure the authenticity,
integrity, and, when appropriate, the confidentiality of electronic records, and to ensure
that the signer cannot readily repudiate the signed record as not genuine.
As the previous configurations demonstrate, SharePoint Server addresses authenticity,
integrity and confidentiality of electronic records through access control and permission
to the records on either the individual record level or a document library level. Users are
assigned permissions to content and records through permissions which limit what they
can do by administrators. Documents identified as records can be sent to a record
center for safe keeping and have separate access control than when the document was
authored and reviewed.
To protect confidentiality of an electronic record, documents can be protected by
Information Rights Management (IRM) policy that could restrict users from copying or
printing documents even after the document is saved outside of the SharePoint Server.
SharePoint also addresses non-repudiation through audit trails as demonstrated. The
auditable system of records are implemented through policies which can be configured
for documents and items in Office SharePoint Server 2010 to specify which events will
be audited for each Content Type or site level, via the Information Management Policy
capabilities. An audit trail is kept with a document throughout the document and record
life cycle.
11.10 (a) Validation of Systems
Systems validation ensures accuracy, reliability, consistent intended performance, and
the ability to discern invalid or altered records.
How Office 2010 System addresses the requirement
Addressing this requirement takes a couple forms: 1) Validation of the system as a
whole, and 2) validation of the individual documents or records.
To address validation of the system, there are three areas of validation that
implementing parties need to be concerned with: IQ (Installation Qualification), OQ
(Operational Qualification) and PQ (Performance Qualification).
In the case of Installation Qualification, the focus is on ensuring that the application is
installed correctly, and all Microsoft product generated installation logs are maintained
which detail the installation as well as any errors that may arise during the installation
process.
In addition, Microsoft Systems Center can provide installation audit trails for SharePoint
implementations to ensure that all components installed properly.

64
Operational Qualification begins with the development methodology utilized to create the
software. Most Microsoft products, and all the products detailed in this whitepaper,
adhere to the “Security Development Lifecycle” methodology. This methodology, which
encompasses steps traditionally employed in software development methodology,
places a particular focus on development of software that is secured by design, in
development, and through implementation. All major software releases from Microsoft,
beginning with the Office 2007 and Vista/Longhorn “wave” of software releases are
required to go through the internal processes and checkpoints detailed in the Security
Development Lifecycle methodology, and must be signed off on by a Security Officer
before the particular software can be released to the general public.
The details of the methodology are available on MSDN as well as through published
works by Steve Lipner and Michael Howard (see the Reference section for more
information).
In addition, there is a whitepaper available entitled “Mapping Microsoft Development
Methodology to the V-Model” that is available on MSDN as well.
Operational Qualification extends to the operation of the software. To that end, most
Microsoft software, and all the products detailed in this whitepaper, provide detailed error
logging and troubleshooting information that can be gained through a proper
implementation of the Microsoft Systems Center Operations Manager. In fact, any
software release must include a management pack for Operations Manager before the
particular software can be released to the general public.
The details of the management pack for all relevant software are available in the
References section of this document.
Performance Qualification always includes the question -- “Does the software perform to
the end users’ needs?” As that question can only be answered by the implementing
party, the final step in validation of the software needs to be the development of test
plans and testing of the software in the environment in which it will be utilized. These
test plans can be modeled on this whitepaper to assist with the proper configuration of
the software.
While the overall validation of the software is up to the implementing party, Microsoft has
assisted in the validation through the creation of the development methodology,
implementation of management packs, implementation of the installation logs, and
development of this whitepaper to give guidance in the configuration of the software and
development of the test plans for performance qualification.
Finally, Microsoft recommends that companies periodically audit their own
implementation of the software, in order to ensure that the guidelines specified herein
are applied to their production systems and are enforced throughout.
To address validation of the individual documents, SharePoint provides auditing features
to facilitate the validation process.
As SharePoint server is designed as an auditable system, the administrator can
configure the system to audit document creation, specifically document modification and

