INTERNATIONAL CONFERENCE ON HARMONISATION OF TECHNICAL

REQUIREMENTS FOR REGISTRATION OF PHARMACEUTICALS FOR HUMAN

USE

ICH HARMONISED TRIPARTITE GUIDELINE

THE COMMON TECHNICAL DOCUMENT FOR THE

REGISTRATION OF PHARMACEUTICALS FOR HUMAN USE:
QUALITY – M4Q(R1)
QUALITY OVERALL SUMMARY OF MODULE 2
MODULE 3 : QUALITY

Current Step 4 version

dated 12 September 2002

This Guideline has been developed by the appropriate ICH Expert Working Group and
has been subject to consultation by the regulatory parties, in accordance with the ICH
Process. At Step 4 of the Process the final draft is recommended for adoption to the
regulatory bodies of the European Union, Japan and USA.
 M4Q(R1)
Document History

New
First Codification
History Date
Codification November
2005

M4Q Approval by the Steering Committee under Step 2 and 20 M4Q

release for public consultation. July
2000

M4Q Approval by the Steering Committee under Step 4 and 8 M4Q

recommendation for adoption to the three ICH November
regulatory bodies. 2000

Current Step 4 version

M4Q Approval by the Steering Committee of Numbering and 12 M4Q(R1)

Section Headers changes for consistency directly under September
Step 4 without further public consultation. 2002

In order to facilitate the implementation of the M4Q guideline, the ICH Experts have developed a
series of Q&As which can be downloaded from the ICH web site: http://www.ich.org

M4Q Questions & Answers History

M4Q Q&As Approval by the Steering Committee. 12 M4Q Q&As

September
2002

Current M4Q Questions & Answers posted on the web site

M4Q Q&As Approval by the Steering Committee of the newly added 18 M4Q Q&As
questions. July (R1)
2003
 THE COMMON TECHNICAL DOCUMENT FOR THE
REGISTRATION OF PHARMACEUTICALS FOR HUMAN USE: QUALITY
QUALITY OVERALL SUMMARY OF MODULE 2
MODULE 3 : QUALITY
ICH HARMONISED TRIPARTITE GUIDELINE
Having reached Step 4 of the ICH Process at the ICH Steering Committee meeting
on 9 November 2000, this guideline is recommended for
adoption to the three regulatory parties to ICH
(Numbering and Section Headers have been edited for consistency and use in e-CTD as
agreed at the Washington DC Meeting, September 11-12, 2002)

TABLE OF CONTENTS
MODULE 2 : COMMON TECHNICAL DOCUMENT SUMMARIES ................................ 1
2.3 : QUALITY OVERALL SUMMARY (QOS)....................................................................... 1
INTRODUCTION......................................................................................................................... 1
2.3.S DRUG SUBSTANCE (NAME, MANUFACTURER)..................................................... 1
2.3.S.1 General Information (name, manufacturer) .................................................... 1
2.3.S.2 Manufacture (name, manufacturer) ................................................................. 1
2.3.S.3 Characterisation (name, manufacturer)........................................................... 2
2.3.S.4 Control of Drug Substance (name, manufacturer)........................................... 2
2.3.S.5 Reference Standards or Materials (name, manufacturer)............................... 2
2.3.S.6 Container Closure System (name, manufacturer) ........................................... 2
2.3.S.7 Stability (name, manufacturer) ........................................................................ 2
2.3.P DRUG PRODUCT (NAME, DOSAGE FORM) ............................................................. 3
2.3.P.1 Description and Composition of the Drug Product (name, dosage form) ....... 3
2.3.P.2 Pharmaceutical Development (name, dosage form) ........................................ 3
2.3.P.3 Manufacture (name, dosage form) .................................................................... 3
2.3.P.4 Control of Excipients (name, dosage form)....................................................... 3
2.3.P.5 Control of Drug Product (name, dosage form).................................................. 3
2.3.P.6 Reference Standards or Materials (name, dosage form) ................................. 3
2.3.P.7 Container Closure System (name, dosage form).............................................. 3
2.3.P.8 Stability (name, dosage form) ........................................................................... 3
2.3.A APPENDICES .................................................................................................................... 4
2.3.A.1 Facilities and Equipment (name, manufacturer) ............................................ 4
2.3.A.2 Adventitious Agents Safety Evaluation
(name, dosage form, manufacturer).................................................................. 4
2.3.A.3 Excipients........................................................................................................... 4
2.3.R REGIONAL INFORMATION ......................................................................................... 4

