Guidance for Industry
SUPAC: Manufacturing
Equipment Addendum
DRAFT GUIDANCEThis guidance document is being distributed for comment purposes only.
Comments and suggestions regarding this draft document should be submitted within 90 days of
publication in the Federal Register of the notice announcing the availability of the draft
guidance. Submit electronic comments to http://www.regulations.gov. Submit writtencomments to the Division of Dockets Management (HFA-305), Food and Drug Administration,
5630 Fishers Lane, rm. 1061, Rockville, MD 20852. All comments should be identified withthe docket number listed in the notice of availability that publishes in the Federal Register.
For questions regarding this draft document contact (CDER) Jon Clark 301-796-2400.

U.S. Department of Health and Human Services
Food and Drug Administration
Center for Drug Evaluation and Research (CDER)
April 2013
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Guidance for Industry
SUPAC: Manufacturing
Equipment Addendum
Additional copies are available from:
Office of Communications
Division of Drug Information, WO51, Room 2201
Center for Drug Evaluation and Research
Food and Drug Administration
10903 New Hampshire Ave., Silver Spring, MD 20993
Phone: 301-796-3400; Fax: 301-847-8714
druginfo@fda.hhs.gov
http://www.fda.gov/Drugs/GuidanceComplianceRegulatoryInformation/Guidances/default.htm

U.S. Department of Health and Human Services
Food and Drug Administration
Center for Drug Evaluation and Research (CDER)
April 2013
CMC

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TABLE OF CONTENTSI.

INTRODUCTION............................................................................................................. 1II.

BACKGROUND ............................................................................................................... 2

III.

DISCUSSION .................................................................................................................... 2

IV.

SUPAC IR/MR INFORMATION.................................................................................... 3
A. Particle Size Reduction/Separation........................................................................................ 3
1. Definitions........................................................................................................................... 3
2. Equipment Classifications .................................................................................................. 4
B. Blending and Mixing ............................................................................................................... 6
1. Definitions........................................................................................................................... 6
2. Equipment Classifications .................................................................................................. 6
C. Granulation.............................................................................................................................. 7
1. Definitions........................................................................................................................... 7
2. Equipment Classification .................................................................................................... 9
D. Drying ..................................................................................................................................... 10
1. Definitions ......................................................................................................................... 10
2. Equipment Classifications ................................................................................................ 12
E. Unit Dosing............................................................................................................................. 14
1. Definitions ......................................................................................................................... 14
2. Equipment Classifications ................................................................................................ 15
F. Soft Gelatin Capsule.............................................................................................................. 16
1. Definitions ......................................................................................................................... 16
2. Equipment Classifications ................................................................................................ 18
G. Coating/Printing/Drilling...................................................................................................... 19
1. Definitions ......................................................................................................................... 19
2. Equipment Classification .................................................................................................. 22

V.

SUPAC-SS INFORMATION......................................................................................... 23
A. Particle Size Reduction/Separation...................................................................................... 23
1. Definitions......................................................................................................................... 23
2. Equipment Classifications ................................................................................................ 24

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B. Mixing..................................................................................................................................... 26
1. Definitions......................................................................................................................... 26
2. Equipment Classification.................................................................................................. 26
C. Emulsification ........................................................................................................................ 27
1. Definitions......................................................................................................................... 27
2. Equipment Classification.................................................................................................. 28
D. Deaeration .............................................................................................................................. 28
1. Definitions......................................................................................................................... 28
2. Equipment Classification.................................................................................................. 28
E. Transfer .................................................................................................................................. 29
1. Definition .......................................................................................................................... 29
2. Equipment Classification.................................................................................................. 29
F. Packaging ............................................................................................................................... 30
1. Definitions......................................................................................................................... 30
2. Equipment Classification.................................................................................................. 30

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Guidance for Industry1
SUPAC: Manufacturing Equipment Addendum

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This draft guidance, when finalized, will represent the Food and Drug Administration’s (FDA’s) current
thinking on this topic. It does not create or confer any rights for or on any person and does not operate tobind FDA or the public. You can use an alternative approach if the approach satisfies the requirements of
the applicable statutes and regulations. If you want to discuss an alternative approach, contact the FDA
staff responsible for implementing this guidance. If you cannot identify the appropriate FDA staff, callthe appropriate number listed on the title page of this guidance.

I.

INTRODUCTION

This draft guidance combines and supersedes the following scale-up and post-approval changes(SUPAC) guidances for industry: (1) SUPAC-IR/MR: Immediate Release and Modified
Release Solid Oral Dosage Forms, Manufacturing Equipment Addendum, and (2) SUPAC-SS
Nonsterile Semisolid Dosage Forms, Manufacturing Equipment Addendum. 2 It removes the listsof manufacturing equipment that were in both guidances and clarifies the types of processes beingreferenced.
This draft SUPAC addendum should be used in conjunction with the following SUPAC
guidances for industry: 3 (1) Immediate Release Solid Oral Dosage Forms — Scale-Up andPost-Approval Changes: Chemistry, Manufacturing and Controls, In Vitro Dissolution Testing,and In Vivo Bioequivalence Documentation, (2) SUPAC-MR: Modified Release Solid Oral
Dosage Forms Scale-Up and Post-Approval Changes: Chemistry, Manufacturing and Controls;
In Vitro Dissolution Testing and In Vivo Bioequivalence Documentation, and (3) SUPAC-SS:
Nonsterile Semisolid Dosage Forms, Scale-Up and Post Approval Changes: Chemistry
Manufacturing and Controls; In Vitro Release Testing and In Vivo Bioequivalence
Documentation. 4
The SUPAC guidances define: (1) levels of chemistry, manufacturing, and control change; (2)recommended chemistry, manufacturing, and controls tests for each level of change; (3)recommended in vitro dissolution and release tests and/or in vivo bioequivalence tests for eachlevel of change; and (4) recommended documentation that should support the change for new
drug applications and abbreviated new drug applications.

