Guidance for Industry
SUPAC-MR: Modified Release Solid
Oral Dosage Forms 
Scale-Up and Postapproval Changes: Chemistry,
Manufacturing, and Controls; In Vitro Dissolution Testing
and In Vivo Bioequivalence Documentation
U.S. Department of Health and Human Services
Food and Drug Administration
Center for Drug Evaluation and Research (CDER)
September 1997
CMC 8 Guidance for Industry
SUPAC-MR: Modified Release
Solid Oral Dosage Forms
Scale-Up and Postapproval Changes: Chemistry,
Manufacturing, and Controls; In Vitro Dissolution Testing
and In Vivo Bioequivalence Documentation
Additional copies are available from:
Office of Training and Communications 
Division of Communications Management
The Drug Information Branch, HFD-210
5600 Fishers Lane
Rockville, MD  20857
(Tel) 301-827-4573
(Internet)  http://www.fda.gov/cder/guidance/index.htm
U.S. Department of Health and Human Services
Food and Drug Administration
Center for Drug Evaluation and Research (CDER)
September 1997
CMC 8 Table of Contents
I. INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
II. GENERAL STABILITY CONSIDERATIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
III. COMPONENTS AND COMPOSITION  NONRELEASE CONTROLLING
EXCIPIENT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
A. Level 1 Change. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
B. Level 2 Change. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
C. Level 3 Change. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
IV. COMPONENTS AND COMPOSITION  RELEASE CONTROLLING EXCIPIENT
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
A. Level 1 Change. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
B. Level 2 Change. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
C. Level 3 Change. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
V. SITE CHANGES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
A. Level 1 Change. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
B. Level 2 Change  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
C. Level 3 Change. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
VI. CHANGES IN BATCH SIZE (SCALE-UP/SCALE-DOWN) . . . . . . . . . . . . . . . . . . . 20
A. Level 1 Change. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
B. Level 2 Change. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
VII. MANUFACTURING EQUIPMENT CHANGES . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
A. Level 1 Change. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
B. Level 2 Change  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
VIII. MANUFACTURING PROCESS CHANGES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
A. Level 1 Change. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
B. Level 2 Change. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
C. Level 3 Change  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
GLOSSARY OF TERMS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
REFERENCES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
i APPENDIX A Summary Tables of Changes for Extended Release
Solid Oral Dosage Forms. . . . . . . . . . . . . . . . . . . . . . . . . . . .    .A-1
APPENDIX B Summary Tables of Changes for Delayed Release
Solid Oral Dosage Forms. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . B-1
ii GUIDANCE FOR INDUSTRY1
SUPAC-MR: Modified Release Solid Oral Dosage Forms 
Scale-Up and Postapproval Changes: 
Chemistry, Manufacturing, and Controls;
In Vitro Dissolution Testing and In Vivo Bioequivalence
Documentation
I. INTRODUCTION
This guidance provides recommendations to pharmaceutical sponsors of new drug applications
(NDAs), abbreviated new drug applications (ANDAs), and abbreviated antibiotic drug
applications (AADAs) who intend to change (1) the components or composition, (2) the site of
manufacture, (3) the scale-up/scale-down of manufacture, and/or (4) the manufacturing (process
and equipment) of a modified release solid oral dosage form during the postapproval period.  
The guidance defines (1) levels of change, (2) recommended chemistry, manufacturing, and
controls (CMC) tests for each level of change, (3) recommended in vitro dissolution tests and/or
in vivo bioequivalence tests for each level of change; and (4) documentation that should support
the change.  This guidance specifies application information that should be provided to the Center
for Drug Evaluation and Research (CDER) to ensure continuing product quality and performance
characteristics of a modified release solid oral dose formulation for specified postapproval
changes.  
This guidance does not comment on or otherwise affect compliance/inspection documentation
that has been defined by CDER's Office of Compliance or FDA's Office of Regulatory Affairs. 
This guidance does not affect any postapproval changes other than the ones specified.  For those
changes filed in a Changes Being Effected (CBE) supplement (21 CFR 314.70(c)), the FDA may,
after a review of the supplemental information, decide that the changes are not approvable.  For
changes not addressed in this guidance, or for multiple changes submitted at one time or over a
short period of time, sponsors should contact the appropriate CDER review division or consult
other CDER guidances to obtain information about tests and application documentation.
1This guidance has been prepared by the Scale-up and Postapproval Change Modified Release (SUPAC-MR) 
Working Group operating under the direction of the Chemistry Manufacturing Controls Coordinating Committee (CMC
CC) and the Biopharmaceutics Coordinating Committee (BCC) in the Center for Drug Evaluation and Research
(CDER) at the Food and Drug Administration (FDA).  This guidance represents the Agencys current thinking on
modified release solid oral dosage forms scale-up and postapproval changes.  It does not create or confer any rights for
or on any person and does not operate to bind FDA or the public.  An alternative approach may be used if such approach
satisfies the requirement of the applicable statute, regulations, or both. FDA regulations at 21 CFR 314.70(a) provide that applicants may make changes to an approved
application in accordance with a guidance, notice, or regulation published in the Federal Register
that provides for a less burdensome notification of the change (for example, by notification at the
time a supplement is submitted or in the next annual report).  This guidance permits less
burdensome notice of certain postapproval changes within the meaning of  314.70(a).
For postapproval changes for modified release solid oral dosage forms that affect components and
composition, scale-up/scale-down, site change, and manufacturing process or equipment changes,
this guidance supersedes the recommendations in section 4.G of the Office of Generic Drugs
(OGD) Policy and Procedure Guide 22-90 (September 11, 1990).  For all other dosage forms and
changes, this guidance does not affect the recommendations in Guide 22-90.
II. GENERAL STABILITY CONSIDERATIONS
The effect SUPAC-type changes have on the stability of the drug product should be evaluated. 
For general guidance on conducting stability studies, applicants are referred to the FDA Guideline
for Submitting Documentation for the Stability of Human Drugs and Biologics (02/87).  For
SUPAC submissions, the following points also should be considered:
! In most cases (except those involving scale up), stability data from pilot scale batches will
be acceptable to support the proposed change.
 
! Where stability data show a trend toward potency loss or degradant increase under
accelerated conditions, it is recommended that historical accelerated stability data from a
representative prechange batch be submitted for comparison.  It is also recommended that
under these circumstances, all available long-term data on test batches from ongoing
studies be provided in the supplement.  Submission of historical accelerated and available
long-term data would facilitate review and approval of the supplement.
 
! A commitment should be included to conduct long-term stability studies through the
expiration dating period, according to the approved protocol, on the first or first three (see
text for details) production batches and to report the results in the annual reports.
III. COMPONENTS AND COMPOSITION  NONRELEASE CONTROLLING
EXCIPIENT
This section of the guidance focuses on changes in nonrelease controlling excipients in the drug
product.  For modified release solid oral dosage forms, consideration should be given as to
whether the excipient is critical or not critical to drug release.  The sponsor should provide
appropriate justifications for claiming any excipient(s) as a nonrelease controlling excipient in the
formulation of the modified release solid oral dosage form.  The functionality of each excipient
2 should be identified.  Changes in the amount of the drug substance are not addressed by this
guidance.  Changes in components or composition that have the effect of adding a new excipient
or deleting an excipient are defined at level 3 (defined below), except as described below in
Section III.A.1.a.  Waiver of bioequivalence testing for a change in composition which involves
only a different color, flavor or preservative may be permissible as described in 21 CFR
320.22(d)(4).
A. Level 1 Change
1. Definition of Level
Level 1 changes are those that are unlikely to have any detectable impact on
formulation quality and performance.
Examples:
a. Deletion or partial deletion of an ingredient intended to affect the
color or flavor of the drug product; or change in the ingredient of
the printing ink to another approved ingredient.
b. Changes in nonrelease controlling excipients, expressed as
percentage (w/w) of total formulation, less than or equal to the
following percent ranges:
Nonrelease  Percent Excipient (w/w) Out Of
Controlling   Total Target Dosage Form 
Excipient  Weight
Filler 5
Disintegrant
Starch 3
Other 1
Binder 0.5
Lubricant
Ca or Mg Stearate 0.25
Other 1
Glidant
Talc 1
Other 0.1
Film Coat 1
These percentages are based on the assumption that the drug substance in the
product is formulated to 100% of label/potency.  The total additive effect of all
3 nonrelease controlling excipient changes should not be more than 5%.2  The total
weight of the dosage form should still be within the original approved application
range.
The components (active and excipients) in the formulation should have numerical
targets that represent the nominal composition of the drug product on which any
future changes in the composition of the product are to be based.  Allowable
changes in the composition should be based on the original approved target
composition and not on previous level 1 changes in the composition.  For products
approved with only a range for excipients, the target value may be assumed to be
the midpoint of the original approved application range.
2. Test Documentation
a. Chemistry documentation  
Application/compendial product release requirements.
Stability:  First production batch on long-term stability data reported in
annual report.
b. Dissolution documentation  
None beyond application/compendial requirements.
c. Bioequivalence documentation
None.
3. Filing Documentation
Annual report (all information including long-term stability data).
B. Level 2 Change
1. Definition of Level
Level 2 changes are those that could have a significant impact on formulation
quality and performance.  
2Example: In a product consisting of active ingredient A, lactose, microcrystalline cellulose, and magnesium
stearate, the lactose and microcrystalline cellulose should not vary by more than an absolute total of 5% (e.g., lactose
increases by 2.5% and microcrystalline cellulose decreases by 2.5%) relative to the target dosage form weight if it is to
stay within the level 1 range. 
4 Examples:
a. A change in the technical grade and/or specifications of a
nonrelease controlling excipient.3
b. Changes in nonrelease controlling excipients, expressed as
percentage (w/w) of total formulation, greater than those listed
above for a level 1 change, but less than or equal to the following
percent ranges (which represent a two-fold increase over level 1
changes):
Nonrelease  Percent Excipient (w/w) Out Of
Controlling Total Target Dosage Form
Excipient  Weight
Filler 10
Disintegrant
Starch 6
Other 2
Binder 1
Lubricant
Ca or Mg Stearate 0.5
Other 2
Glidant
Talc 2
Other 0.2
Film Coat 2
These percentages are based on the assumption that the drug substance in the drug
product is formulated to 100% of label/potency.  The total additive effect of all
nonrelease controlling excipient changes should not change by more than 10%. 
The total weight of the dosage form could still be within or outside the original
approved application range.
. 
The components (active and excipients) in the formulation should have numerical
targets that represent the nominal composition of the product on which any future
changes in the composition of the product are to be based.  Allowable changes in
the composition are based on the original approved target composition and not on
the composition based on previous level 1 or level 2 changes.  For products
approved with only a range for excipients, the target value may be assumed to be
the midpoint of the original approved application range.
3Example: Avicel PH102 vs. Avicel PH200
5 2. Test documentation
a. Chemistry documentation
Application/compendial product release requirements and updated
executed batch records.
