FDA 行业指南 中英对照 待完成.doc

Guidance for IndustryContainer Closure Systems for Packaging Human Drugs and BiologicsChemistry, Manufacturing and Controls Documentation行业指南人用药品及生物制品的包装容器和封装系统：化学，生产和控制文件指南发布者：美国FDA下属的CDER及CBER发布日期：May 1999TABLE OF CONTENTS目录I. INTRODUCTION 介绍II. BACKGROUND 背景A. Definitions 定义B. CGMP, CPSC and USP Requirements on Containers and Closures. CGMP, CPSC和USP对容器和密封的要求C. Additional Considerations 其他需要考虑的事项III. QUALIFICATION AND QUALITY CONTROL OF PACKAGING COMPONENTS 包装组件的合格要求以及质量控制A. Introduction 介绍B. General Considerations 通常要求C. Information That Should Be Submitted in Support of an Original Application for Any Drug Product 为支持任何药品的原始申请所必须提供的信息D. Inhalation Drug Products 吸入性药品E. Drug Products for Injection and Ophthalmic Drug Products 注射剂和眼科用药F. Liquid-Based Oral and Topical Drug Products and Topical Delivery Systems 液体口服和外用药品和外用给药系统G. Solid Oral Dosage Forms and Powders for Reconstitution 口服固体剂型和待重新溶解的粉末H. Other Dosage Forms 其他剂型IV. POSTAPPROVAL PACKAGING CHANGES 批准后的包装变更V. TYPE III DRUG MASTER FILES 药品主文件 第III类A. General Comments 总体评述B. Information in a Type III DMF 第III类DMF中包括的信息VI. BULK CONTAINERS 大包装容器A. Containers for Bulk Drug Substances 用于原料药的容器B. Containers for Bulk Drug Products 用于散装药品的容器ATTACHMENT A 附件A REGULATORY REQUIREMENTS 药政要求ATTACHMENT B 附件B COMPLIANCE POLICY GUIDES THAT CONCERN PACKAGING 关于包装，所适用的政策指南ATTACHMENT C 附件C EXTRACTION STUDIES “提取性”研究ATTACHMENT D 附件D ABBREVIATIONS 缩略语ATTACHMENT E 附件E REFERENCES 参考文献GUIDANCE FOR INDUSTRY1Container Closure Systems for Packaging Human Drugs and BiologicsChemistry, Manufacturing and Controls DocumentationThis guidance document represents the Agencys current thinking on container closure systems for the packaging of human drugs and biological products. 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 statute, regulations, or both.本指南代表了FDA目前对于人用药品和生物制品包装的容器/封装系统方面的看法。本指南不具强制力。与本指南不相同的替代措施也可采用，前提是能满足相应法律/法规的要求。I INTRODUCTION 介绍This document is intended to provide guidance on general principles2 for submitting information on packaging materials used for human drugs and biologics.3 This guidance supersedes the FDA Guideline for Submitting Documentation for Packaging for Human Drugs and Biologics , issued in February 1987 and the packaging policy statement issued in a letter to industry dated June 30, 1995 from the Office of Generic Drugs.4 This guidance is not intended to describe the information that should be provided about packaging operations associated with drug product manufacture. 本文件目的是为递交人用药品和生物制品的包装信息提供总体原则指南。本文件替代了FDA在1987年2月发布的另一份指南，以及替代了仿制药办公室在1995年6月30日向行业内发布的包装政策声明信。本指南不描述药品的包装操作。Approaches which differ from those described in this guidance may be followed, but the applicant is encouraged to discuss significant variations in advance with the appropriate CDER chemistry review staff or CBER review staff. This is to prevent applicants or sponsors from spending unnecessary time and effort in preparing a submission that the FDA may later determine to be unacceptable. 可以采取与本指南的内容不一致的措施，但是我们建议申请人就明显的差异预先与CDER或CBER的审核人员进行讨论。这样做的目的是为了避免申请人或发起人花费不必要的时间和努力准备申报资料，而这种申报资料经FDA认定是不可接受的。II BACKGROUND 背景The Federal Food, Drug, and Cosmetic Act (the Act) mandates the need for adequate information related to packaging materials. Section 501(a)(3) of the Act states that a drug is deemed to be adulterated if its container is composed, in whole or in part, of any poisonous or deleterious substance which may render the contents injurious to health. In addition, section 502 of the Act states that a drug is considered misbranded if there are packaging omissions. Also, section 505 of the Act requires a full description of the methods used in, and the facilities and controls used for, the packaging of drugs (see Attachment A). 联邦食品、药品和化妆品法案（简称“法案”）要求必须提供包装材料的充分信息。法案的第501(a)(3)部分规定，如果某个药品的包装材料含有有毒、有害的物质，导致药品损坏健康，那么该药品为劣药。另外，法案的第502部分规定，如果某药品在包装方面有缺失，则被认为是贴错标签。还有，法案第505部分要求详细描述包装药品时所用的方法，所用的设施和控制措施（见附件A）。Section 505(b)(1)(D) of the Act states that an application shall include a full description of the methods used in, the manufacturing, processing and packing of such drug. This includes facilities and controls used in the packaging a drug product. 法案的第505(b)(1)(D)部分规定，申请人必须完整描述该药品的生产、加工和包装。其中包括包装药品时的设施和控制措施。A. Definitions5 定义Materials of construction6 refer to the substances (e.g., glass, high density polyethylene (HDPE) resin, metal) used to manufacture a packaging component. 