FDA最新工艺验证指南（2011.1版）北京大学中英文对译pdf

Guidance for Industry 行业指南 Process Validation: General Principles and Practices 工艺验证：一般原则与规范 U.S. Department of Health and Human Services Food and Drug Administration Center for Drug Evaluation and Research (CDER) Center for Biologics Evaluation and Research (CBER) Center for Veterinary Medicine (CVM) January 2011 Current Good Manufacturing Practices (CGMP) Revision 1 美国卫生与人类服务部 食品药品管理局 药物评价和研究中心（CDER） 生物制品评价和研究中心（CBER） 兽药中心（CVM） 2011年1月 现行药品质量生产管理规范（CGMP） 修订版 1 ???????????http://www.yaozh.com ?????http://db.yaozh.com 包含不具约束力的建议 中文译稿：北京大学药物信息与研究中心 info@cpier.pku.edu.cn Guidance for Industry 行业指南 Process Validation: General Principles and Practices 工艺验证：一般原则与规范 Additional copies are available from: Office of Communications Division of Drug Information, WO51, Room 2201 10903 New Hampshire Ave. Silver Spring, MD 20993 Phone: 301-796-3400; Fax: 301-847-8714 druginfo@fda.hhs.gov www.fda.gov/Drugs/GuidanceComplianceRegulatoryInformation/Guidances/default.htm and/or Office of Communication, Outreach and Development, HFM-40 Center for Biologics Evaluation and Research Food and Drug Administration 1401 Rockville Pike, Rockville, MD 20852-1448 (Tel) 800-835-4709 or 301-827-1800 www.fda.gov/BiologicsBloodVaccines/GuidanceComplianceRegulatoryInformation/Guidances/default.htm and/or Communications Staff, HFV-12 Center for Veterinary Medicine Food and Drug Administration 7519 Standish Place, Rockville, MD 20855 (Tel) 240-276-9300 www.fda.gov/AnimalVeterinary/GuidanceComplianceEnforcement/GuidanceforIndustry/default.htm ???????????http://www.yaozh.com ?????http://db.yaozh.com 包含不具约束力的建议 中文译稿：北京大学药物信息与工程研究中心 info@cpier.pku.edu.cn 另外的副本可从以下部门得到： 马里兰州银泉市新罕布什尔大道10193号2201室 药品信息处，对外信息办公室， 邮政编码：20993 电话：301-796-3400; 传真：301-847-8714 druginfo@fda.hhs.gov www.fda.gov/Drugs/GuidanceComplianceRegulatoryInformation/Guidances/default.htm 和/或 马里兰州洛克维尔市洛克维尔大道1401号 HFM-40 FDA生物制品评价和研究中心对外信息、外联 与发展办公室 邮政编码：20852-1448 电话：800-835-4709 或 301-827-1800 www.fda.gov/BiologicsBloodVaccines/GuidanceComplianceRegulatoryInformation/Guidances/default.htm 和/或 马里兰州洛克维尔市Standish Place 7519号食品药品管理局兽药中心HFV-12通讯处，邮政编码： 20885 电话：240-276-9300 www.fda.gov/AnimalVeterinary/GuidanceComplianceEnforcement/GuidanceforIndustry/default.htm U.S. Department of Health and Human Services Food and Drug Administration Center for Drug Evaluation and Research (CDER) Center for Biologics Evaluation and Research (CBER) Center for Veterinary Medicine (CVM) January 2011 Current Good Manufacturing Practices (CGMP) Revision 1 美国卫生与人类服务部 食品药品管理局 药物评估和研究中心（CDER） 生物制品评估和研究中心（CBER） 兽药中心（CVM） 2011年1月 现行药品质量生产管理规范（CGMP） 修订版 1 ???????????http://www.yaozh.com ?????http://db.yaozh.com 包含不具约束力的建议 中文译稿：北京大学药物信息与工程研究中心 info@cpier.pku.edu.cn Table of Contents 目录 I.  INTRODUCTION ......................................................................................................................................... 1  一. 简介 ........................................................................................................................................................... 1  II.  BACKGROUND .......................................................................................................................................... 3  二. 背景 ........................................................................................................................................................... 3  A.  Process Validation and Drug Quality .................................................................................................. 4  A.  工艺验证与药品质量 .................................................................................................................... 4  B.  Approach to Process Validation ......................................................................................................... 5  B.  