Stability:  One batch with three months accelerated stability data reported
in prior approval supplement and long-term stability data of first
production batch reported in annual report.
b. Dissolution documentation
Extended release:  In addition to application/compendial release
requirements, multipoint dissolution profiles should be obtained in three
other media, for example, in water, 0.1N HCl, and USP buffer media at pH
4.5, and 6.8 for the changed drug product and the biobatch or marketed
batch (unchanged drug product).  Adequate sampling should be performed,
for example, at 1, 2, and 4 hours and every two hours thereafter until either
80% of the drug from the drug product is released or an asymptote is
reached.  A surfactant may be used with appropriate justification. 
Delayed release:  In addition to application/compendial release
requirements, dissolution tests should be performed in 0.1 N HCl for 2
hours (acid stage) followed by testing in USP buffer media, in the range of
pH 4.5-7.5 (buffer stage) under standard (application/compendial) test
conditions and two additional agitation speeds using the application/
compendial test apparatus (three additional test conditions).  If the
application/compendial test apparatus is the rotating basket method
(Apparatus 1), a rotation speed of 50, 100, and 150 rpm may be used, and
if the application/compendial test apparatus is the rotating paddle method
(Apparatus 2), a rotation speed of 50, 75, and 100 rpm may be used. 
Multipoint dissolution profiles should be obtained during the buffer stage
of testing.  Adequate sampling should be performed, for example, at 15,
30, 45, 60, and 120 minutes (following the time from which the dosage
form is placed in the buffer) until either 80% of the drug from the drug
product is released or an asymptote is reached.  The above dissolution
testing should be performed using the changed drug product and the
biobatch or marketed batch (unchanged drug product).
All modified release solid oral dosage forms:  In the presence of an
established in vitro/in vivo correlation (6), only application/compendial
dissolution testing need be performed (i.e., only in vitro release data by the
6 correlating method need to be submitted).  The dissolution profiles of the
changed drug product and the biobatch or marketed batch (unchanged drug
product) should be similar.  The sponsor should apply appropriate
statistical testing with justifications (e.g., the f  equation) for comparing
2
dissolution profiles (5).  Similarity testing for the two dissolution profiles
(i.e., for the unchanged drug product and the changed drug product)
obtained in each individual medium is appropriate.
c. Bioequivalence documentation
None. 
3. Filing Documentation
Prior approval supplement (all information including accelerated stability data);
annual report (long-term stability data).
C. Level 3 Change
1. Definition of Level
Level 3 changes are those that are likely to have a significant impact on
formulation quality and performance. 
Example: 
a. Changes in the nonrelease controlling excipient range beyond those
listed in Section III.B.1.b.  The total weight of the dosage form may
be within or outside the approved original application range.
2. Test Documentation
a. Chemistry documentation
Application/compendial product release requirements and updated 
executed batch records.
Stability:
Significant body of information available:  One batch with three months'
accelerated stability data reported in prior approval supplement and long-
term stability data of first three production batches reported in annual
report. 
7 Significant body of information not available:  Three batches with three
months' accelerated stability data reported in prior approval supplement
and long-term stability data of first three production batches reported in
annual report.
b. Dissolution documentation
Extended release:  In addition to application/compendial release
requirements, a multipoint dissolution profile should be obtained using the
application/compendial test conditions for the changed drug product and
the biobatch or marketed batch (unchanged drug product).  Adequate
sampling should be performed, for example, at 1, 2, and 4 hours and every
two hours thereafter, until either 80% of the drug from the drug product is
released or an asymptote is reached.  
Delayed release:  In addition to application/compendial release
requirements, a multipoint dissolution profile should be obtained during the
buffer stage of testing using the application/compendial test conditions for
the changed drug product and the biobatch or marketed batch (unchanged
drug product).  Adequate sampling should be performed, for example at
15, 30, 45, 60, and 120 minutes (following the time from which the dosage
form is placed in the buffer) until either 80% of the drug from the drug
product is released or an asymptote is reached.    
c. Bioequivalence documentation
A single-dose bioequivalence study (3).  The bioequivalence study may be
waived in the presence of an established in vitro/in vivo correlation (6).
3. Filing Documentation
Prior approval supplement (all information including accelerated stability data);
annual report (long-term stability data).
IV. COMPONENTS AND COMPOSITION  RELEASE CONTROLLING
EXCIPIENT
This section of the guidance focuses on changes in release controlling excipients in the drug
product.  For modified release solid oral dosage forms, consideration should be given as to
whether or not the excipient is critical to drug release.  The sponsor should provide appropriate
justifications (i.e., mechanism of drug release and manufacturing process) for claiming any
excipient(s) as a release controlling excipient in the formulation of the modified release solid oral
8 dosage form.  The functionality of each excipient should be identified.  Changes in the amount of
the drug substance are not addressed by this guidance.  Changes exceeding the ranges defined in
each of the levels below may be allowed if considered to be within normal batch-to-batch
variation and contained within an approved original application.  In such situations, sponsors
should contact the appropriate CDER review division for further guidance.
A. Level 1 Change
1. Definition of Level
Level 1 changes are those that are unlikely to have any detectable impact on
formulation quality and performance.
Example:
a. Changes in the release controlling excipient(s), expressed as
percentage (w/w) of total release controlling excipient(s) in the
formulation less than or equal to 5% w/w of total release
controlling excipient content in the modified release solid oral
dosage form.
The drug substance in the product is formulated to 100% of label/potency.  The
total additive effect of all release controlling excipient changes should not be more
than 5% w/w of the total release controlling excipients in the original approved
formulation.4  The total weight of the dosage form should still be within the
approved original application range.
The components (active and excipients) in the formulation should have numerical
targets that represent the nominal composition of the product on which any future
changes in the composition of the product are to be based.  Allowable changes in
the composition should be based on the original approved target composition and
not on previous level 1 changes in the composition.  For products approved with
only a range for excipients, the target value may be assumed to be the midpoint of
the original approved application range.
4Example: In a product consisting of active ingredient A, ethylcellulose and a plasticizer, the ethylcellulose and
plasticizer content should not vary by more than an absolute total of 5% w/w of the total release controlling excipients
(e.g., ethylcellulose content increases by 2.5% and plasticizer content increases by 2.5%) relative to the original
approved total release controlling excipient content weight in the modified release solid oral dosage form if it is to stay
within the given range allowed for level 1. 
9 2. Test Documentation
a. Chemistry documentation
Application/compendial product release requirements.
Stability:  First production batch on long-term stability data reported in 
annual report.
b. Dissolution documentation
None beyond application/compendial requirements.
c. Bioequivalence documentation
None.
3. Filing Documentation
Annual report (all information including long-term stability data).
B. Level 2 Change
1.  Definition of Level
Level 2 changes are those that could have a significant impact on formulation
quality and performance.  Test documentation for a level 2 change would vary
depending on whether the product could be considered to have a narrow
therapeutic range.5
5At present, there is no official CDER list of narrow therapeutic range drugs.  A list was developed earlier in a
preliminary attempt to identify drugs where there was greater concern that deviation from the specifications and potential
changes in bioavailability could raise clinical issues.  This preliminary list was not based solely on 21 CFR 320.33(c)
which is contained in a section of the regulations related to criteria and evidence to assess actual or potential
bioequivalence problems, nor does it accurately reflect the Agency's opinion on narrow therapeutic range drugs. 
Currently, the issue of narrow therapeutic range drugs is under discussion within CDER.   If unsure about the
classification of a drug as a narrow therapeutic range drug, sponsors should contact the appropriate CDER review
division.
10 Examples:
a. Change in the technical grade and/or specifications of the release
controlling excipient(s).6
b. Changes in the release controlling excipient(s), expressed as
percentage (w/w) of total release controlling excipient(s) in the
formulation, greater than those listed above for a level 1 change,
but less than or equal to 10% w/w of total release controlling
excipient content in the modified release solid oral dosage form.
The drug substance in the drug product is formulated to 100% of
label/potency.  The total additive effect of all release controlling excipient
changes should not be more than 10% w/w of the total release controlling
excipient(s) in the original approved formulation.  The total weight of the
dosage form could still be within or outside the approved original
application range.
The components (active and excipients) in the formulation should have
numerical targets that represent the nominal composition of the product on
which any future changes in the composition of the product are to be
based.  Allowable changes in the composition are based on the original
approved target composition and not on the composition based on previous
level 1 or level 2 changes.  For products approved with only a range for
excipients, the target value may be assumed to be the midpoint of the
original approved application range.
2. Test Documentation
a. Chemistry documentation
Application/compendial product release requirements and updated
executed batch records.
Stability:
! Nonnarrow therapeutic range drugs:  One batch with three months'
accelerated stability data reported in prior approval supplement and
long-term stability data of first production batch reported in annual
report.
6Example: Eudragit RS-100 vs. Eudragit RL-100.
11 ! Narrow therapeutic range drugs:  Three batches with three months'
accelerated stability data reported in prior approval supplement and
long-term stability data of first three production batches reported in
annual report.
b. Dissolution documentation
! Nonnarrow therapeutic range drugs
Extended release:  In addition to application/compendial release
requirements, multipoint dissolution profiles should be obtained in three
other media, for example, in water, 0.1N HCl, and USP buffer media at pH
4.5, and 6.8 for the changed drug product and the biobatch or marketed
batch (unchanged drug product).  Adequate sampling should be performed,
for example, at 1, 2, and 4 hours and every two hours thereafter until either
80% of the drug from the drug product is released or an asymptote is
reached.  A surfactant may be used with appropriate justification. 
Delayed release:  In addition to application/compendial release
requirements, dissolution tests should be performed in 0.1 N HCl for 2
hours (acid stage) followed by testing in USP buffer media in the range of
pH 4.5-7.5 (buffer stage) under standard (application/compendial) test
conditions and two additional agitation speeds using the
application/compendial test apparatus (three additional test conditions).  If
the application/compendial test apparatus is the rotating basket method
(Apparatus 1), a rotation speed of 50, 100, and 150 rpm may be used, and
if the application/compendial test apparatus is the rotating paddle method
(Apparatus 2), a rotation speed of 50, 75, and 100 rpm may be used. 
Multipoint dissolution profiles should be obtained during the buffer stage
of testing.  Adequate sampling should be performed, for example, at 15,
30, 45, 60, and 120 minutes (following the time from which the dosage
form is placed in the buffer) until either 80% of the drug from the drug
product is released or an asymptote is reached.  The above dissolution
testing should be performed using the changed drug product and the
biobatch or marketed batch (unchanged drug product).
All modified release solid oral dosage forms:  In the presence of an 
established in vitro/in vivo correlation (6), only application/compendial
dissolution testing should be performed (i.e., only in vitro release data by
the correlating method should be submitted).  The dissolution profiles of
the changed drug product and the biobatch or marketed batch (unchanged
drug product) should be similar.  The sponsor should apply appropriate
statistical testing with justifications (e.g., the f  equation) for comparing
2
12 dissolution profiles (5).  Similarity testing for the two dissolution profiles
(i.e., for the unchanged drug product and the changed drug product)
obtained in each individual medium is appropriate.