1

This guidance has been prepared by the Office of Pharmaceutical Science in the Center for Drug Evaluation andResearch (CDER) at the Food and Drug Administration.
2
For this guidance only, the new document that is a combination of these two guidances will be referred to as the
SUPAC addendum.
3
We update guidances periodically. To make sure you have the most recent version of a guidance, check the FDA
Drugs guidance Web page at
http://www.fda.gov/Drugs/GuidanceComplianceRegulatoryInformation/Guidances/default.htm.
4
For this guidance only, this collective group of guidances will be referred to as SUPAC guidances.
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This draft SUPAC addendum, together with the SUPAC guidances, is intended to help you, themanufacturer, determine the documentation you should submit to FDA regarding manufacturing
equipment changes.
FDA’s guidance documents, including this guidance, do not establish legally enforceable
responsibilities. Instead, guidances describe the Agency’s current thinking on a topic and should
be viewed only as recommendations, unless specific regulatory or statutory requirements arecited. The use of the word should in Agency guidances means that something is suggested orrecommended, but not required.
II.

BACKGROUND

When the SUPAC equipment addenda were published with tables referencing specificequipment, the tables were misinterpreted as equipment required by FDA. FDA recognizes
that scientific innovation and technology advancement are commonplace and play a significant
role in pharmaceutical development, manufacturing, and quality assurance, and we areconcerned that such a misunderstanding could discourage advancements in manufacturing
technologies. Therefore, this revised draft SUPAC addendum contains general information on
SUPAC equipment and no longer includes tables referencing specific equipment. This draft
guidance also includes changes to clarify the types of processes being referenced.
III.

DISCUSSION

The information in this draft guidance is presented in broad categories of unit operation. For
immediate or modified release solid oral dosage forms, broad categories include blending andmixing, drying, particle size reduction/separation, granulation, unit dosage, coating and printing,and soft gelatin capsule encapsulation. For nonsterile semisolid dosage forms, broad categories
include particle size reduction and/or separation, mixing, emulsification, deaeration, transfer, andpackaging. Definitions and classifications are provided. For each operation, equipment iscategorized by class (operating principle) and subclass (design characteristic). Examples of typesof equipment, but not specific brand information, are given within the subclasses.
When assessing manufacturing equipment changes from one class to another or from one
subclass to another, you can follow a risk-based approach that includes a rationale and complies
with the regulations, including the CGMP regulations. 5, 6 We also recommend addressing theimpact on the product quality attributes of equipment variations (via process parameters) when
designing and developing the manufacturing process.
When making equipment changes, you will need to determine the filing requirement.7 The
SUPAC guidances provide information on how to do so. FDA will assess the changes based on
the types of equipment changes being considered. If you choose an approach that exceeds the
SUPAC guidances and addendum, FDA will assess the changes provided they are supported bya suitable risk-based assessment.

5

21 CFR 314.70.
21 CFR 210-211.
7
21 CFR 314.70.
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At the time of the equipment change, you should have available the scientific data and rationale
used to determine the type of change and documentation required. This information is subject to
FDA review at its discretion.
IV.

SUPAC IR/MR INFORMATION

A. Particle Size Reduction/Separation
1. Definitions
a. Unit Operations

i. Particle Size Reduction: The mechanical process of breaking particles into
smaller pieces via one or more particle size reduction mechanisms. The
mechanical process used generally is referred to as milling.
a. Particle – Refers to either a discrete particle or a grouping of particles,
generally know as an agglomerate.
b. Particle Size Reduction Mechanismsii.

Impact - Particle size reduction by applying an
instantaneous force perpendicular to theparticle/agglomerate surface. The force can result fromparticle-to-particle or particle-to-mill surface collision.

Attrition - Particle size reduction by applying a force in a
direction parallel to the particle surface.

Compression - Particle size reduction by applying a force
slowly (as compared to Impact) to the particle surface in a
direction toward the center of the particle.



Cutting - Particle size reduction by applying a
shearing force to a material.

Particle Separation: Particle size classification according to particle size
alone.

b. Operating Principles

i. Fluid Energy Milling
Particles are reduced in size as a result of high-speed particle-to-particle
impact and/or attrition; also known as micronizing.
ii. Impact Milling3

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Particles are reduced in size by high-speed mechanical impact or impact
with other particles; also known as milling, pulverizing, or comminuting.
iii. Cutting
Particles are reduced in size by mechanical shearing.
iv. Compression Milling
Particles are reduced in sized by compression stress and shear
between two surfaces.
v. Screening
Particles are reduced in size by mechanically induced attrition through ascreen. This process commonly is referred to as milling or
deagglomeration.
vi. Tumble Milling
Particles are reduced in size by attrition utilizing grinding media.
vii. Separating
Particles are segregated based upon particle size alone and without any
significant particle size reduction. This process commonly is referred to as
screening or bolting.
2. Equipment Classifications
a. Fluid Energy Mills

Fluid energy mill subclasses have no moving parts and primarily are distinguishedfrom one another by the configuration and/or shape of their chambers, nozzles,
and classifiers.
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Tangential Jet
Loop/Oval
Opposed Jet
Opposed Jet with Dynamic Classifier
Fluidized Bed
Fixed Target
Moving Target
High Pressure Homogenizer

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b. Impact Mills

Impact mill subclasses primarily are distinguished from one another by theconfiguration of the grinding heads, chamber grinding liners (if any), andclassifiers.
Hammer Air Swept
Hammer Conventional
Pin/Disc
Cagec. Cutting Mills

Although cutting mills may differ from one another in whether the knives aremovable or fixed and in the classifier configuration, no cutting mill subclasses
have been identified.
d. Compression Mills

Although compression mills may differ from one another in whether one or both
surfaces are moving, no compression mill subclasses have been identified.
e. Screening Mills

Screening mill subclasses primarily are distinguished from one another by therotating element.

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Rotating Impeller
Rotating Screen
Oscillating Bar

Tumbling Mills
Tumbling mill subclasses primarily are distinguished from one another by thegrinding media used and by whether the mill is vibrated.
Ball Media
Rod Media
Vibratingg. Separators

Separator subclasses primarily are distinguished from one another by themechanical means used to induce particle movement.
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Vibratory/Shaker
Centrifugal
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B.

Blending and Mixing

1. Definitions
a. Unit Operations

Blending and Mixing: The reorientation of particles relative to one another inorder to achieve uniformity.
b. Operating Principles

i.

