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5/21/2019
DR G.K.SHARMA PHARMD, CPPM,
CGCPh, DCMS 1
 This guidance provides recommendations to holders of NDAs and ANDAs who intend
to make post approval changes in accordance with section 506A of the Federal Food,
Drug, and Cosmetic Act and 314.70 (21 CFR 314.70). It supersedes the guidance of the
same title published November 1999. Recommendations are provided for post approval
changes in
1. Components and composition
2. Manufacturing sites
3. Manufacturing process
4. Specifications
5. Container closure system, and
6. Labeling, as well as
7. Miscellaneous changes and
8. Multiple related changes. 2
1. Guidance prepare: prepared by under the direction of the Chemistry,
Manufacturing and Controls Coordinating Committee in the Center for Drug
Evaluation and Research (CDER) at the FDA.
2. Modernization Act: On November 21, 1997, the President signed the FDA
Modernization Act of 1997.
3. Section 116 of the Modernization Act: amended the Act by adding section 506A,
which provides requirements for making and reporting manufacturing changes to an
approved application and for distributing a drug product made with such changes.
4. The FDA has revised its regulations: on supplements and other changes to an
approved application (21 CFR 314.70) to conform to section 506 A of the Act.
5/21/2019
DR G.K.SHARMA PHARMD, CPPM,
CGCPh, DCMS 3
 To assess the effect of the change on the identity, strength (e.g., assay, content uniformity),
Quality (e.g., physical, chemical, and biological properties), Purity (e.g., impurities and
degradation products), or Potency (e.g., biological activity, bioavailability, bioequivalence) of
a drug product as these factors may relate to the safety or effectiveness of the drug product.
 CDER has published guidance, including the SUPAC (scale-up and post approval changes)
guidance, that provide recommendations on reporting categories.
 Reporting categories: This guidance does not provide for components and composition
changes. Section 506A of the Act and 314.70(c) provide for two types of changes-being
effected supplements while previously there was only one type.
A. Major change: is a change that has a substantial potential to have an adverse effect on the
identity, strength, quality, purity, or potency of a drug product as these factors may relate to the
safety or effectiveness of the drug product.
5/21/2019
DR G.K.SHARMA PHARMD, CPPM,
CGCPh, DCMS 4
 Prior Approval Supplement: An applicant may ask FDA to expedite its review of a prior
approval supplement for public health reasons (e.g., drug shortage)
B. Moderate change: is a change that has a moderate potential to have an adverse effect on the
identity, strength, quality, purity, or potency of the drug product as these factors may relate to
the safety or effectiveness of the drug product. There are two types of moderate change. (
314.70(c)(6)).
 Supplement - Changes Being Effected in 30 Days: requires the submission of a supplement
to FDA at least 30 days before the distribution of the drug product made using the change.
 Supplement - Changes Being Effected: FDA may identify certain moderate changes for
which distribution can occur when FDA receives the supplement.
C. Minor change: minimal potential to have an adverse effect on the identity, strength, quality,
purity, or potency of the drug product as these factors may relate to the safety or effectiveness
of the drug product. The applicant must describe minor changes in its next Annual Report (
314.70(d)).
5/21/2019
DR G.K.SHARMA PHARMD, CPPM,
CGCPh, DCMS 5
a. Editorial changes: in previously submitted information (e.g., correction of spelling or
typographical errors, reformatting of batch records), (314.70(a)(1)).
b. Supplement or annual report: must include a list of all changes. list must be provided
in the cover letter (314.70(a)(6)). In annual reports, the list should be included in the
summary section (314.81(b)(2)(i)).
c. An applicant making a change: to an approved application under section 506A of the
Act must also conform to other applicable laws and regulations, including current good
manufacturing practice (CGMP) requirements of the Act (21 U.S.C. 351(a)(2)(B))
d. Code of Federal Regulations: (e.g., 21 CFR parts 210, 211, 314). labeling changes
under 314.70(c)(6)(iii) must include 12 copies of the final printed labeling
(314.70(c)(1)). In accordance with 314.70(a)(4), any labeling change implemented in
accordance with 314.70(b) or (c).
5/21/2019
DR G.K.SHARMA PHARMD, CPPM,
CGCPh, DCMS 6
A. Assessment of the Effects of the Change: The holder of an approved application under section 505 of
the Act manufacturing change.
