Q7A中英文对照.doc

EC_Q7a

Q7a（中英文对照）
FDA原料药GMP指南

Table of Contents
目录
1. INTRODUCTION
1. 简介
1.1 Objective
1.1目的
1.2 Regulatory Applicability
1.2法规的适用性
1.3 Scope
1.3范围

2. QUALITY MANAGEMENT
2.质量管理
2.1 Principles
2.1总则
2.2 Responsibilities of the Quality Unit(s)
2.2质量部门的责任
2.3 Responsibility for Production Activities
2.3生产作业的职责
2.4 Internal Audits (Self Inspection)
2.4内部审计（自检）
2.5 Product Quality Review
2.5产品质量审核

3. PERSONNEL
3. 人员
3.1 Personnel Qualifications
3.人员的资质
3.2 Personnel Hygiene
3.2 人员卫生
3.3 Consultants
3.3 顾问

4. BUILDINGS AND FACILITIES
4. 建筑和设施
4.1 Design and Construction
4.1 设计和结构
4.2 Utilities
4.2 公用设施
4.3 Water
4.3 水
4.4 Containment
4.4 限制
4.5 Lighting
4.5 照明
4.6 Sewage and Refuse
4.6 排污和垃圾
4.7 Sanitation and Maintenance
4.7 卫生和保养

5. PROCESS EQUIPMENT

5. 工艺设备
5.1 Design and Construction
5.1 设计和结构
5.2 Equipment Maintenance and Cleaning
5.2 设备保养和清洁
5.3 Calibration
5.3 校验
5.4 Computerized Systems
5.4 计算机控制系统

6. DOCUMENTATION AND RECORDS
6. 文件和记录
6.1 Documentation System and Specifications
6.1 文件系统和质量标准
6.2 Equipment cleaning and Use Record
6.2 设备的清洁和使用记录
6.3 Records of Raw Materials, Intermediates, API Labeling and Packaging Materials
6.3 原料、中间体、原料药的标签和包装材料的记录
6.4 Master Production Instructions (Master Production and Control Records)
6.4 生产工艺规程（主生产和控制记录）
6.5 Batch Production Records (Batch Production and Control Records)
6.5 批生产记录（批生产和控制记录）
6.6 Laboratory Control Records
6.6 实验室控制记录
6.7 Batch Production Record Review
6.7批生产记录审核

7. MATERIALS MANAGEMENT
7. 物料管理
7.1 General Controls
7.1 控制通则
7.2 Receipt and Quarantine
7.2接收和待验
7.3 Sampling and Testing of Incoming Production Materials
7.3 进厂物料的取样与测试

7.4 Storage
7.4储存
7.5 Re-evaluation
7.5复验

8. PRODUCTION AND IN-PROCESS CONTROLS
8. 生产和过程控制
8.1 Production Operations
8.1 生产操作
8.2 Time Limits
8.2 时限
8.3 In-process Sampling and Controls
8.3 工序取样和控制
8.4 Blending Batches of Intermediates or APIs
8.4 中间体或原料药的混批
8.5 Contamination Control
8.5 污染控制

9. PACKAGING AND IDENTIFICATION LABELING OF APIs AND INTERMEDIATES
9. 原料药和中间体的包装和贴签
9.1 General
9.1 总则
9.2 Packaging Materials
9.2 包装材料
9.3 Label Issuance and Control
9.3 标签发放与控制
9.4 Packaging and Labeling Operations
9.4 包装和贴签操作

10. STORAGE AND DISTRIBUTION
10.储存和分发
10.1 Warehousing Procedures
10.1 入库程序
10.2 Distribution Procedures
10.2 分发程序

11. LABORATORY CONTROLS
11.实验室控制
11.1 General Controls
11.1 控制通则
11.2 Testing of Intermediates and APIs
11.2 中间体和原料药的测试
11.3 Validation of Analytical Procedures
11.3 分析方法的验证
11.4 Certificates of Analysis
11.4 分析报告单
11.5 Stability Monitoring of APIs
11.5 原料药的稳定性监测
11.6 Expiry and Retest Dating
11.6 有效期和复验期
11.7 Reserve/Retention Samples
11.7 留样

12. VALIDATION
12.验证
12.1 Validation Policy
12.1 验证方针
12.2 Validation Documentation
12.2 验证文件
12.3 Qualification
12.3 确认
12.4 Approaches to Process Validation
12.4 工艺验证的方法
12.5 Process Validation Program
12.5 工艺验证的程序
12.6 Periodic Review of Validated Systems
12.6验证系统的定期审核
12.7 Cleaning Validation
12.7 清洗验证
12.8 Validation of Analytical Methods
12.8 分析方法的验证