组成材料是指用来生产包装组件的物质（例如玻璃，HDPE树脂，金属）A packaging component means any single part of a container closure system. Typical components are containers (e.g., ampules, vials, bottles), container liners (e.g., tube liners), closures (e.g., screw caps, stoppers), closure liners, stopper overseals, container inner seals, administration ports (e.g., on large-volume parenterals (LVPs), overwraps, administration accessories, and container labels. A primary packaging component means a packaging component that is or may be in direct contact with the dosage form. A secondary packaging component means a packaging component that is not and will not be in direct contact with the dosage form. 包装组件是指一个容器/封装系统的任何单独部分。通常的组件有容器（例如安瓿，西林瓶，瓶子），容器垫，封装，封装垫.等，包括给药附件和容器标签。一级包装组件是指与制剂直接接触的组件，或者可能会直接接触的组件。二级包装组件是指不会与制剂直接接触的组件。A container closure system refers to the sum of packaging components that together contain and protect the dosage form. This includes primary packaging components and secondary packaging components, if the latter are intended to provide additional protection to the drug product. A packaging system is equivalent to a container closure system. 容器/封装系统是指包装组件的组合，在一起盛装和保护制剂。这包括一级包装组件和二级包装组件，后者的目的是为药品提供额外保护。包装系统就等同于容器/封装系统。A package or market package7 refers to the container closure system and labeling, associated components (e.g., dosing cups, droppers, spoons), and external packaging (e.g., cartons or shrink wrap). A market package is the article provided to a pharmacist or retail customer upon purchase and does not include packaging used solely for the purpose of shipping such articles. 包装或上市包装是指容器/封装系统，以及标签，相关组件（例如量杯，滴管，药匙等），以及外包装（例如纸箱或收缩包装）。上市包装是指提供给药剂师或零售消费者的包装物件，不包括仅仅用于运输目的的包装物件。Quality refers to the physical, chemical, microbiological, biological, bioavailability, and stability attributes that a drug product should maintain if it is to be deemed suitable for therapeutic or diagnostic use. In this guidance, the term is also understood to convey the properties of safety, identity, strength, quality, and purity (see 21 CFR 211.94(a). 质量是指：一种药品可被看做具有治疗或诊断用途时，它所具有的理化、微生物、生物、生物利用度以及稳定性方面的品质。在本指南中，此术语还被理解为安全性，等效性，规格，质量和纯度等性质（见21 CFR 211.94(a)）。An extraction profile refers to the analysis (usually by chromatographic means) of extracts obtained from a packaging component. A quantitative extraction profile is one in which the amount of each detected substance is determined. 提取性特征是指对从包装组件中所得提取物的分析（通常用色谱的方法）。定量提取性特征是指所提取的每种成分的测得量。B. CGMP, CPSC and USP Requirements on Containers and Closures CGMP, CPSC和USP对容器和密封的要求Current good manufacturing practice (CGMP) requirements for the control of drug product containers and closures are included in 21 CFR Parts 210 and 211. A listing of the relevant sections is provided in Attachment A. In addition, a listing of Compliance Policy Guides that deal with packaging issues is provided in Attachment B. References in this guidance to CGMP regulations are provided for completeness. For additional information, refer to the FDA Compliance Program Guidance Manual for Pre-Approval Inspections/Investigations (7346.832) which describes specific responsibilities for CDER scientists and for field investigators. 现行良好生产规范（CGMP）关于“药品容器/封装的控制”的要求在21 CFR的第210和211部分。相关部分的清单请见附件A。另外，关于包装方面的“Compliance Policy Guides达标政策指南”清单请见附件B。本指南关于CGMP的参考文献对本指南有补充作用。更多的信息，请参考“FDA达标项目指南手册”，以指导“批准前检查/调查(7346.832)”，里面描述了CDER科学家和现场检查的具体职责。The FDA requirement for tamper-resistant closures is included in 21 CFR 211.132 and the Consumer Product Safety Commission (CPSC) requirements for child-resistant closures are included in 16 CFR 1700. An outline of these and other applicable regulatory requirements is provided in Attachment A. FDA关于防篡改封装的要求请见21 CFR 211.132，消费者产品安全委员会（CPSC）对“儿童防护封装”的要求请见16 CFR 1700。附件A提供了这些法规要求和其他相应法规要求的要点。The United States Pharmacopeial Convention has established requirements for containers which are described in many of the drug product monographs in The United States Pharmacopeia/National Formulary (USP/NF). For capsules and tablets, these requirements generally relate to the design characteristics of the container (e.g., tight, well-closed or light-resistant). For injectable products, materials of construction are also addressed (e.g., Preserve in single-dose or in multiple-dose containers, preferably of Type I glass, protected from light). These requirements are defined in the General Notices and Requirements (Preservation, Packaging, Storage, and Labeling) section of the USP. The requirements for materials of construction are defined in the General Chapters of the USP (see Attachment A). 