Diffusion Blending (Tumble)
Particles are reoriented in relation to one another when they areplaced in random motion and interparticular friction is reduced
as the result of bed expansion (usually within a rotating
container); also known as tumble blending.

ii.

Convection Mixing
Particles are reoriented in relation to one another as a resultof mechanical movement; also known as paddle or plow
mixing.

iii.

Pneumatic Mixing
Particles are reoriented in relation to one another as a result of
the expansion of a powder bed by gas.

2. Equipment Classifications
a. Diffusion Mixers (Tumble)

Diffusion mixer subclasses primarily are distinguished by geometric shape andthe positioning of the axis of rotation.
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V-blenders
Double Cone Blenders
Slant Cone Blenders
Cube Blenders
Bin Blenders
Horizontal/Vertical/Drum Blenders
Static Continuous Blenders
Dynamic Continuous Blenders

b. Convection Mixers
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Convection blender subclasses primarily are distinguished by vessel shape andimpeller geometry.
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Orbiting Screw Blenders
Planetary Blenders
Forberg Blenders
Horizontal Double Arm Blenders
Horizontal High Intensity Mixers
Vertical High Intensity Mixers
Diffusion Mixers (Tumble) with Intensifier/Agitatorc. Pneumatic Mixers

Although pneumatic mixers may differ from one another in vessel geometry, air
nozzle type, and air nozzle configuration, no pneumatic mixer subclasses havebeen identified.
C.

Granulation

1. Definitions
a. Unit Operations
Granulation: The process of creating granules. The powder morphology is
modified through the use of either a liquid that causes particles to bind throughcapillary forces or dry compaction forces. The process will result in one or moreof the following powder properties: enhanced flow; increased compressibility;
densification; alteration of physical appearance to more spherical, uniform, or
larger particles; and/or enhanced hydrophilic surface properties.
b. Operating Principles
i.

Dry Granulation
Dry powder densification and/or agglomeration by direct
physical compaction.

ii.

Wet High-Shear Granulation
Powder densification and/or agglomeration by the incorporationof a granulation fluid into the powder with high-power-per-unit
mass, through rotating high-shear forces.

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iii.

Wet Low-Shear Granulation
Powder densification and/or agglomeration by the incorporationof a granulation fluid into the powder with low-power-per-unit
mass, through rotating low-shear forces.

iv.

Low-Shear Tumble Granulation
Powder densification and/or agglomeration by the incorporationof a granulation fluid into the powder with low-power-per-unit
mass, through rotation of the container vessel and/or intensifier
bar.

v.

Extrusion Granulation
Plasticization of solids or wetted mass of solids andgranulation fluid with linear shear through a sized orifice using
a pressure gradient.

vi.

Rotary Granulation
Spheronization, agglomeration, and/or densification of a wetted or
non-wetted powder or extruded material. This is accomplished bycentrifugal or rotational forces from a central rotating disk, rotating
walls, or both. The process may include the incorporation and/or
drying of a granulation fluid.

vii.

Fluid Bed Granulation
Powder densification and/or agglomeration with little or no shearby direct granulation fluid atomization and impingement onsolids, while suspended by a controlled gas stream, withsimultaneous drying.

viii.

Spray Dry Granulation
A pumpable granulating liquid containing solids (in solution orsuspension) is atomized in a drying chamber and rapidly dried by acontrolled gas stream, producing a dry powder.

ix.

Hot-melt Granulation
An agglomeration process that utilizes a molten liquid as abinder(s) or granulation matrix in which the active
pharmaceutical ingredient (API) is mixed and then cooled down
followed by milling into powder. This is usually accomplishedin a temperature controlled jacketed high shear granulating tank8

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or using a heated nozzle that sprays the molten binders(s) onto
the fluidizing bed of the API and other inactive ingredients.
2. Equipment Classification
a. Dry Granulator

Dry granulator subclasses primarily are distinguished by the densification force
application mechanism.


Slugging
Roller Compaction

b. Wet High-Shear Granulator

Wet high-shear granulator subclasses primarily are distinguished by thegeometric positioning of the primary impellers; impellers can be top, bottom,
or side driven.


Vertical (Top or Bottom Driven)
Horizontal (Side Driven)c. Wet Low-Shear Granulator

Wet low-shear granulator subclasses primarily are distinguished by thegeometry and design of the shear inducing components; shear can be inducedby rotating impeller, reciprocal kneading action, or convection screw action.
Planetary
Kneading
Screw

d. Low-Shear Tumble Granulator
Although low-shear tumble granulators may differ from one another in vesselgeometry and type of dispersion or intensifier bar, no low-shear tumble
granulator subclasses have been identified.


Slant cone
Double cone
V-blendere. Extrusion Granulator

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Extrusion granulator subclasses primarily are distinguished by theorientation of extrusion surfaces and driving pressure production
mechanism.
Radial or Basket
Axial
Ram
Roller, Gear, or Pelletizer

f. Rotary Granulator
Rotary granulator subclasses primarily are distinguished by their structural
architecture. They have either open top architecture, such as a vertical centrifugal
spheronizer, or closed top architecture, such as a closed top fluid bed dryer.
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Open
Closedg. Fluid Bed Granulator
Although fluid bed granulators may differ from one another in geometry,
operating pressures, and other conditions, no fluid bed granulator subclasses
have been identified.
h. Spray Dry Granulator

Although spray dry granulators may differ from one another in geometry,
operating pressures, and other conditions, no spray dry granulator subclasses havebeen identified.
i.

Hot-melt Granulator
Although, hot-melt granulator may differ from one another in primarily melting theinactive ingredient (particularly the binder or other polymeric matrices), no
subclasses have been indentified yet.

Note:
If a single piece of equipment is capable of performing multiple discrete unit operations (mixing,
granulating, drying), the unit was evaluated solely for its ability to granulate. If multifunctional
units were incapable of discrete steps (fluid bed granulator/drier), the unit was evaluated as anintegrated unit.
D.

Drying

1. Definitions
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a. Unit Operation
Drying: The removal of a liquid from a solid by evaporation.
b. Operating Principles
i.

Direct Heating, Static Solids Bed
Heat transfer is accomplished by direct contact between the wet
solids and hot gases. The vaporized liquid is carried away by thedrying gases. There is no relative motion among solid particles.
The solids bed exists as a dense bed, with the particles resting upon
one another.

ii.