! Narrow therapeutic range drugs
Extended release:  In addition to application/compendial release
requirements, a multipoint dissolution profile should be obtained in
application/compendial medium for the changed drug product and the
biobatch or marketed batch (unchanged drug product).  Adequate sampling
should be performed, for example at 1, 2, and 4 hours and every two hours
thereafter until either 80% of the drug from the drug product is released or
an asymptote is reached.  
Delayed release:  In addition to application/compendial release
requirements, a multipoint dissolution profile should be obtained during the
buffer stage of testing using the application/compendial medium for the
changed drug product and the biobatch or marketed batch (unchanged drug
product).  Adequate sampling should be performed, for example, at 15, 30,
45, 60, and 120 minutes (following the time from which the dosage form is
placed in the buffer) until either 80% of the drug from the drug product is
released or an asymptote is reached.  
c. Bioequivalence documentation
! Nonnarrow therapeutic range drugs:  None. 
! Narrow therapeutic range drugs:  A single-dose bioequivalence
study (3).  The bioequivalence study may be waived in the presence
of an established in vitro/in vivo correlation (6).  Changes in release
controlling excipients in the formulation should be within the range
of release controlling excipients of the established correlation.
3. Filing Documentation
Prior approval supplement (all information including accelerated stability data); 
annual report (long-term stability data).
13 C. Level 3 Change
1. Definition of Level
Level 3 changes are those that are likely to have a significant impact on
formulation quality and performance affecting all therapeutic ranges of the drug.  
Examples:
a. Addition or deletion of release controlling excipient(s) (e.g., release
controlling polymer/plasticizer).
b. Changes in the release controlling excipient(s), expressed as
percentage (w/w) of total release controlling excipient(s) in the
formulation, greater than those listed above for a level 2 change
(i.e., greater than 10% w/w of total release controlling excipient
content in the modified release solid oral dosage form).  Total
weight of the dosage form may be within or outside the original
approved application range.
2. Test Documentation
a. Chemistry documentation
Application/compendial product release requirements and updated
executed batch records.
Stability:  Three batches with three months' accelerated stability data
reported in prior approval supplement and long-term stability data of first
three production batches reported in annual report.
b. Dissolution documentation
Extended release:  In addition to application/compendial release
requirements, a multipoint dissolution profile should be obtained using
application/compendial test conditions for the changed drug product and
the biobatch or marketed batch (unchanged drug product).  Adequate
sampling should be performed, for example at 1, 2, and 4 hours and every
two hours thereafter until either 80% of the drug from the drug product is
released or an asymptote is reached.  
Delayed release:  In addition to application/compendial release
requirements, a multipoint dissolution profile should be obtained during the
buffer stage of testing using the application/compendial test conditions for
14 the changed drug product and the biobatch or marketed batch (unchanged
drug product).  Adequate sampling should be performed, for example at
15, 30, 45, 60, and 120 minutes (following the time from which the dosage
form is placed in the buffer) until either 80% of the drug from the drug
product is released or an asymptote is reached.  
c. Bioequivalence documentation
A single-dose bioequivalence study  (3).  The bioequivalence study may be
waived in the presence of an established in vitro/in vivo correlation (6). 
Changes in release controlling excipients in the formulation should be
within the range of release controlling excipients of the established
correlation.
3. Filing Documentation
Prior approval supplement (all information including accelerated stability data);
annual report (long-term stability data).
V. SITE CHANGES
Site changes consist of changes in location of the site of manufacture, packaging operations,
and/or analytical testing laboratory for both company-owned and contract manufacturing
facilities.  They do not include any scale-up changes, changes in manufacturing (including process
and/or equipment), or changes in components or composition.  New manufacturing locations
should have had a satisfactory current good manufacturing practice (cGMP) inspection.
A stand-alone packaging operations site change, using container(s)/closure(s) in the approved
application, may be submitted as a Changes Being Effected supplement.  The facility should also
have a current and satisfactory cGMP compliance profile with the FDA for the type of packaging
operation in question before submitting the supplement.  If the facility has not received a
satisfactory cGMP inspection for the type of packaging operation in question, a prior approval
supplement is recommended.  The supplement should contain a written certification from the
packaging facility stating that it is in conformance with cGMPs.  It should also contain a
commitment to place the first production batch of the product, and annual batches thereafter, on
long-term stability studies using the approved protocol in the application and to submit the
resulting data in annual reports.  Where the product is available in more than one strength, size, or
container/closure system, one lot of each combination should be placed on long-term stability
studies.  Bracketing or matrixing is allowed only if it has been approved previously by the FDA. 
Any changes to an approved stability protocol should have a supplemental approval prior to the
initiation of the stability study.
15 A stand-alone analytical testing laboratory site change may be submitted as a Changes Being
Effected supplement if the new facility has a current and satisfactory cGMP compliance profile
with the FDA for the type of testing operation in question.  The supplement should contain a
commitment to use the same test methods employed in the approved application, written
certification from the testing laboratory stating that they are in conformance with cGMPs, and a
full description of the testing to be performed by the testing lab.  If the facility has not received a
satisfactory cGMP inspection for the type of testing involved, a prior approval supplement is
recommended.
A. Level 1 Change
1. Definition of Level
Level 1 changes consist of site changes within a single facility where the same
equipment, standard operating procedures (SOPs), environmental conditions (e.g.,
temperature and humidity) and controls, and personnel common7  to both
manufacturing sites are used and where no changes are made to the executed batch
records, except for administrative information and the location of the facility. 
2. Test Documentation
a. Chemistry documentation
None beyond application/compendial product release requirements.
b. Dissolution documentation
None beyond application/compendial release requirements.
c. Bioequivalence documentation
None. 
3. Filing Documentation
Annual report.
7Common is defined as employees already working on the campus who have suitable experience with the
manufacturing process.
16 B. Level 2 Change 
1. Definition of Level
Level 2 changes consist of site changes within a contiguous campus, or between
facilities in adjacent city blocks, where the same equipment, SOPs, environmental
conditions (e.g., temperature and humidity) and controls, and personnel common
to both manufacturing sites are used and where no changes are made to the
executed batch records, except for administrative information and the location of
the facility. 
2. Test Documentation
a. Chemistry documentation
Notification of location of new site and updated executed batch records. 
None beyond application/compendial product release requirements.
Stability:  One batch with three months accelerated stability data reported
in Changes Being Effected supplement and long-term stability data of first
production batch reported in annual report.
b. Dissolution documentation
Extended release:  In addition to application/compendial release
requirements, multipoint dissolution profiles should be obtained in three
other media, for example, in water, 0.1N HCl, and USP buffer media at pH
4.5, and 6.8 for the changed drug product and the biobatch or marketed
batch (unchanged drug product).  Adequate sampling should be performed,
for example at 1, 2, and 4 hours and every two hours thereafter until either
80% of the drug from the drug product is released or an asymptote is
reached.  A surfactant may be used with appropriate justification. 
Delayed release:  In addition to application/compendial release
requirements, dissolution tests should be performed in 0.1 N HCl for 2
hours (acid stage) followed by testing in USP buffer media, in the range of
pH 4.5-7.5 (buffer stage) under standard (application/compendial) test
conditions and two additional agitation speeds using the application/
compendial test apparatus (three additional test conditions).  If the
application/compendial test apparatus is the rotating basket method
(Apparatus 1), a rotation speed of 50, 100, and 150 rpm may be used, and
if the application/compendial test apparatus is the rotating paddle method
(Apparatus 2), a rotation speed of 50, 75, and 100 rpm may be used. 
17 Multipoint dissolution profiles should be obtained during the buffer stage
of testing.  Adequate sampling should be performed, for example, at 15,
30, 45, 60, and 120 minutes (following the time from which the dosage
form is placed in the buffer) until either 80% of the drug from the drug
product is released or an asymptote is reached.  The above dissolution
testing should be performed using the changed drug product and the
biobatch or marketed batch (unchanged drug product).
All modified release solid oral dosage forms:  In the presence of an
established in vitro/in vivo correlation (6), only application/compendial
dissolution testing should be performed (i.e., only in vitro release data by
the correlating method should be submitted).  The dissolution profiles of
the changed drug product and the biobatch or marketed batch (unchanged
drug product) should be similar.  The sponsor should apply appropriate
statistical testing with justifications (e.g., the f  equation) for comparing
2
dissolution profiles (5).  Similarity testing for the two dissolution profiles
(i.e., for the unchanged drug product and the changed drug product)
obtained in each individual medium is appropriate.
c. Bioequivalence documentation
None. 
3. Filing Documentation
Changes Being Effected supplement (all information including accelerated stability
data); annual report (long-term stability data).
C. Level 3 Change
1. Definition of Level
Level 3 changes consist of a change in manufacturing site to a different campus.  A
different campus is defined as one that is not on the same original contiguous site
or where the facilities are not in adjacent city blocks.  To qualify as a level 3
change, the same equipment, SOPs, environmental conditions, and controls should
be used in the manufacturing process at the new site, and no changes may be made
to the executed batch records except for administrative information, location and
language translation, where needed. 
18 2. Test Documentation
a. Chemistry documentation
Notification of location of new site and updated executed batch records. 
Application/compendial product release requirements.
Stability:
Significant body of information available:  One batch with three months'
accelerated stability data reported in prior approval supplement and long-
term stability data of first three production batches reported in annual
report. 
Significant body of information not available:  Three batches with three
months' accelerated stability data reported in prior approval supplement
and long-term stability data of first three production batches reported in
annual report.
b. Dissolution documentation
Extended release:  In addition to application/compendial release
requirements, a multipoint dissolution profile should be obtained using
application/compendial test conditions for the changed drug product and
the biobatch or marketed batch (unchanged drug product).  Adequate
sampling should be performed, for example at 1, 2, and 4 hours and every
two hours thereafter until either 80% of the drug from the drug product is
released or an asymptote is reached.  
Delayed release:  In addition to application/compendial release
requirements, a multipoint dissolution profile should be obtained during the
buffer stage of testing using the application/compendial test conditions for
the changed drug product and the biobatch or marketed batch (unchanged
drug product).  Adequate sampling should be performed, for example, at
15, 30, 45, 60, and 120 minutes (following the time from which the dosage
form is placed in the buffer) until either 80% of the drug from the drug
product is released or an asymptote is reached.  
c. Bioequivalence documentation
A single-dose bioequivalence study (3).  The bioequivalence study may be
waived in the presence of an established in vitro/in vivo correlation (6).
19 3. Filing Documentation
Prior approval supplement (all information including accelerated stability test
data); annual report (long-term stability data).
VI. CHANGES IN BATCH SIZE (SCALE-UP/SCALE-DOWN)
Postapproval changes in the size of a batch from the pivotal/pilot scale biobatch material to larger
or smaller production batches call for submission of additional information to the application. 
