Completeness Assessments for Type II API DMFs Under GDUFA
根据GDUFA的II类原料药DMF完整性评估
行业指南
I. INTRODUCTION
This guidance is intended for holders of Type II active pharmaceutical ingredient (API) drug master files (DMFs) that are or will be referenced in an abbreviated new drug application (ANDA), an amendment to an ANDA, a prior approval supplement (PAS) to an ANDA, or an amendment to a PAS (generic drug submissions). The guidance explains that, as of October 1, 2012, under the Generic Drug User Fee Amendments of 2012, commonly referred to as GDUFA[2]:2
本指南意在指导已经或将要被简略新药申报（ANDA）、ANDA增补、ANDA预批准增补（PAS）或对PAS（仿制药申报）所引用的II类活性物质（API）药物主文件（DMF）持有人。指南解释了按照2012年10月1日起实施的仿制药收费法案，通常称为GDUFA：
lDMF holders are required to pay a DMF fee when first authorizing the reference of their DMF in a generic application[3]3
lDMF持有人需要为仿制药申报对其DMF的首次授权引用支持DMF费用
lType II API DMFs must undergo an FDA completeness assessment (CA)
lII类原料药DMF必须接受FDA完整性评估（CA）
The guidance makes recommendations about the information that should be included in the DMF to facilitate a GDUFA CA. The guidance does not apply to Type II API DMFs used to support new drug applications (NDAs), biologics license applications (BLAs)[4],4other submissions that are not generic drug submissions, or any other types of DMFs[5].5
指南给出了应包括在DMF里以便进行GDUFA完整性评估的内容。指南并不适用于支持新药申报（NDA）、生物制品许可申报（BLA）和其它非仿制药申报的II类原料药DMF，以及其它类型的DMF。
In general, FDA’s guidance documents do not establish legally enforceable responsibilities. Instead, guidances describe the Agency’s current thinking on a topic and should be viewed only as recommendations, unless specific regulatory or statutory requirements are cited. The use of the wordshouldin Agency guidances means that something is suggested or recommended, but not required.
一般来说，FDA的指南文件并不会建立法律强制责任。指南只是描述药监机构当前对一个问题的想法，除了对法规或法律要求的引用外，应仅被看作是建议。单词SHOULD在官方指南中表示建议或推荐，并不是强制。
II. BACKGROUND
Under GDUFA, beginning October 1, 2012, the holder of a Type II API DMF must pay a onetime DMF fee when the DMF is first referenced in a generic drug submission submitted to FDA on the basis of a letter of authorization (LOA) from the DMF holder[6].6Also under GDUFA, holders of Type II API DMFs that were evaluatedbeforeOctober 1, 2012, must pay a one-time fee for the DMF when their DMF is first referenced in a new ANDA, an ANDA or PAS amendment, or an ANDA PAS on or after October 1, 2012[7].7Only Type II API DMFs for use in generic drug submissions incur this one-time fee.
根据2012年10月1日开始实施的GDUFA，当DMF首次被提交给FDA的仿制药申报根据DMF持有人出具的授权信（LOA）所引用时，II类原料药DMF持有人必须支持一次性DMF费用。还有，根据GDUFA，如果II类原料药DMF在2012年10月1日之前已被评审过了，在2012年10月1日之后，其首次被简略新药申报（ANDA）、ANDA增补、ANDA预批准增补（PAS）或对PAS（仿制药申报）所引用时，必须支付一次性DMF费用。只有在仿制药申报中使用的II类原料药DMF才需要缴纳此一性费用。
Under GDUFA, Type II API DMFs intended for reference in a generic drug submission for which the fee is paid will undergo a CA. Section 744B(a)(2)(D)(iii) of the FD&C Act requires FDA to make publicly available on its Web site a list of DMF numbers that correspond to DMFs that, having successfully undergone a CA in accordance with criteria to be published by FDA, are available for reference.
