ich-Q10 中英

ich-Q10  中英
ich-Q10  中英

P HARMACEUTICAL Q UALITY

S YSTEM Q10

制药质量体系Q10

Current Step 4 version dated 4 June 2008 当前版本,2008年6月4日,第4步TABLE OF CONTENTS目录

1. PHARMACEUTICAL QUALITY SYSTEM1.制药质量体系

1.1 Introduction 1.1绪论

1.2 Scope 1.2范围

1.3 R elationship of ICH Q10 to Regional GMP Requirements, ISO Standards and ICH Q7. 1.3ICHQ10与地方GMP要求,ISO标准与ICHQ7之间的关系

1.4 Relationship of ICH Q10 to Regulatory

Approaches

1.4ICHQ10与法规方法间的关系

1.5 ICH Q10 Objectives 1.5ICHQ10目的

1.5.1 Achieve Product Realization 1.5.1产品实现

1.5.2 Establish and Maintain a State of Control 1.5.2控制状态的建立和实现

1.5.3 Facilitate Continual Improvement 1.5.3 持续改进

1.6 Enablers: Knowledge Management and Quality

Risk Management

1.6支持者:知识管理和质量风险管理1.6.1 Knowledge Management 1.6.1知识管理

1.6.2 Quality Risk Management 1.6.2质量风险管理

1.7 Design and Content Considerations 1.7设计和内容方面的考虑

1.8 Quality Manual 1.8质量手册

2. MANAGEMENT RESPONSIBILITY2.管理职责

2.1 Management Commitment 2.1管理承诺

2.2 Quality Policy 2.2质量方针

2.3 Quality Planning 2.3质量策划

2.4 Resource Management 2.4资源管理

2.5 Internal Communication 2.5内部沟通

2.6 Management Review 2.6管理评审

2.7 Management of Outsourced Activities and

Purchased Materials

2.7外包活动和物料采购的管理

2.8 Management of Change in Product Ownership 2.8产品所有权变更管理

3. CONTINUAL IMPROVEMENT OF

PROCESS PERFORMANCE AND PRODUCT

QUALITY

3.工艺性能和产品质量的持续改进

3.1 L ifecycle Stage Goals 3.1生命周期阶段目标

3.1.1 Pharmaceutical Development 3.1.1物料研发

3.1.2 Technology Transfer 3.1.2技术转移

3.1.3 Commercial Manufacturing 3.1.3商业化生产

3.1.4 Product Discontinuation 3.1.4产品终止

3.2 Pharmaceutical Quality System Elements 3.2制药质量体系原理

3.2.1 Process Performance and Product Quality

Monitoring System

3.2.1工艺性能和产品质量监控体系

3.2.2 Corrective Action and Preventive Action

(CAPA) System

3.2.2纠正预防体系

3.2.3 Change Management System 3.2.3变更管理体系

3.2.4 Management Review of Process

Performance and Product Quality

3.2.4工艺性能和产品质量的管理评审

4. CONTINUAL IMPROVEMENT OF THE

PHARMACEUTICAL QUALITY SYSTEM

4.制药质量体系的持续改进

4.1 M anagement Review of the Pharmaceutical

Quality System

4.1制药质量体系的管理评审

4.2 Monitoring of Internal and External Factors

Impacting the Pharmaceutical Quality System

4.2制药质量体系的内外部影响因素的监控

4.3 O utcomes of Management Review and

Monitoring

4.3管理评审和监控成果

5. GLOSSARY5.术语

Annex 1:Potential Opportunities to Enhance Science and Risk Based Regulatory Approaches 附件1:基于法规方法对科学和风险进行改进的潜在机会

Annex 2:Diagram of the ICH Q10 Pharmaceutical

Quality System Model

附件2:ICH Q10 制药质量体系模型图

P HARMACEUTICAL Q UALITY S YSTEM制药质量体系

1. PHARMACEUTICAL QUALITY SYSTEM1.制药质量体系1.1 Introduction 1.1绪论

This document establishes a new ICH tripartite guideline describing a model for an effective quality management system for the pharmaceutical industry, referred to as the Pharmaceutical Quality System. Throughout this guideline, the term “pharmaceutical quality system” re fers to the ICH Q10 model.本文确立了新的ICH三方指南,叙述了制药工业有效质量管理体系的一个模型,被称之为制药质量体系。在这个指南中,术语“制药质量体系”是指ICH Q10模型。

ICH Q10 describes one comprehensive model for an effective pharmaceutical quality system that is based on International Standards Organisation (ISO) quality concepts, includes applicable Good Manufacturing Practice (GMP) regulations and complements ICH Q8 “Pharmaceutical Development” and ICH Q9 “Quality Risk Management”. ICH Q10 is a model for a pharmaceutical quality system that can be implemented throughout the different stages of a product lifecycle. Much of the content of ICH Q10 applicable to manufacturing sites is currently specified by regional GMP requirements. ICH Q10 is not intended to create any new expectations beyond current regulatory requirements. Consequently, the content of ICH Q10 that is additional to current regional GMP requirements is optional.ICHQ10叙述了基于ISO质量概念的有效的制药管理体系的综合模型,包括了适用的GMP法规,并与ICH Q8(药物研发)和ICH Q9(质量风险管理)相辅相成。ICH Q10这一制药质量体系模型是可以应用于产品生命周期的各个阶段的。ICH Q10目的不在于创立超越现行法规要求的新期望。因此,ICH Q10中多于现行的各地的GMP要求的内容是可选的。