Scale-down below 100,000 dosage units is not covered by this guidance.  Adjustments in
parameters such as mixing times and speeds may be made to tailor the process to the
characteristics of larger or smaller scale equipment.  All scale-up changes should be properly
validated and, where needed, inspected by appropriate Agency personnel.
A. Level 1 Change
1. Definition of Level
Change in batch size, up to and including a factor of ten times the size of the
pilot/biobatch, where (1) the equipment used to produce the test batch(es) may
vary in capacity, but are of the same design and operating principles; (2) the
batch(es) is manufactured in full compliance with cGMPs; and (3) the same
standard operating procedures (SOPs) and controls, as well as the same
formulation and manufacturing procedures, are used on the test batch(es) and on
the full-scale production batch(es). 
2. Test Documentation
a. Chemistry documentation
Application/compendial product release requirements.  Notification of
change and submission of updated executed batch records in annual report.
Stability:  First production batch on long-term stability data reported in
annual report.
b. Dissolution documentation
None beyond application/compendial release requirements.
c. Bioequivalence documentation
20 None.
3. Filing Documentation
Annual report (all information including long-term stability data).
B. Level 2 Change
1. Definition of Level
Changes in batch size beyond a factor of ten times the size of the pilot/biobatch
where (1) the equipment used to produce the test batch(es) is of the same design
and operating principles; (2) the batch(es) is manufactured in full compliance with
cGMPs; and (3) the same SOPs and controls as well as the same formulation and
manufacturing procedures are used on the test batch(es) and on the full-scale
production batch(es). 
2. Test Documentation
a. Chemistry documentation
Application/compendial product release requirements. 
Notification of change and submission of updated batch 
records. 
Stability:  One batch with three months' accelerated stability data reported
in Changes Being Effected supplement and long-term stability data of first
production batch reported in annual report.
b. Dissolution documentation
Extended release:  In addition to application/compendial release
requirements, multipoint dissolution profiles should be obtained in three
other media, for example, in water, 0.1N HCl, and USP buffer media at pH
4.5, and 6.8 for the changed drug product and the biobatch or marketed
batch (unchanged drug product).  Adequate sampling should be performed,
for example, at 1, 2, and 4 hours, and every two hours thereafter until
either 80% of the drug from the drug product is released or an asymptote is
reached.  A surfactant may be used with appropriate justification. 
Delayed release:  In addition to application/compendial release
requirements, dissolution tests should be performed in 0.1 N HCl for 2
21 hours (acid stage) followed by testing in USP buffer media in the range of
pH 4.5-7.5 (buffer stage) under standard (application/compendial) test
conditions and two additional agitation speeds using the application/
compendial test apparatus (three additional test conditions).  If the
application/compendial test apparatus is the rotating basket method
(Apparatus 1), a rotation speed of 50, 100, and 150 rpm may be used, and
if the application/compendial test apparatus is the rotating paddle method
(Apparatus 2), a rotation speed of 50, 75, and 100 rpm may be used. 
Multipoint dissolution profiles should be obtained during the buffer stage
of testing.  Adequate sampling should be performed, for example, at 15,
30, 45, 60, and 120 minutes (following the time from which the dosage
form is placed in the buffer) until either 80% of the drug from the drug
product is released or an asymptote is reached.  The above dissolution
testing should be performed using the changed drug product and the
biobatch or marketed batch (unchanged drug product).
All modified release solid oral dosage forms:  In the presence of an
established in vitro/in vivo correlation (6), only application/compendial
dissolution testing should be performed (i.e., only in vitro release data by
the correlating method should be submitted).  The dissolution profiles of
the changed drug product and the biobatch or marketed batch (unchanged
drug product) should be similar.  The sponsor should apply appropriate
statistical testing with justifications (e.g., the f  equation) for comparing
2
dissolution profiles (5).  Similarity testing for the two dissolution profiles
(i.e., for the unchanged drug product and the changed drug product)
obtained in each individual medium is appropriate.
c. Bioequivalence documentation
None. 
3. Filing Documentation
Changes Being Effected supplement (all information including accelerated stability
data); annual report (long-term stability data).
VII. MANUFACTURING EQUIPMENT CHANGES
Manufacturing changes may involve the equipment used in the manufacturing process (critical
manufacturing variable).  If a manufacturer wishes to use manufacturing equipment that is not
identical in every respect to the original manufacturing equipment used in the approved
application, appropriate validation studies should be conducted to demonstrate that the new
22 equipment is similar to the original equipment.  For modified release solid oral dosage forms,
consideration should be given as to whether or not the change in manufacturing equipment is
critical to drug release (critical equipment variable).
A. Level 1 Change
1. Definition of Level
This category consists of (1) change from nonautomated or nonmechanical
equipment to automated or mechanical equipment to move ingredients and
(2) change to alternative equipment of the same design and operating principles of
the same or of a different capacity.
2. Test documentation
a. Chemistry documentation
Application/compendial product release requirements.  Notification of
change and submission of updated executed batch records. 
Stability:  First production batch on long-term stability data reported in
annual report. 
b. Dissolution documentation
None beyond application/compendial release requirements.
c. Bioequivalence documentation
None.
3. Filing Documentation
Annual report (all information including long-term stability data).
B. Level 2 Change 
1. Definition of Level
Change in equipment to a different design and different operating principles.
2. Test Documentation
23 a. Chemistry documentation
Application/compendial product release requirements.  Notification of
change and submission of updated executed batch records. 
Stability:
Significant body of information available:  One batch with three months'
accelerated stability data reported in prior approval supplement and long-
term stability data of first three production batches reported in annual
report. 
Significant body of information not available:  Three batches with three
months' accelerated stability data reported in prior approval supplement
and long-term stability data of first three production batches reported in
annual report.
b. Dissolution documentation
Extended release:  In addition to application/compendial release
requirements, multipoint dissolution profiles should be obtained in three
other media, for example, in water, 0.1N HCl, and USP buffer media at pH
4.5, and 6.8 for the changed drug product and the biobatch or marketed
batch (unchanged drug product).  Adequate sampling should be performed,
for example, at 1, 2, and 4 hours and every two hours thereafter until either
80% of the drug from the drug product is released or an asymptote is
reached.  A surfactant may be used with appropriate justification. 
Delayed release:  In addition to application/compendial release
requirements, dissolution tests should be performed in 0.1 N HCl for 2
hours (acid stage) followed by testing in USP buffer media, in the range of
pH 4.5-7.5 (buffer stage) under standard (application/compendial) test
conditions and two additional agitation speeds using the application/
compendial test apparatus (three additional test conditions).  If the
application/compendial test apparatus is the rotating basket method
(Apparatus 1), a rotation speed of 50, 100, and 150 rpm may be used, and
if the application/compendial test apparatus is the rotating paddle method
(Apparatus 2), a rotation speed of 50, 75, and 100 rpm may be used. 
Multipoint dissolution profiles should be obtained during the buffer stage
of testing.  Adequate sampling should be performed, for example, at 15,
30, 45, 60, and 120 minutes (following the time from which the dosage
form is placed in the buffer) until either 80% of the drug from the drug
product is released or an asymptote is reached.  The above dissolution
24 testing should be performed using the changed drug product and the
biobatch or marketed batch (unchanged drug product).
All modified release solid oral dosage forms:  In the presence of an
established in vitro/in vivo correlation (6), only application/compendial
dissolution testing should be performed (i.e., only in vitro release data by
the correlating method should be submitted).  The dissolution profiles of
the changed drug product and the biobatch or marketed batch (unchanged
drug product) should be similar.  The sponsor should apply appropriate
statistical testing with justifications (e.g., the f  equation) for comparing
2
dissolution profiles (5).  Similarity testing for the two dissolution profiles
(i.e., for the unchanged drug product and the changed drug product)
obtained in each individual medium is appropriate.
c. Bioequivalence documentation
None. 
3. Filing Documentation
Prior approval supplement with justification for change (all information including
accelerated stability data); annual report (long-term stability data).
VIII. MANUFACTURING PROCESS CHANGES
Manufacturing changes may involve the manufacturing process itself (critical
manufacturing variable).  If a manufacturer wishes to use a manufacturing process that is not
identical in every respect to the original manufacturing process used in the approved application,
appropriate validation studies should be conducted to demonstrate that the new process is similar
to the original process.  For modified release solid oral dosage forms, consideration should be
given as to whether or not the change in manufacturing process is critical to drug release (critical
processing variable).  For purposes of categorizing the level of changes, process change may be
considered only to affect a release controlling excipient when both types of excipients (i.e.,
nonrelease and release controlling) are present during the unit operation undergoing a change.
A. Level 1 Change
1. Definition of Level
Process changes involving adjustment of equipment operating conditions such as
mixing times and operating speeds within original approved application ranges
affecting the nonrelease controlling and/or release controlling excipient(s).  The
25 sponsor should provide appropriate justifications for claiming any excipient(s) as a
nonrelease controlling or a release controlling excipient in the formulation of the
modified release solid oral dosage form.
2. Test Documentation
a. Chemistry documentation
None beyond application/compendial product release requirements. 
Notification of the change and submission of the updated executed batch
records.
b. Dissolution documentation
None beyond application/compendial release requirements.
c. Bioequivalence documentation
None.
3. Filing Documentation
Annual report.
B. Level 2 Change
1. Definition of Level
This category includes process changes involving adjustment of equipment
operating conditions such as mixing times and operating speeds outside of original
approved application ranges.
2. Test Documentation
a. Chemistry documentation
Application/compendial product release requirements.  Notification of
change and submission of updated executed batch records. 
Stability:  One batch with three months' accelerated stability data reported
in Changes Being Effected supplement and long-term stability data of first
production batch reported in annual report.
26 b. Dissolution documentation
Extended release:  In addition to application/compendial release
requirements, multipoint dissolution profiles should be obtained in three
other media, for example, in water, 0.1N HCl, and USP buffer media at pH
4.5, and 6.8 for the changed drug product and the biobatch or marketed
batch (unchanged drug product).  Adequate sampling should be performed,
for example at 1, 2, and 4 hours and every two hours thereafter until either
80% of the drug from the drug product is released or an asymptote is
reached.  A surfactant may be used with appropriate justification. 
Delayed release:  In addition to application/compendial release
requirements, dissolution tests should be performed in 0.1 N HCl for 2
hours (acid stage) followed by testing in USP buffer media, in the range of
pH 4.5-7.5 (buffer stage) under standard (application/compendial) test
conditions and two additional agitation speeds using the application/
compendial test apparatus (three additional test conditions).  If the
application/compendial test apparatus is the rotating basket method
(Apparatus 1), a rotation speed of 50, 100, and 150 rpm may be used, and
if the application/compendial test apparatus is the rotating paddle method
(Apparatus 2), a rotation speed of 50, 75, and 100 rpm may be used. 
Multipoint dissolution profiles should be obtained during the buffer stage
of testing. Adequate sampling should be performed, for example, at 15, 30,
45, 60, and 120 minutes (following the time from which the dosage form is
placed in the buffer) until either 80% of the drug from the drug product is
released or an asymptote is reached.  The above dissolution testing should
be performed using the changed drug product and the biobatch or
marketed batch (unchanged drug product).
