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实用文档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 Quality2.2质量部门的责任Unit(s)2.3生产作业的职责2.3 Responsibility for ProductionActivities2.4 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 andSpecifications6.1 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 (BatchProduction 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 IncomingProduction Materials7.3 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 orAPIs8.4 中间体或原料药的混批8.5 Contamination Control 8.5 污染控制9. PACKAGING AND IDENTIFICATION LABELINGOF APIs AND INTERMEDIATES9. 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 ValidatedSystems12.6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 (INCLUDINGLABORATORIES)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 APIsand Intermediates17.2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 RecordKeeping18.2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 andPurification18.4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 APIsQ7a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。
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 andSpecifications6.1 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 (MasterProduction and Control Records)6.4 生产工艺规程（主生产和控制记录）6.5 Batch Production Records (BatchProduction 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 IncomingProduction Materials7.3 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-PROCESSCONTROLS8. 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 orAPIs8.4 中间体或原料药的混批8.5 Contamination Control 8.5 污染控制9. PACKAGING AND IDENTIFICATIONLABELING OF APIs ANDINTERMEDIATES9. 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. V ALIDATION 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 OFMATERIALS14.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 andIntermediates17.2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 RecordKeeping18.2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。
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 andSpecifications6.1 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 (MasterProduction and Control Records)6.4 生产工艺规程（主生产和控制记录）6.5 Batch Production Records (BatchProduction 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 IncomingProduction Materials7.3 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-PROCESSCONTROLS8. 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 orAPIs8.4 中间体或原料药的混批8.5 Contamination Control 8.5 污染控制9. PACKAGING AND IDENTIFICATIONLABELING OF APIs ANDINTERMEDIATES9. 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. V ALIDATION 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 OFMATERIALS14.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 andIntermediates17.2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 RecordKeeping18.2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。
最新原料药起始物料法规要求1. 什么是原料药 Active Pharmaceutical Ingredient？ICH Q7A的定义：英文直译：活性药用成分，缩写：API旨在用于药品制造中的任何一种物质或物质的混合物，而且在用于制药时，成为药品的一种活性成分。
此种物质在疾病的诊断，治疗，症状缓解，处理或疾病的预防中有药理活性或其它直接作用，或者能影响机体的功能和结构。
ICH Q7A的定义：用来表示中间体或原料药的生产中要用的起始物料、试剂和溶剂的通用专业名词。