ICH Q10 demonstrates industry and regulatory authorities’ support of an effective pharmaceutical quality system to enhance the quality and availability of medicines around the world in the interest of public health. Implementation of ICH Q10 throughout the product lifecycle should facilitate innovation and continual improvement and strengthen the link between pharmaceutical development and manufacturing activities. ICH Q10论述了行业和药政管理机构为了公众健康而对有效制药质量体系的支持以提高世界范围内药品的质量和获得性。在整个产品生命周期内实施了ICH Q10有助于创新和持续改进,并加强了药物研发和生产活动间的联系。

1.2 Scope1.2范围

This guideline applies to the systems supporting the development and manufacture of pharmaceutical drug substances (i.e., API) and drug products, including biotechnology and biological products, throughout the product lifecycle 本指南适用于药用物质(API)和制剂的研发和生产系统,包括生物技术和生物产品的整个产品生命周期。

The elements of ICH Q10 should be applied in a manner that is appropriate and proportionate to each of the product lifecycle stages, recognising the differences among, and the different goals of each stage (see Section 3). ICH Q10要素的应用需与产品生命周期的各个阶段相适应,应认识到和个阶段目标的差异(见第3节)。

For the purposes of this guideline, the product lifecycle includes the following technical activities for new and existing products: 本指南中,新老产品的产品生命周期包括如下的技术活动:

Pharmaceutical Development:

●Drug substance development;

●Formulation development (including

container/closure system);

●Manufacture of investigational products;

●Delivery system development (where relevant);

●Manufacturing process development and scale-up;

●Analytical method development. 药物研发:

●药用物质的研发

●配方研发(包括容器/密闭系统)●研究用产品的生产

●给药系统研发(如相关的话)

●生产工艺开发和放大

●分析方法开发

Technology Transfer:

●New product transfers during Development through Manufacturing;

●Transfers within or between manufacturing and testing sites for marketed products.

技术转移

●新产品从研发转移至生产

●市售产品生产和检测地点内部或之间转移

Commercial Manufacturing:

●Acquisition and control of materials;

●Provision of facilities, utilities, and equipment;

●Production (including packaging and labelling);

●Quality control and assurance;

●Release;

●Storage;

●Distribution (excluding wholesaler activities). 商业化生产

●原料的获得和控制

●厂房,公用设施和设备的准备●生产(包括包装和贴签)

●质量控制和保证

●放行

●储存

●发放(不包括批发商活动)

Product Discontinuation:

●Retention of documentation;

●Sample retention;

●Continued product assessment and reporting. 产品终止

●文件保留

●留样

●产品持续评估和报告

1.3 Relationship of ICH Q10 to Regional GMP

Requirements, ISO Standards and ICH Q7 1.3 ICH Q10与地区GMP要求,ISO标准及ICH Q7之间的关系

Regional GMP requirements, the ICH Q7 Guideline, “Good Manufacturing Practice Guide for Active Pharmaceutical Ingredients”, and ISO quality management system guidelines form the foundation for ICH Q10. To meet the objectives described below, ICH Q10 augments GMPs by describing specific quality system elements and management responsibilities. ICH Q10 provides a harmonised model for a pharmaceutical 地区GMP要求,ICH Q7及ISO质量管理体系是是ICH Q10的基础。为了满足下述目的,ICH Q10通过叙述具体的质量体系要素和管理职责加强了GMP。ICHQ10为产品生命周期的制药质量体系提供了一致的模型并预期与地区的GMP要求一同使用。

quality system throughout the lifecycle of a product and is intended to be used together with regional GMP requirements.

The regional GMPs do not explicitly address all stages of the product lifecycle (e.g., Development). The quality system elements and management responsibilities described in this guideline are intended to encourage the use of science and risk based approaches at each lifecycle stage, thereby promoting continual improvement across the entire product lifecycle. 地区的GMP没有明确列出产品生命周期的所有阶段(如,研发)。此指南描述的质量体系基础和管理职责用于鼓励在每个生命周期阶段使用科学和风险管理方法,因而在全部的产品生命周期中促进持续改进。