All modified release solid oral dosage forms:  In the presence of an
established in vitro/in vivo correlation (6), only application/compendial
dissolution testing should be performed (i.e., only in vitro release data by
the correlating method should be submitted).  The dissolution profiles of
the changed drug product and the biobatch or marketed batch (unchanged
drug product) should be similar.  The sponsor should apply appropriate
statistical testing with justifications (e.g., the f  equation) for comparing
2
dissolution profiles (5).  Similarity testing for the two dissolution profiles
(i.e., for the unchanged drug product and the changed drug product)
obtained in each individual medium is appropriate.
27 c. Bioequivalence documentation
None. 
3. Filing Documentation
Changes Being Effected supplement (all information including accelerated stability
data); annual report (long-term stability data).
C. Level 3 Change 
1. Definition of Level
This category includes change in the type of process used in the manufacture of the
product, such as a change from wet granulation to direct compression of dry
powder.
2. Test Documentation
a. Chemistry documentation
Application/compendial product release requirements.  Notification of
change and submission of updated executed batch records. 
Stability:  Three batches with three months' accelerated stability data
reported in prior approval supplement and long-term stability data of first
three production batches reported in annual report.
b. Dissolution documentation
Extended release:  In addition to application/compendial release
requirements, a multipoint dissolution profile should be obtained using
application/compendial test conditions for the changed drug product and
the biobatch or marketed batch (unchanged drug product). Adequate
sampling should be performed, for example at 1, 2, and 4 hours and every
two hours thereafter until either 80% of the drug from the drug product is
released or an asymptote is  reached.  
Delayed release:  In addition to application/compendial release
requirements, a multipoint dissolution profile should be obtained during the
buffer stage of testing using the application/compendial test conditions for
the changed drug product and the biobatch or marketed batch (unchanged
drug product).  Adequate sampling should be performed, for example at
28 15, 30, 45, 60, and 120 minutes (following the time from which the dosage
form is placed in the buffer) until either 80% of the drug from the drug
product is released or an asymptote is reached.  
c. Bioequivalence documentation
A single-dose bioequivalence study (3).  The bioequivalence study may be
waived in the presence of an established in vitro/in vivo correlation (6).
3. Filing Documentation
Prior approval supplement (all information including accelerated stability data);
annual report (long-term stability data).
29 GLOSSARY OF TERMS
The following terms and their definitions (9) are being provided to assist the reader in using this
guidance document.
Batch:  A specific quantity of a drug or other material produced according to a single
manufacturing order during the same cycle of manufacture and intended to have uniform character
and quality, within specified limits (21 CFR 210.3(b)(2)).
Batch formula (Composition):  A complete list of the ingredients and their amounts to be used
for the manufacture of a representative batch of the drug product.  All ingredients should be
included in the batch formula whether or not they remain in the finished product (1).  
Biobatch:  The lot of drug product formulated for purposes of pharmacokinetic evaluation in a
bioavailability/bioequivalency study.  For modified release solid oral, this batch should be 10% or
greater than the proposed commercial production batch or at least 100,000 units, whichever is
greater. 
Bioequivalence Studies For Modified Release Drug Product:  Refer to the OGD Guidance
(3).  The bioequivalence study should be conducted using the reference listed drug (RLD) product
and/or the innovator drug product as the reference and the test product should be the product
(generic or innovator) which has undergone postapproval change.
Contiguous Campus:  Continuous or unbroken site or a set of buildings in adjacent city blocks.
Critical Equipment Variable:  A specific design, operating principle, or automation of
equipment that can affect a specific performance variable critical to the ultimate and predictable
performance of the dosage form and its drug.
Critical Manufacturing Variable:  Includes those manufacturing materials (critical composition
variable), methods, equipment, and processes that significantly affect drug release, from the
formulation (e.g., coating thickness, particle size, crystal form, excipient type, concentrations and
distribution, and tablet hardness).
Critical Processing Variable:  A specific step, unit process, or condition of a unit process that
can affect a specific performance variable critical to the ultimate and predictable performance of
the dosage form and its drug.
Delayed Release:  Release of a drug (or drugs) at a time other than immediately following oral
administration.
Dissolution Testing:  Extended release:  Dissolution testing should be conducted on 12
individual dosage units for the  changed drug product and the biobatch or marketed batch
30 (unchanged drug product).  The potential for pH dependence of drug release from a modified
release drug product is well recognized.  Multipoint dissolution profiles should be obtained using
discriminating agitation speed and medium.  A surfactant may be used with appropriate
justification.   Early sampling times of 1, 2, and 4 hours should be included in the sampling
schedule to provide assurance against premature release of the drug (dose dumping) from the
formulation.  Differing sampling times should be justified to prevent premature drug release.  See
current USP 23 NF 18, sections <711> and <724>, for general dissolution requirements.  The
general dissolution conditions to be followed are shown below:
1. Apparatus:  USP 23 Apparatus 1 (rotating basket) 
USP 23 Apparatus 2 (rotating paddle) 
USP 23 Apparatus 3 (reciprocating cylinder)*
USP 23 Apparatus 4 (flow-through cell)*
USP 23 Apparatus 7 (reciprocating disk)*
2. Rotation Speed:  50, 100, and 150 rpm (basket)
50, 75 and 100 rpm (paddle)
3. Temperature:  370.5oC
4. Units To Be Tested:  12
5. Dissolution Volume:  500-1000 mL
6. Dissolution Medium:  Aqueous media of various pH.  
7. Sampling Schedule:  Adequate sampling should be performed, for example at 1, 2, and 4
hours, and every two hours thereafter until either 80% of the drug is released or an
asymptote is reached.
8. Tolerances:  As established.
9. Content Uniformity:  Content uniformity testing of the proposed product lot should be 
performed as described in USP 23.
*When using USP 23 Apparatus 3 (reciprocating cylinder), USP 23 Apparatus 4 (flow-
through cell), or USP 23 Apparatus 7 (reciprocating disk) the above dissolution testing
conditions should be modified accordingly.
Delayed release:  For enteric coated drug products, drug release procedures described in USP 23
NF 18, sections <711> and <724> should be followed.  When the guidance refers to dissolution
testing in addition to application/compendial release requirements, the dissolution test should be
performed in 0.1N HCl for 2 hours (acid stage) followed by testing in USP buffer media, in the
range of pH 4.5-7.5 (buffer stage) under standard (application/compendial) test conditions and
31 increased agitation speeds using the application/ compendial test apparatus.  For the rotating
basket method (Apparatus 1), a rotation speed of 50, 100, and 150 rpm may be used and for the
rotating paddle method (Apparatus 2), a rotation speed of 50, 75, and 100 rpm may be studied. 
Multipoint dissolution profiles should be obtained during the buffer stage of testing.  Adequate
sampling should be performed, for example, at 15, 30, 45, 60, and 120 minutes (following the
time from which the dosage form is placed in the buffer) until either 80% of the drug is released
or an asymptote is reached.  The above dissolution testing should be performed using the changed
drug product and the biobatch or marketed batch (unchanged drug product).
Drug Product:  A drug product is a finished dosage form (e.g., tablet and capsule) that contains a
drug substance, generally, but not necessarily, in association with one or more other ingredients
(21 CFR 314.3(b)).  A solid oral dosage form includes but is not limited to tablets, chewable
tablets, enteric coated tablets, capsules, caplets, encapsulated beads, and gelcaps.
Drug Substance:  An active ingredient that is intended to furnish pharmacological activity or
other direct effect in the diagnosis, cure, mitigation, treatment, or prevention of a disease, or to
affect the structure of any function of the human body, but does not include intermediates used in
the synthesis of such ingredient (21 CFR 314.3(b)).
Enteric Coated:  Intended to delay the release of the drug (or drugs) until the dosage form has
passed through the stomach.  Enteric coated products are delayed release dosage forms.
Equipment:  Automated or nonautomated, mechanical or nonmechanical equipment used to
produce the drug product, including equipment used to package the drug product.
Extended Release:  Extended release products are formulated to make the drug available over an
extended period after ingestion.  This allows a reduction in dosing frequency compared to a drug
presented as a conventional dosage form (e.g., as a solution or an immediate release dosage
form).  
Formulation:  A listing of the ingredients and composition of the dosage form.
Immediate Release:  Allows the drug to dissolve in the gastrointestinal contents, with no
intention of delaying or prolonging the dissolution or absorption of the drug.
In Vitro Dissolution Profile Comparison:  Model Independent Approach Using Similarity
Factor:  Dissolution profiles may be compared using the following equation that defines a
similarity factor (f ):
2
 
f   =  50  LOG  {[1+1/n  3n   (R-T)2]-0.5 x 100}
2 t=1 t t
where LOG = logarithm to base 10, n = number of sampling time points, 3 = summation over all
time points, R = dissolution at time point t of the reference (unchanged drug product, i.e., pre-
t
32 change batch), T = dissolution at time point t of the test (changed drug product, i.e., post-change
t
batch) (5 and 8).  
For comparison of multipoint dissolution profiles obtained in multiple media, similarity testing
should be performed using pairwise dissolution profiles (i.e., for the unchanged and changed
product) obtained in each individual medium.  It is recommended that only one point past the
plateau of the profiles be used in calculating the f  value.  A correction for a lag time prior to
2
similarity testing should not be performed unless justified.
An f  value between 50 and 100 suggests the two dissolution profiles are similar.  Also, the
2
average difference at any dissolution sampling time point should not be greater than 15% between
the changed drug product and the biobatch or marketed batch (unchanged drug product)
dissolution profiles.  An appropriate reference for this comparison should represent an average
dissolution profile derived from at least three consecutive recent batches of the unchanged drug
product (biobatch or marketed batch).  Finally, the dissolution data obtained under the
application/compendial dissolution testing conditions (media, agitation, etc.), on both the changed
drug product and the biobatch or marketed batch (unchanged drug product) should be within the
application/compendial specifications.  
An f  value less than 50 does not necessarily indicate lack of similarity.  If the sponsor is of the
2
opinion that the differences observed related to this calculation of f  are typical for the drug
2
product involved in this SUPAC situation, an appropriate justification can be submitted, but only
as part of a prior approval supplement.  This justification should include additional data to support
the claim of similarity, as well as supporting statistical analysis (e.g. 90% confidence interval
analysis).  If this justification is not found acceptable, the potential effect of the proposed change
on the differences in dissolution on bioavailability should be determined.
Dissolution profiles can also be compared using other model independent or model dependent
methods (5). 
In Vitro-In Vivo Correlation:  A predictive mathematical model describing the relationship
between an in vitro property of an oral dosage form (usually the rate or extent of drug dissolution
or release) and a relevant in vivo response (e.g., plasma drug concentration or amount of drug
absorbed).  
For modified release dosage forms, changes in release controlling excipients in the formulation
should be within the range of release controlling excipients of the established correlation.  In the
presence of an established in vitro/in vivo correlation (6), only application/ compendial dissolution
testing need be performed.  Also, an established in vitro/in vivo correlation can be used for any
level of changes described in this guidance.