Direct Heating, Moving Solids Bed
Heat transfer is accomplished by direct contact between the wet
solids and hot gases. The vaporized liquid is carried away by thedrying gases. Solids motion is achieved by either mechanicalagitation or gravity force, which slightly expands the bed enough toflow one particle over another.

iii.

Direct Heating, Fluidized Solids Bed
Heat transfer is accomplished by direct contact between the wet
solids and hot gases. The vaporized liquid is carried away by thedrying gases. The solids are in an expanded condition, with theparticles supported by drag forces caused by the gas phase. The
solids and gases intermix and behave like a boiling liquid. This
process commonly is referred to as fluid bed drying.

iv.

Direct Heating, Dilute Solids Bed, Spray Drying
Heat transfer is accomplished by direct contact between a highly
dispersed liquid and hot gases. The feed liquid may be a solution,
slurry, emulsion, gel or paste, provided it is pumpable and capableof being atomized. The fluid is dispersed as fine droplets into amoving stream of hot gases, where they evaporate rapidly before
reaching the wall of the drying chamber. The vaporized liquid is
carried away by the drying gases. The solids are fully expanded
and so widely separated that they exert essentially no influence on
one another.

v.

Direct Heating, Dilute Solids Bed, Flash Drying

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Heat transfer is accomplished by direct contact between wet solids
and hot gases. The solid mass is suspended in a finely divided state
in a high-velocity and high-temperature gas stream. The vaporized
liquid is carried away by the drying gases.
vi.

Indirect Conduction, Moving Solids Bed
Heat transfer to the wet solid is through a retaining wall. The
vaporized liquid is removed independently from the heating
medium. Solids motion is achieved by either mechanical agitation
or gravity force, which slightly expands the bed enough to flow one
particle over another.

vii.

Indirect Conduction, Static Solids Bed
Heat transfer to the wet solid is through a retaining wall. The
vaporized liquid is removed independently from the heating
medium. There is no relative motion among solid particles. The
solids bed exists as a dense bed, with the particles resting upon one
another.

viii.

Indirect Conduction, Lyophilization
Drying in which the water vapor sublimes from the product after
freezing.

ix.

Gas Stripping
Heat transfer is a combination of direct and indirect heating. The
solids motion is achieved by agitation and the bed is partially
fluidized.

x.

Indirect Radiant, Moving Solids Bed
Heat transfer is accomplished with varying wavelengths of energy.
Vaporized liquid is removed independently from the solids bed.
The solids motion is achieved by mechanical agitation, whichslightly expands the bed enough to flow one particle over one
another. This process commonly is referred to as microwave
drying.

2. Equipment Classifications
a. Direct Heating, Static Solids Bed

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Static solids bed subclasses primarily are distinguished by the method ofmoving the solids into the dryer.
Tray and Truck
Belt

b. Direct Heating, Moving Solids Bed
Moving solids bed subclasses primarily are distinguished by the method ortechnology for moving the solids bed.


Rotating Tray
Horizontal Vibrating Conveyor

c. Direct Heating, Fluidized Solids Bed (Fluid Bed Dryer)
Although fluid bed dryers may differ from one another in geometry, operatingpressures, and other conditions, no fluidized solids bed dryer subclasses havebeen identified.
d. Direct Heating, Dilute Solids Bed, Spray Dryer
Although spray dryers may differ from one another in geometry, operatingpressures, and other conditions, no spray dryer subclasses have been identified.
e. Direct Heating, Dilute Solids Bed, Flash Dryer
Although flash dryers may differ from one another in geometry, operatingpressures, and other conditions, no flash dryer subclasses have been identified.
f. Indirect Conduction Heating, Moving Solids Bed
Moving solids bed subclasses primarily are distinguished by the method ortechnology for moving the solids bed.
PaddleRotary (Tumble)
Agitationg. Indirect Conduction Heating, Static Solids Beds
No indirect heating, static solids bed shelf dryer subclasses have been
identified.
h. Indirect Conduction, Lyophilization
13

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589
590
591
592
593
594
595
596
597
598
599
600
601
602
603
604
605
606
607
608
609
610
611
612
613
614
615
616
617
618
619
620
621
622
623
624
625
626
627
628
629
630
631
632
633
634
635

No lyophilizer subclasses have been identified.
i. Gas Stripping
Although gas stripping dryers may differ from one another in geometry, shape of
agitator, and how fluidizing gas is moved through the bed, no gas stripping dryer
subclasses have been identified.
j.

Indirect Radiant Heating, Moving Solids Bed (Microwave Dryer)
Although microwave dryers may differ from one another in vesselgeometry and the way microwaves are directed into the solids, noindirect radiant heating, moving solids bed dryer subclasses have been
identified.

Note: If a single piece of equipment is capable of performing multiple discrete unit operations(mixing, granulating, drying), the unit was evaluated solely for its ability to dry. The drying
equipment was sorted into similar classes of equipment, based upon the method of heat transfer
and the dynamics of the solids bed.
E.

Unit Dosing

1. Definitions
a. Unit Operation
Unit Dosing: The division of a powder blend into uniform single portions fordelivery to patients.
b. Operating Principles
i.

Tabletting
The division of a powder blend in which compression force isapplied to form a single unit dose.

ii.

Encapsulating
The division of material into a hard gelatin capsule. Encapsulators
should all have the following operating principles in common:
rectification (orientation of the hard gelatin capsules), separation ofcapsule caps from bodies, dosing of fill material/formulation,
rejoining of caps and bodies, and ejection of filled capsules.

iii.

Powder Filling
The division of a powder blend into a container closure system.
14

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636
637
638
639
640
641
642
643
644
645
646
647
648
649
650
651
652
653
654
655
656
657
658
659
660
661
662
663
664
665
666
667
668
669
670
671
672
673
674
675
676
677
678
679
680

2. Equipment Classifications
a. Tablet Press
Tablet press subclasses primarily are distinguished from one another by themethod that the powder blend is delivered to the die cavity. Tablet presses candeliver powders without mechanical assistance (gravity), with mechanicalassistance (power assisted), by rotational forces (centrifugal), and in two different
locations where a tablet core is formed and subsequently an outer layer of coating
material is applied (compression coating).
Gravity
Power Assisted
Centrifugal
Compression Coating

Tablet press subclasses are also distinguished from one another for some special
types of tablets where more than one hopper and precise powder feedingmechanism might be necessary.