1.4 Relationship of ICH Q10 to Regulatory

Approaches

1.4 ICH Q10和法规方法的关系

Regulatory approaches for a specific product or manufacturing facility should be commensurate with the level of product and process understanding, the results of quality risk management, and the effectiveness of the pharmaceutical quality system. When implemented, the effectiveness of the pharmaceutical quality system can normally be evaluated during a regulatory inspection at the manufacturing site. Potential opportunities to enhance science and risk based regulatory approaches are identified in Annex 1. Regulatory processes will be determined by region. 特定产品或生产车间的法规方法应与产品和工艺的理解水平,质量风险管理结果和制药质量体系效果相对应。一旦实施,制药质量体系的有效性一般会在生产现场的官方审计过程中得到评价。基于法规方法对科学和风险进行改进的潜在机会如附件1所示。法规程序由各地区确定。

1.5 ICH Q10 Objectives 1.5 ICH Q10目的

Implementation of the Q10 model should result in achievement of three main objectives which complement or enhance regional GMP requirements. Q10模型的执行应该导致三个主要目标的完成,补充或提升地区GMP要求。

1.5.1 Achieve Product Realisation 1.5.1 获得产品实现

To establish, implement and maintain a system that allows the delivery of products with the quality attributes appropriate to meet the needs of patients, health care professionals, regulatory authorities (including compliance with approved regulatory filings) and other internal and external customers. 建立,实施和维护一体系以允许产品的交付合适地满足患者,保健专业人员,药政机构(包括符合批准的法规)和其它内部和外部的顾客。

1.5.2 Establish and Maintain a State of Control 1.5.2控制状态的建立和实现

To develop and use effective monitoring and control systems for process performance and product quality, thereby providing assurance of continued suitability and capability of processes. Quality risk management can be useful in identifying the monitoring and control systems. 开发和使用工艺性能和产品质量的有效监控和控制体系,以此为工艺持续适宜性和性能提供保证。质量风险管理有助于监控和控制体系的确定。

1.5.3 Facilitate Continual Improvement 1.5.3 有助于持续改进

To identify and implement appropriate product quality improvements, process improvements, variability reduction, innovations and pharmaceutical quality system enhancements, thereby increasing the ability to fulfil quality needs consistently. Quality risk management can be useful for identifying and prioritising areas for continual improvement. 确定和实施适宜的产品质量改进,工艺改进,变动减少,创新和制药质量体系改进,以此提高持续满足需求的能力。质量风险管理有助于改进领域的确定和优先排序。

1.6 Enablers: Knowledge Management and Quality

Risk Management

1.6支持者:知识管理和质量风险管理

Use of knowledge management and quality risk management will enable a company to implement ICH Q10 effectively and successfully. These enablers will facilitate achievement of the objectives described in Section 1.5 above by providing the means for science and risk based decisions related to product quality. 知识管理和质量风险管理的使用将使公司有效并顺利地执行ICH Q10。它们有助于实现上述1.5章节所述的目的,为与产品质量相关的基于科学和风险的决定提供方法。

1.6.1 Knowledge Management 1.6.1知识管理

Product and process knowledge should be managed from development through the commercial life of the product up to and including product discontinuation. For example, development activities using scientific approaches provide knowledge for product and process understanding. Knowledge management is a systematic approach to acquiring, analysing, storing and disseminating information related to products, manufacturing processes and components. Sources of knowledge include, but are not limited to prior knowledge (public domain or internally documented); pharmaceutical development studies; technology transfer activities; process validation studies over the product lifecycle; manufacturing experience; innovation; continual improvement; and change management activities. 产品和工艺知识管理应从开发一直到产品的商业生命,并包括产品终止。比如,研发活动通过科学的方法为产品和工艺理解提供知识。知识管理是获得,分析,保存和公布产品制造,工艺和组分相关信息的系统方法。知识来源包括,但不限于,先前知识(公共领域或内部文件),药物开发研究,技术转移活动,产品生命周期内的工艺验证,生产经验,持续改进和变更管理活动。

1.6.2 Quality Risk Management 1.6.2质量风险管理

Quality risk management is integral to an effective pharmaceutical quality system. It can provide a proactive approach to identifying, scientifically evaluating and controlling potential risks to quality. It facilitates continual improvement of process performance and product quality throughout the product lifecycle. ICH Q9 provides principles and examples of tools for quality risk management that can be applied to different aspects of pharmaceutical quality. 质量风险管理是有效的制药质量体系的不可分割的部分。它能提供确定,科学评价和控制潜在质量风险的前摄性方法。它有助于产品生命周期内工艺性能和产品质量的持续改进。ICH Q9提供了用于制药质量不同方面的质量风险管理工具的原则和例子。

1.7 Design and Content Considerations 1.7设计和内容方面的考虑点

(a) The design, organisation and documentation of the pharmaceutical quality system should be well structured and clear to facilitate common understanding and consistent application. (a)制药质量体系的设计,组织和文件应清晰,并有良好的结构,能有助于共识和持续应用。

(b) The elements of ICH Q10 should be applied in a manner that is appropriate and proportionate to each of the product lifecycle stages, recognising the different goals and knowledge available for each stage. (b)ICH Q10要素的应用需与产品生命周期的各个阶段相适应,应认识到各个阶段的不同目标和有用的知识。