2、什么是中间体 Intermediate？ICH Q7A的定义：原料药工艺步骤中产生的、必须经过进一步分子变化或精制才能成为原料药的一种物料。
中间体可以分离或不分离。
(注：ICH Q7指南只涉及该公司定义为原料药生产起始点以后生产的中间体。
)3、什么是原料药起始物料 API Starting Material？ICH Q7A 定义：是指一种原料、中间体或API，用来生产一种API，并以重要结构片段的形式结合到API结构中。
API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。
API的起始物料一般来说有明确的化学特性和结构。
那么，如何定义“重要结构片段”？是指分子结构中对API分子的药理活性有贡献或是有重要意义的部分（ ICHQ7A US问与答）它常被申报人错误地解释为原料药结构相近的片段，适用于对原料药最终分子结构有贡献的物料，与试剂、催化剂或溶剂是相对的。
(EMA 针对ICH Q11反思报告注释5)4、API起始物料与GMP适用范围5、工艺流程与起始物料选择6、工艺流程与注册申报范围7、为什么要关注原料药起始物料A、ICH注册指南要求1）ICH Q7，原料药GMP指南，2000年11月10日批准实施定义了什么是原料药起始物料，并规定“从起始物料的引入开始，中间体和原料药的生产，应遵守GMP的规范”。
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 andSpecifications6.1 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 (MasterProduction and Control Records)6.4 生产工艺规程（主生产和控制记录）6.5 Batch Production Records (BatchProduction 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 IncomingProduction Materials7.3 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-PROCESSCONTROLS8. 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 orAPIs8.4 中间体或原料药的混批8.5 Contamination Control 8.5 污染控制9. PACKAGING AND IDENTIFICATIONLABELING OF APIs ANDINTERMEDIATES9. 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. V ALIDATION 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 OFMATERIALS14.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 andIntermediates17.2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 RecordKeeping18.2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。
EMA、FDA、ICH和CDE对起始物料要求的异同起始物料的选择是原料药开发的前提条件，亦是原料药申报注册详细工艺描述的起点。
1987年美国FDA发布了全球第一个涉及起始物料问题的指导原则，随后欧盟等药品监管机构陆续发布了包含起始物料相关的指导原则，2012年ICH Q11指导原则正式发布，并于2017年以问答的形式进行了补充说明，进一步规范了起始物料的选择和质控原则。
本文就起始物料选择相关的指导原则和文献进行汇总对比，以期对大家起始物料的选择有所帮助。
ICHQ7将原料药的起始物料定义为一种原料、中间体或原料药，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，能够根据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。
原料药的起始物料通常有特定的化学特性和结构。
为什么进行起始物料的选择？起始物料的选择在原料药注册技术要求中一直有着举足轻重的地位，各药审监督机构纷纷出台相关的技术要求文件，现将主要的技术要求文件进行简单的罗列。
2012年5月1日批准实施的ICH Q11 （原料药的开发与生产）明确了如何选择起始物料和申报时应提交的信息。
2015年2月3日EMA发布了《原料药化学指南（草案）》包含了起始物料应该提交哪些信息。
欧洲药品管理局（EMA）针对ICH Q11 于2014年9月1日发布《化学原料药生产起始物料的选择和论证要求的思考》的报告以澄清EMA对起始物料选择的看法，并于2015年2月3日发布了《原料药化学指南（草案）》，其包含了起始物料应该提交哪些信息。
2016年2月FDA发布的行业指南中明确要求按照ICH Q11指导原则选择起始物料并阐明理由。
WHO的APIMF指南中包含起始物料的选择和控制应提交的资料。
国内CDE发布的《化学药品新注册分类申报资料要求（试行）》（2016年第80号文）要求简述起始物料选择确定的合理性依据,明确规定起始原料的选择应符合ICHQ11及欧盟的相关技术要求。
人用药物注册技术要求国际协调会议( I C H ：International Conference on Harmonization of Technical Requirements for Registration of Pharmaceuticals forHuman Use)ICH三方协调指南原料药的优良制造规范（GMP）指南ICH指导委员会2000年11月10日按ICH规程第4步建议采用本指南根据ICH规程由合适的ICH专家工作组起草并经向法规部门咨询。
在规程的第4步，建议欧洲共同体、日本和美国的药政部门采用其最终的草案。
原料药的优良制造规范（GMP）指南ICH三方协调指南ICH指导委员会2000年11月10日的会议按ICH规程第4步建议ICH的三个药政部门采用本指南目录1 引言INTRODUCTION (6)1.1 目的Objective (6)1.2 法规的适用性Regulatory Applicability (7)1.3 范围Range (7)2 质量管理QUALITY MANAGEMENT (8)2.1 原则Principles (8)2.2 质量部门的职责Responsibilities of the Quality Unit(s) (9)2.3 生产作业的职责Responsibility for Production Activities (11)2.4 内部审计（自检）Internal Audits (Self Inspection) (12)2.5 产品质量审核Product Quality Review (12)3 人员PERSONNEL (13)3.1 员工的资质Personnel qualifications (13)3.2 员工的卫生Personnel Hygiene (13)3.3 顾问Consultants (14)4 建筑和设施BUILDINGS AND FACILITIES (14)4.1 设计和结构Design and Construction (14)4.2 公用设施Utilities (15)4.3 水Water (16)4.4 限制Containment (16)4.5 照明Lighting (17)4.6 排污和垃圾Sewage and Refuse (17)4.7 清洁和保养Sanitation and Maintenance (17)5 工艺设备PROCESS EQUIPMENT (17)5.1 设计和结构Design and Construction (18)5.2 设备保养和清洁Equipment Maintenance and Cleaning (18)5.3 校验Calibration (19)5.4 计算机控制系统Computerized Systems (20)6 文件和记录DOCUMENTA TION AND RECORDS (21)6.1 文件系统和规格Documentation System and Specifications (21)6.2 设备的清洁和使用记录Equipment Cleaning and Use Record (22)6.3 原料、中间体、原料药的标签和包装材料的记录Records of Materials , Intermediates, API Labeling andPackaging Materials (22)6.4 生产工艺规程Master Production Instructions (23)6.5 批生产记录Batch Production Records (24)6.6 实验室控制记录Laboratory Control Records (25)6.7 批生产记录审核Batch Production Record Review (26)7 物料管理MA TERIALS MANAGEMENT (26)7.1 控制通则General Controls (26)7.2 接收和待验Receipt and Quarantine (27)7.3 进厂物料的取样和测试Sampling and Testing of Incoming Production Materials (27)7.4 储存Storage (28)7.5 重新评估Re-evaluation (29)8 生产和中间控制PRODUCTION AND IN-PROCESS CONTROLS (29)8.1 生产操作Production Operations (29)8.2 时间限制Time Limits (30)8.3 工序间的取样和控制In-process Sampling and Controls (30)8.4 中间体或原料药的混合Blending Batches of Intermediates or APIs (31)8.5 污染的控制Contamination Control (32)9 原料药和中间体的包装和贴签PACKAGING AND IDENTIFICATION LABELING OF APIs AND INTERMEDIATES (32)9.1 总则General (32)9.2 包装材料Packaging Materials (33)9.3 标签的发放和控制Labeling Issuance and Control (33)9.4 包装和贴签操作Packaging and Labeling Operations (34)10 储存和分发STORAGE AND DISTRIBUTION (35)10.1 入库程序Warehousing Procedures (35)10.2 分发程序Distribution Procedures (35)11 实验室控制LABORATORY CONTROLS (35)11.1 控制通则General Controls (35)11.2 中间体和原料药的测试Testing of Intermediates and APIs (37)11.3 分析程序的验证－参见12章V alidation of Analytical Procedures - See Section 12. (11.3) (38)11.4 分析报告单Certificates of Analysis (38)11.5 原料药的稳定性监测Stability Monitorint of APIs (38)11.6 有效期和复验日期Expiry and Retest Dating (39)11.7 留样Reserve/Retention Samples (40)12 验证V ALIDATION (40)12.1 验证方针Validation Policy (40)12.2 验证文件Validation Documentation (41)12.3 确认Qualification (41)12.4 工艺验证的方法Approaches to Process Validation (42)12.5 工艺验证的程序Process Validation Program (43)12.7 清洗验证Cleaning V alidation (44)12.8 分析方法的验证Validation of Analytical Methods (45)13 变更的控制CHANGE CONTROL (45)14 物料的拒收和再用REJECTION AND RE-USE OF MATERIALS (46)14.1 拒收Rejection (47)14.2 返工Reprocessing (47)14.3 重新加工Reworking (47)14.4 物料和溶剂的回收Recovery of Materials and Solvents (48)14.5 退货Returns (48)15 投诉和召回COMPLAINTS AND RECALLS (49)16 协议制造商(包括实验室) CONTRACT MANUFACTURES (INCLUDING LABORATORIES) (49)17 代理商、经纪人、贸易商、经销商、重新包装者和重新贴签者 (50)AGENTS,BROKERS, TRADERS,DISTRIBUTORS,REPACKERS ,AND RELABELLERS (50)17.1 适用性Applicability (50)17.2 已分发原料药的可追溯性Traceability of Distributed APIs and Intermediates (50)17.3 质量管理Quality Management (51)17.4 原料药和中间体的重新包装、重新贴签和待检Repackaging,Relabeling,and Holding of APIs and Intermediates. (51)17.5 稳定性Stability (51)17.6 信息的传达Transfer of Information (51)17.7 投诉和召回的处理Handing of Complaints and Recalls (52)17.8 退货的处理Handing of Returns (52)18 用细胞繁殖/发酵生产的原料药的特殊指南 (53)SPECIFIC GUIDANCE FOR APIs MANUFACTURED BY CELL CULTURE/FERMENTATION (53)18.1 总则General (53)18.2 细胞库的维护和记录的保存Cell Bank Maintenance and Record Keeping (55)18.3 细胞繁殖/发酵Cell Culture/Fermentation (55)18.4 收取、分离和精制Harvesting, Isolation and Purifation (56)18.5 病毒的去除/灭活步骤Viral Removal/Inactivation Steps (57)19 用于临床研究的原料药(APIS FOR USE IN CLINICAL TRIALS) (57)19.1 总则General (57)19.2 质量quality (58)19.3 设备和设施Equipment and Facilities (58)19.4 原料的控制Control of Raw Materials (58)19.5 生产Production (59)19.6 验证Validation (59)19.7 变更Changes (59)19.8 实验室控制Laboratory Controls (59)19.9 文件Documentation (60)20. 术语表（GLOOSSARY） (60)原料药的优良制造规范(GMP) 指南Guidance for IndustryQ7A Good Manufacturing Practice Guidancefor Active Pharmaceutical IngredientsThis 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. An alternative approach may be used if such approach satisfies the requirements of the applicable statutes and regulations.1 引言INTRODUCTION1.1 目的Objective本文件(指南)旨在为在合适的质量管理体系下制造活性药用成分(原料药以下称原料药)提供有关优良药品生产管理规范（GMP）提供指南。
Q7a（中英文对照）FDA原料药GMP指南TableofContents 目录1.INTRODUCTION 1.简介1.1Objective 1.1目的1.2RegulatoryApplicability 1.2法规的适用性1.3Scope 1.3范围2.QUALITYMANAGEMENT 2.质量管理2.1Principles 2.1总则2.2质量部门的责任2.2ResponsibilitiesoftheQualityUnit(s)2.3生产作业的职责2.3ResponsibilityforProductionActivities2.4InternalAudits(SelfInspection) 2.4内部审计（自检）2.5ProductQualityReview 2.5产品质量审核3.PERSONNEL 3.人员3.1PersonnelQualifications 3.人员的资质3.2PersonnelHygiene 3.2人员卫生3.3Consultants 3.3顾问4.BUILDINGSANDFACILITIES 4.建筑和设施4.1DesignandConstruction 4.1设计和结构4.2Utilities 4.2公用设施4.3Water 4.3水4.4Containment 4.4限制4.5Lighting 4.5照明4.6SewageandRefuse 4.6排污和垃圾4.7SanitationandMaintenance 4.7卫生和保养5.PROCESSEQUIPMENT 5.工艺设备5.1DesignandConstruction 5.1设计和结构5.2EquipmentMaintenanceandCleaning 5.2设备保养和清洁5.3Calibration 5.3校验5.4ComputerizedSystems 5.4计算机控制系统6.DOCUMENTATIONANDRECORDS 6.文件和记录6.1DocumentationSystemandSpecificatio6.1文件系统和质量标准ns6.2EquipmentcleaningandUseRecord 6.2设备的清洁和使用记录6.3RecordsofRawMaterials,Intermediate s,APILabelingandPackagingMaterials 6.3原料、中间体、原料药的标签和包装材料的记录6.4MasterProductionInstructions(MasterProductionandControlRecords)6.4生产工艺规程（主生产和控制记录）6.5BatchProductionRecords(BatchProductionandControlRecords)6.5批生产记录（批生产和控制记录）6.6LaboratoryControlRecords 6.6实验室控制记录6.7BatchProductionRecordReview 6.7批生产记录审核7.MATERIALSMANAGEMENT7.物料管理7.1GeneralControls7.1控制通则7.2ReceiptandQuarantine7.2接收和待验7.3SamplingandTestingofIncomingProduc7.3进厂物料的取样与测试tionMaterials7.4Storage7.4储存7.5Re-evaluation7.5复验8.PRODUCTIONANDIN-PROCESSCONTROLS8.生产和过程控制8.1ProductionOperations8.1生产操作8.2TimeLimits8.2时限8.3 In-processSamplingandControls8.3工序取样和控制8.4BlendingBatchesofIntermediatesorAP8.4中间体或原料药的混批Is8.5ContaminationControl8.5污染控制9.PACKAGINGANDIDENTIFICATIONLABELINGO9.原料药和中间体的包装和贴签FAPIsANDINTERMEDIATES9.1General9.1总则9.2PackagingMaterials9.2包装材料9.3LabelIssuanceandControl9.3标签发放与控制9.4PackagingandLabelingOperations9.4包装和贴签操作10.STORAGEANDDISTRIBUTION10.储存和分发10.1WarehousingProcedures10.1入库程序10.2DistributionProcedures10.2分发程序BORATORYCONTROLS11.实验室控制11.1GeneralControls11.1控制通则11.2TestingofIntermediatesandAPIs11.2中间体和原料药的测试11.3ValidationofAnalyticalProcedures11.3分析方法的验证11.4CertificatesofAnalysis11.4分析报告单11.5StabilityMonitoringofAPIs11.5原料药的稳定性监测11.6ExpiryandRetestDating11.6有效期和复验期11.7Reserve/RetentionSamples11.7留样12.VALIDATION12.