工艺验证方法 ................................................................................................................................. 5  III.  STATUTORY AND REGULATORY REQUIREMENTS FOR PROCESS VALIDATION ............................... 7  三. 对工艺验证的法规和监管 ........................................................................................................... 7  IV.  RECOMMENDATIONS ............................................................................................................................... 9  四. 建议 ........................................................................................................................................................... 9  A.  General Considerations for Process Validation .................................................................................. 9  A.  对工艺验证的总体考虑 ............................................................................................................... 9  B.  Stage 1 - Process Design ................................................................................................................. 10  B.  第一阶段 - 工艺 ................................................................................................................. 10  1.  Building and Capturing Process Knowledge and Understanding ............................................ 11  1.  建立和捕获工艺知识与理解 ............................................................................................ 11  2.  Establishing a Strategy for Process Control ............................................................................ 12  2.  建立工艺控制策略 ............................................................................................................. 12  C.  Stage 2 - Process Qualification ........................................................................................................ 14  C.  第二阶段 - 工艺确认 ................................................................................................................. 14  1.  Design of a Facility and Qualification of Utilities and Equipment ............................................. 14  1.  厂房设施设计以及公用设施与设备确认 ...................................................................... 14  2.  Process Performance Qualification ......................................................................................... 16  2.  工艺性能确认 ...................................................................................................................... 16  3.  PPQ Protocol ........................................................................................................................... 17  3.  工艺性能确认方案 ............................................................................................................. 17  4.  PPQ Protocol Execution and Report ....................................................................................... 19  4.  工艺性能确认执行与 ................................................................................................ 19  D.  Stage 3 - Continued Process Verification ......................................................................................... 20  D.  第三阶段 - 持续工艺验证 ........................................................................................................ 20  V.  CONCURRENT RELEASE OF PPQ BATCHES ....................................................................................... 22  五. 工艺性能确认批次的同时放行 ......................................................................................................... 22  VI.  DOCUMENTATION ................................................................................................................................... 24  六. 文件记录 ................................................................................................................................................. 