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MODULE 3 : QUALITY ..................................................................................................... 5

3.1. TABLE OF CONTENTS OF MODULE 3 .......................................................................... 5
3.2. BODY OF DATA ................................................................................................................... 5
3.2.S DRUG SUBSTANCE (NAME, MANUFACTURER) .................................................... 5
3.2.S.1 General Information (name, manufacturer) .....................................................5
3.2.S.1.1 Nomenclature (name, manufacturer).........................................................5
3.2.S.1.2 Structure (name, manufacturer) ................................................................6
3.2.S.1.3 General Properties (name, manufacturer).................................................6
3.2.S.2 Manufacture (name, manufacturer)..................................................................6
3.2.S.2.1 Manufacturer(s) (name, manufacturer) .....................................................6
3.2.S.2.2 Description of Manufacturing Process and Process Controls (name,
manufacturer)..............................................................................................6
3.2.S.2.3 Control of Materials (name, manufacturer)...............................................8
3.2.S.2.4 Controls of Critical Steps and Intermediates (name, manufacturer).......8
3.2.S.2.5 Process Validation and/or Evaluation (name, manufacturer) ..................8
3.2.S.2.6 Manufacturing Process Development (name, manufacturer) ...................9
3.2.S.3 Characterisation (name, manufacturer) ...........................................................9
3.2.S.3.1 Elucidation of Structure and other Characteristics (name,
manufacturer)..............................................................................................9
3.2.S.3.2 Impurities (name, manufacturer).............................................................10
3.2.S.4 Control of Drug Substance (name, manufacturer) .........................................10
3.2.S.4.1 Specification (name, manufacturer) .........................................................10
3.2.S.4.2 Analytical Procedures (name, manufacturer)..........................................10
3.2.S.4.3 Validation of Analytical Procedures (name, manufacturer) ...................10
3.2.S.4.4 Batch Analyses (name, manufacturer).....................................................10
3.2.S.4.5 Justification of Specification (name, manufacturer) ...............................10
3.2.S.5 Reference Standards or Materials (name, manufacturer) .............................10
3.2.S.6 Container Closure System (name, manufacturer)..........................................10
3.2.S.7 Stability (name, manufacturer) .......................................................................11
3.2.S.7.1 Stability Summary and Conclusions (name, manufacturer) ..................11
3.2.S.7.2 Post-approval Stability Protocol and Stability Commitment (name,
manufacturer)............................................................................................11
3.2.S.7.3 Stability Data (name, manufacturer).......................................................11
3.2.P DRUG PRODUCT (NAME, DOSAGE FORM) .......................................................... 11
3.2.P.1 Description and Composition of the Drug Product (name, dosage form) ......11

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3.2.P.2 Pharmaceutical Development (name, dosage form) ...................................... 12