美国药典委员会建立了对容器的要求，这在“美国药典/国家处方集（USP/NF）”的各药品专论中进行了描述。对于胶囊和片剂，这些要求通常与容器的设计特征有关（例如牢固，密闭良好，或者避光）。对于注射剂产品，还有生产材料的要求（例如，“保存在单次给药或多次给药容器中，最好采用I型玻璃，避光”）。这些要求在美国药典的“通则和要求”（保存，包装，贮存和标签）部分。关于生产材料的要求在美国药典的“总章”（请见附件A）。C. Additional Considerations 其他需要考虑的事项1. Submissions of INDs The packaging information in the chemistry, manufacturing, and controls section of an IND usually includes a brief description of the components, the assembled packaging system and any precautions needed to ensure the protection and preservation of the drug substance and drug product during their use in the clinical trials. For general guidance regarding the container closure system information to be submitted for phase 1 studies, refer to the FDA guidance for industry Content and Format of investigational New Drug Applications(INDs) for Phase 1 Studies of Drugs, Including Well-Characterized, Therapeutic, Biotechnology-derived Products (November 1995). General guidance regarding the container closure system information to be submitted for phase 2 or phase 3 studies will be provided in the FDA guidance for industry INDs for Phase 2 and 3 Studies of Drugs, Including Specified Therapeutic Biotechnology-Derived Products, Chemistry, Manufacturing, and Controls Content and Format, when finalized (draft guidance published April 21, 1999). 2. Submissions on Packaging of a Drug Product by Another Firm a. Contract Packager A contract packager is a firm retained by the applicant to package a drug product. The applicant remains responsible for the quality of the drug product during shipping, storage, and packaging. The information regarding the container closure system used by a contract packager that should be submitted in the CMC section of an application (NDA, ANDA, or BLA), or in a DMF which is referenced in the application, is no different from that which would be submitted if the applicant performed its own packaging operations. If the information is provided in a DMF, then a copy of the letter of authorization (LOA) for the DMF should be provided in the application (see section V.A). b. Repackager8 A repackager is a firm that buys drug product from the drug product manufacturer or distributor and repackages it for sale under a label different from that of the manufacturer. The repackager is responsible for ensuring the quality and stability of the repackaged drug prpoduct. The repackaging operation is required to e in compliance with CGMPs (21 CFR Part 211), and there are limits to the expiration period that may be used with the repackaged product unless the repackager conducts stability studies.9 Packaging qualification information is not required if the repackager uses the same container closure system approved in the original application. All significant phases of the manufacturing and processing of a drug product (including packaging) should be described as part of the CMC section of an application (NDA, ANDA or BLA), or in a DMF referenced in the application. The only exception is the repackaging of solid oral drug products for which an approved application already exists.10 For biologics, repackaging is considered a step in the manufacturing process for which licensing is required (21 CFR 600.3(u) and 601) III. QUALIFICATION AND QUALITY CONTROL OF PACKAGING COMPONENTS包装组件的合格要求以及质量控制a) Introduction 介绍CDER and CBER approve a container closure system to be used in the packaging of a human drug or biologic as part of the application (NDA, ANDA or BLA) for the drug or biologic. A packaging system found acceptable for one drug product is not automatically assumed to be appropriate for another. Each application should contain enough information to show that each proposed container closure system and its components are suitable for its intended use. 药品或生物制品的（NDA, ANDA或BLA）申请时，作为其中一部分的容器/封装系统也由CDER或CBER批准。某个容器/封装系统被批准用于一个药品，并不自动被认定为适用于其他药品。在申请资料中应有充分的信息显示所采用的容器/封装系统和其组件适应这个用途。