24  VII. ANALYTICAL METHODOLOGY ............................................................................................................... 24  七. 方法 ................................................................................................................................................. 24  GLOSSARY .................................................................................................................................................... 26  术语表 ........................................................................................................................................................... 26  REFERENCES................................................................................................................................................ 28  参考资料....................................................................................................................................................... 28  ???????????http://www.yaozh.com ?????http://db.yaozh.com 包含不具约束力的建议 中文译稿：北京大学药物信息与工程研究中心 info@cpier.pku.edu.cn 1 Guidance for Industry1 行业指南1 Process Validation: General Principles and Practices 工艺验证：一般原则与实施 This guidance represents the Food and Drug Administration’s (FDA’s) current thinking on this topic. It does not create or confer any rights for or on any person and does not operate to bind FDA or the public. You can use an alternative approach if the approach satisfies the requirements of the applicable statutes and regulations. If you want to discuss an alternative approach, contact the FDA staff responsible for implementing this guidance. If you cannot identify the appropriate FDA staff, call the appropriate number listed on the title page of this guidance. 本指南体现了食品药品管理局（FDA）关于这一主题的最新见解。本指南不为任何人或 对任何人才创造或赋予任何权利，不起束缚 FDA 或公众的作用。如果替代方法能够满足适 用法律、法规的要求，您可以使用替代方法。如果您希望讨论一种替代性方法，请与负责执 行本指南的 FDA 工作人员联系。如果您不能确定相应的 FDA 工作人员，请拨打本指南标题 页所列的相应电话号码。 I. INTRODUCTION 一. 简介 This guidance outlines the general principles and approaches that FDA considers appropriate elements of process validation for the manufacture of human and animal drug and biological products, including active pharmaceutical ingredients (APIs or drug substances), collectively referred to in this guidance as drugs or products. This guidance incorporates principles and approaches that all manufacturers can use to validate manufacturing processes. 本指南概述了 FDA 认为是包括原料药在内的人与动物用药和生物制品（在本指南中合称为 药品或制品）生产工艺验证相应要素的一般原则和方法。该指南收编了所有生产商可用于验 证生产工艺的多种原则和方法。 This guidance aligns process validation activities with a product lifecycle concept and with existing FDA guidance, including the FDA/International Conference on Harmonisation (ICH) guidances for industry, Q8(R2) Pharmaceutical Development, Q9 Quality Risk Management, and Q10 Pharmaceutical Quality System.2 Although this guidance does not repeat the concepts and principles explained in those guidances, FDA encourages the use of modern pharmaceutical development concepts, quality risk management, and quality systems at all stages of the manufacturing process lifecycle. 本指南将工艺验证活动与产品生命周期概念和现有 FDA 指南进行了对齐，包括 FDA/人用药 1 This guidance has been prepared by the Division of Manufacturing and Product Quality, Center for Drug Evaluation and Research (CDER), in cooperation with CDER’s Office of Pharmaceutical Sciences, the Center for Biologics Evaluation and Research (CBER), the Office of Regulatory Affairs (ORA) and the Center for Veterinary Medicine (CVM) at the Food and Drug Administration. 1.本指南由 FDA 制造与产品质量处、药物评价与研究中心（CDER）与 CDER 药物科学办公室、生物制品评 价与研究中心（CBER）、监管事物办公室(ORA)和兽药中心（CVM）合作编制。 ???????????http://www.yaozh.com ?????http://db.yaozh.com 包含不具约束力的建议 中文译稿：北京大学药物信息与工程研究中心 info@cpier.pku.edu.cn 2 品注册技术规范国际协调会议(ICH)行业指南，Q8(R2)《药品开发》、Q9《质量风险管理》和 Q10《药品质量体系》。2 尽管本指南不复述那些指南解释的概念或原则，但 FDA 鼓励在药物 工艺生命周期所有阶段使用现代药物开发概念、质量风险管理和质量体系。 