65
deletion among other things so all changes to a document are audited. Additionally, you
can also extend the auditing capabilities to include additional information such as version
and workflow status.
All these capabilities related to SharePoint were demonstrated in the configurations
detailed in the use cases section of this Whitepaper
11.10 (b) Record Review and Inspection
The ability to generate accurate and complete copies of records in both human readable
and electronic form suitable for inspection, review, and copying by the agency. Persons
should contact the agency if there are any questions regarding the ability of the agency
to perform such review and copying of the electronic records.
As shown in the configuration methods, SharePoint has the ability to generate accurate
and complete copies of records in both human readable and electronic form.
Additionally, when the documents in question are written in the Microsoft Office 2010
system, the OpenXML file format allows the document to be accessible electronically (i.e.
machine readable in XML in its component parts) while still maintaining the ability to be
viewed as a whole through Word, Excel, or PowerPoint as appropriate. Saving the
document in XML Paper Specification (XPS) format provides the best of both worlds: a
machine readable document (in XML) whose formatting does not change regardless of
the printer, screen, or viewing application used to display the document.
A description of the OpenXML format is found at: http://www.ecma-
international.org/publications/standards/Ecma-376.htm
A description of the XML Paper Specification (XPS) is found at:
http://www.microsoft.com/whdc/xps/downloads.mspx
Both XPS and OpenXML are native file formats for Office 2010 and are understood and
readable by the Windows 7 operating system as well.
Agencies and inspectors can be given read-only access to documents during the review
process. Electronic documents will be viewed either natively or in other formats via
document converters or viewers.
11.10 (c) Records protection and retrieval
Protection of records to enable their accurate and ready retrieval throughout the records
retention period.
As discussed in the configuration section, SharePoint 2010 protects documents through
content policies that prevent documents from being changed. In addition, the system
then takes the documents declared as records and can flag them for retention for a
specific period of time.

66
1) Automatically receive/route records declared from other sources—Records
Centers are able to determine how the Content Type of a declared record
translates to an appropriate record series in the file plan, and then file the record
into the appropriate location.
2) Hold orders—The Records Center includes a powerful hold order system to
locate records relevant to particular event requiring a hold order, suspending
disposition of those records for the duration of the event, and for resuming
normal disposition once those events have ended.
3) Separate access controls—Records Center can give you the flexibility to specify
whether users can access any section of the Records Center, whether they can
view or add items, independent of the permissions those users have on authoring
and collaboration sites.
As demonstrated, documents can be attached to a policy that defines content expiration
and version control policy.
Microsoft Office technology allows content that is outside the repository to be secured on
the basis of policies as well by using the Rights Management Server. With the 2010
system, an access control policy set up for a SharePoint site can also be maintained for
documents on the desktop. These rights also extend to expiration, printing, forwarding,
and copying, thereby ensuring a higher level of content security than has been possible
with traditional approaches.
11.10 (d) System Access
Limiting system access to authorized individuals
SharePoint sites containing information or documents to be protected should not allow
anonymous access. The User will need to be authenticated before access to the site is
granted.
The following are authentication methods for SharePoint (or any ASP.NET application):
 Windows integrated (NTLM, Kerberos, or certificate) – user is authenticated
when they log on their computer. This is enforced by IIS.
 Basic authentication – user enters domain credentials for authentication before
access to the site is granted. This is enforced by IIS. As credentials are sent as
plain text by default, this option should use SSL or other mechanism to encrypt
the http traffic.
 Forms based or SSO – user enters credentials assigned to them that may not be
their domain credentials. As with Basic Authentication, HTTP traffic needs to be
encrypted to protect the credentials. This requires additional settings on
web.config file for the web application.
Authentication setting is set per web application (the container that hosts portal and
collaboration sites) and is configured through SharePoint Central Administration
Application.

67
The following is a sample web.config file used to setup forms-based authentication, role-
based access, and denies access to unauthenticated users:
<configuration>
<connectionStrings>
<add name="MySqlConnection" connectionString="Data
Source=MySqlServer;Initial Catalog=aspnetdb;Integrated
Security=SSPI;" />
</connectionStrings>
<system.web>
<authentication mode="Forms" >
<forms loginUrl="login.aspx"
name=".ASPXFORMSAUTH" />
</authentication>
<authorization>
<deny users="?" />
</authorization>
<membership defaultProvider="SqlProvider" userIsOnlineTimeWindow="15">
<providers>
<clear />
<add
name="SqlProvider"
type="System.Web.Security.SqlMembershipProvider"
connectionStringName="MySqlConnection"
applicationName="MyApplication"
enablePasswordRetrieval="false"
enablePasswordReset="true"
requiresQuestionAndAnswer="true"
requiresUniqueEmail="true"
passwordFormat="Hashed" />
</providers>
</membership>
<roleManager defaultProvider="SqlProvider"
enabled="true"
cacheRolesInCookie="true"
cookieName=".ASPROLES"
cookieTimeout="30"
cookiePath="/"
cookieRequireSSL="false"
cookieSlidingExpiration="true"
cookieProtection="All" >
<providers>
<add
name="SqlProvider"
type="System.Web.Security.SqlRoleProvider"
connectionStringName="MySqlConnection"
applicationName="MyApplication" />
</providers>
</roleManager>
</system.web>
</configuration>