验证12.1ValidationPolicy12.1验证方针12.2ValidationDocumentation12.2验证文件12.3Qualification12.3确认12.4ApproachestoProcessValidation12.4工艺验证的方法12.5ProcessValidationProgram12.5工艺验证的程序12.6PeriodicReviewofValidatedSystems12.6验证系统的定期审核12.7CleaningValidation12.7清洗验证12.8ValidationofAnalyticalMethods12.8分析方法的验证13.CHANGECONTROL13.变更的控制14.REJECTIONANDRE-USEOFMATERIALS14.拒收和物料的再利用14.1Rejection14.1拒收14.2Reprocessing14.2返工14.3Reworking14.3重新加工14.4RecoveryofMaterialsandSolvents14.4物料与溶剂的回收14.5Returns14.5退货PLAINTSANDRECALLS15.投诉与召回16.CONTRACTMANUFACTURERS(INCLUDINGLABORATORIES)16.协议生产商（包括实验室）17.AGENTS,BROKERS,TRADERS,DISTRIBUTOR S,REPACKERS,ANDRELABELLERS 17.代理商、经纪人、贸易商、经销商、重新包装者和重新贴签者17.1Applicability17.1适用性17.2TraceabilityofDistributedAPIsandIntermediates17.2已分发的原料药和中间体的可追溯性17.3QualityManagement17.3质量管理17.4Repackaging,Relabeling,andHolding ofAPIsandIntermediates 17.4原料药和中间体的重新包装、重新贴签和待检17.5Stability17.5稳定性17.6TransferofInformation17.6信息的传达17.7HandlingofComplaintsandRecalls17.7投诉和召回的处理17.8HandlingofReturns17.8退货的处理18.SpecificGuidanceforAPIsManufacture dbyCellCulture/Fermentation 18.用细胞繁殖/发酵生产的原料药的特殊指南18.1General18.1总则18.2CellBankMaintenanceandRecordKeeping18.2细胞库的维护和记录的保存18.3CellCulture/Fermentation18.3细胞繁殖/发酵18.4Harvesting,IsolationandPurification18.4收取、分离和精制18.5ViralRemoval/Inactivationsteps18.5病毒的去除/灭活步骤19.APIsforUseinClinicalTrials19.用于临床研究的原料药19.1General19.1总则19.2Quality19.2质量19.3EquipmentandFacilities19.3设备和设施19.4ControlofRawMaterials19.4原料的控制19.5Production19.5生产19.6Validation19.6验证19.7Changes19.7变更19.8LaboratoryControls19.8实验室控制19.9Documentation19.9文件20.Glossary20.术语Q7aGMPGuidanceforAPIsQ7a原料药的GMP指南1.INTRODUCTION 1.简介1.1Objective 1.1目的Thisdocumentisintendedtoprovideguidan ceregardinggoodmanufacturingpractice( GMP)forthemanufacturingofactivepharma ceuticalingredients(APIs)underanappro priatesystemformanagingquality.Itisal sointendedtohelpensurethatAPIsmeetthe qualityandpuritycharacteristicsthatth eypurport,orarerepresented,topossess.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。
实用文档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 Quality2.2质量部门的责任Unit(s)2.3生产作业的职责2.3 Responsibility for ProductionActivities2.4 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 andSpecifications6.1 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 (BatchProduction 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 IncomingProduction Materials7.3 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 orAPIs8.4 中间体或原料药的混批8.5 Contamination Control 8.5 污染控制9. PACKAGING AND IDENTIFICATION LABELINGOF APIs AND INTERMEDIATES9. 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 ValidatedSystems12.6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 (INCLUDINGLABORATORIES)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 APIsand Intermediates17.2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 RecordKeeping18.2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 andPurification18.4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 APIsQ7a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。