13. CHANGE CONTROL
13.变更的控制

14. REJECTION AND RE-USE OF MATERIALS
14.拒收和物料的再利用
14.1 Rejection
14.1 拒收
14.2 Reprocessing
14.2 返工
14.3 Reworking
14.3 重新加工
14.4 Recovery of Materials and Solvents
14.4 物料与溶剂的回收
14.5 Returns
14.5 退货

15. COMPLAINTS AND RECALLS
15.投诉与召回

16. CONTRACT MANUFACTURERS (INCLUDING LABORATORIES)
16.协议生产商（包括实验室）

17. AGENTS, BROKERS, TRADERS, DISTRIBUTORS, REPACKERS, AND RELABELLERS
17.代理商、经纪人、贸易商、经销商、重新包装者和重新贴签者
17.1 Applicability
17.1适用性
17.2 Traceability of Distributed APIs and Intermediates
17.2已分发的原料药和中间体的可追溯性
17.3 Quality Management
17.3质量管理
17.4 Repackaging, Relabeling, and Holding of APIs and Intermediates
17.4原料药和中间体的重新包装、重新贴签和待检
17.5 Stability
17.5稳定性
17.6 Transfer of Information
17.6 信息的传达
17.7 Handling of Complaints and Recalls
17.7 投诉和召回的处理
17.8 Handling of Returns
17.8 退货的处理

18. Specific Guidance for APIs Manufactured by Cell Culture/Fermentation
18. 用细胞繁殖/发酵生产的原料药的特殊指南
18.1 General
18.1 总则
18.2 Cell Bank Maintenance and Record Keeping
18.2细胞库的维护和记录的保存
18.3 Cell Culture/Fermentation
18.3细胞繁殖/发酵
18.4 Harvesting, Isolation and Purification
18.4收取、分离和精制
18.5 Viral Removal/Inactivation steps
18.5 病毒的去除/灭活步骤

19. APIs for Use in Clinical Trials
19. 用于临床研究的原料药
19.1 General
19.1 总则
19.2 Quality
19.2 质量
19.3 Equipment and Facilities
19.3 设备和设施
19.4 Control of Raw Materials
19.4 原料的控制
19.5 Production
19.5 生产
19.6 Validation
19.6 验证
19.7 Changes
19.7 变更
19.8 Laboratory Controls
19.8 实验室控制
19.9 Documentation
19.9 文件

20. Glossary
20. 术语

Q7a GMP Guidance for APIs
Q7a原料药的GMP指南

1. INTRODUCTION
1. 简介
1.1 Objective
1.1目的
This document is intended to provide guidance regarding good manufacturing practice (GMP) for the manufacturing of active pharmaceutical ingredients (APIs) under an appropriate system for managing quality. It is also intended to help ensure that APIs meet the quality and purity characteristics that they purport, or are represented, to possess.
本文件旨在为在合适的质量管理体系下制造活性药用成分（以下称原料药）提供有关优良药品生产管理规范（GMP）提供指南。它也着眼于帮助确保原料药符合其旨在达到或表明拥有的质量与纯度要求。

In this guidance, the term manufacturing is defined to include all operations of receipt of materials, production, packaging, repackaging, labeling, relabeling, quality control, release, storage and distribution of APIs and the related controls. In this guidance, the term should identifies recommendations that, when followed, will ensure compliance with CGMPs. An alternative approach may be used if such approach satisfies the requirements of the applicable statues. For the purposes of this guidance, the terms current good manufacturing practices and good manufacturing practices are equivalent.
本指南中所指的“制造”包括物料接收、生产、包装、重新包装、贴签、重新贴签、质量控制、放行、原料药的储存和分发及其相关控制的所有操作。本指南中，“应当”一词表示希望采用的建议，除非证明其不适用或者可用一种已证明有同等或更高质量保证水平的供选物来替代。本指南中的“现行优良生产管理规范（cGMP）”和“优良生产管理规范（GMP）”是等同的。

The guidance as a whole does not cover safety aspects for the personnel engaged in manufacturing, nor aspects related to protecting the environment. These controls are inherent responsibilities of the manufacturer and are governed by national laws.
本指南在总体上未涉及生产人员的安全问题，亦不包括环保方面的内容。这方面的管理是生产者固有的责任，也是国家法律规定的。

This guidance is not intended to define registration and/or filing requirements or modify pharmacopoeial requirements. This guidance does not affect the ability of the responsible regulatory agency to establish specific registration/filing requirements regarding APIs within the context of marketing/manufacturing authorizations or drug applications. All commitments in registration/filing documents should be met.
本指南未规定注册/归档的要求、或修改药典的要求。本指南不影响负责药政审理部门在原料药上市/制造授权或药品申请方面建立特定注册/归档要求的能力。注册/归档的所有承诺必须做到。