1. Conformance to Specifications: A specification is a quality standard (i.e., tests, analytical procedures,
and acceptance criteria) provided in an approved application to confirm the quality of drug substances,
drug products, intermediates, raw materials, reagents, components, in-process materials, container
closure systems, and other materials used in the production of drug product. “Acceptance criteria are
numerical limits, ranges, or other criteria for the tests described.” Conformance to a specification means
that the 8 material, when tested according to the analytical procedures listed in the specification, will
meet the listed acceptance criteria.
2. Additional Testing: material affected by manufacturing changes that the applicant perform additional
testing, when appropriate, to assess whether the identity, strength, quality, purity, or potency of the drug
product as these factors may relate to the safety or effectiveness of the drug product have been or will be
affected.
5/21/2019
DR G.K.SHARMA PHARMD, CPPM,
CGCPh, DCMS 7
 Evaluation of any changes in the chemical, physical, microbiological, biological,
bioavailability, or stability profiles. type of manufacturing change, the type of drug
substance and the effect of the change on the quality of the drug product. For example:
a. Evaluation of changes in the impurity: toxicology tests to qualify a new impurity.
b. Evaluation of the hardness or friability: tablet
B. Equivalence: When testing is performed, the applicant should usually assess the extent to
which the manufacturing change has affected the identity, strength, quality, purity, and potency
of the drug product. equivalent does not necessarily mean identical. Equivalence may also
relate to maintenance of a quality characteristic (e.g., stability) rather than a single
performance of a test.
C. Adverse Effect: Some manufacturing changes have an adverse effect on the identity, strength,
quality, purity, or potency of the drug product. If an assessment indicates that a change FDA
recommends that the change be submitted in a prior approval supplement regardless of the
recommended reporting category for the change. For example, a process change recommended
for a changes-being-effected-in-30days
5/21/2019
DR G.K.SHARMA PHARMD, CPPM,
CGCPh, DCMS 8
1. Changes in the qualitative or quantitative formulation: including inactive
ingredients, as provided in the approved application, are considered major changes
requiring a prior approval supplement, unless exempted by regulation or guidance (
314.70(b)(2)(i)).
2. The deletion or reduction of an ingredient: intended to affect only the color of the
drug product may be reported in an annual report (314.70(d)(2)(ii)).
3. Guidance on changes in components and composition: that may be submitted in a
changes-being-effected supplement or annual report is not included in this document
because of the complexity of the recommendations, but may be covered in one or
more guidance documents describing post approval changes (e.g., SUPAC
documents).
5/21/2019
DR G.K.SHARMA PHARMD, CPPM,
CGCPh, DCMS 9
A. General Considerations: CDER must be notified when a manufacturer changes to a manufacturing site
that is different from those specified in the approved application (314.70(a)). Sites can include those
used by an applicant to
1. Manufacture or process drug products: in-process materials, drug substances, or drug substance
intermediates,
2. Package drug products,
3. Label drug products, and
4. Test components, drug product containers, closures, packaging materials, in-process materials, or drug
products.
a. Testing sites: include those performing physical, chemical, biological, and microbiological testing to
monitor, accept, or reject materials, as well as those performing stability testing.
b. FDA recommends: that a move to a different manufacturing site, when it is a type of site routinely
subject to FDA inspection, be submitted as a prior approval supplement if the site does not have a
satisfactory CGMP inspection for the type of operation being moved.
5/21/2019
DR G.K.SHARMA PHARMD, CPPM,
CGCPh, DCMS 10
A. Major Changes: following are examples of changes.
1. Changes that may affect the controlled (or modified) release,
2. Changes that may affect drug product sterility assurance including,
a. Changes in the sterilization method. These include changes from sterile filtered or aseptic processing to
terminal sterilization.
b. Addition to an aseptic processing line of new equipment made of different materials
c. Replacing a Class 100 aseptic fill area with a barrier system or isolator for aseptic filling.
d. Changes from bioburden-based terminal sterilization to the use of an overkill process,
e. Changes in materials or pore size rating of filters used in aseptic processing.
3. Manufacturing process or technology
 Drug product: Dry to wet granulation
 Drug substance: Filtration to centrifugation & Change in the route of synthesis of a drug substance.