(c) The size and complexity of the company’s activities should be taken into consideration when developing a new pharmaceutical quality system or modifying an existing one. The design of the pharmaceutical quality system should incorporate appropriate risk management principles. While some aspects of the pharmaceutical quality system can be company-wide and others site-specific, the effectiveness of the pharmaceutical quality system is normally demonstrated at the site level.(c)在开发新的制药质量体系或对现有体系进行改进时,应考虑到公司活动的规模和复杂性。制药质量体系的设计应适当地与风险管理原则相结合。当制药质量体系的有些方面是公司范围的而其它的是场地特定的,则制药质量体系效果一般来说应在场地这个水平上进行阐述。

(d) The pharmaceutical quality system should include appropriate processes, resources and responsibilities to provide assurance of the quality of outsourced activities and purchased materials as described in Section 2.7. (d)制药质量体系应包括适当的工艺,资源和职责,按2.7章节描述的为外包活动和采购物料提供质量保证。

(e) Management responsibilities, as described in Section 2, should be identified within the pharmaceutical quality system. (e)制药质量体系中应确定第2章节中所叙述的管理职责。

(f) The pharmaceutical quality system should include the following elements, as described in Section 3: process performance and product quality monitoring, corrective and preventive action, change management and management review. (f)制药质量体系应包括第3章节所述的如下要素:工艺性能和产品质量监控,纠正和预防措施,变更管理和管理评审。

(g) Performance indicators, as described in Section 4, should be identified and used to monitor the effectiveness of processes within the pharmaceutical (g) 应当确认第4章节描述的性能指标,并用于监控制药质量体系内程序的有效性。

quality system.

1.8 Quality Manual 1.8质量手册

A Quality Manual or equivalent documentation approach should be established and should contain the description of the pharmaceutical quality system. The description should include: 应建立质量手册或相当的文件,质量手册应包括制药质量体系的叙述。叙述应包括

(a) The quality policy (see Section 2); (a)质量方针(见章节2)

(b) The scope of the pharmaceutical quality system; (b)制药质量体系的范围

(c) Identification of the pharmaceutical quality system processes, as well as their sequences, linkages and interdependencies. Process maps and flow charts can be useful tools to facilitate depicting pharmaceutical quality system processes in a visual manner; (c)确定制药质量体系的程序,以及它们的顺序,联系和相互依赖性。流程图是有用的工具,能形象地描述制药质量体系的程序。

(d) Management responsibilities within the

pharmaceutical quality system (see Section 2).

(d)本文章节2中叙述制药质量体系管理职责。

2. MANAGEMENT RESPONSIBILITY 2.管理职责

Leadership is essential to establish and maintain a company-wide commitment to quality and for the performance of the pharmaceutical quality system. 领导力对于建立和维护公司范围内的质量承诺及制药质量体系的施行是必要的。

2.1 Management Commitment 2.1管理承诺

(a) Senior management has the ultimate responsibility to ensure an effective pharmaceutical quality system is in place to achieve the quality objectives, and that roles, responsibilities, and authorities are defined, communicated and implemented throughout the company. (a)最高领导对有效制药质量体系的运行负最终责任,以完成质量目标,这些作用,职责和权力应在整个公司内确定,沟通和执行。

(b) Management should: (b)管理应当:

(1) Participate in the design, implementation, monitoring and maintenance of an effective pharmaceutical quality system; (1)参与有效制药质量体系的设计,实施,监控和维护

(2) Demonstrate strong and visible support for the pharmaceutical quality system and ensure its implementation throughout their organisation; (2)给予支持制药质量体系以强力可见的支持,并确保其在整个组织内的执行

(3) Ensure a timely and effective communication and escalation process exists to raise quality issues to the appropriate levels of management; (3)确保有及时有效的沟通和上报流程,能将质量问题呈报到适宜的管理级别。

(4) Define individual and collective roles, responsibilities, authorities and inter-relationships of all organisational units related to the pharmaceutical quality system. Ensure these interactions are communicated and understood at all levels of the organisation. An independent quality unit/structure with authority to fulfil certain pharmaceutical quality system responsibilities is required by regional regulations; (4)确定个人与集体作用,职责,权力和与制药质量体系相关的所有组织单元的相互关系。确保这些相互关系在组织的各个层次内得到了确立和理解。地区法规要求需要有一个独立的质量单元/结构,能有权利履行一定的制药质量体系职责。

(5) Conduct management reviews of process performance and product quality and of the pharmaceutical quality system; (5)进行流程性能和产品质量的管理评审,及制药质量体系的管理评审。

(6) Advocate continual improvement; (6)支持持续改进

(7) Commit appropriate resources. (7)调拨合适的资源2.2 Quality Policy 2.2质量方针

(a) Senior management should establish a quality policy that describes the overall intentions and direction of the company related to quality. (a)最高领导应建立质量方针,质量方针应叙述公司质量相关的整体意愿和方向

(b) The quality policy should include an expectation to comply with applicable regulatory requirements and should facilitate continual improvement of the pharmaceutical quality system.(b)质量方针应包括符合可行法规要求的期望,并应用助于制药质量体系的持续改进

(c) The quality policy should be communicated to and understood by personnel at all levels in the company. (c)质量方针应被公司内所有层次的人员沟通理解

(d) The quality policy should be reviewed

periodically for continuing effectiveness.