Justification:  Reports containing scientific data and expert professional judgment to substantiate
decisions.
33 Lot:  A batch or a specific identified portion of a batch, having uniform character and quality
within specified limits or, in the case of a drug product produced by continuous process, a specific
identified amount produced in a unit of time or quantity in a manner that assures its having
uniform character and quality within specified limits (21 CFR 210.3(b)(10)).
Modified Release Dosage Forms:  Dosage forms whose drug-release characteristics of time
course and/or location are chosen to accomplish therapeutic or convenience objectives not offered
by conventional dosage forms such as a solution or an immediate release dosage form.  Modified
release solid oral dosage forms include both delayed and extended release drug products.
Nonrelease Controlling Excipient (Non-Critical Composition Variable):  An excipient in the
final dosage form whose primary function does not include modifying the duration of release of
the active drug substance from the dosage form.
Operating Principles:  Rules or concepts governing the operation of the system.
Pilot Scale:  The manufacture of either drug substance or drug product by a procedure fully
representative of and simulating that used for full manufacturing scale.  For solid oral dosage
forms this is generally taken to be, at a minimum, one tenth that of full production, or 100,000
tablets or capsules, whichever is larger (4).
Process:  A series of operations, actions and controls used to manufacture a drug product.
Ranges:  The extent to which or the limits between which acceptable variation exists. 
Release Controlling Excipient (Critical Composition Variable):  An excipient in the final
dosage form whose primary function is to modify the duration of release of the active drug
substance from the dosage form.
Release Mechanism:  The process by which the drug substance is released from the dosage form. 
Typically the definition contains the energy source or pictorially describes the way the drug is
released.
Representative:  Corresponding to or replacing some other species or the like; exemplifying a
group or kind; typical.  
Same:  Agreeing in kind, amount; unchanged in character or condition. 
Satisfactory Current Good Manufacturing Practice (cGMP) Inspection:  A satisfactory
cGMP inspection is one during which (1) no objectionable conditions or practices were found
during an inspection or (2) objectionable conditions were found, however, corrective action is left
to the firm to take voluntarily and the objectionable conditions do not justify further
administrative or regulatory actions.
34 Scale-up:  The process of increasing the batch size.
Scale-down:  The process of decreasing the batch size.
Significant Body of Information:
! Immediate Release Solid Oral Dosage Forms:  A significant body of information
on the stability of the drug product is likely to exist after five years of commercial
experience for new molecular entities, or three years of commercial experience for
new dosage forms.
 
! Modified Release Solid Oral Dosage Forms:  A significant body of information
should include, for "Modified Release Solid Oral Dosage Forms," a
product-specific body of information.  This product-specific body of  information
is likely to exist after five years of commercial experience for the original modified
release solid oral drug product, or three years of commercial experience for any
subsequent modified release solid oral drug product utilizing similar drug release
mechanism. 
Similar:  Having a general likeness.
Technical Grade:  Technical grades of excipients may differ in (1) specifications and/or
functionality, (2) impurities, and (3) impurity profiles.
Validation:  Establishing through documented evidence a high degree of assurance that a specific
process will consistently produce a product that meets its predetermined specifications and quality
attributes.  A validated manufacturing process is one that has been proven to do what it purports
or is represented to do.  The proof of validation is obtained through collection and evaluation of
data, preferably beginning from the process development phase and continuing through into the
production phase.  Validation necessarily includes process qualification (the qualification of
materials, equipment, systems, buildings, and personnel), but it also includes the control of entire
processes for repeated batches or runs.  
35 REFERENCES
1. FDA, Guideline for Submitting Documentation for the Manufacture of and Controls for
Drug Products, February 1987.
2. FDA, "Interim Policy on Exceptions to the Batch-Size and Production Condition 
Requirements for Non-Antibiotic, Solid, Oral-Dosage Form Drug Products
Supporting Proposed ANDA's" Policy and Procedure Guide #22-90,
September 13, 1990.
Office of Generic Drugs, CDER, September 13, 1990.
3. FDA, Oral Extended (Controlled) Release Dosage Forms In Vivo Bioequivalence and In
Vitro Dissolution Testing, September 1993.
4. FDA, Stability Testing of New Drug Substances and Products; ICH Guideline, Federal
Register, Vol. 59, No. 183, 48754-48759, September 1994.
5. FDA, Guidance for Dissolution Testing of Immediate Release Solid Oral Products, 1997.
6. FDA, Guidance for the Development, Evaluation and Application of In Vitro/In Vivo
Correlations for Extended Release Solid Oral Dosage Forms, 1997.
7. FDA/University of Maryland Manufacturing Research Contract Summary.
8. Moore, J. W. and H. H. Flanner, "Mathematical Comparison of Dissolution Profiles,"
Pharmaceutical Technology, 6:64-74, 1996. 
9. Skelly, J. P., et al., "Workshop Report: Scaleup of Oral Extended-Release Dosage
Forms," Pharmaceutical Research, 10(12): 1800-1805, 1993.
36 EXTENDED RELEASE SOLID ORAL DOSAGE FORMS
NON-RELEASE CONTROLLING COMPONENTS AND COMPOSITION
LEVEL CLASSIFICATION THERAPEUTIC  TEST DOCUMENTATION FILING
RANGE DOCUMENTATION
I -COMPLETE OR PARTIAL                 ALL DRUGS -STABILITY -ANNUAL REPORT                 
DELETION OF COLOR/FLAVOR -APPLICATION/COMPENDIAL                                 
-CHANGE IN INKS, IMPRINTS REQUIREMENTS
-UPTO SUPAC-IR LEVEL 1                -NO BIOSTUDY
EXCIPIENT RANGES
-NO OTHER CHANGES
II -CHANGE IN TECHNICAL                 ALL DRUGS -NOTIFICATION & UPDATED BATCH                 -PRIOR APPROVAL              
GRADE AND/OR                              RECORD SUPPLEMENT
SPECIFICATIONS -STABILITY
-HIGHER THAN SUPAC-IR                 -APPLICATION/COMPENDIAL                             
LEVEL 1 BUT LESS THAN                REQUIREMENTS PLUS MULTI-POINT                 
LEVEL 2 EXCIPIENT RANGES DISSOLUTION PROFILES IN THREE OTHER       
-NO OTHER CHANGES MEDIA (e.g., WATER, 0.1N HCL, AND USP         
BUFFER MEDIA AT pH 4.5 AND 6.8) UNTIL        
(cid:7)80% OF DRUG RELEASED OR AN                     
ASYMPTOTE IS  REACHED1
-APPLY SOME STATISTICAL TEST (F2 TEST)      
FOR COMPARING DISSOLUTION PROFILES2
-NO BIOSTUDY
III -HIGHER THAN SUPAC-IR                 ALL DRUGS -UPDATED BATCH RECORD -PRIOR APPROVAL              
LEVEL 2 EXCIPIENT RANGES -STABILITY SUPPLEMENT
-APPLICATION/COMPENDIAL (PROFILE)            
REQUIREMENTS
-BIOSTUDY OR IVIVC1
1 IN THE PRESENCE OF AN ESTABLISHED IN VITRO/IN VIVO CORRELATION ONLY APPLICATION/COMPENDIAL DISSOLUTION TESTING SHOULD BE                           
PERFORMED.
2 IN THE ABSENCE OF AN ESTABLISHED IN VITRO/IN VIVO CORRELATION.
A-1 EXTENDED RELEASE SOLID ORAL DOSAGE FORMS
RELEASE CONTROLLING COMPONENTS AND COMPOSITION
LEVEL CLASSIFICATION THERAPEUTIC TEST DOCUMENTATION FILING
RANGE DOCUMENTATION
I -(cid:6) 5% W/W CHANGE BASED ON                  ALL DRUGS -STABILITY -ANNUAL REPORT
TOTAL RELEASE CONTROLLING               -APPLICATION/COMPENDIAL                              
EXCIPIENT (e.g., controlled release                REQUIREMENTS
polymer, plasticizer) CONTENT -NO BIOSTUDY
-NO OTHER CHANGES
II -CHANGE IN TECHNICAL GRADE               NON-NARROW -NOTIFICATION & UPDATED BATCH RECORD -PRIOR APPROVAL                
AND/OR SPECIFICATIONS -STABILITY SUPPLEMENT
-(cid:6)10% W/W CHANGE BASED ON                 -APPLICATION/COMPENDIAL                              
TOTAL RELEASE CONTROLLING               REQUIREMENTS PLUS MULTI-POINT                  
EXCIPIENT (e.g., controlled release                DISSOLUTION PROFILES IN THREE OTHER         
polymer, plasticizer) CONTENT MEDIA (e.g., WATER, 0.1N HCL, AND USP          
-NO OTHER CHANGES BUFFER MEDIA AT pH 4.5 AND 6.8) UNTIL         
(cid:7)80% OF DRUG RELEASED OR AN                      
ASYMPTOTE IS REACHED1
-APPLY SOME STATISTICAL TEST (F2 TEST)        
FOR COMPARING DISSOLUTION PROFILES2
-NO BIOSTUDY
NARROW -UPDATED BATCH RECORD -PRIOR APPROVAL                
-STABILITY SUPPLEMENT
-APPLICATION/COMPENDIAL (PROFILE)             
REQUIREMENTS
-BIOSTUDY OR IVIVC1
III ->10% W/W CHANGE BASED ON                ALL DRUGS -UPDATED BATCH RECORD -PRIOR APPROVAL                
TOTAL RELEASE CONTROLLING               -STABILITY SUPPLEMENT
EXCIPIENT (e.g., controlled release                -APPLICATION/COMPENDIAL (PROFILE)             
polymer, plasticizer) CONTENT REQUIREMENTS
-BIOSTUDY OR IVIVC1
1 IN THE PRESENCE OF AN ESTABLISHED IN VITRO/IN VIVO CORRELATION ONLY APPLICATION/COMPENDIAL DISSOLUTION TESTING SHOULD BE PERFORMED.