 Addition of an ink code imprint or in the ink used for an existing imprint code when the ink as changed is
not currently used on CDER-approved drug products
5/21/2019
DR G.K.SHARMA PHARMD, CPPM,
CGCPh, DCMS 11
 Specifications (i.e., tests, analytical procedures, and acceptance criteria) are the quality
standards provided in an approved application to confirm the quality of drug
substances, drug products, intermediates, raw materials, reagents, components, in-
process materials, container closure systems, and other materials used in the
production of a drug substance or drug product. The recommendations in this section
also apply to specifications associated with sterility assurance that are included in
NDA and ANDA submissions.
5/21/2019
DR G.K.SHARMA PHARMD, CPPM,
CGCPh, DCMS 12
 The potential for adverse effect on the identity, strength, quality, purity, or potency of a drug product as
these factors may relate to the safety or effectiveness of the drug product when making a change to or in
the container closure system is generally dependent on the route of administration of the drug product,
performance of the container closure system, and the likelihood of interaction between the packaging
component and the dosage form. In some cases there may be a substantial potential for adverse effect,
regardless of direct drug product testing for conformance with the approved specification.
 A change to or in a packaging component will often result in a new or revised specification for the
packaging component. This situation does not have to be considered a multiple related change. Only the
reporting category for the packaging change needs to be considered.
5/21/2019
DR G.K.SHARMA PHARMD, CPPM,
CGCPh, DCMS 13
 A change in a drug’s labeling includes changes in one of the following:
 Package insert
 Package labeling
 Container label
 All promotional labeling and advertising must be promptly revised to be consistent
with any labeling change(s) implemented. In addition, “all labeling changes for
ANDA drug products must be consistent with section 505(j) of the Act.”
5/21/2019
DR G.K.SHARMA PHARMD, CPPM,
CGCPh, DCMS 14
 Multiple related changes involve various combinations of individual changes. If an
applicant has multiple related changes that fall into different recommended reporting
categories, “CDER recommends that the submission be in accordance with the
reporting category for the individual changes.”
 As this is simply a summary of the guidance document, we only touched on the
“general considerations” that are provided. FDA also provides numerous examples of
each type of change that is considered to be major, moderate, and minor.
5/21/2019
DR G.K.SHARMA PHARMD, CPPM,
CGCPh, DCMS 15

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Guidance for industry changes to an approved nda or anda

  • 1. 5/21/2019 DR G.K.SHARMA PHARMD, CPPM, CGCPh, DCMS 1
  • 2.  This guidance provides recommendations to holders of NDAs and ANDAs who intend to make post approval changes in accordance with section 506A of the Federal Food, Drug, and Cosmetic Act and 314.70 (21 CFR 314.70). It supersedes the guidance of the same title published November 1999. Recommendations are provided for post approval changes in 1. Components and composition 2. Manufacturing sites 3. Manufacturing process 4. Specifications 5. Container closure system, and 6. Labeling, as well as 7. Miscellaneous changes and 8. Multiple related changes. 2
  • 3. 1. Guidance prepare: prepared by under the direction of the Chemistry, Manufacturing and Controls Coordinating Committee in the Center for Drug Evaluation and Research (CDER) at the FDA. 2. Modernization Act: On November 21, 1997, the President signed the FDA Modernization Act of 1997. 3. Section 116 of the Modernization Act: amended the Act by adding section 506A, which provides requirements for making and reporting manufacturing changes to an approved application and for distributing a drug product made with such changes. 4. The FDA has revised its regulations: on supplements and other changes to an approved application (21 CFR 314.70) to conform to section 506 A of the Act. 5/21/2019 DR G.K.SHARMA PHARMD, CPPM, CGCPh, DCMS 3
  • 4.  To assess the effect of the change on the identity, strength (e.g., assay, content uniformity), Quality (e.g., physical, chemical, and biological properties), Purity (e.g., impurities and degradation products), or Potency (e.g., biological activity, bioavailability, bioequivalence) of a drug product as these factors may relate to the safety or effectiveness of the drug product.  CDER has published guidance, including the SUPAC (scale-up and post approval changes) guidance, that provide recommendations on reporting categories.  Reporting categories: This guidance does not provide for components and composition changes. Section 506A of the Act and 314.70(c) provide for two types of changes-being effected supplements while previously there was only one type. A. Major change: is a change that has a substantial potential to have an adverse effect on the identity, strength, quality, purity, or potency of a drug product as these factors may relate to the safety or effectiveness of the drug product. 5/21/2019 DR G.K.SHARMA PHARMD, CPPM, CGCPh, DCMS 4
