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1、UPS 管理制度（暂行）页脚内容1 1225 VALIDATION OF COMPENDIAL PROCEDURES Test procedures for assessment of the quality levels of pharmaceutical articles are subject to various requirements.According to Section 501 of the Federal Food,Drug,and Cosmetic Act,assays and specifications in monographs of the United Stat
2、es Pharmacopeia and the National Formulary constitute legal standards.The Current Good Manufacturing Practice regulations 21 CFR 211.194(a)require that test methods,which are used for assessing compliance of pharmaceutical articles with established specifications,must meet proper standards of accura
3、cy and reliability.Also,according to these regulations 21 CFR 211.194(a)(2),users of analytical methods described in USPNF are not required to validate the accuracy and reliability of these methods,but merely verify their suitability under actual conditions of use.Recognizing the legal status of USP
4、 and NF standards,it is essential,therefore,that proposals for adoption of new or revised compendial analytical procedures be supported by sufficient laboratory data to document their validity.The text of this information chapter harmonizes,to the extent possible,with the Tripartite International Co
5、nference on Harmonization(ICH)documents Validation of Analytical Procedures and the Methodology extension text,which are concerned with analytical procedures included as part of registration applications submitted within the EC,Japan,and the USA.SUBMISSIONS TO THE COMPENDIA Submissions to the compen
6、dia for new or revised analytical procedures should contain sufficient information to enable members of the USP Council of Experts and its Expert Committees to evaluate the relative merit of proposed procedures.In most cases,evaluations involve assessment of the clarity and completeness of the descr
7、iption of the analytical procedures,determination of the need for the procedures,and documentation that they have been appropriately validated.Information may vary depending upon the type of method involved.However,in most cases a submission will consist of the following sections.Rationale This sect
8、ion should identify the need for the procedure and describe the capability of the specific procedure proposed and why it is preferred over other types of determinations.For revised procedures,a comparison should be provided of limitations of the current compendial procedure and advantages offered by
9、 the proposed procedure.Proposed Analytical Procedure This section should contain a complete description of the analytical procedure sufficiently detailed to enable persons“skilled in the art”to replicate it.The write-up should include all important operational parameters and specific instructions s
10、uch as preparation of reagents,performance of system suitability tests,description of blanks used,precautions,and explicit formulas for calculation of test results.Data Elements This section should provide thorough and complete documentation of the validation of the analytical procedure.It should in
11、clude summaries of experimental data and calculations substantiating each of the applicable analytical performance characteristics.These characteristics are described in the following section.UPS 管理制度（暂行）页脚内容2 VALIDATION Validation of an analytical procedure is the process by which it is established
12、,by laboratory studies,that the performance characteristics of the procedure meet the requirements for the intended analytical applications.Typical analytical performance characteristics that should be considered in the validation of the types of procedures described in this document are listed in T
13、able 1.Because opinions may differ with respect to terminology and use,each of the performance characteristics is defined in the next section of this chapter,along with a delineation of a typical method or methods by which it may be measured.The definitions refer to“test results.”The description of
14、the analytical procedure should define what the test results for the procedure are.As noted in ISO 5725-1 and 3534-1,a test result is“the value of a characteristic obtained by carrying out a specified test method.The test method should specify that one or a number of individual measurements be made,
15、and their average,or another appropriate function(such as the median or the standard deviation),be reported as the test result.It may also require standard corrections to be applied,such as correction of gas volumes to standard temperature and pressure.Thus,a test result can be a result calculated f
16、rom several observed values.In the simple case,the test result is the observed value itself.”A test result also can be,but need not be,the final,reportable value that would be compared to the acceptance criteria of a specification.Validation of physical property methods may involve the assessment of
17、 chemometric models.However,the typical analytical characteristics used in method validation can be applied to the methods derived from the use of the chemometric models.The effects of processing conditions and potential for segregation of materials should be considered when obtaining a representati