The lifecycle concept links product and process development, qualification of the commercial manufacturing process,3 and maintenance of the process in a state of control during routine commercial production. This guidance supports process improvement and innovation through sound science. 生命周期概念衔接产品和工艺开发、商品化生产工艺确认 3、以及日常商品化制造中处于受 控状态的过程维护。本指南通过可靠的科学为工艺改进和创新提供支持。 This guidance covers the following categories of drugs: • Human drugs • Veterinary drugs • Biological and biotechnology products • Finished products and active pharmaceutical ingredients (APIs or drug substances)4 • The drug constituent of a combination (drug and medical device) product 本指南涵盖下列类别的药物： • 人用药 • 兽用药 • 生物和生物技术制品 • 制剂产品和活性药物成分（原料药或药用物质）4 • 组合产品（药物和医疗器械）的药物组分 This guidance does not cover the following types of products: • Type A medicated articles and medicated feed • Medical devices5 • Dietary supplements • Human tissues intended for transplantation regulated under section 361 of the Public Health Service 2To make sure you have the most recent version of a guidance, check the CDER guidance page at www.fda.gov/Drugs/GuidanceComplianceRegulatoryInformation/Guidances/default.htm, the CBER guidance page at www.fda.gov/BiologicsBloodVaccines/GuidanceComplianceRegulatoryInformation/Guidances/default.htm, or the CVM guidance page at www.fda.gov/AnimalVeterinary/GuidanceComplianceEnforcement/GuidanceforIndustry/default.htm 2.为确保您能得到指南的最新版本，请核对药物评价与研究中心（CDER）网页，网址为： www.fda.gov/Drugs/GuidanceComplianceRegulatoryInformation/Guidances/default.htm,, 生物制品评价与研究中心（CBER）指南网页，网址为： www.fda.gov/BiologicsBloodVaccines/GuidanceComplianceRegulatoryInformation/Guidances/default.htm, 或兽药中心指南网页，网址为： www.fda.gov/AnimalVeterinary/GuidanceComplianceEnforcement/GuidanceforIndustry/default.htm 3 In this guidance, the term commercial manufacturing process refers to the manufacturing process resulting in commercial product (i.e., drug that is marketed, distributed, and sold or intended to be sold). For the purposes of this guidance, the term commercial manufacturing process does not include clinical trial or treatment IND material. 3.本指南中，商品化生产工艺这一专业名词指生产出商品化产品的生产工艺（即用于经销、流通、出售或拟 出售的药品）。就本指南而言，商品化生产工艺这一专业名词不包括临床试验或用于治疗的研究型药物（IND） 材料。 4截止本指南发布之日，单独针对药物组分如有效药用成分(药用物质)和中间体的现行药品生产质量管理规 范尚未公布，但这些组分受《联邦食品、药品和化妆品法》第501节(a)(2)(B) 法定cGMP要求约束。 www.fda.gov/Drugs/GuidanceComplianceRegulatoryInformation/Guidances/default.htm. 《FDA/ICH行业指南 Q7活性药物成分良好生产规范指南（ICH）》对活性药物成分的工艺验证进行了讨论， 可在下述网址获得，www.fda.gov/Drugs/GuidanceComplianceRegulatoryInformation/Guidances/default.htm 。ICH Q7 第 十二部分详细描述了活性药物成分工艺验证的原则。 ???????????http://www.yaozh.com ?????http://db.yaozh.com 包含不具约束力的建议 中文译稿：北京大学药物信息与工程研究中心 info@cpier.pku.edu.cn 3 Act6 本指南不涵盖下列类型产品： • A 类添加药物产品或添加药物饲料 • 医疗器械 5 • 膳食补充剂 • 受《公共卫生服务法》第 361 节监管的拟用于移植的人体组织 6 This guidance does not specify what information should be included as part of a regulatory submission. Interested persons can refer to the appropriate guidance or contact the appropriate Center in determining the type of information to include in a submission. 本指南没有详细说明哪些信息应该包括在监管提交文件部分中。有兴趣的人士可以参考相应 指南或联系相应中心以确定应包括在提交文件中的信息类型。 This guidance also does not specifically discuss the validation of automated process control systems (i.e., computer hardware and software interfaces), which are commonly integrated into modern drug manufacturing equipment. This guidance is relevant, however, to the validation of processes that include automated equipment in processing. 本指南也没有具体讨论自动化工艺控制系统验证（即计算机硬件和软件界面），这些自动化 控制系统通常集成在现代化药物生产设备中。然而，该指南与包括工艺过程自动设备在内的 工艺验证有关。 FDA’s guidance documents, including this guidance, do not establish legally enforceable responsibilities. Instead, guidances describe the Agency’s current thinking on a topic and should be viewed only as recommendations, unless specific regulatory or statutory requirements are cited. The use of the word should in Agency guidances means that something is suggested or recommended, but not required. FDA 的指南文件，包括本指南在内，没有规定依法强制执行责任。