根据GDUFA，需要被仿制药申报所引用的II类原料药DMF在付费后，需要经过CA。FD&C法案的744B(a)(2)(D)(iii)部分要求FDA在其网站上公开一份DMF编号清单，这些DMF已成功通过根据FDA公布的标准所进行的CA，可以被引用。
Although the requirement for a CA for Type II API DMFs is new, FDA has previously evaluated DMFs in accordance with the criteria set out in the GDUFA Completeness Assessment Checklist for Type II API DMFs (CA Checklist), attached to this guidance as Appendix 1. In order to ensure adequate time for the CA, FDA strongly encourages the DMF holder to submit a complete DMF and pay the DMF fee at least 6 months prior to the submission of an ANDA or PAS that will rely on the DMF. When submitting a DMF, the DMF holder should also submit Form FDA 3794, the Generic Drug User Fee Cover Sheet, which includes the minimum information necessary for FDA to determine whether a DMF holder has satisfied all relevant user fee obligations[8].8
尽管II类原料药DMF的CA要求是新的，但FDA之前已根据II类原料药DMF的GDUFA完整性评估清单（CA Checklist）中设定的标准对DMF进行了评估，该清单附在本指南中作为附录1.为了确保有足够的时间进行CA，FDA强烈建议DMF持有人提交完整的DMF，并在引用该DMF的ANDA或PAS提交之前6个月内支持DMF费用，DMF持有人还并提交FDA3794表格，仿制药用户费用封面表，其中含有FDA决定DMF持有人是否满足所有相关用户费用义务所必须的基本信息。
DMF holders are encouraged to submit their DMFs using the Electronic Common Technical Document (eCTD) format[9].9More information is available on the eCTD format on FDA’s Web site[10].10
FDA鼓励DMF持有人采用电子通用技术文档（eCTD）格式提交DMF文件。更多信息可以在FDA官网上找到。
III. COMPLETENESS ASSESSMENT完整性评估
FDA will perform a CA once a DMF holder files a Type II API DMF[11]with the Form FDA 3794 and there is an initial verification of the fee payment. The CA does not replace the full scientific review, which determines whether the information contained in the DMF is adequate to support an ANDA regulatory action.
收到II类原料药DMF及FDA3794表后，FDA会进行CA，首先会确认费用支持情况。CA并不取代全面科学评审，科学评审将决定DMF里所包含的信息是否足以支持ANDA的法规行动。
In brief, FDA will undertake a CA to determine the following:
简要言之，FDA将进行CA以确定：
·Is the DMF active?
·该DMF是否激活？
·Has the fee been paid?
·是否付费？
·Has the DMF been previously reviewed?
·该DMF是否之前被审核过？
·Does the DMF pertain to a single API?
·该DMF是否只含有一个API？
·Does the DMF contain certain administrative information?
·该DMF是否含有特定的行政信息？
·Does the DMF contain all the information necessary to enable a scientific review[12]?
·该DMF是否含有所有进行科学审评所必须的资料？
·Is the DMF written in English[13]?
·该DMF是否以英文写就？
FDA will conduct the CA by determining the answers to a series of questions listed in the CA Checklist, which is included in Appendix 1. DMFs for which the fee has been paid and which have been found complete in accordance with the criteria for a CA set out in the CA Checklist will be identified on FDA’s public Web site as available for reference in support of a generic drug submission.
FDA会实施CA，确定CA检查清单中所列的一系列问题的答案。检查清单见附录1。已支付费用，且根据CA检查清单设定的CA标准经检查认为完整的DMF就会被列在FDA官网上，可以支持仿制药申报。
For complex APIs, in addition to the recommendations in the CA Checklist, DMF holders should ensure the DMF provides the data necessary for the Agency to review the DMF with respect to active ingredient sameness. Information on active ingredient sameness is discussed in the product’s specific bioequivalence (BE) guidance when it becomes available on FDA’s Web site[14].
对于复杂的原料药，除了CA检查清单中的建议外，DMF持有人应确保DMF提供了药监机构审核DMF所必须的数据。活性成分的信息在FDA官网上能找到的药品特定生物等效性（BE）指南中有讨论。
A. Information Confirmed During the Completeness Assessment
FDA will use the CA Checklist to perform the CA. At the top of the cover page of the CA Checklist, FDA will fill in basic information about the DMF, including its name, number, receipt date, and whether the DMF was submitted in electronic or paper format.
FDA将利用CA检查清单进行CA。在CA检查清单封面页最上端，FDA将填写关于DMF的基本信息，包括其名称、编号、收到日期，以及DMF是采用电子提交还是纸质提交。
The FDA will also note whether the primary DMF the ANDA references refers to any other DMFs (subject DMFs). A primary DMF can reference subject DMFs, which provide additional information needed to completely describe the manufacture of an API[15].15Before submitting its DMF, the primary DMF holder should check with the holders of any referenced subject DMFs to make sure the subject DMFs are filed with FDA and FDA still considers them active.
FDA还会注意ANDA引用的基本DMF是否有引用另一个DMF（主题DMF）。基本DMF可以引用主题DMF，其中有提供描述一个完整的原料药生产的额外信息。在提交其DMF之前，基本DMF持有人应与需要引用的所有主题DMF持有人核对，确保主题DMF被提交给FDA，并且FDA仍认为其是激活状态。
1. Is the DMF Active?DMF是否在激活状态？
Before assigning a DMF to a reviewer for a CA, FDA will confirm that the DMF is active[16].16If the primary DMF or any referenced subject DMFs on file at FDA are inactive, FDA will consider the primary DMF incomplete and send a letter notifying the DMF holder.