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 andSpecifications6.1 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 (MasterProduction and Control Records)6.4 生产工艺规程（主生产和控制记录）6.5 Batch Production Records (BatchProduction 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 IncomingProduction Materials7.3 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-PROCESSCONTROLS8. 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 orAPIs8.4 中间体或原料药的混批8.5 Contamination Control 8.5 污染控制9. PACKAGING AND IDENTIFICATIONLABELING OF APIs ANDINTERMEDIATES9. 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. V ALIDATION 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 OFMATERIALS14.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 andIntermediates17.2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 RecordKeeping18.2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。
2017年版ema《化学原料药生产起始物料的选择和论证要求思考》（中英文对照）2续All the general principles above should be considered in selecting Starting Material(s), rather than strictly applying each general principle in isolation (see Example 4, Section 10.4).在选择起始物料时，要考虑上述所有的通则，而不仅仅单独考虑严格适用某一个原则（参见例4，第10.4部分）。
Explanatory note 6: 注释6Scientific reasoning with appropriate justification, considering the whole synthetic approach and control strategy, and incorporating all the various principles outlined above, should be used in order to justify the selection of the starting materials. Often, applicants/manufacturers will select just a few criteria and use them to justify starting material selection, e.g.: “Compound X is a well-characterised isolated material of defined chemical properties and structure, and constitutes a significant structural fragment of the active substance. Therefore it is selected as a starting material as per ICH Q11.” This line of argumentation is not comprehensive and therefore not acceptable. Control strategy alone is not a sufficient justification of a starting material. Equally, a long synthetic process will not necessarily compensate for a poorcontrol strategy.在论述起始物料的选择时，要采用适当的科学原理进行论述，考虑整个合成方法和控制策略，结合上列所有各类原则。
通常，申报人/生产商会选择少数几个标准，使用它们对起始物料的选择进行论述，例如，“化合物X特性清楚，被分离，具有清楚的化学特性和结构，成为原料药的重要结构片断，因此根据ICH Q11它被选择作为起始物料”。
这样的论述不够全面，因此不会被接受。
仅仅只有控制策略的话，是不足以作为起始物料的论证依据的。
同样，合成路线很长并不能弥补很差的控制策略5.1.2 Selection of starting materials for semi-synthetic drug substances 半合成原料药的起始物料的选择在本指南中，半合成原料药是指原料药结构是由一部分化学合成结构和生物来源结构（例如，发酵、植物原料提取）合并而成。
在有些情况下，申报人可以从来源物料（微生物或植物原料）开始描述生产工艺。
当然，如果可以证明在合成步骤中分离出的一个中间体符合上述合成原料药起始物料选择的原则，则所分离出的中间体也可以提议作为起始物料。
申报人尤其应评估是否可能对所拟的起始物料进行特性分析，包括其杂质谱、发酵或植物原料和提取工艺对原料药的杂质谱是否有影响。
要说明微生物和其它污染所带来的风险。
Explanatory note 7: 注释7It is re-emphasised that asemi-synthetic starting material should comply with the general principles for starting materials already discussed above and summarised in explanatory note 6. If the fermentation step or extraction step is considered to be critical following the definition in explanatory note 2, and considering the potential for variability in fermentation process or extraction step, then it should be carried out under GMP.5.2 Submission of information for starting material or source material 起始物料或来源物料的资料提交申报人应识别所有拟定的起始物料或源物料，提交适当的质量标准。