3.2.P.2.1 Components of the Drug Product (name, dosage form) .......................... 12
3.2.P.2.1.1 Drug Substance (name, dosage form) .................................................. 12
3.2.P.2.1.2 Excipients (name, dosage form) ........................................................... 12
3.2.P.2.2 Drug Product (name, dosage form) .......................................................... 12
3.2.P.2.2.1 Formulation Development (name, dosage form) ................................. 12
3.2.P.2.2.2 Overages (name, dosage form) ............................................................. 12
3.2.P.2.2.3 Physicochemical and Biological Properties (name, dosage form)....... 12
3.2.P.2.3 Manufacturing Process Development (name, dosage form) ................... 12
3.2.P.2.4 Container Closure System (name, dosage form) ..................................... 13
3.2.P.2.5 Microbiological Attributes (name, dosage form) ..................................... 13
3.2.P.2.6 Compatibility (name, dosage form).......................................................... 13
3.2.P.3 Manufacture (name, dosage form) .................................................................. 13
3.2.P.3.1 Manufacturer(s) (name, dosage form) ..................................................... 13
3.2.P.3.2 Batch Formula (name, dosage form)........................................................ 13
3.2.P.3.3 Description of Manufacturing Process and Process Controls (name,
dosage form) .............................................................................................. 13
3.2.P.3.4 Controls of Critical Steps and Intermediates (name, dosage form) ....... 14
3.2.P.3.5 Process Validation and/or Evaluation (name, dosage form)................... 14
3.2.P.4 Control of Excipients (name, dosage form)..................................................... 14
3.2.P.4.1 Specifications (name, dosage form).......................................................... 14
3.2.P.4.2 Analytical Procedures (name, dosage form) ............................................ 14
3.2.P.4.3 Validation of Analytical Procedures (name, dosage form)...................... 14
3.2.P.4.4 Justification of Specifications (name, dosage form)................................ 14
3.2.P.4.5 Excipients of Human or Animal Origin (name, dosage form) ................ 14
3.2.P.4.6 Novel Excipients (name, dosage form)..................................................... 15
3.2.P.5 Control of Drug Product (name, dosage form)................................................ 15
3.2.P.5.1 Specification(s) (name, dosage form) ....................................................... 15
3.2.P.5.2 Analytical Procedures (name, dosage form) ............................................ 15
3.2.P.5.3 Validation of Analytical Procedures (name, dosage form)...................... 15
3.2.P.5.4 Batch Analyses (name, dosage form) ....................................................... 15
3.2.P.5.5 Characterisation of Impurities (name, dosage form) .............................. 15
3.2.P.5.6 Justification of Specification(s) (name, dosage form) ............................. 15
3.2.P.6 Reference Standards or Materials (name, dosage form) ............................... 15
3.2.P.7 Container Closure System (name, dosage form)............................................ 15
3.2.P.8 Stability (name, dosage form) ......................................................................... 16
3.2.P.8.1 Stability Summary and Conclusion (name, dosage form) ...................... 16

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3.2.P.8.2 Post-approval Stability Protocol and Stability Commitment (name,

dosage form)...............................................................................................16
3.2.P.8.3 Stability Data (name, dosage form)..........................................................16
3.2.A APPENDICES ................................................................................................................. 16
3.2.A.1 Facilities and Equipment (name, manufacturer) ...........................................16
3.2.A.2 Adventitious Agents Safety Evaluation (name, dosage form,
manufacturer)...................................................................................................16
3.2.A.3 Excipients .........................................................................................................17
3.2.R REGIONAL INFORMATION ...................................................................................... 17
3.3 LITERATURE REFERENCES ..................................................................................... 18

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MODULE 2 : COMMON TECHNICAL DOCUMENT SUMMARIES

2.3 : QUALITY OVERALL SUMMARY (QOS)

The Quality Overall Summary (QOS) is a summary that follows the scope and the outline of
the Body of Data in Module 3. The QOS should not include information, data or justification
that was not already included in Module 3 or in other parts of the CTD.
The QOS should include sufficient information from each section to provide the Quality
reviewer with an overview of Module 3. The QOS should also emphasise critical key
parameters of the product and provide, for instance, justification in cases where guidelines
were not followed. The QOS should include a discussion of key issues that integrates
information from sections in the Quality Module and supporting information from other
Modules (e.g. qualification of impurities via toxicological studies discussed under the CTD-S
module), including cross-referencing to volume and page number in other Modules.
This QOS normally should not exceed 40 pages of text, excluding tables and figures. For
biotech products and products manufactured using more complex processes, the document
could be longer but normally should not exceed 80 pages of text (excluding tables and
figures).
The italicised text below indicates where tables, figures, or other items can be imported
directly from Module 3.

INTRODUCTION
The introduction should include proprietary name, non-proprietary name or common name
of the drug substance, company name, dosage form(s), strength(s), route of administration,
and proposed indication(s).

2.3.S DRUG SUBSTANCE (NAME, MANUFACTURER)

2.3.S.1 General Information (name, manufacturer)

Information from 3.2.S.1 should be included.