在给一份DMF指定审核员进行CA之前，FDA会确认DMF是否在激状态。如果基本DMF或任何所引用的主题DMF为非激活状态，则FDA会认为基本DMF不完整，并发送一封通知函告知DMF持有人。
2. Has the DMF fee been paid?是否已支付DMF费用？
Before assigning a DMF to a reviewer for a CA, FDA will confirm that the DMF fee has been paid. If it has not, FDA will not assign the DMF for CA. ANDA applicants that reference a DMF for which a fee is due will be notified that the DMF holder has not paid the fee. If the DMF fee is not paid within 20 days after notification, FDA will refuse to receive the ANDA referencing the DMF.
在给一份DMF指定CA审核员之前，FDA会确认DMF费用是否已缴付。如果没有，则FDA不会给该DMF指定CA审核员。FDA会通知要引用该DMF的ANDA申报人，告知说DMF持有人尚未付费。如果DMF费用在发出通知后20天内仍未支付，则FDA会拒绝接收引用该DMF的ANDA。
3. Has the DMF been previously reviewed for chemistry, manufacturing, and controls (CMC) by FDA in the context of a review of a prior application?在之前的申报审核中，DMF之前是否在FDA已经被合成、生产和控制（CMC）审核过？
If FDA has reviewed the DMF for CMC after November 30, 2007, the DMF will be considered to have passed the CA without further analysis. If the DMF was reviewed for CMC prior to November 30, 2007, a CA assessment will need to be performed. For all DMFs that have not previously received a full CMC review, a CA assessment will need to be performed. If the DMF has not previously received this full review, it will be assigned to a reviewer for a CA.
如果FDA已在2007年11月30日之后对DMF进行过审核，则DMF会被认为通过CA，无需进一步检查。如果DMF在2007年11月30日之前被审核过，则需要进行CA评估。所有之前没有接受过完整的CMC审核的DMF，均将进行CA审核。如果该DMF在之前没有进行过此全面审核，则会为其指定CA审核员进行CA评估。
B. Check of Completeness Assessment Elements
FDA will complete the administrative part of the CA Checklist (i.e., “General Information”) during the CA. If the DMF is incomplete, FDA will send the DMF holder a GDUFA DMF Incomplete Letter. With certain exceptions specified in this guidance document, this letter will provide comments about each element that resulted in an incomplete designation for the CA.
FDA会在CA过程中填写完成CA检查清单的行政部分（即一般信息）。如果DMF不完整，则FDA会给DMF持有人发送一封GDUFA DMF不完整通知函。在此指南文件中期望该信函会提供评估，说明导致CA不完整结论的所有要素。
If an item is marked “n/a” and does not apply to the DMF, the element is treated the same as if it were marked “yes.”
如果一个项目标记为“不适用”，不适用于该DMF，则该要素等同于标记为“是”。
1. Is the subject of the DMF a single API produced by one manufacturing process? DMF是否应该是由一个生产工艺生产出的一个原料药？
The subject of a DMF should be limited to one API and one manufacturing process. If a DMF includes information on more than one API or more than one manufacturing process for an API, the DMF will be deemed incomplete. If the DMF describes multiple APIs, the DMF holder should file separate DMFs for each API. Similarly, if there are multiple manufacturing processes for an API, the DMF holder should file separate DMFs for each manufacturing process.
DMF的标题应限于一个生产工艺的一个原料药。如果一份DMF含有多于1个原料药或一个原料药但多于1个生产工艺的资料，则DMF会被判定为不完整。如果DMF描述了多个原料药，DMF持有人应分别为每个原料药提交DMF。类似地，如果一个原料药有多个生产工艺，则DMF持有人应为每个生产工艺单独提交DMF。
2. Does the DMF holder need to submit a complete update?DMF持有人需要提交一份完整更新吗？
If the DMF is in paper format and it has been five years or more since the DMF received a complete update[17],17or if there have been more than five amendments to the DMF, the DMF holder should provide a complete and comprehensive update to it. If such a DMF has not received an update, FDA will consider the DMF incomplete. The DMF holder must submit a complete update for FDA to determine whether it passes the CA[18].
如果DMF是纸质格式，并且是在五年前或更早时经过全面更新，或者如果对该DMF已有多于五个增补，DMF持有人应提交一份完整的综合更新。如果未提交此DMF更新，则FDA会判定该DMF不完整。DMF持有人必须提交一份完整更新给FDA以决定其是否通过CA。
FDA believes that the remainder of the CA Checklist is self-explanatory.
FDA认为CA检查清单提醒就是自证。
IV. COMPLETENESS ASSESSMENT OUTCOMES
Following the CA, FDA will find the DMF either complete or incomplete.