(d)质量方针应定期回顾以得到持续的效果

2.3 Quality Planning 2.3质量策划

(a) Senior management should ensure the quality objectives needed to implement the quality policy are defined and communicated. (a)最高管理应当保证执行质量方针所需的质量目标的确定和沟通

(b) Quality objectives should be supported by all

relevant levels of the company.

(b)质量目标应得到公司所有相关层次的支持

(c) Quality objectives should align with the company’s strategies and be consistent with the quality policy. (c)质量目标应与公司的战略相结合,并与质量方针相一致

(d) Management should provide the appropriate resources and training to achieve the quality objectives. (d)管理层应当提供适宜的资源和培训以达到质量目标

(e) Performance indicators that measure progress against quality objectives should be established, monitored, communicated regularly and acted upon as appropriate as described in Section 4.1 of this document. (e)根据质量目标衡量进程的性能指标应当要被建立,监控,定期沟通并起到适宜的如4 .1章节所述的作用。

2.4 Resource Management 2.4资源管理

(a) Management should determine and provide adequate and appropriate resources (human, financial, materials, facilities and equipment) to implement and maintain the pharmaceutical quality system and continually improve its effectiveness. (a)管理层应当确定和提供充足的合适资源(人员,资源,物质,设施和设备)以实施和维持制药质量体系,并能质疑地提高其效力。

(b) Management should ensure that resources are appropriately applied to a specific product, process or site. (b)管理层应当确保能源被适宜地应用于特定的产品,工艺或场地。

2.5 Internal Communication 2.5内部沟通

(a) Management should ensure appropriate communication processes are established and implemented within the organisation. (a)管理层应当确保并在组织内建立并实施了适宜的沟通流程。

(b) Communications processes should ensure the flow of appropriate information between all levels of the company. (b)沟通流程应确保公司内所有层次间的适宜信息流

(c) Communication processes should ensure the appropriate and timely escalation of certain product quality and pharmaceutical quality system issues. (c)沟通流程应确保产品质量和质量体系问题能及时并适当地上报。

2.6 Management Review 2.6管理评审

(a) Senior management should be responsible for pharmaceutical quality system governance through management review to ensure its continuing suitability and effectiveness. (a)最高管理者应当通过管理评审来负责制药质量体系控制,以保证其持续适宜性和有效性。

(b) Management should assess the conclusions of periodic reviews of process performance and product quality and of the pharmaceutical quality system, as described in Sections 3 and 4. (b)管理层应当评估流程性能和产品质量定期回顾的结论,及制药质量体系定期回顾的结论,如第3和4章节所述。

2.7 Management of Outsourced Activities and

Purchased Materials

2.7外包活动和采购物料的管理

The pharmaceutical quality system, including the management responsibilities described in this section, extends to the control and review of any outsourced activities and quality of purchased materials. The pharmaceutical company is ultimately responsible to ensure processes are in place to assure the control of outsourced activities and quality of purchased materials. These processes should incorporate quality risk management and include: 制药质量体系,包括本章节中所叙述的管理职责,应拓展至外包活动和采购物料的质量的迫近和回顾。制药公司负责保证有程序来确保外包活动和采购物料的质量的控制。这些程序应与质量风险管理结合并包括:

(a) Assessing prior to outsourcing operations or selecting material suppliers, the suitability and competence of the other party to carry out the activity or provide the material using a defined supply chain (e.g., audits, material evaluations, qualification); (a)在外包或选择物料供应商前评估其它方开展这个活动或使用定义的供应链提供物料的适宜性和能力(如,审核,物料评价,确认)

(b) Defining the responsibilities and communication processes for quality-related activities of the involved parties. For outsourced activities, this should be included in a written agreement between the contract giver and contract acceptor; (b)定义相关方与质量有关的活动的职责和沟通程序。对于外包活动,承包人与要约人应当有一个书面的协议

(c) Monitoring and review of the performance of the contract acceptor or the quality of the material from the provider, and the identification and implementation of any needed improvements; (c)监控并回顾承包人的表现或供应商的物料进行,并对任何需要的改进进行确认和执行

(d) Monitoring incoming ingredients and materials to ensure they are from approved sources using the agreed supply chain. (d)监控引入的成分和物料,确保它们通过协议的供应链来源于已批准的来源

2.8 Management of Change in Product Ownership 2.8产品所有权变更管理

When product ownership changes, (e.g., through acquisitions) management should consider the complexity of this and ensure: 产品所有权变更时,管理层应当考虑复杂性并保证

(a) The ongoing responsibilities are defined for each

company involved;

(a)定义参与的每个公司的职责

(b) The necessary information is transferred. (b)转移必要的信息

3. CONTINUAL IMPROVEMENT OF PROCESS

PERFORMANCE AND PRODUCT QUALITY

3.工艺性能和产品质量的持续改进

This section describes the lifecycle stage goals and the four specific pharmaceutical quality system elements that augment regional requirements to achieve the ICH Q10objectives, as defined in Section 1.5. It does not restate all regional GMP requirements. 本章节叙述了生命周期阶段目标和四个具体的制药质量体系要素,它们强化了地区要求,以达到ICH Q10的目的,如1.5章节定义的。并不是重新叙述所有区域的GMP要求

3.1 Lifecycle Stage Goals 3.1 生命周期阶段目标

The goals of each product lifecycle stage are described

below.

