USP化学药物质量控制分析方法验证技术指导原则.docx

USP化学药物质量控制分析方法验证技术指导原则.docx

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USP化学药物质量控制分析方法验证技术指导原则

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VALIDATIONOFCOMPENDIALPROCEDURES

Testproceduresforassessmentofthequalitylevelsofpharmaceuticalarticlesaresubjecttovariousrequirements.AccordingtoSection501oftheFederalFood,Drug,andCosmeticAct,assaysandspecificationsinmonographsoftheUnitedStatesPharmacopeiaandtheNationalFormularyconstitutelegalstandards.TheCurrentGoodManufacturingPracticeregulations[21CFR211.194（a）]requirethattestmethods,whichareusedforassessingcomplianceofpharmaceuticalarticleswithestablishedspecifications,mustmeetproperstandardsofaccuracyandreliability.Also,accordingtotheseregulations[21CFR211.194（a）

（2）],usersofanalyticalmethodsdescribedinUSP–NFarenotrequiredtovalidatetheaccuracyandreliabilityofthesemethods,butmerelyverifytheirsuitabilityunderactualconditionsofuse.RecognizingthelegalstatusofUSPandNFstandards,itisessential,therefore,thatproposalsforadoptionofneworrevisedcompendialanalyticalproceduresbesupportedbysufficientlaboratorydatatodocumenttheirvalidity.

Thetextofthisinformationchapterharmonizes,totheextentpossible,withtheTripartiteInternationalConferenceonHarmonization（ICH）documentsValidationofAnalyticalProceduresandtheMethodologyextensiontext,whichareconcernedwithanalyticalproceduresincludedaspartofregistrationapplicationssubmittedwithintheEC,Japan,andtheUSA.

SUBMISSIONSTOTHECOMPENDIA

SubmissionstothecompendiaforneworrevisedanalyticalproceduresshouldcontainsufficientinformationtoenablemembersoftheUSPCouncilofExpertsanditsExpertCommitteestoevaluatetherelativemeritofproposedprocedures.Inmostcases,evaluationsinvolveassessmentoftheclarityandcompletenessofthedescriptionoftheanalyticalprocedures,determinationoftheneedfortheprocedures,anddocumentationthattheyhavebeenappropriatelyvalidated.Informationmayvarydependinguponthetypeofmethodinvolved.However,inmostcasesasubmissionwillconsistofthefollowingsections.

Rationale—Thissectionshouldidentifytheneedfortheprocedureanddescribethecapabilityofthespecificprocedureproposedandwhyitispreferredoverothertypesofdeterminations.Forrevisedprocedures,acomparisonshouldbeprovidedoflimitationsofthecurrentcompendialprocedureandadvantagesofferedbytheproposedprocedure.

ProposedAnalyticalProcedure—Thissectionshouldcontainacompletedescriptionoftheanalyticalproceduresufficientlydetailedtoenablepersons“skilledintheart”toreplicateit.Thewrite-upshouldincludeallimportantoperationalparametersandspecificinstructionssuchaspreparationofreagents,performanceofsystemsuitabilitytests,descriptionofblanksused,precautions,andexplicitformulasforcalculationoftestresults.

DataElements—Thissectionshouldprovidethoroughandcompletedocumentationofthevalidationoftheanalyticalprocedure.Itshouldincludesummariesofexperimentaldataandcalculationssubstantiatingeachoftheapplicableanalyticalperformancecharacteristics.Thesecharacteristicsaredescribedinthefollowingsection.

VALIDATION

Validationofananalyticalprocedureistheprocessbywhichitisestablished,bylaboratorystudies,thattheperformancecharacteristicsoftheproceduremeettherequirementsfortheintendedanalyticalapplications.TypicalanalyticalperformancecharacteristicsthatshouldbeconsideredinthevalidationofthetypesofproceduresdescribedinthisdocumentarelistedinTable1.Becauseopinionsmaydifferwithrespecttoterminologyanduse,eachoftheperformancecharacteristicsisdefinedinthenextsectionofthischapter,alongwithadelineationofatypicalmethodormethodsbywhichitmaybemeasured.Thedefinitionsreferto“testresults.”Thedescriptionoftheanalyticalprocedureshoulddefinewhatthetestresultsfortheprocedureare.AsnotedinISO5725-1and3534-1,atestresultis“thevalueofacharacteristicobtainedbycarryingoutaspecifiedtestmethod.Thetestmethodshouldspecifythatoneoranumberofindividualmeasurementsbemade,andtheiraverage,oranotherappropriatefunction（suchasthemedianorthestandarddeviation）,bereportedasthetestresult.Itmayalsorequirestandardcorrectionstobeapplied,suchascorrectionofgasvolumestostandardtemperatureandpressure.Thus,atestresultcanbearesultcalculatedfromseveralobservedvalues.Inthesimplecase,thetestresultistheobservedvalueitself.”Atestresultalsocanbe,butneednotbe,thefinal,reportablevaluethatwouldbecomparedtotheacceptancecriteriaofaspecification.Validationofphysicalpropertymethodsmayinvolvetheassessmentofchemometricmodels.However,thetypicalanalyticalcharacteristicsusedinmethodvalidationcanbeappliedtothemethodsderivedfromtheuseofthechemometricmodels.