68
After authentication, the user will also need to be assigned appropriate rights to access
specific features and contents. Details on how to configure user roles and rights are
discussed in Section 11.10 (g) of this paper.
11.10 (e) Audit Trail
Use of secure, computer-generated, time-stamped audit trails to independently record
the date and time of operator entries and actions that create, modify, or delete electronic
records. Record changes shall not obscure previously recorded information. Such audit
trail documentation shall be retained for a period at least as long as that required for the
subject electronic records and shall be available for agency review and copying.
As discussed in 11.10 (a) audit trails in SharePoint are provided at the document level,
document library level and at the site level. These capabilities were demonstrated in the
configuration section of this document.
11.10 (f) Operational System Checks
Use of operational system checks to enforce permitted sequencing of steps and events,
as appropriate
As demonstrated in the configuration section, SharePoint 2010 can enforce workflow,
audit trails and electronic signatures on any given document.
11.10 (g) Protect records from unauthorized access
Use of authority checks to ensure that only authorized individuals can use the system,
electronically sign a record, access the operation or computer system input or output
device, alter a record, or perform the operation at hand.
As demonstrated, SharePoint Server 2010 controls access to Web sites, lists, folders,
and list items through a role-based membership system by which users are assigned to
roles that authorize their access to Windows SharePoint Services objects. The creation
and authentication of the user and to which role the user is assigned is discussed in
Section 11.300 – Controls for Identification Codes / Passwords.
To give a user access to an object, you either add the user to a group that already has
permissions on the object, or create a role assignment object, setting the user for the
role assignment and then adding the assignment to the collection of role assignments for
the object (such as list item, folder, list, or Web site).
By default, objects inherit permissions from their parent (document from document
library or folder, document library from site, site from parent site).
Following are the screen shots of defining a unique permission setting for a document.

69
11.10 (h) Data Input Validation
Use of device (e.g., terminal) checks to determine, as appropriate, the validity of the
source of data input or operational instruction.
Transport level encryption (such as SSL) can be used to secure the content (data input)
from users.
ASP.NET (which SharePoint is built on) uses the Message Authentication Code (MAC)
technique to protect key information, such as view state data and authentication tickets,
to make sure that the data are not illegally modified.
For cookie-based authentication (such as forms authentication), administrators can
configure cookie timeout parameters to be reasonably short to reduce the cookie reply
security risk.
For additional protection, Microsoft has developed Forefront Security for SharePoint,
which helps businesses protect their Microsoft Office SharePoint Server 2010 servers
from viruses, unwanted files and inappropriate content. With a layered, multiple scan
engine approach, Forefront Security for SharePoint helps stop the latest threats before
they impact your business and users.
11.10 (i) Training
Determination that persons who develop, maintain, or use electronic record/electronic
signature systems have the education, training, and experience to perform their
assigned tasks.
Microsoft product teams follow rigorous development and testing processes for its
product development including the Office 2010 systems, as described in Section 11.10(a)
Validation of Systems.
Microsoft and many of its partners offer extensive training courses, technical resources,
and certifications for .NET, SharePoint and related technologies to help organizations to
educate and train their people for specific tasks.
11.10 (j) Electronic Signature Policy
The establishment of, and adherence to, written policies that hold individuals
accountable and responsible for actions initiated under their electronic signatures, in
order to deter record and signature falsification.
While the establishment of a Electronic Signature Policy is the responsibility of the
implementing organization, the Office 2010 can assist in the adherence to those written
policies by implementing Records Management that reflect and enforce those policies.