产品生命周期的各个阶段的目标叙述如下:3.1.1 Pharmaceutical Development 3.1.1药物研发

The goal of pharmaceutical development activities is to design a product and its manufacturing process to consistently deliver the intended performance and meet the needs of patients and healthcare professionals, and regulator y authorities and internal customers’ requirements. Approaches to pharmaceutical development are described in ICH Q8. The results of exploratory and clinical development studies, while outside the scope of this guidance, are inputs to pharmaceutical development.药物研发活动的目标是设计产品及其制造工艺以持续提供预期的性能和满足患者,保健专家,药政机构和内部客户的需求。ICH Q8叙述了药物研发的方法。探索性研究和临床开发的结果不在本指南的范围内,但将用于药物开发。

3.1.2 Technology Transfer 3.1.2技术转移

The goal of technology transfer activities is to transfer product and process knowledge between development and manufacturing, and within or between manufacturing sites to achieve product realisation. This knowledge forms the basis for the manufacturing process, control strategy, process validation approach and ongoing continual improvement. 技术转移活动的目标是将产品和工艺知识在生产厂区内或之间从开发转移到生产以达到产品实现。这种知识是生产工艺,控制战略,工艺验证方法和持续改进的基础。

3.1.3 Commercial Manufacturing 3.1.3商业化生产

The goals of manufacturing activities include achieving product realisation, establishing and maintaining a state of control and facilitating continual improvement. The pharmaceutical quality system should assure that the desired product quality is routinely met, suitable process performance is achieved, the set of controls are appropriate, improvement opportunities are identified and evaluated, and the body of knowledge is continually expanded. 生产活动的目标包括达到产品实现,建立和维持控制状态及促进持续改进。制药质量体系应确保能经常达到理想的产品质量,能获得适宜的工艺性能,控制系列是合适的,确定并评价改进机会,且知识能持续拓展。

3.1.4 Product Discontinuation 3.1.4产品终止

The goal of product discontinuation activities is to manage the terminal stage of the product lifecycle effectively. For product discontinuation, a pre-defined approach should be used to manage activities such as retention of documentation and samples and continued product assessment (e.g., complaint handling and stability) and reporting in accordance with regulatory requirements. 产品终止活动的目标是有效地管理产品生命周期的最后阶段。关于产品终止,应采取事先确定的方法管理诸如文件保存,留样和延续性产品评估(比如,投诉处理和稳定性)及根据法规要求进行报告。

3.2 Pharmaceutical Quality System Elements 3.2制药质量体系要素

The elements described below might be, required in part under regional GMP regulations. However, the Q10 mod el’s intent is to enhance these elements in order to promote the lifecycle approach to product quality. These four elements are: 地区GMP法规可能要求下列的要素。然而,Q10模型的目的是为了提升产品质量的生命周期方法而加强这些要素。四个要素是:

Process performance and product quality monitoring system;

Corrective action and preventive action (CAPA) system;

Change management system;

?Management review of process performance and product quality. 工艺性能和产品质量监控体系

纠正预防措施体系(CAPA)

变更管理体系

工艺性能和产品质量的管理评审

These elements should be applied in a manner that is appropriate and proportionate to each of the product lifecycle stages, recognising the differences among, and the different goals of, each stage. 适当并按比例地将这些要素应用于产品生命周期的各个阶段,认识到各个阶段的差异和不同的目标。

Throughout the product lifecycle, companies are encouraged to evaluate opportunities for innovative approaches to improve product quality. 在产品的生命周期中,鼓励公司评价改进产品质量的创新方法的机会。

Each element is followed by a table of example applications of the element to the stages of the pharmaceutical lifecycle. 每个要素按药物生命周期的各个阶段要素的应用实例的表格进行。

3.2.1 Process Performance and Product Quality

Monitoring System

3.2.1工艺性能和产品质量监控系统

Pharmaceutical companies should plan and execute a system for the monitoring of process performance and product quality to ensure a state of control is maintained. An effective monitoring system provides assurance of the continued capability of processes and controls to produce a product of desired quality and to identify areas for continual improvement. The process performance and product quality monitoring system should: 制药企业应规划和执行工艺性能和产品质量监控体系以确保控制状态得到了维持。有效的监控体系保证了持续性工艺性能和控制,以生产出需要的质量的产品和确定持续改进的范畴。工艺性能和产品质量监控体系应:

(a) Use quality risk management to establish the control strategy. This can include parameters and attributes related to drug substance and drug product materials and components, facility and equipment operating conditions, in-process controls, finished product specifications, and the associated method sand frequency of monitoring and control. The control strategy should facilitate timely feedback / feedforward and appropriate corrective action and preventive action; (a)应用质量风险管理以建立控制策略,可以包括原料药及药用物质和组份相关参数与属性,设施和设备运行条件,过程控制,成品质量标准,及监控和控制的相关方法与频率。控制策略应促进及时反馈/前馈及适宜的纠正措施和预防措施。

(b) Provide the tools for measurement and analysis of parameters and attributes identified in the control strategy (e.g., data management and statistical tools); (b)提供控制策略中所确定参数与属性的衡量与分析工具,比如数据管理和统计工具

(c) Analyse parameters and attributes identified in the control strategy to verify continued operation within a state of control; (c)分析控制策略中所确定参数与属性以证实后续操作受控

(d) Identify sources of variation affecting process performance and product quality for potential continual improvement activities to reduce or control variation; (d)确定影响工艺性能和产品质量的变量,持续改进活动会减少或控制这些变量

(e) Include feedback on product quality from both internal and external sources, e.g., complaints, product rejections, non-conformances, recalls, deviations, audits and regulatory inspections and findings; (e)包括产品质量的内外部反馈,如投诉,产品否决,不合格,召回,偏差,审计和官方检查与发现

(f) Provide knowledge to enhance process understanding, enrich the design space (where established), and enable innovative approaches to process validation. (f)提供知识以增强工艺理解,丰富设计空间(如建立的话),并实现工艺验证的创新方法

Table I: Application of Process Performance and Product Quality Monitoring System throughout the Product Lifecycle

表1:工艺性能和产品质量监控在整个生命周期内的应用

3.2.2 Corrective Action and Preventive

Action (CAPA) System

3.2.2纠正预防措施体系

The pharmaceutical company should have a system for implementing corrective actions and preventive actions resulting from the investigation of complaints, product rejections, non-conformances, recalls, deviations, audits, regulatory inspections and findings, and trends from process performance and product quality monitoring.

A structured approach to the investigation process should be used with the objective of determining the root cause. The level of effort, formality, and documentation of the investigation should be commensurate with the level of risk, in line with ICH Q9. CAPA methodology should result in product and process improvements and enhanced product and process understanding. 对于由调查研究投诉,产品否决,不合格,召回,偏差,审计,官方检查和发现,及工艺性能趋势和产品质量监控等而产生的纠正措施和预防措施,制药企业应有体系来执行这些措施。应运用结构化的调查研究方法来确定根本原因。调查研究的努力水平,正式程序和文件应与风险水平ICH Q9相当。CAPA系列方法应使产品和工艺得到提高,产品和工艺的理解得到加强。

Table II: Application of Corrective Action and Preventive Action System throughout the Product Lifecycle

3.2.3 Change Management System 3.2.3变更管理体系

Innovation, continual improvement, the outputs of process performance and product quality monitoring and CAPA drive change. In order to evaluate, approve and implement these changes properly, a company should have an effective change management system. There is generally a difference in formality of change management processes prior to the initial regulatory submission and after submission, where changes to the regulatory filing might be required under regional requirements. 革新,持续改进,工艺性能和产品质量监控及CAPA都会趋势变更。为了适宜地评估,批准和执行这些变更,公司应具有有效的变更管理体系。一般来说,注册文件递交前后的变更管理流程是有些区别的,需遵从区域法规的要求进行注册文件的变更。

The change management system ensures continual improvement is undertaken in a timely and effective manner. It should provide a high degree of assurance there are no unintended consequences of the change. 变更管理体系确保持续改进得到了及时有效的执行,并高度保证变更不会引发不期望的后果。

The change management system should include the following, as appropriate for the stage of the lifecycle: 变更管理体系应在生命周期的各个阶段包括如下:

(a) Quality risk management should be utilised to evaluate proposed changes. The level of effort and formality of the evaluation should be commensurate with the level of risk; (a)运用质量风险管理评估计划的变更。评估的努力程序与正式程序应与风险水平相当。

(b) Proposed changes should be evaluated relative to the marketing authorisation, including design space, where established, and/or current product and process understanding. There should be an assessment to determine whether a change to the regulatory filing is required under regional requirements. As stated in ICH

Q8, working within the design space is not (b)应根据相关的上市许可,设计空间(如建立的话),和/或现行产品和工艺理解对计划的变更进行评估。需通过评估确定是否需要根据区域要求进行注册文件的变更。如ICH Q8所述,设计空间内的变动不被认为是变更(从注册文件的角度来看)。但是从制药质量体系的立场来看,所有的变更均需根据公司的变更管理体系进行评估。

considered a change (from a regulatory filing perspective). However, from a pharmaceutical quality systems, and point, all changes should be evaluated by a company’s chang e management system;