Theeffectsofprocessingconditionsandpotentialforsegregationofmaterialsshouldbeconsideredwhenobtainingarepresentativesampletobeusedforvalidationofprocedures.

Table1.TypicalAnalyticalCharacteristics

UsedinMethodValidation

Accuracy

Precision

Specificity

DetectionLimit

QuantitationLimit

Linearity

Range

Robustness

Inthecaseofcompendialprocedures,revalidationmaybenecessaryinthefollowingcases:

asubmissiontotheUSPofarevisedanalyticalprocedure;ortheuseofanestablishedgeneralprocedurewithanewproductorrawmaterial（seebelowinDataElementsRequiredforValidation）.

TheICHdocumentsgiveguidanceonthenecessityforrevalidationinthefollowingcircumstances:

changesinthesynthesisofthedrugsubstance;changesinthecompositionofthedrugproduct;andchangesintheanalyticalprocedure.

Chapter

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isintendedtoprovideinformationthatisappropriatetovalidateawiderangeofcompendialanalyticalprocedures.ThevalidationofcompendialproceduresmayusesomeorallofthesuggestedtypicalanalyticalcharacteristicsusedinmethodvalidationasoutlinedinTable1andcategorizedbytypeofanalyticalmethodinTable2.ForsomecompendialproceduresthefundamentalprinciplesofvalidationmayextendbeyondcharacteristicssuggestedinChapter

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.Fortheseprocedurestheuserisreferredtotheindividualcompendialchapterforthosespecificanalyticalvalidationcharacteristicsandanyspecificvalidationrequirements.

AnalyticalPerformanceCharacteristics

accuracy

Definition—Theaccuracyofananalyticalprocedureistheclosenessoftestresultsobtainedbythatproceduretothetruevalue.Theaccuracyofananalyticalprocedureshouldbeestablishedacrossitsrange.[Anoteonterminology:

Thedefinitionofaccuracyin

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andICHQ2correspondstounbiasednessonly.IntheInternationalVocabularyofMetrology（VIM）anddocumentsoftheInternationalOrganizationforStandardization（ISO）,“accuracy”hasadifferentmeaning.InISO,accuracycombinestheconceptsofunbiasedness（termed“trueness”）andprecision.]

Determination—Inthecaseoftheassayofadrugsubstance,accuracymaybedeterminedbyapplicationoftheanalyticalproceduretoananalyteofknownpurity（e.g.,aReferenceStandard）orbycomparisonoftheresultsoftheprocedurewiththoseofasecond,well-characterizedprocedure,theaccuracyofwhichhasbeenstatedordefined.

Inthecaseoftheassayofadruginaformulatedproduct,accuracymaybedeterminedbyapplicationoftheanalyticalproceduretosyntheticmixturesofthedrugproductcomponentstowhichknownamountsofanalytehavebeenaddedwithintherangeoftheprocedure.Ifitisnotpossibletoobtainsamplesofalldrugproductcomponents,itmaybeacceptableeithertoaddknownquantitiesoftheanalytetothedrugproduct（i.e.,“tospike”）ortocompareresultswiththoseofasecond,well-characterizedprocedure,theaccuracyofwhichhasbeenstatedordefined.

Inthecaseofquantitativeanalysisofimpurities,accuracyshouldbeassessedonsamples（ofdrugsubstanceordrugproduct）spikedwithknownamountsofimpurities.Whereitisnotpossibletoobtainsamplesofcertainimpuritiesordegradationproducts,resultsshouldbecomparedwiththoseobtainedbyanindependentprocedure.Intheabsenceofotherinformation,itmaybenecessarytocalculatetheamountofanimpuritybasedoncomparisonofitsresponsetothatofthedrugsubstance;theratiooftheresponsesofequalamountsoftheimpurityandthedrugsubstance（relativeresponsefactor）shouldbeusedifknown.

Accuracyiscalculatedasthepercentageofrecoverybytheassayoftheknownaddedamountofanalyteinthesample,orasthedifferencebetweenthemeanandtheacceptedtruevalue,togetherwithconfidenceintervals.

TheICHdocumentsrecommendthataccuracyshouldbeassessedusingaminimumofninedeterminationsoveraminimumofthreeconcentrationlevels,coveringthespecifiedrange（i.e.,threeconcentrationsandthreereplicatesofeachconcentration）.

Assessmentofaccuracycanbeaccomplishedinavarietyofways,includingevaluatingtherecoveryoftheanalyte（percentrecovery）acrosstherangeoftheassay,orevaluatingthelinearityoftherelationshipbetweenestimatedandactualconcentrations.Thestatisticallypreferredcriterionisthattheconfidenceintervalfortheslopebecontainedinanintervalaround1.0,oralternatively,thattheslopebecloseto1.0.Ineithercase,theintervalorthedefinitionofclosenessshouldbespecifiedinthevalidationprotocol.Theacceptancecriterionwilldependontheassayanditsvariabilityandontheproduct.Settinganacceptancecriterionbasedonthelackofstatisticalsignificanceofthetestofthenullhypothes