The type and extent of information that should be provided in an application will depend on the dosage form and the route of administration. For example, the kind of information that should be provided about a packaging system for an injectable dosage form or a drug product for inhalation is often more detailed than that which should be provided about a packaging system for a solid oral dosage form. More detailed information usually should be provided for a liquid-based dosage form than for a powder or a solid, since a liquid-based dosage form is more likely to interact with the packaging components. 申请资料中要提供信息的类型和程度取决于剂型和给药途径。例如，为注射或吸入剂型的包装系统提供的资料往往比固体口服剂型的包装系统所提供的资料要详细。为液体类制剂的包装系统提供的资料要比粉末或固体制剂要多，因为液体类制剂更容易与包装组件相互作用。Table 1 illustrates the correlation between the degree of concern regarding the route of administration with the likelihood of packaging component-dosage form interactions for different classes of drug products. 表1说明了“给药途径的受关注程度”与“各类药品的包装组件-制剂相互作用”之间的关系。Table 1Examples of packaging Concerns for Common Classes of Drug ProductsDegree of Concern Associated with the Route of Administration与给药途径有关的关注程度Likelihood of Packaging Component-Dosage Form Interaction包装组件与制剂相互作用的可能性High高Medium中Low低Highest最高Inhalation Aerosols and Solutions; Injections and Injectable Suspensionsa 吸入性气雾剂和溶液；注射液和注射性悬浮液Sterile Powders and Powders for Injection; Inhalation Powders 无菌粉末和注射用粉末；吸入性粉末High高Ophthalmic Solutions and Suspensions; Transdermal Ointments and Patches; Nasal Aerosols and Sprays眼用溶液和悬浮液；透皮软膏和贴剂；鼻腔气雾剂和喷雾剂Low低Topical Solutions and Suspensions; Topical and Lingual Aerosols; Oral Solutions and Suspensions外用溶液和悬浮液；外用和口腔气雾剂；口服溶液和悬浮液Topical Powders; Oral powders外用粉末；口服粉末Oral Tablets and Oral (Hard and Soft Gelatin) Capsules口服片剂和口服（硬凝胶或软凝胶）胶囊a For the purposes of this table, the term suspension is used to mean a mixture of two immiscible phases (e.g., solid in liquid or liquid in liquid). As such, it encompasses a wide variety of dosage forms such as creams, ointments, gels, and emulsions, as well as suspensions in the pharmaceutical sense. For the purpose of this guidance, container closure systems for the most common types of dosage forms will be discussed in terms of five general categories: Inhalation Drug Products (section III.D); Drug Products for Injection and Ophthalmic Drug Products (Section III.E); Liquid-based Oral and Topical Drug Products and Topical Delivery Systems (section III.F); Solid Oral Dosage Forms and Powders for Reconstitution (section III.G); and Other Dosage Forms (section III.H) 在本指南中，绝大多数类型的制剂的容器/封装系统将按照5种类型讨论，即：吸入性药品（第III.D部分）；注射性药品和眼用药品（第III.E部分）；液体口服和外用药品以及外用给药系统（第III.F部分）；固体口服制剂和待重新溶解的粉末（第III.G部分）；以及其他剂型（第III.H部分）。b) General Considerations 通常要求Suitability refers to the tests and studies used and accepted for the initial qualification of a component or a container closure system for its intended use. Quality control (QC) refers to the tests typically used and accepted to establish that, after the application is approved, the components and the container closure system continue to possess the characteristics established in the suitability studies. The subsections on associated components and secondary components describe the tests and studies for establishing suitability and quality control for these types of components. However, the ultimate proof of the suitability of the container closure system and the packaging process is established by full shelf life stability studies. 适应性是指：为最初确定一个组件或容器/封装系统是否适用于其用途，所采用和接受的试验和研究。质量控制（QC）是指常规使用的试验和被接受的试验，用来证明（申请被批准后）组件和容器/封装系统继续具有在适应性研究中所建立的特征。“相关组件”和“二级组件”两个部分描述了为建立这种类型的组件的适应性和质量控制而进行的试验和研究。但是，容器/封装系统和包装工艺的适应性的最终证据要靠完整的有效期试验研究来建立。i. Suitability for the Intended Use 关于目的用途的适应性Every proposed packaging system should be shown to be suitable for its intended use: it should adequately protect the dosage form; it should be compatible with the dosage form; and it should be composed of materials that are considered safe for use with the dosage form and the route of administration. If the packaging system has a performance feature in addition to containing the product, the assembled container closure system should be shown to function properly. 每一个拟采用的包装系统都应能显示其目的用途的适应性：它必须充分的保护制剂；必须能与制剂相容；在特定的制剂和给药途径下，其组成材料必须安全。如果包装系统除了能盛装产品，还有其功能特征，那么组装后的容器/封装系统应能显示其功能正常发挥。Information intended to establish suitability may be generated by the applicant, by the supplier of the material of construction or the component, or by a laboratory under contract to either the applicant or the firm. An adequately detailed description of the tests, methods, acceptance criteria, reference standards, and validation information for the studies should be provided. The information may be su