Micro/ mini tablet press
Multi-layer tablet press (bi-layer, tri-layer)

b. Encapsulator
Encapsulator subclasses primarily are distinguished from one another by themethod that is used for introducing material into the capsule. Encapsulators
can deliver materials with a rotating auger, vacuum, vibration of perforated
plate, tamping into a bored disk (dosing disk), or cylindrical tubes fitted withpistons (dosator).






Auger
VacuumVibratory
Dosing Disk
Dosatorc. Powder Filler
Subclasses of powder fillers primarily are distinguished by the method used todeliver the predetermined amount for container fill.


VacuumAuger

15

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681
682
683
684
685
686
687
688
689
690
691
692
693
694
695
696
697
698
699
700
701
702
703
704
705
706
707
708
709
710
711
712
713
714
715
716
717
718
719
720
721
722
723
724
725
726
727

F.

Soft Gelatin Capsule

1. Definitions
a. Unit Operationsi.

Gel Mass Preparation: The manufacture of a homogeneous,degassed liquid mass (solution) of gelatin, plasticizer, water, andother additives, either in solution or suspension, such as colorants,
pigments, flavors, preservatives, etc., that comprise a uniquefunctional gel shell formation. The operation may be performed indiscreet steps or by continuous processing. Minor components canbe added after the liquid gel mass is made.

ii.

Fill Mixing: The mixing of either liquids or solids with other liquids
to form a solution; blending of limited solubility solid(s) with aliquid carrier and suspending agents used to stabilize the blend toform a suspension; or the uniform combination of dry inert and drug
active substances to form a dry powder fill suitable for
encapsulation. The reader should refer to the other sections of thisdocument for dry fill manufacture.

iii.

Encapsulation: The continuous casting of gel ribbons, with liquid
fill material being injected between the gel ribbons using a positive
displacement pump or, for dry materials being gravity or force fed
with capsule formation using a rotary die.

iv.

Washing: The continuous removal of a lubricant material from theoutside of the formed capsule. The washing operation is unique toeach manufacturer’s operation and generally uses in-house
fabricated equipment. This equipment will not be discussed in thisguidance document.

v.

Drying: The removal of the majority of water from the capsule’s
gel shell by tumbling and subsequent tray drying using conditioned
air, which enhances the size, shape, and shell physical properties ofthe final product. The drying operation is unique to eachmanufacturer’s operation and generally uses in-house fabricatedequipment. This equipment will not be discussed in this guidance
document.

vi.

Inspection/Sorting: The process wherein undesirable capsules are
removed, including misshapen, leaking, and unfilled capsules aswell as agglomerates of capsules.

vii.

Printing: The marking of a capsule surface for the purpose of
product identification, using a suitable printing media or method.
16

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728
729
730
731
732
733
734
735
736
737
738
739
740
741
742
743
744
745
746
747
748
749
750
751
752
753
754
755
756
757
758
759
760
761
762
763
764
765
766
767

b. Operating Principles
i.

Mixing
The combination of solid and liquid components, including
suspending aid(s) at either ambient or elevated temperatures toform a solution, suspension, or dry powder blend for the
manufacture of gel mass or fill material. Mixing also includes
the incorporation of minor components into the liquid gel mass.

ii.

Deaggregation
The removal of aggregates using a suitable homogenizer/mill toprovide a pumpable fill material. The procedure has minimal
effect on the particle size distribution of the initial solid
component(s), and is viewed as a processing aid. 8

iii.

Deaeration
The removal of entrapped air from either the gel mass or fillmaterial, solution or suspension. This process can take place ineither the mixing vessel, through the application of vacuum, ora separate off-line step.

iv.

Holding
The storage of liquid gel mass or fill material in a vessel, witha mixer or without, prior to encapsulation, which also may beequipped with a jacket for either heating or cooling.

v.

Encapsulation
The formation of capsules using a rotary die machine. 9vi.

Inspection/Sorting
The physical removal of misshapen, leaking, or
agglomerated capsules, using either a manual or automatic
operation.

8

Carstensen, J. T., “Theory of Pharmaceutical Systems, Volume 11 Heterogeneous Systems," Academic Press, New
York, NY, 1973, p 51.
9

Lachman, L., H. A. Lieberman, and J. L. Kanig (Eds.), The Theory and Practice of Industrial Pharmacy,
Chapter 3, p. 359 (Stanley, J. P.), Philadelphia Lea & Febiger, 1971; Tyle, P. (Ed.), Specialized Drug
Delivery Systems, Manufacturing and Production Technology, Chapter 10, p. 409 (Wilkinson, P.K. and F.S.
Hom), New York; M. Dekker, 1990; Porter, S., Remington’s Pharmaceutical Sciences, Edition 18, Chapter
89, pp. 1662 - 1665, Easton, Penn.: Mack Publishing Co.
17

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768
769
770
771
772
773
774
775
776
777
778
779
780
781
782
783
784
785
786
787
788
789
790
791
792
793
794
795
796
797
798
799
800
801
802
803
804
805
806
807
808
809
810
811
812
813

vii.

Printing
The user of this document is asked to refer to the coating/printing
section, in which the use of various pieces of equipment are definedand categorized.

2. Equipment Classifications
a. Mixers and Mixing Vessels
Mixer and mixing vessel subclasses primarily are distinguished by the mixing
energy, mixer type, and whether a jacketed vessel with vacuum capabilities isused in conjunction with a specific mixer.






Low Energy Mixer
High Energy Mixer
PlanetaryJacketed Vessel With and Without Vacuum
Conventionalb. Deaggregators
Deaggregator subclasses primarily are distinguished by the type of
mechanical action imparted to the material.






Rotor/Stator
RollerCutting Mills
Stone Mills
Tumbling Millsc. Deaerators
Deaerator subclasses primarily are distinguished by the air removal path, either
through the bulk or through a thin film, and whether it is a batch or in-line
process.