  • 5.  Prior Approval Supplement: An applicant may ask FDA to expedite its review of a prior approval supplement for public health reasons (e.g., drug shortage) B. Moderate change: is a change that has a moderate potential to have an adverse effect on the identity, strength, quality, purity, or potency of the drug product as these factors may relate to the safety or effectiveness of the drug product. There are two types of moderate change. ( 314.70(c)(6)).  Supplement - Changes Being Effected in 30 Days: requires the submission of a supplement to FDA at least 30 days before the distribution of the drug product made using the change.  Supplement - Changes Being Effected: FDA may identify certain moderate changes for which distribution can occur when FDA receives the supplement. C. Minor change: minimal potential to have an adverse effect on the identity, strength, quality, purity, or potency of the drug product as these factors may relate to the safety or effectiveness of the drug product. The applicant must describe minor changes in its next Annual Report ( 314.70(d)). 5/21/2019 DR G.K.SHARMA PHARMD, CPPM, CGCPh, DCMS 5
  • 6. a. Editorial changes: in previously submitted information (e.g., correction of spelling or typographical errors, reformatting of batch records), (314.70(a)(1)). b. Supplement or annual report: must include a list of all changes. list must be provided in the cover letter (314.70(a)(6)). In annual reports, the list should be included in the summary section (314.81(b)(2)(i)). c. An applicant making a change: to an approved application under section 506A of the Act must also conform to other applicable laws and regulations, including current good manufacturing practice (CGMP) requirements of the Act (21 U.S.C. 351(a)(2)(B)) d. Code of Federal Regulations: (e.g., 21 CFR parts 210, 211, 314). labeling changes under 314.70(c)(6)(iii) must include 12 copies of the final printed labeling (314.70(c)(1)). In accordance with 314.70(a)(4), any labeling change implemented in accordance with 314.70(b) or (c). 5/21/2019 DR G.K.SHARMA PHARMD, CPPM, CGCPh, DCMS 6
  • 7. A. Assessment of the Effects of the Change: The holder of an approved application under section 505 of the Act manufacturing change. 1. Conformance to Specifications: A specification is a quality standard (i.e., tests, analytical procedures, and acceptance criteria) provided in an approved application to confirm the quality of drug substances, drug products, intermediates, raw materials, reagents, components, in-process materials, container closure systems, and other materials used in the production of drug product. “Acceptance criteria are numerical limits, ranges, or other criteria for the tests described.” Conformance to a specification means that the 8 material, when tested according to the analytical procedures listed in the specification, will meet the listed acceptance criteria. 2. Additional Testing: material affected by manufacturing changes that the applicant perform additional testing, when appropriate, to assess whether the identity, strength, quality, purity, or potency of the drug product as these factors may relate to the safety or effectiveness of the drug product have been or will be affected. 5/21/2019 DR G.K.SHARMA PHARMD, CPPM, CGCPh, DCMS 7
  • 8.  Evaluation of any changes in the chemical, physical, microbiological, biological, bioavailability, or stability profiles. type of manufacturing change, the type of drug substance and the effect of the change on the quality of the drug product. For example: a. Evaluation of changes in the impurity: toxicology tests to qualify a new impurity. b. Evaluation of the hardness or friability: tablet B. Equivalence: When testing is performed, the applicant should usually assess the extent to which the manufacturing change has affected the identity, strength, quality, purity, and potency of the drug product. equivalent does not necessarily mean identical. Equivalence may also relate to maintenance of a quality characteristic (e.g., stability) rather than a single performance of a test. C. Adverse Effect: Some manufacturing changes have an adverse effect on the identity, strength, quality, purity, or potency of the drug product. If an assessment indicates that a change FDA recommends that the change be submitted in a prior approval supplement regardless of the recommended reporting category for the change. For example, a process change recommended for a changes-being-effected-in-30days 5/21/2019 DR G.K.SHARMA PHARMD, CPPM, CGCPh, DCMS 8