1.2 Regulatory Applicability
1.2法规的适用性
Within the world community, materials may vary as to their legal classification as an API. When a material is classified as an API in the region or country in which it is manufactured or used in a drug product, it should be manufactured according to this guidance.
在世界范围内对原料药的法定定义是各不相同的。当某种物料在其制造或用于药品的地区或国家被称为原料药，就应该按照本指南进行生产。

1.3 Scope
1.3范围
This guidance applies to the manufacture of APIs for use in human drug (medicinal) products. It applies to the manufacture of sterile APIs only up to the point immediately prior to the APIs being rendered sterile. The sterilization and aseptic processing of sterile APIs are not covered by this guidance, but should be performed in accordance with GMP guidances for drug (medicinal) products as defined by local authorities.
本文件适用于人用药品医疗用品）所含原料药的生产。它适用于无菌原料药在灭菌前的步骤。本指南不包括无菌原料药的消毒和灭菌工艺，但是，应当符合地方当局所规定的药品（医疗用品）生产的GMP指南。

This guidance covers APIs that are manufactured by chemical synthesis, extraction, cell culture/fermentation, recovery from natural sources, or any combination of these processes. Specific guidance for APIs manufactured by cell culture/fermentation is described in Section 18.
本文件适用于通过化学合成、提取、细胞培养/发酵，通过从自然资源回收，或通过这些工艺的结合而得到的原料药。通过细胞培养/发酵生产的原料药的特殊指南则在第18章论述。

This guidance excludes all vaccines, whole cells, whole blood and plasma, blood and plasma derivatives (plasma fractionation), and gene therapy APIs. However, it does include APIs that are produced using blood or plasma as raw materials. Note that cell substrates (mammalian, plant, insect or microbial cells, tissue or animal sources including transgenic animals) and early process steps may be subject to GMP but are not covered by this guidance. In addition, the guidance does not apply to medical gases, bulk-packaged drug (medicinal) products (e.g., tablets or capsules in bulk containers), or radiopharmaceuticals.
本指南不包括所有疫苗、完整细胞、全血和血浆、全血和血浆的衍生物（血浆成分）和基因治疗的原料药。但是却包括以血或血浆为原材料生产的原料药。值得注意的是细胞培养基（哺乳动物、植物、昆虫或微生物的细胞、组织或动物源包括转基因动物）和前期生产可能应遵循GMP规范，但不包括在本指南之内。另外，本指南不适用于医用气体、散装的制剂药（例如，散装的片剂和胶囊）和放射性药物的生产。

Section 19 contains guidance that only applies to the manufacture of APIs used in the production of drug (medicinal) products specifically for clinical trials (investigational medicinal products).
第19章的指南只适用于用在药品（医疗用品）生产中的原料药制造，特别是临床实验用药（研究用医疗产品）的原料药制造。

An API starting material is a raw material, an intermediate, or an API that is used in the production of an API and that is incorporated as a significant structural fragment into the structure of the API. An API starting material can be an article of commerce, a material purchased from one or more suppliers under contract or commercial agreement, or produced in-house. API starting materials normally have defined chemical properties and structure.
“原料药的起始物料”是指一种原料、中间体或原料药，用来生产一种原料药，或者以主要结构单元的形式被结合进原料药结构中。原料药的起始物料可能是在市场上有售、能够通过合同或商业协议从一个或多个供应商处购得，或由生产厂家自制。原料药的起始物料一般来说有特定的化学特性和结构。

The company should designate and document the rationale for the point at which production of the API begins. For synthetic processes, this is known as the point at which API starting materials are entered into the process. For other processes (e.g., fermentation, extraction, purification), this rationale should be established on a case-by-case basis. Table 1 gives guidance on the point at which the API starting material is normally introduced into the process.
生产厂商要指定并用书面文件说明原料药的生产从何处开始的理论依据。对于合成工艺而言，就是“原料药的起始物料”进入工艺的那一点。对其他工艺（如：发酵，提取，纯化等）可能需要具体问题具体对待。表1给出了原料药的起始物料从哪一点引入工艺过程的指导原则。

From this point on, appropriate GMP as defined in this guidance should be applied to these intermediate and/or API manufacturing steps. This would include the validation of critical process steps determined to impact the quality of the API. However, it should be noted that the fact that a company chooses to validate a process step does not necessarily define that steps as critical.
从这步开始，本指南中的有关GMP规范应当应用在这些中间体和/或原料药的制造中。这包括对原料药质量有影响的关键工艺步骤的验证。但是，值得注意的是厂商选择某一步骤进行验证，并不一定将该步骤定为关键步骤。