Vacuum Vessel
Off Line/In Lined. Holding Vessels
Although holding vessels may differ from one another, based upon whether they
are jacketed, with and without integrated mixing capabilities, no holding vessel
subclasses have been identified.
18

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814
815
816
817
818
819
820
821
822
823
824
825
826
827
828
829
830
831
832
833
834
835
836
837
838
839
840
841
842
843
844
845
846
847
848
849
850
851
852
853
854
855
856
857
858
859



Jacketed vessel with and without mixing systeme. Encapsulators
Encapsulator subclasses primarily are distinguished by the method used to inject
the fill material.


Positive Displacement Pump
Gravity or Force Fed

f. Inspection/Sorting
Inspection/sorting equipment subclasses primarily are distinguished by themethod used to present the capsule for viewing and mechanical method ofseparation.





G.

Belt
Vibratory
RollerRotary Table
ElectromechanicalCoating/Printing/Drilling

1. Definitions
a. Unit Operationi.

Coating: The uniform deposition of a layer of material onor around a solid dosage form, or component thereof, to:
a.

b.
c.
d.

e.

f.

Protect the drug from its surrounding environment(air, moisture, and light), with a view to improving
stability.
Mask unpleasant taste, odor, or color of the drug.
Increase the ease of ingesting the product for the patient.
Impart a characteristic appearance to the tablets, whichfacilitates product identification and aids patientcompliance.
Provide physical protection to facilitate handling. This
includes minimizing dust generation in subsequent unit
operations.
Reduce the risk of interaction between incompatible
components. This would be achieved by coating one ormore of the offending ingredients.
19

Contains Nonbinding Recommendations
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860
861
862
863
864
865
866
867
868
869
870
871
872
873
874
875
876
877
878
879
880
881
882
883
884
885
886
887
888
889
890
891
892
893
894
895
896
897
898
899
900
901
902
903
904
905

g.

Modify the release of drug from the dosage form. This
includes delaying, extending, and sustaining drug substancerelease.

The coating material deposition typically is accomplishedthrough one of five major techniques:
a.

b.
c.
d.

e.

ii.

Sugar Coating - Deposition of coating material onto
the substrate from aqueous solution/suspension of
coatings, based predominately upon sucrose as a raw
material.
Film Coating - The deposition of polymeric film onto
the solid dosage form.
Core Enrobing - The gelatin coating of gravity or force
fed pre- formed tablets or caplets.
Microencapsulation - The deposition of a coating material
onto a particle, pellet, granule, or bead core. The
substrate in this application ranges in size from submicron
to several millimeters. It is this size range thatdifferentiates it from the standard coating described in 1
and 2 above.
Compression Coating (This topic is addressed in the Unit
Dosing section.)

Printing: The marking of a capsule or tablet surface for the
purpose of product identification. Printing may be accomplishedby either the application of a contrasting colored polymer (ink)onto the surface of a capsule or tablet, or by the use of laser
etching.
The method of application, provided the ink formulation is notaltered, is of no consequence to the physical-chemical properties ofthe product.

iii.

Drilling: The drilling or ablating of a hole or holes through thepolymeric film coating shell on the surfaces of a solid oral dosage
form using a laser. The polymeric film shell is not soluble invivo. The hole or holes allow for the modified release of the drug
from the core of the dosage form.

b. Operating Principles
i.

Pan Coating
The uniform deposition of coating material onto the surface of asolid dosage form, or component thereof, while being translated via
a rotating vessel.
20

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906
907
908
909
910
911
912
913
914
915
916
917
918
919
920
921
922
923
924
925
926
927
928
929
930
931
932
933
934
935
936
937
938
939
940
941
942
943
944
945
946
947
948
949
950

ii.

Gas Suspension
The application of a coating material onto a solid dosage form, orcomponent thereof, while being entrained in a process gas stream.
Alternatively, this may be accomplished simultaneously by
spraying the coating material and substrate into a process gas
stream.

iii.

Vacuum Film CoatingThis technique uses a jacketed pan equipped with a baffle system.
Tablets are placed into the sealed pan, an inert gas (i.e., nitrogen)is used to displace the air and then a vacuum is drawn.

iv.

Dip Coating
Coating is applied to the substrate by dipping it into thecoating material. Drying is accomplished using pan coating
equipment.

v.

Electrostatic Coating
A strong electrostatic charge is applied to the surface of thesubstrate. The coating material containing oppositely charged ionicspecies is sprayed onto the substrate.

vi.

Compression Coating
Refer to the Unit Dosing section of this document.

vii.

Ink-Based Printing
The application of contrasting colored polymer (ink) onto
the surface of a tablet or capsule.

viii.

Laser Etching
The application of identifying markings onto the surface of atablet or capsule using laser-based technology.

ix.

Drilling
A drilling system typically is a custom built unit consisting of amaterial handling system to orient and hold the solid dosage form,a laser (or lasers), and optics (lenses, mirrors, deflectors, etc.) to21

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951
952
953
954
955
956
957
958
959
960
961
962
963
964
965
966
967
968
969
970
971
972
973
974
975
976
977
978
979
980
981
982
983
984
985
986
987
988
989
990
991
992
993
994
995
996

ablate the hole or holes, and controls. The drilling unit may include
debris extraction and inspection systems as well. The sorting,orienting, and holding equipment commonly is provided by dosage
form printing equipment manufacturers, and is considered ancillaryin this use.
2. Equipment Classification
a. Pan Coating
Pan coating subclasses primarily are distinguished by the pan configuration, thepan perforations, and/or the perforated device used to introduce process air for
drying purposes. Perforated coating systems include both batch and continuous
coating processes.
Conventional Coating System
Perforated Coating Systemb. Gas Suspension
Gas suspension subclasses primarily are distinguished by the methodby which the coating is applied to the substrate.