2 IN THE ABSENCE OF AN ESTABLISHED IN VITRO/IN VIVO CORRELATION.
A-2 EXTENDED RELEASE SOLID ORAL DOSAGE FORMS
SITE CHANGE
LEVEL CLASSIFICATION THERAPEUTIC TEST DOCUMENTATION  FILING
RANGE DOCUMENTATION
I -SINGLE FACILITY ALL DRUGS -APPLICATION/COMPENDIAL REQUIREMENTS -ANNUAL REPORT
-COMMON PERSONNEL -NO BIOSTUDY
-NO OTHER CHANGES
II -SAME CONTIGUOUS                ALL DRUGS -IDENTIFICATION AND DESCRIPTION OF SITE           -CHANGES BEING              
CAMPUS CHANGE, AND UPDATED BATCH RECORD EFFECTED                        
-COMMON PERSONNEL -NOTIFICATION OF SITE CHANGE SUPPLEMENT
-NO OTHER CHANGES -STABILITY
-APPLICATION/COMPENDIAL REQUIREMENTS
 PLUS MULTI-POINT DISSOLUTION PROFILES  IN      
THREE OTHER MEDIA (e.g., WATER, 0.1N HCL,        
AND USP BUFFER MEDIA AT pH 4.5 AND 6.8)          
UNTIL (cid:7)80% OF DRUG RELEASED OR AN                 
ASYMPTOTE IS REACHED1
-APPLY SOME STATISTICAL TEST (F2 TEST) FOR      
COMPARING DISSOLUTION PROFILES2
-NO BIOSTUDY
III -DIFFERENT CAMPUS ALL DRUGS -NOTIFICATION OF SITE CHANGE -PRIOR APPROVAL            
-DIFFERENT PERSONNEL -UPDATED BATCH RECORD SUPPLEMENT
-STABILITY
-APPLICATION/COMPENDIAL (PROFILE)                  
REQUIREMENTS
-BIOSTUDY OR IVIVC1 
1 IN THE PRESENCE OF AN ESTABLISHED IN VITRO/IN VIVO CORRELATION ONLY APPLICATION/COMPENDIAL DISSOLUTION TESTING SHOULD BE                           
PERFORMED.
2 IN THE ABSENCE OF AN ESTABLISHED IN VITRO/IN VIVO CORRELATION.
A-3 EXTENDED RELEASE SOLID ORAL DOSAGE FORMS
SCALE-UP/SCALE-DOWN
LEVEL CLASSIFICATION CHANGE TEST DOCUMENTATION FILING
DOCUMENTATION
I -SCALE-UP OF BIO-BATCH(S)       (cid:6)10X -UPDATED BATCH RECORD -ANNUAL REPORT               
OR PIVOTAL CLINICAL -STABILITY
 BATCH(S)  (ALL DRUGS) -APPLICATION/COMPENDIAL REQUIREMENTS
-NO OTHER CHANGES -NO BIOSTUDY
II -SCALE-UP OF BIO-BATCH(S) >10X -UPDATED BATCH RECORD -CHANGES BEING EFFECTED      
 OR PIVOTAL CLINICAL -STABILITY SUPPLEMENT 
 BATCH(S) (ALL DRUGS) -APPLICATION/COMPENDIAL REQUIREMENTS
-NO OTHER CHANGES  PLUS MULTI-POINT DISSOLUTION PROFILES IN       
THREE OTHER MEDIA (e.g., WATER, 0.1N HCL,        
AND USP BUFFER MEDIA AT pH 4.5 AND 6.8)           
UNTIL (cid:7)80% OF DRUG RELEASED OR AN                 
ASYMPTOTE IS  REACHED1
-APPLY SOME STATISTICAL TEST (F2 TEST) FOR      
COMPARING DISSOLUTION PROFILES2
-NO BIOSTUDY
1 IN THE PRESENCE OF AN ESTABLISHED IN VITRO/IN VIVO CORRELATION ONLY APPLICATION/COMPENDIAL DISSOLUTION TESTING SHOULD BE                           
PERFORMED.
2 IN THE ABSENCE OF AN ESTABLISHED IN VITRO/IN VIVO CORRELATION.
A-4 EXTENDED RELEASE SOLID ORAL DOSAGE FORMS
MANUFACTURING - EQUIPMENT
LEVEL CLASSIFICATION CHANGE TEST DOCUMENTATION FILING
DOCUMENTATION
I -EQUIPMENT CHANGES -ALTERNATE EQUIPMENT OF         -UPDATED BATCH RECORD -ANNUAL REPORT
-NO OTHER CHANGES SAME DESIGN AND PRINCIPLE -STABILITY
-AUTOMATED EQUIPMENT -APPLICATION/COMPENDIAL               
(ALL DRUGS) REQUIREMENTS
-NO BIOSTUDY
II -EQUIPMENT CHANGES -CHANGE TO EQUIPMENT OF A      -UPDATED BATCH RECORD -PRIOR APPROVAL                   
-NO OTHER CHANGES DIFFERENT DESIGN AND               -STABILITY SUPPLEMENT 
OPERATING PRINCIPLE -APPLICATION/COMPENDIAL               
(ALL DRUGS) REQUIREMENTS PLUS MULTI-             
POINT DISSOLUTION PROFILES IN       
THREE OTHER MEDIA (e.g.,                 
WATER, 0.1N HCL, AND USP                
BUFFER MEDIA AT pH 4.5 AND 6.8)     
UNTIL (cid:7)80% OF DRUG RELEASED        
OR AN ASYMPTOTE IS REACHED1
-APPLY SOME STATISTICAL TEST         
(F2 TEST) FOR COMPARING                 
DISSOLUTION PROFILES2
-NO BIOSTUDY
1 IN THE PRESENCE OF AN ESTABLISHED IN VITRO/IN VIVO CORRELATION ONLY APPLICATION/COMPENDIAL DISSOLUTION TESTING SHOULD BE                           
PERFORMED.
2 IN THE ABSENCE OF AN ESTABLISHED IN VITRO/IN VIVO CORRELATION.
A-5 EXTENDED RELEASE SOLID ORAL DOSAGE FORMS
MANUFACTURING - PROCESSING
LEVEL CLASSIFICATION CHANGE TEST DOCUMENTATION FILING
DOCUMENTATION
I -PROCESSING CHANGES AFFECTING         -ADJUSTMENT OF EQUIPMENT              -UPDATED BATCH RECORD -ANNUAL REPORT
THE NON-RELEASE CONTROLLING          OPERATING CONDITIONS (e.g.              -APPLICATION/COMPENDIAL                          
EXCIPIENTS AND/OR THE RELEASE         mixing times, operating speeds, etc.) REQUIREMENTS
CONROLLING EXCIPIENTS -WITHIN APPROVED APPLICATION        -NO BIOSTUDY
-NO OTHER CHANGES RANGES
II -PROCESSING CHANGES AFFECTING         -ADJUSTMENT OF EQUIPMENT              -UPDATED BATCH RECORD -CHANGES BEING                   
THE NON-RELEASE CONTROLLING          OPERATING CONDITIONS (e.g.              -STABILITY EFFECTED SUPPLEMENT
EXCIPIENTS AND/OR THE RELEASE         mixing times, operating speeds, etc.) -APPLICATION/COMPENDIAL                          
CONTROLLING EXCIPIENTS -BEYOND APPROVED APPLICATION      REQUIREMENTS PLUS MULTI-POINT             
-NO OTHER CHANGES RANGES DISSOLUTION PROFILES IN THREE                
OTHER MEDIA (e.g. WATER, 0.1N HCL,          
AND USP BUFFER MEDIA AT pH 4.5 AND       
6.8) UNTIL (cid:7)80% OF DRUG RELEASED           
OR AN ASYMPTOTE IS REACHED1
-APPLY SOME STATISTICAL TEST (F2             
TEST) FOR COMPARING DISSOLUTION          
PROFILES2
-NO BIOSTUDY
III -PROCESSING CHANGES AFFECTING         -CHANGE IN THE TYPE OF                     -UPDATED BATCH RECORD -PRIOR APPROVAL                  
THE NON-RELEASE CONTROLLING          PROCESS USED (e.g. from wet                 -STABILITY SUPPLEMENT
EXCIPIENTS AND/OR THE RELEASE         granulation to direct compression) -APPLICATION/COMPENDIAL (PROFILE)         
CONROLLING EXCIPIENTS REQUIREMENTS 
-BIOSTUDY OR IVIVC1
1 IN THE PRESENCE OF AN ESTABLISHED IN VITRO/IN VIVO CORRELATION ONLY APPLICATION/COMPENDIAL DISSOLUTION TESTING SHOULD BE PERFORMED.
2 IN THE ABSENCE OF AN ESTABLISHED IN VITRO/IN VIVO CORRELATION.
A-6 DELAYED RELEASE SOLID ORAL DOSAGE FORMS
NON-RELEASE CONTROLLING COMPONENTS AND COMPOSITION
LEVEL CLASSIFICATION THERAPEUTIC  TEST DOCUMENTATION FILING
RANGE DOCUMENTATION
I -COMPLETE OR PARTIAL                 ALL DRUGS -STABILITY -ANNUAL REPORT                 
DELETION OF COLOR/FLAVOR -APPLICATION/COMPENDIAL                                  
-CHANGE IN INKS, IMPRINTS REQUIREMENTS
-UPTO SUPAC-IR LEVEL 1                -NO BIOSTUDY
EXCIPIENT RANGES
-NO OTHER CHANGES
II -CHANGE IN TECHNICAL                 ALL DRUGS -NOTIFICATION & UPDATED BATCH                   -PRIOR APPROVAL              
GRADE AND/OR                              RECORD SUPPLEMENT
SPECIFICATIONS -STABILITY
-HIGHER THAN SUPAC-IR                 -APPLICATION/COMPENDIAL                             
LEVEL 1 BUT LESS THAN                REQUIREMENTS PLUS MULTI-POINT                 
LEVEL 2 EXCIPIENT RANGES DISSOLUTION PROFILES IN ADDITIONAL         
-NO OTHER CHANGES BUFFER STAGE TESTING (e.g., USP BUFFER      
MEDIA AT pH 4.5-7.5) UNDER STANDARD         
AND INCREASED AGITATION CONDITIONS      
UNTIL (cid:7)80% OF DRUG RELEASED OR AN          
ASYMPTOTE IS REACHED1
-APPLY SOME STATISTICAL TEST (F2 TEST)      
FOR COMPARING DISSOLUTION PROFILES2
-NO BIOSTUDY
III -HIGHER THAN SUPAC-IR                 ALL DRUGS -UPDATED BATCH RECORD -PRIOR APPROVAL              
LEVEL 2 EXCIPIENT RANGES -STABILITY SUPPLEMENT
-APPLICATION/COMPENDIAL (PROFILE)            
REQUIREMENTS
-BIOSTUDY OR IVIVC1
1 IN THE PRESENCE OF AN ESTABLISHED IN VITRO/IN VIVO CORRELATION ONLY APPLICATION/COMPENDIAL DISSOLUTION TESTING SHOULD BE                           
PERFORMED.
