1、Designation: E3077 17Standard Guide forRaw Material eData Transfer from Material Suppliers toPharmaceutical the number immediately following the designation indicates the year oforiginal adoption or, in the case of revision, the year of last revision. A number in parentheses indicates the year of la
2、st reapproval. Asuperscript epsilon () indicates an editorial change since the last revision or reapproval.1. Scope1.1 This guide is applicable to all elements of raw materialelectronic data (eData) transfer from a Supplier which providesa raw material to a Customer which receives the raw material.1
3、.2 This guide is developed for pharmaceutical and biop-harmaceutical manufacturers and their suppliers, but may besuitable for other industries that routinely transfer data.1.3 The guide may also be applicable to raw material eDatatransfer between companies in the supply chain.1.4 The guide is appli
4、cable to new and existing raw mate-rials.1.5 This guide is applicable to the life-cycle of a rawmaterial (that is, data generated throughout the processingstages of the raw material) and is not dependent on the Supplieror Customer.1.6 This guide describes two major areas of eData standard:the data f
5、ormat and the data content including the taxonomyand nomenclature.1.7 The guide currently only covers data content and dataformat in the English language. The data format shall not betranslated. Use of other languages for the data content outsidethe scope of this guide.1.8 The format is based on Ext
6、ensible Markup Language(XML) 1.0.1.9 This international standard was developed in accor-dance with internationally recognized principles on standard-ization established in the Decision on Principles for theDevelopment of International Standards, Guides and Recom-mendations issued by the World Trade
7、Organization TechnicalBarriers to Trade (TBT) Committee.2. Referenced Documents2.1 ASTM Standards:2E2363 Terminology Relating to Process Analytical Technol-ogy in the Pharmaceutical IndustryE2500 Guide for Specification, Design, and Verification ofPharmaceutical and Biopharmaceutical ManufacturingSy
8、stems and EquipmentE3051 Guide for Specification, Design, Verification, andApplication of Single-Use Systems in Pharmaceutical andBiopharmaceutical Manufacturing2.2 Other Documents:Extensible Markup Language (XML) 1.0 (fifth edition)3ISO 8601 Data Elements and Interchange Formats4XML Signature Synta
9、x and Processing (second edition)53. Terminology3.1 DefinitionsFor definitions of terms used in this guide,refer to Terminology E2363.3.2 Definitions of Terms Specific to This Standard:3.2.1 certificate, na document that confirms a productmeets its specifications and is issued by the Supplier or thi
10、rdparty per individual lot and commonly contains actual testingresults that are part of quality control of the product lot; thecertificates are sometimes called by other names such as:Certificate of Analysis (CoA), Certificate of Conformance(CoC), Certificate of Quality, Certificate of Conformity, o
11、rDeclaration of Conformity.1This guide is under the jurisdiction of ASTM Committee E55 on Manufactureof Pharmaceutical and Biopharmaceutical Products and is the direct responsibility ofSubcommittee E55.03 on General Pharmaceutical Standards.Current edition approved June 1, 2017. Published June 1, 20
12、17. DOI: 10.1520/E3077-17.2For referenced ASTM standards, visit the ASTM website, www.astm.org, orcontact ASTM Customer Service at serviceastm.org. For Annual Book of ASTMStandards volume information, refer to the standards Document Summary page onthe ASTM website.3Available from World Wide Web Cons
13、ortium (W3C), https:/www.w3.org/TR/REC-xml.4Available from International Organization for Standardization (ISO), ISOCentral Secretariat, BIBC II, Chemin de Blandonnet 8, CP 401, 1214 Vernier,Geneva, Switzerland, http:/www.iso.org.5Available from World Wide Web Consortium (W3C), https:/www.w3.org/TR/
14、xmldsig-core.Copyright ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United StatesThis international standard was developed in accordance with internationally recognized principles on standardization established in the Decision on Principles for theDevelop
15、ment of International Standards, Guides and Recommendations issued by the World Trade Organization Technical Barriers to Trade (TBT) Committee.13.2.2 customer, nthe receiver of the raw material; thecontent of the CoA (including specifications of the rawmaterial) is based on agreement between the Cus
16、tomer and theSupplier.3.2.3 eData, nelectronic data is generated by the Supplierand received by the Customer which includes data foundwithin the CoA and any additional data agreed upon by theSupplier and the Customer for transfer.3.2.4 raw material, nin the Biopharmaceutical industry,raw material in
17、cludes all consumables in manufacturing of adrug product or drug substance such as media, buffers,disposable, bioreactor additives, process titrants, resin, filters,excipients, and primary containers, for instance, syringes,vials, cappers, and stoppers.3.2.5 supplier, nmanufactur or distributor of t