Fluidized Bed with bottom spray mechanism
Fluidized Bed with tangential spray mechanism
Fluidized Bed with top spray mechanism
Fluidized Bed with Wurster column
Spray Congealing/Dryingc. Vacuum Film Coating
Although there may be differences in the jacketed pan, baffle system, or
vacuum source, no vacuum film coating subclasses have been identified.
d. Dip Coating
Because of the custom design associated with this class of coating, no dip
coating subclasses or examples have been identified.
e. Electrostatic Coating
Because of the custom design associated with this class of coating, noelectrostatic coating subclasses or examples have been identified.
f. Compression Coating
22

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997
998
999
1000
1001
1002
1003
1004
1005
1006
1007
1008
1009
1010
1011
1012
1013
1014
1015
1016
1017
1018
1019
1020
1021
1022
1023
1024
1025
1026
1027
1028
1029
1030
1031
1032
1033
1034
1035
1036
1037
1038
1039
1040
1041
1042
1043

Refer to the Unit Dosing section of this document.
g. Ink-Based Printing
Ink-based printing subclasses primarily are distinguished by the method by which
the marking is applied to a capsule or tablet surface.
OffsetInk Jeth. Laser Etching (Printing)
Although laser etching systems may differ from one another, no laser
etching subclasses have been identified.
i. Drilling
The method of producing the laser pulse that ablates the hole(s) is of noconsequence to the physical-chemical properties of the product. Therefore, nodosage form drilling equipment subclasses have been identified.
V.

SUPAC-SS INFORMATION
A.

Particle Size Reduction/Separation

1. Definitions
a. Unit Operations
i.

Particle Size Reduction: The mechanical process of breaking
particles into smaller pieces via one or more size reduction
mechanisms. The mechanical process used is generally referred toas milling.
a.

Particle - Either a discrete particle or a grouping ofparticles, generally known as an agglomerate.

b.

Particle Size Reduction Mechanisms
Impact - Particle size reduction by applying an
instantaneous force perpendicular to the particle
and/or agglomerate surface. The force can result
from particle-to-particle or particle-to-mill surface
collision.

Attrition - Particle size reduction by applying
force parallel to the particle surface.
23

Contains Nonbinding Recommendations
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1044
1045
1046
1047
1048
1049
1050
1051
1052
1053
1054
1055
1056
1057
1058
1059
1060
1061
1062
1063
1064
1065
1066
1067
1068
1069
1070
1071
1072
1073
1074
1075
1076
1077
1078
1079
1080
1081
1082
1083
1084
1085
1086
1087
1088
1089
1090

ii.



Compression - Particle size reduction by applying aforce slowly (as compared to impact) to the particle
surface toward the center of the particle.



Cutting - Particle size reduction by applying a
shearing force to a material.

Particle Separation: Particle size classification according to particle
size alone.

b. Operating Principles
i.

Fluid Energy Milling: Particle size reduction by high-speed
particle-to- particle impact and/or attrition (also known as
micronizing).

ii.

Impact Milling: Particle size reduction by high-speed mechanicalimpact or impact with other particles (also known as milling,
pulverizing, or comminuting).

iii.

Cutting: Particle size reduction by mechanical shearing.

iv.

Compression Milling: Particle size reduction by compression stressand shear between two surfaces.

v.

Screening: Particle size reduction by mechanically-induced attrition
through a screen (commonly referred to as milling or
deagglomeration).

vi.

Tumble Milling: Particle size reduction by attrition, using
grinding media.

vii.

Separating: Particle segregation based on size alone, without any
significant particle size reduction (commonly referred to as
screening or bolting).

2. Equipment Classifications
a. Fluid Energy Mills
Fluid energy mill subclasses have no moving parts and primarily differ inthe configuration and/or shape of their chambers, nozzles, and classifiers.
 Fixed target Fluidized bed Loop and/or oval
24

Contains Nonbinding Recommendations
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1091
1092
1093
1094
1095
1096
1097
1098
1099
1100
1101
1102
1103
1104
1105
1106
1107
1108
1109
1110
1111
1112
1113
1114
1115
1116
1117
1118
1119
1120
1121
1122
1123
1124
1125
1126
1127
1128
1129
1130
1131
1132
1133
1134
1135
1136
1137






Moving target
Opposed jet
Opposed jet with dynamic classifier
Tangential jetb. Impact Mills
Impact mill subclasses primarily differ in the configuration of the grinding
heads, chamber grinding liners (if any), and classifiers.





Cage
Hammer air swept
Hammer conventional
Pin or discc. Cutting Mills
Although cutting mills can differ in whether the knives are movable or fixed, andin classifier configuration, no cutting mill subclasses have been identified.
d. Compression Mills
Although compression mills, also known as roller mills, can differ in whether one
or both surfaces move, no compression mill subclasses have been identified.
e. Screening Mills
Screening mill subclasses primarily differ in the rotating element.
 Oscillating bar
 Rotating impeller
 Rotating screen
f. Tumbling Mills
Tumbling mill subclasses primarily differ in the grinding media used andwhether the mill is vibrated.
 Ball media
 Rod media
 Vibratingg. Separators
Separator subclasses primarily differ in the mechanical means used toinduce particle movement.
25

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1138
1139
1140
1141
1142
1143
1144
1145
1146
1147
1148
1149
1150
1151
1152
1153
1154
1155
1156
1157
1158
1159
1160
1161
1162
1163
1164
1165
1166
1167
1168
1169
1170
1171
1172
1173
1174
1175
1176
1177
1178
1179
1180
1181
1182
1183
1184

 Centrifugal
 Vibratory or shaker
Note: If a single piece of equipment is capable of performing multiple discrete unit operations,
it has been evaluated solely for its ability to impact particle size or separation.
B.

Mixing

1. Definitions
a. Unit Operation
Mixing: The reorientation of particles relative to one another to achieve
uniformity or randomness. This process can include wetting of solids by a liquid
phase, dispersion of discrete particles, or deagglomeration into a continuous
phase. Heating and cooling via indirect conduction may be used in this operation
to facilitate phase mixing or stabilization.
b. Operating Principles
i.

Convection Mixing, Low Shear: Mixing process with a repeatedpattern of cycling material from top to bottom, in which dispersion
occurs under low power per unit mass through rotating low shear
forces.

ii.

Convection Mixing, High Shear: Mixing process with a repeatedpattern of cycling material from top to bottom, in which dispersion
occurs under high power per unit mass through rotating high shear
forces.

iii.

Roller Mixing (Milling): Mixing process by high mechanicalshearing action where compression stress is achieved by passing
material between a series of rotating rolls. This is commonlyreferred to as compression or roller milling.

iv.

Static Mixing: Mixing process in which material passes through atube with stationary baffles. The mixer is generally used inconjunction with an in-line pump.