70
Creating a successful Records Management system starts with mapping out the
organization’s records management goals, anticipating the challenges an organization
will face in making that vision a reality within the company, and developing a policy and
implementation that fits these needs. Since planning is a key to both the policy
development and solution implementation phases, it is important to outline the
challenges faced at each stage so these can be kept top of mind when working out both
the organization policy plan and implementation strategy.
At the policy planning stage, the major challenge is to devise a system that
encompasses an organization’s current records-keeping needs: content types, media
types, storage requirements, business processes, and policies. It also needs to meet
present legal and audit requirements, and be extensible and flexible enough to
accommodate future content types and retention requirements. Another important goal is
to enhance information retrieval, which will help employees do their jobs more efficiently
and give an organization a competitive advantage.
In developing the policy for an organization, the challenge is to create an overarching
policy document that is comprehensive but short, easy to read, and accompanied by
actionable retention schedules that can then be put into practical use. Furthermore the
policy needs to be integrated with the organization’s other enterprise content
management policies, and be able to absorb and integrate previous record keeping
efforts.
At the implementation stage, the major challenge is to create a system that suits the
organization’s workflow, one that will actually be adopted by users and integrated into
their daily activities. The implementation must be simple enough for employees to grasp
quickly, easy enough to require only few extra steps (or clicks), but rigorous enough to
meet the organization’s overall need for record keeping within the organization.
Furthermore, any technology rollout must be manageable for the organization as a
whole – and not significantly disrupt normal business operations.
SharePoint Server 2010 includes multiple information management policy features to
help an organization manage content type as shown in Section 11.10 (c):
 Document expiration
 Document auditing
 Document labels
 Document bar codes
11.10 (k) System control
Use of appropriate controls over systems documentation including:
(1) Adequate controls over the distribution of, access to, and use of documentation for
system operation and maintenance.
(2) Revision and change control procedures to maintain an audit trail that documents
time-sequenced development and modification of systems documentation.

71
How Office 2010 System and Rights Management Services (RMS)
address the requirement
Microsoft Active Directory Rights Management Services (RMS) augments an
organization’s security strategy by providing protection of information through persistent
usage polices, which remain with the information. Content is protected with RSA 1024-
bit Internet encryption and authentication so that information will be safe in transit and
will remain with the document, no matter where it goes. For example, encrypted content
stored on a lost USB drive will not be accessible and viewable to any unauthorized
viewer, regardless of location.
This information protection technology works with RMS–enabled applications to help
safeguard digital information from unauthorized use—both online and offline, inside and
outside of the firewall. Record managers and administrators can define exactly how
users can use data and can place limitations on who can open, modify, print, copy, and
forward certain confidential information.
Revision and change control can be enforced through checkout and audit trail policies as
discussed previously in this document.
11.30 Controls for Open Systems
Persons who use open systems to create, modify, maintain, or transmit electronic
records shall employ procedures and controls designed to ensure the authenticity,
integrity, and, as appropriate, the confidentiality of electronic records from the point of
their creation to the point of their receipt.
Such procedures and controls shall include those identified in Section 11.10, as
appropriate, and additional measures such as document encryption and use of
appropriate digital signature standards to ensure, as necessary under the circumstances,
record authenticity, integrity, and confidentiality.
SharePoint can leverage the underlying ASP.NET infrastructure to authenticate users
through various means which are discussed in Section 11.300 – Controls for
Identification Codes / Passwords. Together with SSL (or other transport level security
measures), user access and data transport can be secured from the point of creation to
the point of receipt.
Office 2010 enables three use-case scenarios with the out-of-the-box digital signature
functionality to protect documents starting from their point of creation.
 Authenticity & Tamper Resistance – Signing an Office document to prove that it
hasn’t been modified since it was signed. You can also view the digital certificate
used to sign the document to verify the authenticity of the document and prove
that it came from a trusted individual or organization.
 Digital Signature – Signing an Office document with both a specific identity and
an assertion about why this document was signed (for example, “Approved for
Publication”). This type of signature does not print with a document and does not

72
affect the on-page content of a document, but can be viewed and verified with
software, including Office 2010 applications.
 In Document Signature – Signing an Office document in a special “signature line”
object that visually shows who signed the document. This feature is designed to
mimic the experience of pen and ink signatures. It is this type of signature that
was created in the earlier configuration of electronic signatures discussion.
As discussed, Office 2010 documents support digital signatures out of the box and are
extensible. For digital signature of non-office based documents, there is 3rd
party vendor
support in the market place.
In addition to the digital signature controls and SSL used to transmit the electronic
record, Forefront Security for SharePoint can provide further assurance that the record is
valid by protecting Microsoft Office SharePoint Server 2010 servers from viruses,
unwanted files and inappropriate content.
11.50 Signature Manifestations
11.50 (a) Signature Manifestation
Signed electronic records shall contain information associated with the signing that
clearly indicates all of the following:
(1) The printed name of the signer;
(2) The date and time when the signature was executed; and
(3) The meaning (such as review, approval, responsibility, or authorship) associated
with the signature.
As demonstrated in the configuration example, SharePoint 2010 can use workflow to
enforce document approval and signoff. Information collected during the approval and
signoff process can be customized to include all information required under this rule and
more. Custom solutions built on top of the Office SharePoint Server 2010 can also add
relevant entries to the audit log, such as when an approval workflow is completed.
11.50 (b) Control of signature information
The items identified in paragraphs (a)(1), (a)(2), and (a)(3) of this section shall be
subject to the same controls as for electronic records and shall be included as part of
any human readable form of the electronic record (such as electronic display or printout).
Office 2010 documents store digital signatures as a separate stream from the content
stream and are part of the document package. In compliance with XAdES, the entire
signature process, including the validity of the signature at time of signing is kept with
the document package. In addition, ss shown in previous screen shots, the digital
signature of an Office 2007 document can mimic the paper and ink signature experience.
In the case of Electronic Signatures, the signature, date and time of signature, and the
signature meaning are linked to the document through metadata that is associated with