18、ve sample to be used for validation of procedures.Table 1.Typical Analytical Characteristics Used in Method Validation Accuracy Precision Specificity Detection Limit Quantitation Limit Linearity Range Robustness UPS 管理制度（暂行）页脚内容3 In the case of compendial procedures,revalidation may be necessary in
19、the following cases:a submission to the USP of a revised analytical procedure;or the use of an established general procedure with a new product or raw material(see below in Data Elements Required for Validation).The ICH documents give guidance on the necessity for revalidation in the following circu
20、mstances:changes in the synthesis of the drug substance;changes in the composition of the drug product;and changes in the analytical procedure.Chapter 1225 is intended to provide information that is appropriate to validate a wide range of compendial analytical procedures.The validation of compendial
21、 procedures may use some or all of the suggested typical analytical characteristics used in method validation as outlined in Table 1 and categorized by type of analytical method in Table 2.For some compendial procedures the fundamental principles of validation may extend beyond characteristics sugge
22、sted in Chapter 1225.For these procedures the user is referred to the individual compendial chapter for those specific analytical validation characteristics and any specific validation requirements.Analytical Performance Characteristics accuracy Definition The accuracy of an analytical procedure is
23、the closeness of test results obtained by that procedure to the true value.The accuracy of an analytical procedure should be established across its range.A note on terminology:The definition of accuracy in 1225 and ICH Q2 corresponds to unbiasedness only.In the International Vocabulary of Metrology(
24、VIM)and documents of the International Organization for Standardization(ISO),“accuracy”has a different meaning.In ISO,accuracy combines the concepts of unbiasedness(termed“trueness”)and precision.Determination In the case of the assay of a drug substance,accuracy may be determined by application of
25、the analytical procedure to an analyte of known purity(e.g.,a Reference Standard)or by comparison of the results of the procedure with those of a second,well-characterized procedure,the accuracy of which has been stated or defined.In the case of the assay of a drug in a formulated product,accuracy m
26、ay be determined by application of the analytical procedure to synthetic mixtures of the drug product components to which known amounts of analyte have been added within the range of the procedure.If it is not possible to obtain samples of all drug product components,it may be acceptable either to a
27、dd known quantities of the analyte to the drug product(i.e.,“to spike”)or to compare results with those of a second,well-characterized procedure,the accuracy of which has been stated or defined.In the case of quantitative analysis of impurities,accuracy should be assessed on samples(of drug substanc
28、e or drug product)spiked with known amounts of impurities.Where it is not possible to obtain samples of certain impurities or degradation products,results should be compared with those obtained by an independent procedure.In the absence of other information,it may be necessary to UPS 管理制度（暂行）页脚内容4 c
29、alculate the amount of an impurity based on comparison of its response to that of the drug substance;the ratio of the responses of equal amounts of the impurity and the drug substance(relative response factor)should be used if known.Accuracy is calculated as the percentage of recovery by the assay o
30、f the known added amount of analyte in the sample,or as the difference between the mean and the accepted true value,together with confidence intervals.The ICH documents recommend that accuracy should be assessed using a minimum of nine determinations over a minimum of three concentration levels,cove
31、ring the specified range(i.e.,three concentrations and three replicates of each concentration).Assessment of accuracy can be accomplished in a variety of ways,including evaluating the recovery of the analyte(percent recovery)across the range of the assay,or evaluating the linearity of the relationsh
32、ip between estimated and actual concentrations.The statistically preferred criterion is that the confidence interval for the slope be contained in an interval around 1.0,or alternatively,that the slope be close to 1.0.In either case,the interval or the definition of closeness should be specified in
33、the validation protocol.The acceptance criterion will depend on the assay and its variability and on the product.Setting an acceptance criterion based on the lack of statistical significance of the test of the null hypothesis that the slope is 1.0 is not an acceptable approach.Accuracy of physical p