2. Equipment Classificationa. Convection Mixers, Low Shear
This group normally operates under low shear conditions and is broken down byimpeller design and movement. Design can also include a jacketed vessel tofacilitate heat transfer.
26

Contains Nonbinding Recommendations
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1185
1186
1187
1188
1189
1190
1191
1192
1193
1194
1195
1196
1197
1198
1199
1200
1201
1202
1203
1204
1205
1206
1207
1208
1209
1210
1211
1212
1213
1214
1215
1216
1217
1218
1219
1220
1221
1222
1223
1224
1225
1226
1227
1228
1229
1230
1231
1232

 Anchor or sweepgate
 Impeller Planetaryb. Convection Mixers, High Shear
This group normally operates only under high shear conditions. Subclasses aredifferentiated by how the high shear is introduced into the material, such as by adispersator with serrated blades or homogenizer with rotor stator.
 Dispersator Rotor statorc. Roller Mixers (Mills)
No roller mixer subclasses have been identified.
d. Static Mixers
No static mixer subclasses have been identified.
Note: If a single piece of equipment is capable of performing multiple discrete unit operations,
it has been evaluated solely for its ability to mix materials.
C.

Emulsification

1. Definitions
a. Unit Operation
Emulsification: The application of physical energy to a liquid system consisting ofat least two immiscible phases, causing one phase to be dispersed into the other.
b. Operating Principles
i.

Low Shear Emulsification: Use of low shear energy using
mechanical mixing with an impeller to achieve a dispersion of the
mixture. The effectiveness of this operation is especially dependent
on proper formulation.

ii.

High Shear Emulsification: Use of high shear energy toachieve a dispersion of the immiscible phases. High shear canbe achieved by the following means:a.

Stirring the mixture with a high speed chopper or
saw-tooth dispersator.
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b.

Passing the mixture through the gap between a highspeed rotor and a stationary stator.

c.

Passing the mixture through a small orifice at high pressure(valve- type homogenizer) or through a small orifice at highpressure followed by impact against a hard surface or
opposing stream (valve-impactor type homogenizer),
causing sudden changes of pressure.

2. Equipment Classification
a. Low Shear Emulsifiers
Although low shear emulsification equipment (mechanical stirrers or impellers)
can differ in the type of fluid flow imparted to the mixture (axial-flow propeller orradial-flow turbines), no subclasses have been defined.
b. High Shear Emulsifiers
Subclasses of high shear emulsification equipment differ in the method used
to generate high shear.
 Dispersator Rotor stator Valve or pressure homogenizer
Note: If a single piece of equipment is capable of performing multiple discrete unit
operations, the unit has been evaluated solely for its ability to emulsify materials.
D.

Deaeration

1. Definitions
a. Unit Operation
Deaeration: The elimination of trapped gases to provide more accurate
volumetric measurements and remove potentially reactive gases.
b. Operating Principles
The use of vacuum or negative pressure, alone or in combination with mechanicalintervention or assistance.
2. Equipment Classification
a. Deaerators

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Deaerator subclasses differ primarily in their air removal paths, either through thebulk material or through a thin film, and in whether they use a batch or in-line
process.
 Off-Line or in-line
 Vacuum vessel
Note: If a single piece of equipment is capable of performing multiple discrete unit operations,
it has been evaluated solely for its ability to deaerate materials.
E.

Transfer

1. Definition
a. Unit Operation
Transfer: The controlled movement or transfer of materials from one location toanother.
b. Operating Principles
i.

Passive: The movement of materials across a non-mechanicallyinduced pressure gradient, usually through conduit or pipe.

ii.

Active: The movement of materials across a mechanicallyinduced pressure gradient, usually through conduit or pipe.

2. Equipment Classification
a. Low Shear
Active or passive material transfer, with a low degree of induced shear








Diaphragm
Gravity
Peristaltic
PistonPneumatic
Rotating lobe
Screw or helical screw

b. High Shear
Active or mechanical material transfer with a high degree of induced shear Centrifugal or turbine
 Piston Rotating gear
Note: This section is intended to deal with the transfer of shear sensitive materials, including
product or partially manufactured product. A single piece of equipment can be placed in either alow or high shear class, depending on its operating parameters. If a single piece of equipment iscapable of performing multiple discrete unit operations, the unit has been evaluated solely for its
ability to transfer materials.
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F.

Packaging

1. Definitions
a. Unit Operationi.

Holding: The process of storing product after completion of
manufacturing process and prior to filling final primary packs.

ii.

Transfer: The process of relocating bulk finished product fromholding to filling equipment using pipe, hose, pumps and/or otherassociated components.

iii.

Filling: The delivery of target weight or volume of bulk finishedproduct to primary pack containers

iv.

Sealing: A device or process for closing and/or sealing primary
pack containers following the filling process.

b. Operating Principlesi.

Holding: The storage of liquid, semi-solids, or productmaterials in a vessel that may or may not have temperature
control and/or agitation.

ii.

Transfer: The controlled movement or transfer of materials
from one location to another.

iii.

Filling: Filling operating principles involve several associatedsubprinciples. The primary package can be precleaned to remove
particulates or other materials by the use of ionized air, vacuum,or inversion. A holding vessel equipped with an auger, gravity, orpressure material feeding system should be used. The vessel may
or may not be able to control temperature and/or agitation. Actual
filling of the dosage form into primary containers can involve a
metering system based on an auger, gear, orifice, peristaltic, or
piston pump. A head-space blanketing system can also be used.

iv.

Sealing: Primary packages can be sealed using a variety ofmethods, including conducted heat and electromagnetic(induction or microwave) or mechanical manipulation (crimping
or torquing).

2. Equipment Classificationa. Holders
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Although holding vessels can differ in their geometry and ability to control
temperature or agitation, their primary differences are based on how materials
are fed.
 Auger Gravity
 Pneumatic (nitrogen, air, etc.)
b. Fillers
The primary differences in filling equipment are based on how materials
are metered.






Auger
Gear pumpOrifice
Peristaltic pump
Pistonc. Sealers
The differences in primary container sealing are based on how energy istransferred or applied.






Heat
Induction
Microwave
Mechanical or crimping
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