2.3.S.2 Manufacture (name, manufacturer)

Information from 3.2.S.2 should be included:
• Information on the manufacturer;
• A brief description of the manufacturing process (including, for example, reference to
starting materials, critical steps, and reprocessing) and the controls that are intended to
result in the routine and consistent production of material(s) of appropriate quality;
• A flow diagram, as provided in 3.2.S.2.2;
• A description of the Source and Starting Material and raw materials of biological origin
used in the manufacture of the drug substance, as described in 3.2.S.2.3;
• A discussion of the selection and justification of critical manufacturing steps, process
controls, and acceptance criteria. Highlight critical process intermediates, as described
in 3.2.S.2.4;
• A description of process validation and/or evaluation, as described in 3.2.S.2.5.
• A brief summary of major manufacturing changes made throughout development and
conclusions from the assessment used to evaluate product consistency, as described in
3.2.S.2.6. The QOS should also cross-refer to the non-clinical and clinical studies that

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used batches affected by these manufacturing changes, as provided in the CTD-S and
CTD-E modules of the dossier.

2.3.S.3 Characterisation (name, manufacturer)

For NCE:
A summary of the interpretation of evidence of structure and isomerism, as described
in 3.2.S.3.1, should be included.
When a drug substance is chiral, it should be specified whether specific stereoisomers
or a mixture of stereoisomers have been used in the nonclinical and clinical studies,
and information should be given as to the stereoisomer of the drug substance that is to
be used in the final product intended for marketing.
For Biotech:
A description of the desired product and product-related substances and a summary of
general properties, characteristic features and characterisation data (for example,
primary and higher order structure and biological activity), as described in 3.2.S.3.1,
should be included.
For NCE and Biotech:
The QOS should summarise the data on potential and actual impurities arising from
the synthesis, manufacture and/or degradation, and should summarise the basis for
setting the acceptance criteria for individual and total impurities. The QOS should also
summarise the impurity levels in batches of the drug substance used in the non-clinical
studies, in the clinical trials, and in typical batches manufactured by the proposed
commercial process. The QOS should state how the proposed impurity limits are
qualified.
A tabulated summary of the data provided in 3.2.S.3.2, with graphical representation, where
appropriate should be included.

2.3.S.4 Control of Drug Substance (name, manufacturer)

A brief summary of the justification of the specification(s), the analytical procedures, and
validation should be included.
Specification from 3.2.S.4.1 should be provided.
A tabulated summary of the batch analyses from 3.2.S.4.4, with graphical representation
where appropriate, should be provided.

2.3.S.5 Reference Standards or Materials (name, manufacturer)

Information from 3.2.S.5 (tabulated presentation, where appropriate) should be included.

2.3.S.6 Container Closure System (name, manufacturer)

A brief description and discussion of the information, from 3.2.S.6 should be included.

2.3.S.7 Stability (name, manufacturer)

This section should include a summary of the studies undertaken (conditions, batches,
analytical procedures) and a brief discussion of the results and conclusions, the proposed
storage conditions, retest date or shelf-life, where relevant, as described in 3.2.S.7.1.
The post-approval stability protocol, as described in 3.2.S.7.2, should be included.
A tabulated summary of the stability results from 3.2.S.7.3, with graphical representation
where appropriate, should be provided.

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2.3.P DRUG PRODUCT (NAME, DOSAGE FORM)

2.3.P.1 Description and Composition of the Drug Product (name, dosage form)
Information from 3.2.P.1 should be provided.
Composition from 3.2.P.1 should be provided.

2.3.P.2 Pharmaceutical Development (name, dosage form)

A discussion of the information and data from 3.2.P.2 should be presented.
A tabulated summary of the composition of the formulations used in clinical trials and a
presentation of dissolution profiles should be provided, where relevant.

2.3.P.3 Manufacture (name, dosage form)

Information from 3.2.P.3 should include:
• Information on the manufacturer.
• A brief description of the manufacturing process and the controls that are intended to
result in the routine and consistent production of product of appropriate quality.
• A flow diagram, as provided under 3.2.P.3.3.
• A brief description of the process validation and/or evaluation, as described in 3.2.P.3.5.