34、roperty methods may be assessed through the analysis of standard reference materials,or alternatively,the suitability of the above approaches may be considered on a case-by-case basis.precision Definition The precision of an analytical procedure is the degree of agreement among individual test resul
35、ts when the procedure is applied repeatedly to multiple samplings of a homogeneous sample.The precision of an analytical procedure is usually expressed as the standard deviation or relative standard deviation(coefficient of variation)of a series of measurements.Precision may be a measure of either t
36、he degree of reproducibility or of repeatability of the analytical procedure under normal operating conditions.In this context,reproducibility refers to the use of the analytical procedure in different laboratories,as in a collaborative study.Intermediate precision(also known as ruggedness)expresses
37、 within-laboratory variation,as on different days,or with different analysts or equipment within the same laboratory.Repeatability refers to the use of the analytical procedure within a laboratory over a short period of time using the same analyst with the same equipment.Determination The precision
38、of an analytical procedure is determined by assaying a sufficient number of aliquots of a homogeneous sample to be able to calculate statistically valid estimates of standard deviation or relative standard deviation(coefficient of variation).Assays in this context are independent analyses of samples
39、 that have been carried through the complete analytical procedure from sample preparation to final test result.The ICH documents recommend that repeatability should be assessed using a minimum of nine determinations covering the specified range for the procedure(i.e.,three concentrations and three U
40、PS 管理制度（暂行）页脚内容5 replicates of each concentration)or using a minimum of six determinations at 100%of the test concentration.specificity Definition The ICH documents define specificity as the ability to assess unequivocally the analyte in the presence of components that may be expected to be present,
41、such as impurities,degradation products,and matrix components.Lack of specificity of an individual analytical procedure may be compensated by other supporting analytical procedures.NoteOther reputable international authorities(IUPAC,AOAC-I)have preferred the term“selectivity,”reserving“specificity”f
42、or those procedures that are completely selective.For the tests discussed below,the above definition has the following implications:Identification Tests:ensure the identity of the analyte.Purity Tests:ensure that all the analytical procedures performed allow an accurate statement of the content of i
43、mpurities of an analyte(e.g.,related substances test,heavy metals limit,organic volatile impurities).Assays:provide an exact result,which allows an accurate statement on the content or potency of the analyte in a sample.Determination In the case of qualitative analyses(identification tests),the abil
44、ity to select between compounds of closely related structure that are likely to be present should be demonstrated.This should be confirmed by obtaining positive results(perhaps by comparison to a known reference material)from samples containing the analyte,coupled with negative results from samples
45、that do not contain the analyte and by confirming that a positive response is not obtained from materials structurally similar to or closely related to the analyte.In the case of analytical procedures for impurities,specificity may be established by spiking the drug substance or product with appropr
46、iate levels of impurities and demonstrating that these impurities are determined with appropriate accuracy and precision.In the case of the assay,demonstration of specificity requires that it can be shown that the procedure is unaffected by the presence of impurities or excipients.In practice,this c
47、an be done by spiking the drug substance or product with appropriate levels of impurities or excipients and demonstrating that the assay result is unaffected by the presence of these extraneous materials.If impurity or degradation product standards are unavailable,specificity may be demonstrated by
48、comparing the test results of samples containing impurities or degradation products to a second well-characterized procedure(e.g.,a Pharmacopeial or other validated procedure).These comparisons should include samples stored under relevant stress conditions(e.g.,light,heat,humidity,acid/base hydrolys
49、is,and oxidation).In the case of the assay,the results should be compared;in the case of chromatographic impurity tests,the impurity profiles should be compared.The ICH documents state that when chromatographic procedures are used,representative chromatograms should be presented to demonstrate the d
50、egree of selectivity,and peaks should be appropriately UPS 管理制度（暂行）页脚内容6 labeled.Peak purity tests(e.g.,using diode array or mass spectrometry)may be useful to show that the analyte chromatographic peak is not attributable to more than one component.For validation of specificity for qualitative and