73
the document in SharePoint; are kept with and linked to the document throughout the
document life cycle; and can be viewed with the document in SharePoint. As
demonstrated, it is possible to integrate the metadata into the body of the document, as
it would appear in a printed version of the document, through the use of a document
template that reads the metadata from SharePoint, stores the metadata in the document
as part of the OpenXML, and then allows for display of the metadata inline in the
document.
11.70 Signature/Record Linking
Electronic signatures and handwritten signatures executed to electronic records shall be
linked to their respective electronic records to ensure that the signatures cannot be
excised, copied, or otherwise transferred to falsify an electronic record by ordinary
means.
Digital signatures for Office 2010 documents are stored as part of the document. As
demonstrated earlier, Office 2010 provides a task pane to help users view and verify the
signatures stored within a document. This pane is designed to differentiate signatures
based on whether they are requested, valid, or invalid. This task pane is a built-in part of
the signature platform and automatically displays information about the signature objects
regardless of whether they come from our built-in implementation or a custom written
signature add-on.
Electronic signature and approval information are stored as part of the audit trail and
metadata associated with the document. The linkage between signature and document
is maintained by the server and can be read in the document through document
templates as discussed in the previous section.
Digital signature and approval information are stored as part of the audit trail and
metadata associated with the document when signed as part of a workflow.
Subpart C Electronic Signatures
11.100 General Requirements
11.100 (a) Uniqueness
Each electronic signature shall be unique to one individual and shall not be reused by, or
reassigned to, anyone else.
Policies and procedures should be developed to verify each user’s identity prior to a user
being assigned a username and password and to dictate that users should not share
credentials. These policies and procedures should be included as part of the compliance
and system training process.

74
The creation, maintenance, and authentication of the user are discussed in Section
11.300 – Controls for Identification Codes / Passwords.
11.100 (b) Identity Verification
Before an organization establishes, assigns, certifies, or otherwise sanctions an
individual's electronic signature, or any element of such electronic signature, the
organization shall verify the identity of the individual.
This should be part of the compliance solution planning and training process.
11.100 (c) Legal Certification
Persons using electronic signatures shall, prior to or at the time of such use, certify to
the agency that the electronic signatures in their system, used on or after August 20,
1997, are intended to be the legally binding equivalent of traditional handwritten
signatures.
(1) The certification shall be submitted in paper form and signed with a traditional
handwritten signature, to the Office of Regional Operations (HFC 100), 5600 Fishers
Lane, Rockville, MD 20857.
(2) Persons using electronic signatures shall, upon agency request, provide additional
certification or testimony that a specific electronic signature is the legally binding
equivalent of the signer's handwritten signature.
In addition to this being part of the compliance solution planning process, a step can be
added to the signing workflow to verify that a certification check is in place (by looking at
a lookup list of authorized signers).
11.200 Electronic Signature Components and Controls
11.200 (a) Non-biometric Signatures
Electronic signatures that are not based upon biometrics shall:
(1) Employ at least two distinct identification components such as an identification code
and password.
(1) (i) When an individual executes a series of signings during a single, continuous
period of controlled system access, the first signing shall be executed using all electronic
signature components; subsequent signings shall be executed using at least one
electronic signature component that is only executable by, and designed to be used only
by, the individual.
(1) (ii) When an individual executes one or more signings not performed during a single,
continuous period of controlled system access, each signing shall be executed using all
of the electronic signature components.
(2) Be used only by their genuine owners; and