The guidance in this document would normally be applied to the steps shown in gray in Table 1 However, all steps shown may not be completed. The stringency of GMP in API manufacturing should increase as the process proceeds from early API steps to final steps, purification, and packaging. Physical processing of APIs, such as granulation, coating or physical manipulation of particle size (eg., milling, micronizing) should be conducted according to this guidance.
本文件的指南通常适用于表1中的灰色步骤。但在表中体现的所有步骤并不是将应用GMP管理的所有步骤全部体现出来了。原料药生产中的GMP要求应当随着工艺的进行，从原料药的前几步到最后几步，精制和包装，越来越严格。原料药的物理加工，如制粒、包衣或颗粒度的物理处理（例如制粉、微粉化）应当按本指南的标准进行。

This GMP guidance does not apply to steps prior to the introduction of the defined API starting material.
本GMP指南不适用于引入定义了的“原料药的起始物料”以前的步骤。

Table 1: Application of this Guidance to API Manufacturing
Type of Manufacturing
Application of this guidance to steps (shown in gray) used in this type of manufacturing
Chemical manufacturing
Production of the API Starting material
Introduction of the API starting material into process
Production of Intermediate(s)
Isolation and purification
Physical processing, and packaging
API derived from animal sources
Collection of organ, fluid, or tissue
Cutting, mixing, and/or initial processing
Introduction of the API starting material into process
Isolation and purification
Physical processing, and packaging
API extracted from plant sources
Collection of plant
Cutting and initial extraction(s)
Introduction of the API starting material into process
Isolation and purification
Physical processing, and packaging
Herbal extracts used as API
Collection of plants
Cutting and initial extraction

Further extraction
Physical processing, and packaging
API consisting of comminuted or powdered herbs
Collection of plants and/or cultivation and harvesting
Cutting/comminuting

Physical processing, and packaging
Biotechnology: fermentation/cell culture
Establishment of master cell bank and working cell bank
Maintenance of working cell bank
Cell culture and/or fermentation
Isolation and purification
Physical processing, and packaging
“Classical” fermentation to produce an API
Establishment of cell bank
Maintenance of the cell bank
Introduction of the cells into fermentation
Isolation and purification
Physical processing, and packaging

Increasing GMP requirements

表 1: 本指南在原料药生产中的应用
生产类型
本指南在用于各类生产的工艺步骤（灰色背景）中的应用
化学品的生产
原料药起始物料的生产
原料药起始物料引入工艺过程
中间体的生产
分离和纯化
物理加工和包装
动物源原料药
器官、分泌物或组织的收集
切割、混合和/或初步加工
原料药起始物料引入工艺过程
分离和纯化
物理加工和包装
从植物源提取的原料药
植物的收集
切割和初步提取
原料药起始物料引入工艺过程
分离和纯化
物理加工和包装
草药提取物用作原料药
植物的收集
切割和初步提取

进一步提取
物理加工和包装
由粉碎的或粉末状草药组成的原料药
植物的收集和/或培养和收获
切割/粉碎

物理加工和包装
生物技术：发酵/细胞培养
主细胞库和工作细胞库的建立
工作细胞库的维护
细胞培养和/或发酵
分离和纯化
物理加工和包装
“经典” 发酵生产原料药
细胞库的建立
细胞库的维护
细胞引入发酵
分离和纯化
物理加工和包装
GMP的要求增加

2. QUALITY MANAGEMENT
2．质量管理
2.1 Principles
2.1总则
2.10 Quality should be the responsibilities of all persons involved in manufacturing.
2.10 参与原料药生产的每一个人都应当对质量负责。

2.11 Each manufacturer should establish, document, and implement an effective system for managing quality that involves the active participation of management and appropriate manufacturing personnel.
2.11 每一个生产商都应当建立并执行一套有管理人员和有关员工积极参与的有效的质量管理体系，并使其文件化。

2.12 The system for managing quality should encompass the organizational structure, procedures process and resources, as well as activities to ensure confidence that the API will meet its intended specifications for quality and purity. All quality-related activities should be defined and documented.
2.12 质量管理体系应当包括组织机构、规程、工艺和资源，以及确保原料药会符合其预期的质量与纯度要求所必需的活动。所有涉及质量管理的活动都应当明确规定，并使其文件化。

2.13 There should be a quality unit(s) that is independent of production and that fulfills both quality assurance (QA) and quality control (QC) responsibilities. The quality unit can be in the form of separate QA and QC units or a single individual or group, depending upon the size and structure of th