相反，除非引述具体的监 管或法规要求，指南描述的是本机构目前对该主题的看法，应该仅仅被视为建议。在本机构 指南中所使用的“应该”一词，指建议或推荐某事，并非必须的。 II. BACKGROUND 二. 背景 In the Federal Register of May 11, 1987 (52 FR 17638), FDA issued a notice announcing the availability of a guidance entitled Guideline on General Principles of Process Validation (the 1987 guidance).7 Since then, we have obtained additional experience through our regulatory oversight that allows us to update our recommendations to industry on this topic. This revised guidance conveys FDA’s current thinking on process validation and is consistent with basic principles first introduced in the 1987 guidance. The revised guidance also provides recommendations that reflect some of the goals of FDA’s initiative entitled “Pharmaceutical 5 Guidance on process validation for medical devices is provided in a separate document, Quality Management Systems – Process Validation, edition 2, available at www.ghtf.org/sg3/sg3-final.html. See infra note 6. 5.医疗仪器工艺验证指南以一个单独文件的形式提供，《质量管理体系工艺验证》，第二版，可在 www.ghtf.org/sg3/sg3-final.html 获得。参见下文中的注释 6。 6 See the FDA guidance for industry, Validation of Procedures for Processing of Human Tissues Intended for Transplantation, available on the Internet at www.fda.gov/BiologicsBloodVaccines/GuidanceComplianceRegulatoryInformation/Guidances/default.htm. 6．参见 FDA 行业指南《拟用作移植的人体组织工艺流程验证》，可从以下网址获得： www.fda.gov/BiologicsBloodVaccines/GuidanceComplianceRegulatoryInformation/Guidances/default.htm ???????????http://www.yaozh.com ?????http://db.yaozh.com 包含不具约束力的建议 中文译稿：北京大学药物信息与工程研究中心 info@cpier.pku.edu.cn 4 CGMPs for the 21st Century ― A Risk-Based Approach,” particularly with regard to the use of technological advances in pharmaceutical manufacturing, as well as implementation of modern risk management and quality system tools and concepts.8 This revised guidance replaces the 1987 guidance. 1987 年 5 月 11 日，FDA 在联邦公告 (52 FR 17638)上发布公告，宣布题为《工艺验证一般原 则指导原则》的指南（1987 年版指南）面世。7 从那时起，通过监管监督，我们能够在此主 题上更新对业界的建议，使我们获得了更多经验。该修订版指南传达了 FDA 目前对工艺验 证的看法，并与 1987 年版指南首次提出的基本原则相一致。修订版指南还提出了一些反映 FDA“21 世纪制药行业现行药品生产管理规范——一种基于风险的方法”计划的若干目标的建 议，特别是关于药品生产中技术进步的应用，以及对现代风险管理和质量体系的工具及概念 的实施。8 该修订版指南取代 1987 年版指南。 FDA has the authority and responsibility to inspect and evaluate process validation performed by manufacturers. The CGMP regulations for validating pharmaceutical (drug) manufacturing require that drug products be produced with a high degree of assurance of meeting all the attributes they are intended to possess (21 CFR 211.100(a) and 211.110(a)). FDA 有权力和责任对由生产商实施的工艺验证进行检查和评估。用于验证制药的 cGMP 法规 要求药品在高度保证符合所有预期拥有属性的情况下生产(《联邦法规 21 编 122.100（a）和 211.110（a）》)。 A. Process Validation and Drug Quality A. 工艺验证与药品质量 Effective process validation contributes significantly to assuring drug quality. The basic principle of quality assurance is that a drug should be produced that is fit for its intended use. This principle incorporates the understanding that the following conditions exist: • Quality, safety, and efficacy are designed or built into the product. • Quality cannot be adequately assured merely by in-process and finished-product inspection or testing. • Each step of a manufacturing process is controlled to assure that the finished product meets all quality attributes including specifications. 有效的工艺验证对保证药品质量做出了重要贡献。质量保证的基本原则在于生产出来的药品 符合其预定用途。该原则包括对存在下列情况的理解： • 质量、安全性和功效被设计或构建于产品之中。 7 The 1987 guidance was prepared by a working group that included representation from the Center for Devices and Radiological Health (CDRH). Since that time, CDRH elected to reference a process validation guidance prepared in cooperation with the Global Harmonization Task Force (GHTF). The principles and recommendations in that document, Quality Management Systems – Process Validation, edition 2 (available on the Internet at www.ghtf.org/sg3/sg3-final.html) are also useful to consider fo