(c) Proposed changes should be evaluated by expert teams contributing the appropriate expertise and knowledge from relevant areas (e.g., Pharmaceutical Development, Manufacturing, Quality, Regulatory Affairs and Medical), to ensure the change is technically justified. Prospective evaluation criteria for a proposed change should be set; (c)计划的变更应得到专家组的评估,专家组需具备相关范围(如,药物开发,生产,质量,法规事务和医学)专长和知识,以保证变更在技术上被证明是合理的。对计划的变更应设立预期的评价标准。

(d) After implementation, an evaluation of the change should be undertaken to confirm the change objectives were achieved and that there was no deleterious impact on product quality. (d)实施后,应对变更进行评估以证实达到了变更目的,且证实对产品质量无有害影响。

Table III: Application of Change Management System throughout the Product Lifecycle

3.2.4 Management Review of Process Performance and Product Quality 3.2.4工艺性能和产品质量的管理评审

Management review should provide assurance that process performance and product quality are managed over the lifecycle. Depending on the size and complexity of the company, management review can be a series of reviews at various levels of management and should include a timely and effective communication and escalation process to raise appropriate quality issues to senior levels of management for review.管理评审应保证在整个生命周期内工艺性能和产品质量得到了管理。根据公司的规模和复杂性,管理评审可以是不同管理层次的一系列回顾,且要有及时有效的沟通和上报流程以使质量问题能被合理地上报至管理高层并得到审核。

(a) The management review system

should include:

(a)管理评审体系应包括:

(1) The results of regulatory inspections and findings, audits and other assessments, and commitments made to regulatory authorities; (1)官方检查和发现,审计或其它评估的结果,对药政部门的承诺

(2) Periodic quality reviews, that can

include:

(2)周期性的质量回顾,它可以包括:

(i) Measures of customer satisfaction

such as product quality complaints and

recalls;

(i)客户满意度,如产品质量投诉和召回

(ii) Conclusions of process performance

and product quality monitoring;

(ii)工艺性能和产品质量监控的结果

(iii)The effectiveness of process and product changes including those arising from corrective action and preventive actions. (iii)工艺和产品变更的效果,包括所引起的纠正和预防措施

(3) Any follow-up actions from previous

management reviews.

(3)先前管理评审的跟踪活动

(b) The management review system should

identify appropriate actions, such as:

(b)管理评审体系应确定适宜的行动,比如:

(1) Improvements to manufacturing

processes and products;

(1)生产工艺和产品改进

(2) Provision, training and/or

realignment of resources;

(2)资源的供应,培训和/或重组

(3) Capture and dissemination of

knowledge.

(3)知识的获取和发布

Table IV: Application of Management Review of Process Performance and Product Quality throughout the Product Lifecycle

4. CONTINUAL IMPROVEMENT OF

THE PHARMACEUTICAL QUALITY

4.制药质量体系的持续改进

SYSTEM

This section describes activities that should be conducted to manage and continually improve the pharmaceutical quality system 本章节叙述了管理和持续改进制药质量体系所需开展的活动。

4.1 Management Review of the

Pharmaceutical Quality System

4.1制药质量体系的管理审核

Management should have a formal process for reviewing the pharmaceutical quality system on a periodic basis. The review should include: 管理要有正式的流程,定期地评审制药质量体系。评审应包括:

(a) Measurement of achievement of

pharmaceutical quality system objectives;

(a)衡量制药质量体系目标成果

(b) Assessment of performance indicators that can be used to monitor the effectiveness of processes within the pharmaceutical quality system, such as: (b)评估性能指标,这些指标能被用来监控制药质量体系内流程的效果,如:

(1) Complaint, deviation, CAPA and

change management processes;

(1)抱怨,偏差,CAPA和变更管理程序

(2) Feedback on outsourced activities; (2)外包活动的反馈

(3) Self-assessment processes including

risk assessments, trending, and audits;

(3)自评程序,包括风险评估,趋势,审计

(4) External assessments such as regulatory inspections and findings and customer audits. (4)外部评估,如官方检查和发现及客户审计

4.2 Monitoring of Internal and External

Factors Impacting the

Pharmaceutical Quality System

4.2制药质量体系内外部影响因素的监控Factors monitored by management can include: 管理监控因素可以包括:

(a) Emerging regulations, guidance and quality issues that can impact the Pharmaceutical Quality System; (a)凸显能影响制药质量体系的法规,指

南和质量问题

(b) Innovations that might enhance the

pharmaceutical quality system;

(b)可能提高制药质量体系的革新

(c) Changes in business environment and

objectives;

(c)经营环境和目标的变更

(d) Changes in product ownership. (d)产品所有权的变更

4.3 Outcomes of Management Review

and Monitoring

4.3管理评审和监控成果

The outcome of management review of the pharmaceutical quality system and monitoring of internal and external factors can include: 制药质量体系的管理评审及内外部因素监控成果可以包括:

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