应论证所拟的合成和半合成原料药的起始物料。
Explanatory note 8: 注释8Information on the manufacturers and suppliers of starting materials should be provided, including name and address, and a scheme of the synthetic route used to manufacture them, showing all reagents, catalysts and solvents used. Without this information, the suitability of specifications cannot be adequately assessed.要提交起始物料生产商和供应商的资料，包括名称、地址、生产所用合成路线图、标示所用的所有试剂、催化剂和溶剂。
没有这些资料，就无法对质量标准的适用性进行适当评审。
The specification for a starting material should address impurities and is expected to consider suitable limits for known, unknown impurities and total impurities and where appropriate, limits for solvents, reagents and catalysts used during synthesis of a starting material. The acceptance criteria should be established based on origin, fate and purge of impurities present in the starting material, and where appropriate, should be designed to detect isomeric or other impurities which are potentially reactive and which may be carried through to the active substance.起始物料的质量标准应包括杂质，应考虑对已知、未知杂质和总杂质制订适当的限度，适当时还要制订起始物料合成中所用的溶剂、试剂和催化剂的限度。
应根据起始物料中出现杂质的来源、去向和清除情况建立可接受标准，适当时，应设计检测异构体和其它可能反应，并带入原料药的杂质。
Analytical methods used should be validated. A tabulated summary of the results of the validation carried out should be provided if critical for the quality of the active substance However, it is not necessary to provide a validation report.所用的分析方法应进行验证。
如果分析方法对于原料药的质量非常关键，则需要采用表格总结的方式提交验证结果。
当然，并不需要提交验证报告。
5.2.1 Justification of starting material selection for synthetic drug substances 合成原料药起始物料选择的论证The applicant should provide a justification for how each proposed starting material is appropriate in light of the general principles for the selection of starting materials outlined above in Section 5.1.1. This can include information on:申报人应提交资料，根据5.1.1部分所列的起始物料选择通则，论述为什么各所拟起始物料是适当的。
论述可以包括以下资料·The ability of analytical procedures to detect impurities in the starting material·分析方法可以检测到起始物料中的杂质·The fate and purge of those impurities and their derivatives in subsequent processing steps·这些杂质及其在之后工艺步骤中的衍生物的去向和清除，·How the proposed specification for each starting material will contribute to the control strategy·所拟的各起始物料的质量标准如何实现控制策略Explanatory note 9: 注释9The suitability of a starting material needs to be justified against the principles in section 5.1 as a whole, rather than against selected individual bullet points. Critical to satisfactory justification of astarting material, and for the assessment of the justification, is the description of the formation, fate and purge of impurities. The dossier must contain an appropriate discussion on known and unknown impurities including residual solvents, catalysts, metals and reagents. The starting material specifications should include tests and acceptance criteria for specified, unspecified and total impurities (including (potential) genotoxins) and where appropriate, limits for solvents, reagents and catalysts used during their synthesis. An inadequate discussion on impurities renders evaluation of the proposed starting materials and their specifications impossible.起始物料的适用性需要根据5.1部分中的原则作整体论述，而不只是针对选择的单个项目进行论述。
