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1、欧盟GMP附录15：确认与验证(修订版英文+中文)EUROPEAN COMMISSIONENTERPRISEDIRECTORATE-GENERALSingle market， regulatory environment, industries under vertical legislationPharmaceuticals and cosmeticsBrussels，30 March 2015EudraLex欧盟药品管理法Volume 4EU Guidelines forGood Manufacturing Practice forMedicinal Products for Human
2、and Veterinary Use第四卷 欧盟人用和兽用药品GMP指南Annex 15: Qualification and Validation附录15：确认和验证Legal basis for publishing the detailed guidelines:Article 47 of Directive 2001/83/EC on the Community code relating to medicinal products for human use and Article 51 of Directive 2001/82/EC on the Community code re
3、lating to veterinary medicinal products. This document provides guidance for the interpretation of the principles and guidelines of good manufacturing practice (GMP) for medicinal products as laid down in Directive 2003/94/EC for medicinal products for human use and Directive 91/412/EEC for veterina
4、ry use。发布该细化指南的法律依据：人用药物欧共体法案指令2001/83/EC第47章和兽用药物欧共体法案指令2001/82/EC第51章.本文件为人药GMP指令2003/94/EC以及兽药GMP指令91/412/EEC的原则和指南提供诠释。Status of the document： Revision文件状态:修订版Reasons for changes：Since Annex 15 was published in 2001 the manufacturing and regulatory environment has changed significantly and an up
5、date is required to this Annex to reflect this changed environment. This revision to Annex 15 takes into account changes to other sections of the EudraLex, Volume 4， Part I, relationship to Part II, Annex 11, ICH Q8， Q9, Q10 and Q11, QWP guidance on process validation, and changes in manufacturing t
6、echnology.变更原因:从2001年附录15发布以后，制药生产和法规环境都有了显著变化，需要相应的更新来反映变化的环境.本文对附录15所做的修订考虑了欧盟法规第四卷第一部分质量管理和第二部分活性物质作起始物料以及附录11计算机化系统的验证、ICH Q8药物研发、ICH Q9质量风向管理、ICH Q11药物研发和生产、质量工作组的工艺验证指南和生产技术的变化。Deadline for coming into operation:1 October 2015最终实施日期:2015年10月1日第 11 页 共32 页目 录原则2概述31。确认和验证的组织和计划32。文件,包括验证主计划53.设
7、备、设施、公用工程和系统的确认阶段75.工艺验证106。运输确认197.包装验证208。公用工程的确认209。检验方法验证2110.清洁验证2111。变更控制2512.词汇表26PrincipleThis Annex describes the principles of qualification and validation which are applicable to the facilities， equipment， utilities and processes used for the manufacture of medicinal products and may also
8、 be used as supplementary optional guidance for active substances without introduction of additional requirements to EudraLex, Volume 4, Part II. It is a GMP requirement that manufacturers control the critical aspects of their particular operations through qualification and validation over the life
9、cycle of the product and process。 Any planned changes to the facilities, equipment， utilities and processes, which may affect the quality of the product， should be formally documented and the impact on the validated status or control strategy assessed。 Computerised systems used for the manufacture o
10、f medicinal products should also be validated according to the requirements of Annex 11. The relevant concepts and guidance presented in ICH Q8, Q9, Q10 and Q11 should also be taken into account。原则本附录描述了确认与验证的基本原则，适用于药品生产中的设施、设备、公用系统及工艺,也可以用于第四卷第二部分活性物质作起始物料的附加要求中没有介绍部分的补充性、选择性指南。GMP要求生产商应通过确认和验证对整个
11、生命周期内的产品和工艺涉及的关键操作中的关键因素来进行控制。所有影响产品质量的计划性变更(含设施、设备、工艺系统和工艺），都应当有正式文件或记录，并评估其对验证状态或是控制策略的影响.用于药品生产的计算机化系统也应根据附录11的要求进行验证.同时，应当考虑现行的ICH Q8、Q9、Q10、Q11中的相关理念和指南要求。General A quality risk management approach should be applied throughout the lifecycle of a medicinal product. As part of a quality risk mana
12、gement system， decisions on the scope and extent of qualification and validation should be based on a justified and documented risk assessment of the facilities, equipment, utilities and processes。 Retrospective validation is no longer considered an acceptable approach. Data supporting qualification
13、 and/or validation studies which were obtained from sources outside of the manufacturers own programmes may be used provided that this approach has been justified and that there is adequate assurance that controls were in place throughout the acquisition of such data.概述质量风险管理的方法应作为质量风险管理系统的一部分贯穿于药品的
14、整个生命周期，应基于对设施、设备、公用系统和工艺的论证和书面风险评估决定确认和验证的范围和程度。回顾性验证不再被认为是可接受的方式。如果方法经过论证,并且获取数据的整个过程中有足够的保证性控制措施,也可以使用从生产商自身程序以外获得的用于支持确认和/或验证研究的数据。1。 ORGANISING AND PLANNING FOR QUALIFICATION AND VALIDATION1. 确认和验证的组织和计划1.1.All qualification and validation activities should be planned and take the life cycle of
15、facilities， equipment， utilities, process and product into consideration。1.1. 所有的确认和验证都应当被计划，并考虑到设施、设备、公用系统、工艺和产品的生命周期。1。2。Qualification and validation activities should only be performed by suitably trained personnel who follow approved procedures。1.2. 确认和验证活动应只能由经过培训合格的人员严格按照批准的程序实施。1.3。Qualificat
16、ion/validation personnel should report as defined in the pharmaceutical quality system although this may not necessarily be to a quality management or a quality assurance function. However， there should be appropriate quality oversight over the whole validation life cycle.1.3. 确认或验证人员应按照药品质量体系中指定要求进行报告,尽管并不一定是报告给质量管理或质量保证部门。然而,对于整个验证生命周期来说,应
