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1、WHO第961号技术报告 附件7 药物生产技术转移指南World Health OrganizationWHO Technical Report Series, No. 961, 2011WHO第961号技术报告 附件7 药物生产技术转移指南Annex 7附件7WHO guidelines on transfer of technology in pharmaceutical manufacturingWHO药物生产技术转移指南1. Introduction介绍2. Scope范围3. Glossary术语4. Organization and management组织和管理5. Produc
2、tion: transfer (processing, packaging and cleaning)生产：转移（工艺、包装和清洁）6. Quality control: analytical method transfer质量控制：分析方法转移7. Premises and equipment厂房设施和设备8. Documentation文件9. Qualification and validation确认和验证References参考文献1.Introduction介绍These guiding principles on transfer of technology are intend
3、ed to serve as a framework which can be applied in a flexible manner rather than as strict rigid guidance. Focus has been placed on the quality aspects, in line with WHOs mandate.本指南中关于技术转移的原则意在作为一个框架，以不同方式应用，而不是一个需要严格遵守的指南。指南重点在于质量方面，与WHO的任务一致。1.1 Transfer of processes to an alternative site occurs
4、 at some stage in the life-cycle of most products, from development, scale-up, manufacturing, production and launch, to the post-approval phase.将工艺转移至一个可替代的场所发生在大多数产品的生命周期的某些阶段，从研发、放大、生产、到上市后阶段。1.2 Transfer of technology is defined as “a logical procedure that controls the transfer of any process to
5、gether with its documentation and professional expertise between development and manufacture or between manufacture sites”. It is a systematic procedure that is followed in order to pass the documented knowledge and experience gained during development and or commercialization to an appropriate, res
6、ponsible and authorized party.技术转移被定义为“控制研发方和生产方，或两个生产场所之间所有工艺文件和专业技术转移的逻辑程序”。技术转移是一个系统性的程序，遵守该程序是为了能将在研发过程中已记录的知识和经验转移给一个适当的，承担责任的经过授权的主体方。Technology transfer embodies both the transfer of documentation and the demonstrated ability of the receiving unit (RU) to effectively perform the critical elem
7、ents of the transferred technology, to the satisfaction of all parties and any applicable regulatory bodies.技术转移包括文件转移和接收单位的重现能力，以使用得转移技术的关键要素得以有效实施，满足参与各方和所有适用法规的要求。1.3 Literature searches revealed little information on the subject originating from national or regional regulatory bodies. Guidance o
8、n intracompany transfers was prepared by the International Society for Pharmaceutical Engineering (ISPE) (1).文献查阅显示来自于国家或地区药监部门关于本主题的信息非常少。ISPE（I）有一份关于跨公司转移指南。1.4 The ever changing business strategies of pharmaceutical companies increasingly involve intra- and intercompany transfers of technology fo
9、r reasons such as the need for additional capacity, relocation of operations or consolidations and mergers. The WHO Expert Committee on Specifications for Pharmaceutical Preparations, therefore, recommended in its forty second report that WHO address this issue through preparation of WHO guidelines
10、on this matter (2).制药企业的经营策略导致在公司间、公司内进行技术转移日益增加，原因各种各样，例如增加产能的需求、寻求新的生产场所、合并和收购。因此，WHO制剂质量标准专家委员会在WHO第42期报告中对制剂的WHO指南中阐述了对此问题的推荐。1.5 Transfer of technology requires a documented, planned approach using trained and knowledgeable personnel working within a quality system, with documentation of data c
11、overing all aspects of development, production and quality control. Usually there is a sending unit (SU), a receiving unit and the unit managing the process, which may or may not be a separate entity. For “contract manufacturing” please see good manufacturing practices (GMP) (3).技术转移需要一种记录的计划方式，人员应经
12、过培训、有知识背景，在一个质量体系下工作，数据记录应覆盖研发、生产和质量控制各方面。一般会有一个转出方(SU)，一个接收方和管理工艺的单位。管理工艺的单位可以是一个独立的主体，也可不是。关于“合同制造”，请参见GMP（3）。1.6 For the transfer to be successful, the following general principles and requirements should be met:为使转移成功，应符合以下一般原则和要求lthe project plan should encompass the quality aspects of the proj
13、ect and be based upon the principles of quality risk management;项目计划应基于质量风险管理，对项目的质量方面起到指导作用lthe capabilities of the SU and at the RU should be similar, but not necessarily identical, and facilities and equipment should operate according to similar operating principles;接收单位和转出单位的产能应相似，但不是必须的，设施和设备应根
14、据相似的操作原则进行操作la comprehensive technical gap analysis between the SU and RU including technical risk assessment and potential regulatory gaps, should be performed as needed;如有需要，应对转出单位和接收单位进行综合技术差异分析，包括技术风险评估和潜在法规差异ladequately trained staff should be available or should be trained at the RU:接收单位应具有经过充
15、分培训地员工，或培训其员工regulatory requirements in the countries of the SU and the RU, and in any countries where the product is intended to be supplied, should be taken into account and interpreted consistently throughout any transfer programme project; and接收单位和转出单位的所在国法规要求，以及任何该产品将要销售的国家的法规要求，均应进行考虑，并在整个转移程序项目期间有一致的解释there should be effective process and product knowledge transfer.工艺和产品知识转移应有效果1.7 Technology transfer can be considered successful if there is documented evidence that the RU can routinely reproduce the transferred product, pr