18、he rawmaterial that is required to generate a Certificate of Quality,such as CoA, CoC and deliver the raw material to its Customer.4. Summary of Guide4.1 This guide describes a data format that can be adoptedby Suppliers and Customers to transfer raw material data in astandardized and scalable way.4
19、.2 This guide also describes critical data content thatshould be included and offers recommendations for optionalbut informative data parameters that Suppliers and Customersmay want to adopt for mutual benefit.5. Significance and Use5.1 Application of the approach described within this guideis inten
20、ded to achieve a biopharma industry-wide standardformat that will be available for electronic data transferbetween Supplier and Customer for monitoring and studyingvariability.5.2 This guide supports and facilitates fast data transfer,thereby avoiding data recapture, human interaction, and tran-scri
21、ption errors; and thus enables a more streamlined businessprocess.5.3 If the eData structure does not conform to the XSDdefined by this guide then it is not guaranteed to be inter-operable. Feedback or change requests should be directed toASTM Headquarters, to the attention of the Committee E55Staff
22、 Manager.5.4 Digital Signature can be adopted and used as part of theeData transfer. XML and XSD are provided in two formats:with and without digital signature configuration. User canfollow either format for implmenation to ensure conformingwith the ASTM eData XSD structure.6. Key Concepts6.1 This g
23、uide applies the following key concepts:6.1.1 Risk management approach,6.1.2 Use of Supplier documentation, and6.1.3 Data transfer methods.6.2 Risk Management Approach:6.2.1 The scope and extent of quality risk management fordata transfer activities and documentation are based on the riskto product
24、quality and patient safety. Variation in raw materialsis a concern and in order to understand the variability, the firststep is to have an efficient way of obtaining the data. Having astandardized eData format for both the Suppliers and Custom-ers is the first step in achieving this goal.6.2.2 Havin
25、g a standard way to generate and consume datawill avoid multiple formats that one Supplier has to generate tosuit various Customer requirements. In addition, using eDatastandard format as a template, the Suppliers data sourcesystem built will allow simpler compilation of data on anongoing basis. Thi
26、s will reduce cost and resources for imple-menting eData transfer between Supplier and Customers.6.2.3 Following the format described in this guide, changemanagement can be provided in a dependable mechanism fortracking and prompt implementation of technically soundimprovements.6.3 Use of Supplier D
27、ocumentation:6.3.1 Supplier documentation should be used provided thatthe regulated company has assessed the Supplier, and hasevidence that the Supplier has: an acceptable supplier qualitysystem, technical capability, and demonstrated application ofgood engineering practice (GEP) such that informati
28、on ob-tained from the supplier will be accurate. Details on Supplierdocumentation can be found in Guides E2500 and E3051.6.4 Data Transfer Methods:6.4.1 It is critical that the data transferred from Supplier toCustomer are intact during the transfer. Since computer sys-tems and networks are vulnerab
29、le to data loss and unauthorizedmanipulation, it is important that the Customer has somemeans of verifying the integrity of the data. Suppliers andCustomers should agree on methods to ensure that the trans-ferred data is not modified accidentally or intentionally. Thisguide describes an optional dig
30、ital signature (including check-sum) capability to ensure the integrity of the transferred data.Data encryption is not addressed in the scope of this guide.Additional means such as Secure File Transfer Protocol (SFTP)or Internet Protocol Security (IPsec) may be employed toprovide additional security
31、 for the transfer of eData documentsvia internet.6.5 Detect Data Transfer ErrorIf digital signature is notimplemented, in order to ensure data integrity and to detecterror that may have been introduced during transmission andstorage, it is recommended that Checksum should be imple-mented to the data
32、 files transferred between Suppliers and theend users.6.6 Utilizing XSD Schema to Generate XMLThird-partysolutions on the market can be used to generate XML based onthe XSD schema provided in this guide.E3077 1726.7 Suppliers may reasonably request that Customers keepinformation confidential to avoi
33、d disclosure of sensitive infor-mation to other parties. If necessary, critical information can beblinded using linear filters whereby the actual name of aparameter can be blinded and the actual measurement valuesare subjected to a linear transform so that Supplier proprietaryinformation is conceale