在CA后，FDA会决定DMF是完整的还是不完整的：
lIf the DMF is found complete, FDA will post the DMF number on a publicly available list on FDA’s Web site to indicate the DMF is available for reference by generic drug submission applicants[19].
l如果DMF是完整的，FDA会将DMF编号公开在FDA网站上公开可查询，显示该DMF现在可以被仿制药申报人引用。
lIf the DMF is found incomplete, the CA findings and comments will be compiled in a GDUFA DMF Incomplete Letter to the DMF holder that explains why the DMF was deemed incomplete. Information about the CA status of a DMF, other than the lack of a public listing on the FDA’s Web site, will not be provided to anyone except the DMF holder and, as necessary, any generic drug submission applicant that the DMF holder has authorized to rely on the DMF.
l如果DMF被认为是不完整的，则CA缺陷和建议会被汇集在GDUFA DMF不完整信函中给DMF持有人，解释为什么DMF被认为不完整。关于DMF的CA状态的信息，除了不会公布的FDA网站外，也不会被提供给DMF持有人以外的任何人，必要时，持有DMF持有人授权的仿制药申报人可以获得此信息。
lTo remedy a GDUFA DMF Incomplete Letter and pass the CA, the DMF holder should submit an amendment to its DMF to correct the deficiencies identified in the Incomplete Letter, or, if FDA has determined that the DMF should undergo a complete update, the DMF holder should resubmit the DMF with that update. FDA will then assess the revised DMF’s completeness. If there are no deficiencies at this time, FDA will declare the DMF to be complete and to have passed the CA.
l为了补救GDUFA的DMF不完整信函，通过CA，DMF持有人应提交一份增补，纠正不完整信函中指出的缺陷，或者如果FDA已决定该DMF需要进行全面更新，则DMF持有人应重新提交更新后的DMF。FDA会再次评估修订后的DMF的完整性。如果此次审核没有缺陷，则FDA会宣布该DMF已完整，通过CA。
lAlthough a DMF may be deemed incomplete upon its first CA, FDA will work with DMF holders to provide guidance on how to revise the DMF so it may be found complete after resubmission. Once the DMF passes the CA, FDA will make the DMF number publicly available on its Web site[20].
l尽管一份DMF可能会在首次CA时不完整，但FDA会与DMF持有人一起努力，提供指导如何修订DMF，保证重新提交时是完整的。一旦DMF通过了CA，FDA就会将DMF编号公开在FDA网站上公开可查询。
V.API INFORMATION INCLUDED IN A GENERIC DRUG SUBMISSION
If a generic drug submission contains all the necessary API information and does not rely on information contained in a DMF, no CA will be performed. Instead, this information will be evaluated during the ANDA filing review[21].However, because GDUFA requires collection of a one-time fee for API information included in a generic drug submission (i.e., an (a)(3)(F) fee)[22], the applicant submitting the generic drug submission containing the API information must pay this fee.
如果一份仿制药申报中包括了所有必须的原料药信息，并不需要依赖于DMF中包含的信息，则需要进行CA。这时，在ANDA文件审评中将评估这些资料。但是，由于GDUFA要求针对仿制药申报中包含的原料药资料收取一次性费用（即（a）(3)费用），提交包括原料药资料的仿制药申报的申报人必须支付此费用。
VI. SUMMARY
Once the DMF fee is received, FDA will evaluate the DMF to make sure it meets the CA criteria.
一旦收到DMF费用，FDA会评估DMF，以确定其是否符合CA标准：
lIf the DMF passes the CA, it will be found complete and the DMF number will be made publicly available on FDA’s Web site.
l如果DMF通过CA，则被认为是完整的，DMF编号会出现在FDA官网的公众可查询清单上。
lIf the DMF fails the CA, FDA will send a GDUFA DMF Incomplete Letter describing to the DMF holder the missing elements in its DMF.
l如果DMF未通过CA，则FDA会发送一份GDUFA DMF不完整通知函，在其中向DMF持有人描述在其DMF中所缺失的要素。
lIf the DMF holder addresses all the deficiencies and amends the DMF or completely updates the DMF per the CA request, the FDA will complete its CA. If the DMF is then found complete, the DMF number will be made publicly available on FDA’s Web site.
l如果DMF持有人根据CA要求，回复了所有缺陷，修订了DMF或完整更新了DMF，FDA将完成其CA。经审核认为DMF完整的，则DMF编号会出现在FDA官网的公众可查询清单上。
lIf a generic drug submission contains all the necessary API information and does not reference a DMF, the generic drug submission applicant will be required to pay the (a)(3)(F) fee. No CA will be conducted.
l如果有仿制药申报包括有所有必要原料药信息，并且不引用DMF，则仿制药申报人会被要求支付（a）(3)费用。不会进行CA检查。
定义（略）
CA检查表（略）