75
(3) Be administered and executed to ensure that attempted use of an individual's
electronic signature by anyone other than its genuine owner requires collaboration of two
or more individuals.
SharePoint supports variety of authentication mechanisms supporting 2 factor schemes
(combination of user id and password). This includes windows integrated (NTLM and
Kerberos) authentication, basic authentication, forms authentication as well as Claims
Based Authentication using SAML 2.0 tokens.
11.200 (b) Biometric Signatures
Electronic signatures based upon biometrics shall be designed to ensure that they
cannot be used by anyone other than their genuine owners.
How Microsoft Windows and Office 2010 addresses the
requirement
There are 3rd
party vendors who provide biometric-based authentication to the Windows
system, including most major hardware vendors. With respect to the Microsoft Office
2010 system, a biometric identity is handled as any other identity, as the biometric
information is associated with either a username or a digital certificate. Regardless, a
password is still required for authentication (in the case of electronic signatures), or a
PIN is required for authentication (in the case of a Digital Certificate).
11.300 Controls for Identification Codes/Passwords
Persons who use electronic signatures based upon the use of identification codes in
combination with passwords shall employ controls to ensure their security and integrity.
Such controls shall include the following:
11.300 (a) Uniqueness of identity
Maintaining the uniqueness of each combined identification code and password, such
that no two individuals have the same combination of identification code and password.
How Microsoft Windows and Active Directory addresses the
requirement
This is enforced by Windows or Active Directory if using integrated authentication and
Basic authentication in an organization’s SharePoint setup.
For detailed discussion as well as a step-by-step configuration guide of windows
accounts and password policy, please refer to the articles listed in the Reference section
of this paper.
For Forms authentication, this is enforced by the authentication provider.
11.300 (b) Password Policy
Ensuring that identification code and password issuances are periodically checked,
recalled, or revised (e.g., to cover such events as password aging).

76
How Microsoft Windows and Active Directory addresses the
requirement
Windows and Active Directory infrastructure can enforce password policy for complexity
and expiration. Windows integrated authentication and Basic authentication can
leverage this automatically.
For detailed discussion as well as a step-by-step configuration guide of windows
accounts and password policy, please refer to the articles listed in the Reference section
of this paper.
A similar mechanism will need to be implemented by the authentication provider if Forms
authentication is used.
11.300 (c) Deactivation of Users
Following loss management procedures to electronically deauthorize lost, stolen,
missing, or otherwise potentially compromised tokens, cards, and other devices that
bear or generate identification code or password information, and to issue temporary or
permanent replacements using suitable, rigorous controls.
Windows and Active Directory administrators can deactivate users, change users
passwords, or require users to change passwords after issuing a temporary password.
Windows integrated authentication and Basic authentication can leverage this
automatically.
These capabilities can be extended to Digital Signatures through Active Directory and
the use of Microsoft Active Directory Certificate Manager.
11.300 (d) Unauthorized use of passwords or identification codes
Use of transaction safeguards to prevent unauthorized use of passwords and/or
identification codes, and to detect and report on an immediate and urgent manner any
attempts at their unauthorized use to the system security unit, and, as appropriate, to
organizational management.
The Microsoft Windows family of products, including Microsoft Windows Server 200 R2
and Windows 7 can both audit logon changes and failed attempts.
Group policy can enforce account lockout policy to help to prevent brute force password
guessing. Lockout policy is based on failed attempts for a time window and users can
be locked out for specified times before they can attempt again (or not).
Group policy can also enforce password policy to mitigate the risk of unauthorized
credential use. Password policy can be set to enforce complexity of the password
(including minimal length and combinations), password aging (expiration), and password
history (reuse of previous passwords).

77
Similar policies can be extended to Digital Certificates through the use of Microsoft
Active Directory Certificate Services.
11.300 (e) Identification Code Device Testing
Initial and periodic testing of devices, such as tokens or cards, that bear or generate
identification code or password information to ensure that they function properly and
have not been altered in an unauthorized manner.
This should be part of the operational procedure that is written into the compliance
policies and procedures.

78
Systems Validation and Compliance
Systems validation and compliance is covered in depth in a Microsoft whitepaper entitled
“Validation and the Microsoft Platform”.
The whitepaper covers the following topics:
 Microsoft software development practices and how they map to the industry “v-
model”
 Installation Qualification methodology using Microsoft tools and system
resources
 Operational Qualification methodology using Microsoft tools and system
resources
This whitepaper is available on MSDN at the Microsoft Life Sciences Developer Center
(http://msdn.microsoft.com/architecture/lifesciences).

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