2 IN THE ABSENCE OF AN ESTABLISHED IN VITRO/IN VIVO CORRELATION.
B-1 DELAYED RELEASE SOLID ORAL DOSAGE FORMS
RELEASE CONTROLLING COMPONENTS AND COMPOSITION
LEVEL CLASSIFICATION THERAPEUTIC TEST DOCUMENTATION FILING
RANGE DOCUMENTATION
I -(cid:6)5% W/W CHANGE BASED ON TOTAL        ALL DRUGS -STABILITY -ANNUAL REPORT
RELEASE CONTROLLING EXCIPIENT          -APPLICATION/COMPENDIAL                              
(e.g., controlled release polymer,                      REQUIREMENTS
plasticizer) CONTENT -NO BIOSTUDY
-NO OTHER CHANGES
II -CHANGE IN TECHNICAL GRADE                 NON-NARROW -NOTIFICATION & UPDATED BATCH                    -PRIOR APPROVAL                
AND/OR SPECIFICATIONS        RECORD SUPPLEMENT
-(cid:6)10% W/W CHANGE BASED ON TOTAL       -STABILITY
RELEASE CONTROLLING EXCIPIENT          -APPLICATION/COMPENDIAL                              
(e.g., controlled release polymer,                      REQUIREMENTS PLUS MULTI-POINT                  
plasticizer) CONTENT DISSOLUTION PROFILES IN ADDITIONAL           
-NO OTHER CHANGES BUFFER STAGE TESTING (e.g., USP BUFFER       
MEDIA AT pH 4.5-7.5) UNDER STANDARD           
AND INCREASED AGITATION CONDITIONS        
UNTIL (cid:7)80% OF DRUG RELEASED OR AN           
ASYMPTOTE IS REACHED1
-APPLY SOME STATISTICAL TEST (F2 TEST)        
FOR COMPARING DISSOLUTION PROFILES2
-NO BIOSTUDY
NARROW -UPDATED BATCH RECORD -PRIOR APPROVAL                
-STABILITY SUPPLEMENT
-APPLICATION/COMPENDIAL (PROFILE)             
REQUIREMENTS
-BIOSTUDY OR IVIVC1
III  >10% W/W CHANGE BASED ON TOTAL      ALL DRUGS -UPDATED BATCH RECORD & STABILITY -PRIOR APPROVAL                
RELEASE CONTROLLING EXCIPIENT         -APPLICATION/COMPENDIAL (PROFILE)              SUPPLEMENT
(e.g., controlled release polymer, plasticizer)      REQUIREMENTS
CONTENT -BIOSTUDY OR IVIVC1
1 IN THE PRESENCE OF AN ESTABLISHED IN VITRO/IN VIVO CORRELATION ONLY APPLICATION/COMPENDIAL DISSOLUTION TESTING SHOULD BE PERFORMED.
2 IN THE ABSENCE OF AN ESTABLISHED IN VITRO/IN VIVO CORRELATION.
B-2 DELAYED RELEASE SOLID ORAL DOSAGE FORMS
SITE CHANGE
LEVEL CLASSIFICATION THERAPEUTIC TEST DOCUMENTATION  FILING
RANGE DOCUMENTATION
I -SINGLE FACILITY ALL DRUGS -APPLICATION/COMPENDIAL REQUIREMENTS -ANNUAL REPORT
-COMMON PERSONNEL -NO BIOSTUDY
-NO OTHER CHANGES
II -SAME CONTIGUOUS                ALL DRUGS -IDENTIFICATION AND DESCRIPTION OF SITE           -CHANGES BEING              
CAMPUS CHANGE, AND UPDATED BATCH RECORD EFFECTED                         
-COMMON PERSONNEL -NOTIFICATION OF SITE CHANGE SUPPLEMENT
-NO OTHER CHANGES -STABILITY
-APPLICATION/COMPENDIAL REQUIREMENTS
 PLUS MULTI-POINT DISSOLUTION PROFILES IN       
ADDITIONAL BUFFER STAGE TESTING (e.g., USP     
BUFFER MEDIA AT pH 4.5-7.5) UNDER                      
STANDARD AND INCREASED AGITATION                
CONDITIONS UNTIL (cid:7)80% OF DRUG RELEASED       
OR AN ASYMPTOTE IS  REACHED1
-APPLY SOME STATISTICAL TEST (F2 TEST) FOR    
COMPARING DISSOLUTION PROFILES2
-NO BIOSTUDY
III -DIFFERENT CAMPUS ALL DRUGS -NOTIFICATION OF SITE CHANGE -PRIOR APPROVAL             
-DIFFERENT PERSONNEL -UPDATED BATCH RECORD SUPPLEMENT
-STABILITY
-APPLICATION/COMPENDIAL (PROFILE)                  
REQUIREMENTS
-BIOSTUDY OR IVIVC1 
1 IN THE PRESENCE OF AN ESTABLISHED IN VITRO/IN VIVO CORRELATION ONLY APPLICATION/COMPENDIAL DISSOLUTION TESTING SHOULD BE                           
PERFORMED.
2 IN THE ABSENCE OF AN ESTABLISHED IN VITRO/IN VIVO CORRELATION.
B-3 DELAYED RELEASE SOLID ORAL DOSAGE FORMS
SCALE-UP/SCALE-DOWN
LEVEL CLASSIFICATION CHANGE TEST DOCUMENTATION FILING
DOCUMENTATION
I -SCALE-UP OF BIO-BATCH(S)       (cid:6)10X -UPDATED BATCH RECORD -ANNUAL REPORT
OR PIVOTAL CLINICAL -STABILITY
 BATCH(S)  (ALL DRUGS) -APPLICATION/COMPENDIAL REQUIREMENTS
-NO OTHER CHANGES -NO BIOSTUDY
II -SCALE-UP OF BIO-BATCH(S) >10X -UPDATED BATCH RECORD -CHANGES BEING EFFECTED      
 OR PIVOTAL CLINICAL -STABILITY SUPPLEMENT
 BATCH(S) (ALL DRUGS) -APPLICATION/COMPENDIAL REQUIREMENTS
-NO OTHER CHANGES  PLUS MULTI-POINT DISSOLUTION PROFILES IN       
ADDITIONAL BUFFER STAGE TESTING (e.g., USP     
BUFFER MEDIA AT pH 4.5-7.5) UNDER                      
STANDARD AND INCREASED AGITATION                
CONDITIONS UNTIL (cid:7)80% OF DRUG RELEASED       
OR AN ASYMPTOTE IS  REACHED1
-APPLY SOME STATISTICAL TEST (F2 TEST) FOR      
COMPARING DISSOLUTION PROFILES2
-NO BIOSTUDY
1 IN THE PRESENCE OF AN ESTABLISHED IN VITRO/IN VIVO CORRELATION ONLY APPLICATION/COMPENDIAL DISSOLUTION TESTING SHOULD BE                           
PERFORMED.
2 IN THE ABSENCE OF AN ESTABLISHED IN VITRO/IN VIVO CORRELATION.
B-4 DELAYED RELEASE SOLID ORAL DOSAGE FORMS
MANUFACTURING - EQUIPMENT
LEVEL CLASSIFICATION CHANGE TEST DOCUMENTATION FILING
DOCUMENTATION
I -EQUIPMENT CHANGES -ALTERNATE EQUIPMENT OF         -UPDATED BATCH RECORD -ANNUAL REPORT
-NO OTHER CHANGES SAME DESIGN AND PRINCIPLE -STABILITY
-AUTOMATED EQUIPMENT -APPLICATION/COMPENDIAL               
(ALL DRUGS) REQUIREMENTS
-NO BIOSTUDY
II -EQUIPMENT CHANGES -CHANGE TO EQUIPMENT OF A      -UPDATED BATCH RECORD -PRIOR APPROVAL                   
-NO OTHER CHANGES DIFFERENT DESIGN AND               -STABILITY SUPPLEMENT 
OPERATING PRINCIPLE -APPLICATION/COMPENDIAL               
(ALL DRUGS) REQUIREMENTS PLUS MULTI-             
POINT DISSOLUTION PROFILES IN       
ADDITIONAL BUFFER STAGE               
TESTING (e.g., USP BUFFER MEDIA     
AT pH 4.5-7.5) UNDER STANDARD       
AND INCREASED AGITATION              
CONDITIONS UNTIL (cid:7)80% OF              
DRUG RELEASED OR AN                      
ASYMPTOTE IS REACHED1
-APPLY SOME STATISTICAL TEST         
(F2 TEST) FOR COMPARING                 
DISSOLUTION PROFILES2
-NO BIOSTUDY
1 IN THE PRESENCE OF AN ESTABLISHED IN VITRO/IN VIVO CORRELATION ONLY APPLICATION/COMPENDIAL DISSOLUTION TESTING SHOULD BE                     
      PERFORMED.
2 IN THE ABSENCE OF AN ESTABLISHED IN VITRO/IN VIVO CORRELATION.
B-5 DELAYED RELEASE SOLID ORAL DOSAGE FORMS
MANUFACTURING - PROCESSING
LEVEL CLASSIFICATION CHANGE TEST DOCUMENTATION FILING DOCUMENTATION
I -PROCESSING CHANGES            -ADJUSTMENT OF EQUIPMENT             -UPDATED BATCH RECORD -ANNUAL REPORT
AFFECTING THE NON-             OPERATING CONDITIONS (e.g.             -APPLICATION/COMPENDIAL                    
RELEASE CONTROLLING         mixing times, operating speeds, etc.) REQUIREMENTS
EXCIPIENTS AND/OR THE        -WITHIN APPROVED APPLICATION       -NO BIOSTUDY
RELEASE CONTROLLING         RANGES
EXCIPIENTS
-NO OTHER CHANGES
II -PROCESSING CHANGES            -ADJUSTMENT OF EQUIPMENT             -UPDATED BATCH RECORD -CHANGES BEING EFFECTED                  
AFFECTING THE NON-             OPERATING CONDITIONS (e.g.             -STABILITY SUPPLEMENT
RELEASE CONTROLLING         mixing times, operating speeds, etc.) -APPLICATION/COMPENDIAL                    
EXCIPIENTS AND/OR THE        -BEYOND APPROVED APPLICATION     REQUIREMENTS PLUS MULTI-                  
RELEASE CONTROLLING         RANGES POINT DISSOLUTION PROFILES IN            
EXCIPIENTS ADDITIONAL BUFFER STAGE                   
-NO OTHER CHANGES TESTING (e.g., USP BUFFER                     
MEDIA AT pH 4.5-7.5) UNDER                  
STANDARD AND INCREASED                   
AGITATION CONDITIONS UNTIL               
(cid:7)80% OF DRUG RELEASED OR                 
AN ASYMPTOTE IS REACHED1
-APPLY SOME STATISTICAL TEST (F2        
TEST) FOR COMPARING                           
DISSOLUTION PROFILES2
-NO BIOSTUDY
III -PROCESSING CHANGES            -CHANGE IN THE TYPE OF                    -UPDATED BATCH RECORD -PRIOR APPROVAL SUPPLEMENT
AFFECTING THE NON-             PROCESS USED (e.g. from wet             -STABILITY
RELEASE CONTROLLING         granulation to direct compression) -APPLICATION/COMPENDIAL                    
EXCIPIENTS AND/OR THE        (PROFILE) REQUIREMENTS 
RELEASE CONROLLING           -BIOSTUDY OR IVIVC1
EXCIPIENTS
1 IN THE PRESENCE OF AN ESTABLISHED IN VITRO/IN VIVO CORRELATION ONLY APPLICATION/COMPENDIAL DISSOLUTION TESTING SHOULD BE PERFORMED.
2 IN THE ABSENCE OF AN ESTABLISHED IN VITRO/IN VIVO CORRELATION.
B-6