  • 9. 1. Changes in the qualitative or quantitative formulation: including inactive ingredients, as provided in the approved application, are considered major changes requiring a prior approval supplement, unless exempted by regulation or guidance ( 314.70(b)(2)(i)). 2. The deletion or reduction of an ingredient: intended to affect only the color of the drug product may be reported in an annual report (314.70(d)(2)(ii)). 3. Guidance on changes in components and composition: that may be submitted in a changes-being-effected supplement or annual report is not included in this document because of the complexity of the recommendations, but may be covered in one or more guidance documents describing post approval changes (e.g., SUPAC documents). 5/21/2019 DR G.K.SHARMA PHARMD, CPPM, CGCPh, DCMS 9
  • 10. A. General Considerations: CDER must be notified when a manufacturer changes to a manufacturing site that is different from those specified in the approved application (314.70(a)). Sites can include those used by an applicant to 1. Manufacture or process drug products: in-process materials, drug substances, or drug substance intermediates, 2. Package drug products, 3. Label drug products, and 4. Test components, drug product containers, closures, packaging materials, in-process materials, or drug products. a. Testing sites: include those performing physical, chemical, biological, and microbiological testing to monitor, accept, or reject materials, as well as those performing stability testing. b. FDA recommends: that a move to a different manufacturing site, when it is a type of site routinely subject to FDA inspection, be submitted as a prior approval supplement if the site does not have a satisfactory CGMP inspection for the type of operation being moved. 5/21/2019 DR G.K.SHARMA PHARMD, CPPM, CGCPh, DCMS 10
  • 11. A. Major Changes: following are examples of changes. 1. Changes that may affect the controlled (or modified) release, 2. Changes that may affect drug product sterility assurance including, a. Changes in the sterilization method. These include changes from sterile filtered or aseptic processing to terminal sterilization. b. Addition to an aseptic processing line of new equipment made of different materials c. Replacing a Class 100 aseptic fill area with a barrier system or isolator for aseptic filling. d. Changes from bioburden-based terminal sterilization to the use of an overkill process, e. Changes in materials or pore size rating of filters used in aseptic processing. 3. Manufacturing process or technology  Drug product: Dry to wet granulation  Drug substance: Filtration to centrifugation & Change in the route of synthesis of a drug substance.  Addition of an ink code imprint or in the ink used for an existing imprint code when the ink as changed is not currently used on CDER-approved drug products 5/21/2019 DR G.K.SHARMA PHARMD, CPPM, CGCPh, DCMS 11
  • 12.  Specifications (i.e., tests, analytical procedures, and acceptance criteria) are the quality standards provided in an approved application to confirm the quality of drug substances, drug products, intermediates, raw materials, reagents, components, in- process materials, container closure systems, and other materials used in the production of a drug substance or drug product. The recommendations in this section also apply to specifications associated with sterility assurance that are included in NDA and ANDA submissions. 5/21/2019 DR G.K.SHARMA PHARMD, CPPM, CGCPh, DCMS 12
  • 13.  The potential for adverse effect on the identity, strength, quality, purity, or potency of a drug product as these factors may relate to the safety or effectiveness of the drug product when making a change to or in the container closure system is generally dependent on the route of administration of the drug product, performance of the container closure system, and the likelihood of interaction between the packaging component and the dosage form. In some cases there may be a substantial potential for adverse effect, regardless of direct drug product testing for conformance with the approved specification.  A change to or in a packaging component will often result in a new or revised specification for the packaging component. This situation does not have to be considered a multiple related change. Only the reporting category for the packaging change needs to be considered. 5/21/2019 DR G.K.SHARMA PHARMD, CPPM, CGCPh, DCMS 13
  • 14.  A change in a drug’s labeling includes changes in one of the following:  Package insert  Package labeling  Container label  All promotional labeling and advertising must be promptly revised to be consistent with any labeling change(s) implemented. In addition, “all labeling changes for ANDA drug products must be consistent with section 505(j) of the Act.” 5/21/2019 DR G.K.SHARMA PHARMD, CPPM, CGCPh, DCMS 14
  • 15.  Multiple related changes involve various combinations of individual changes. If an applicant has multiple related changes that fall into different recommended reporting categories, “CDER recommends that the submission be in accordance with the reporting category for the individual changes.”  As this is simply a summary of the guidance document, we only touched on the “general considerations” that are provided. FDA also provides numerous examples of each type of change that is considered to be major, moderate, and minor. 5/21/2019 DR G.K.SHARMA PHARMD, CPPM, CGCPh, DCMS 15