34、d while still allowing Customers tocorrelate variability to process performance. Any data that iscoded needs to be consistently coded over time to ensure thatthe tracking objectives are met. If coding changes, suchchanges need to be captured in a traceable form.7. Data Transfer Content7.1 Table 1 de
35、scribes the data transfer content and theirbasic layout. The table is divided into Required fields and somesuggested Optional fields. To the right of each field is a briefexplanation of the meaning of the content. Details of the exactcontent will be determined by the Supplier and end user. Thistable
36、 is a reference guide; a formal specification of the dataformat is provided as an XML Schema Definition (XSD) file.8. Keywords8.1 eData transfer; material; suppliersE3077 173TABLE1DataTransferContentXMLElementNameTypeofTagReqdOccurrencesFieldTypeDescriptionXMLDeclarationYes1DeclarethisisaXMLfile(har
37、dcode).SectionStartYes1Thedefaultnamespacehttp:/www.astm.org/E55/03/eDataXchangeisspecifictothisguideandpreventscollisionswithelementnamesinothernamespaces.SectionStartYes1ContainsinformationontheXMLfile,oneperXMLfile.Theversionattributeshallbesetto1.0(forexample,version=“1.0”)toindicatetheversionof
38、thisguidetowhichtheeDatadocumentconforms.FieldNoNumericTotrackchangesatendusersystems.EnduserwillprovidetheversionnumbertoSuppliertopopulate.ThisfieldwillremainthesameuntiltheendusercommunicatesanupdatetotheSupplier.VersionofthisfielddoesnotaffecttheFileInformationortheContentRevisionversions.FieldN
39、oAlphae-mailaddressforquestionsrelatedtothefileinformationandformatoftheXMLdocument.FieldNoAlphae-mailaddressforquestionsrelatedtotheeDatacontent.FieldYesYYYY-MM-DDDatewhentheXMLfilewasgeneratedinaccordancewithISO8601extendedformat.FieldYesHH:MM:SSZTimewhentheXMLfilewasgenerated(UTC)inaccordancewith
40、ISO8601extendedformat.FieldYesNumericUsedtotracktheinformationcontentrevisionasagreedinacontractbetweenaspecificSupplierandanenduser.SectionStartNoThisfieldisanoptionalenvelopeddigitalsignature.Ifadigitalsignatureisprovided,itmustconformtoXMLSignatureSyntaxandProcessing,inparticulartheschemaxmlsig-c
41、ore-schema.xsd.Inordertoensurebroadinteroperability,SuppliersmustuseeithertheDSAwithSHA1algorithmortheHMAC-SHA1algorithm.SignersmustapplytheEnvelopedSignaturetransformandeitherCanonicalXML1.0(omitscomments)transformorCanonicalXML1.1(omitscomments)transformtotheeDatadocumentpriortocomputingthesignatu
42、re.ThisguidedoesnotindicatehowSuppliersshouldtransmitames-sageauthenticationcode(MAClikeapassword,forHMAC-SHA1)orapublickey(forDSA)toCus-tomers.SuppliersusingtheDSAalgorithmmustincludeKeyInfoelementwithatleasttheDSAKey-ValueelementspecifiedtofacilitateverificationbyCustomers.Onlyonesignatureispermit
43、ted.Customersshallacceptanydigitalsignatureconformingtotheaboverequirements.SectionEndNoEndTag.SectionEndYesEndTag.SectionStartYes1Sectionofmaterialinformationanddataresults.FieldYesAlphaForSupplierstoentercomments.SectionStartYesMayoccurmultipletimeswithinthesection.Eachcertificatecontainsresultsfo
44、ronematerial.EachMaterialDataGrouphasa“MaterialDataLotID”attribute,whichisreferencedbytheMaterialDatatokeeptheintegrityofthefileusingAttribute:name=“MaterialDataLotRef”.type=“IDREF”Attribute:name=“MaterialDataLotID”type=“ID”.EachMaterialDatahasanattributethatreferencestheMaterialDataLotIDforthisMate
45、rialData.FieldNoAlphaToincludenameoftheQualitysignoff.FieldYesAlphaNameofthemanufacturerofthismaterial/sometimesforS-1supplier,canbedistributornameifthemanufacturernameisnotavailable.Attribute:name=“Type”type=“string”.Values=Distributor,Manufacturer;default=“Manufacturer”;ThisDistributorversusManufa
46、cturerattributeisrequired.Attribute:name=“Level”type=“int”.ManufacturingLevelrelativetoeDatareceiving(thatis,directsupplier=0,supplierscomponentsupplier=1),defaulttodirectsupplier.ThisAttributeisrequired.Level0dataisrequiredforeverydatafile.Attribute:name=“Plant”type=“string”.Plantcodeornamewherethi
47、smaterialwasmanufactured.Thisattributeisoptional.FieldYesAlphaProductName.FieldYesAlphaProductPart/MaterialNumber.FieldYesAlphaLotnumberAttribute:name=“LotDate”type=”“date”format=“YYYY-MM-DD”.Thisattributeisrequired.Attribute:name=“ManufactureReceive”type=“string”Values=“MfgDate”,“ReceiveDate”defaul
48、t=“MfgDate”;Thisattributereferstolotreceiveddateorlotmanufacturedate.Thisattributeisoptional.Attribute:name=“ExpDate”type=“date”format=“YYYY-MM-DD”.Supplierslotexpirationdate.Thisattri-buteisoptional.FieldNoNumericQuantityofthelotinnumericformat.FieldNoAlphaUnitofmeasureforthequantity.SectionStartNo
49、11occurrenceper,containsmaterialdataresults.SectionStartNo*Mayoccurmultipletimeswithinthesection.FieldYesAlphaShorttest/assaydescriptionname.E3077 174TABLE1ContinuedXMLElementNameTypeofTagReqdOccurrencesFieldTypeDescriptionFieldNoAlphaLongtest/assaydescriptionname.FieldNoAlphaTestorAttributeofamaterialorcomponent(forexample,pH,purity,outsidediameter).Note:Maybesimilar/sameasShortName.FieldNoAlphaVariableusedtodifferentiatemultiplevariablesmeasuredonthesameattribute(forexample,minimum,maximum,mean).FieldNoAlphaUnitofmeasure.FieldNoAlphaMeasurementmethodusedbythesu