2.3.P.4 Control of Excipients (name, dosage form)

A brief summary on the quality of excipients, as described in 3.2.P.4, should be included.

2.3.P.5 Control of Drug Product (name, dosage form)

A brief summary of the justification of the specification(s), a summary of the analytical
procedures and validation, and characterisation of impurities should be provided.
Specification(s) from 3.2.P.5.1 should be provided.
A tabulated summary of the batch analyses provided under 3.2.P.5.4, with graphical
representation where appropriate should be included.

2.3.P.6 Reference Standards or Materials (name, dosage form)

Information from 3.2.P.6 (tabulated presentation, where appropriate) should be included.

2.3.P.7 Container Closure System (name, dosage form)

A brief description and discussion of the information in 3.2.P.7 should be included.

2.3.P.8 Stability (name, dosage form)

A summary of the studies undertaken (conditions, batches, analytical procedures) and a
brief discussion of the results and conclusions of the stability studies and analysis of data
should be included. Conclusions with respect to storage conditions and shelf-life and, if
applicable, in-use storage conditions and shelf-life should be given.
A tabulated summary of the stability results from 3.2.P.8.3, with graphical representation
where appropriate, should be included.
The post-approval stability protocol, as described in 3.2.P.8.2, should be provided.

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2.3.A APPENDICES

2.3.A.1 Facilities and Equipment (name, manufacturer)

Biotech:
A summary of facility information described under 3.2.A.1 should be included.

2.3.A.2 Adventitious Agents Safety Evaluation (name, dosage form,

manufacturer)
A discussion on measures implemented to control endogenous and adventitious agents in
production should be included.
A tabulated summary of the reduction factors for viral clearance from 3.2.A.2, should be
provided.

2.3.A.3 Excipients

2.3.R REGIONAL INFORMATION

A brief description of the information specific for the region, as provided under “3.2.R”
should be included, where appropriate.

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MODULE 3 : QUALITY

SCOPE OF THE GUIDELINE

This document is intended to provide guidance on the format of a registration application
for drug substances and their corresponding drug products as defined in the scope of the
ICH Guidelines Q 6 A ("NCE") and ICH Guideline Q 6 B ("Biotech"). This format may also
be appropriate for certain other categories of products. To determine the applicability of
this format for a particular type of product, applicants should consult with the appropriate
regulatory authorities.
The text following the section titles is intended to be explanatory and illustrative only. The
content of these sections should include relevant information described in existing ICH
guidelines, but harmonised content is not available for all sections. The "Body of Data" in
this guideline merely indicates where the information should be located. Neither the type
nor extent of specific supporting data has been addressed in this guideline, and both may
depend upon regional guidance.
The section titles of Part 3.2.R (Regional Information) represent examples of typical topics
of information that are not common to all ICH regions. Hence, the information to be
provided in these sections should be based on the relevant regional guidelines.

3.1. TABLE OF CONTENTS OF MODULE 3

A Table of Contents for the filed application should be provided.

3.2. BODY OF DATA

3.2.S DRUG SUBSTANCE 1 (NAME, MANUFACTURER)

3.2.S.1 General Information (name, manufacturer)

3.2.S.1.1 Nomenclature (name, manufacturer)

Information on the nomenclature of the drug substance should be provided. For example:
• Recommended International Nonproprietary Name (INN);
• Compendial name if relevant;
• Chemical name(s);
• Company or laboratory code;
• Other non-proprietary name(s), e.g., national name, United States Adopted Name
(USAN), Japanese Accepted Name (JAN); British Approved Name (BAN), and
• Chemical Abstracts Service (CAS) registry number.

1For a drug product containing more than one drug substance, the information requested for part
“S” should be provided in its entirety for each drug substance

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3.2.S.1.2 Structure (name, manufacturer)

NCE:
The structural formula, including relative and absolute stereochemistry, the molecular
formula, and the relative molecular mass should be provided.
Biotech:
The schematic amino acid sequence indicating glycosylation sites or other post-
translational modifications and relative molecular mass should be provided, as
appropriate.

3.2.S.1.3 General Properties (name, manufacturer)

A list should be provided of physicochemical and other relevant properties of the drug
substance, including biological activity for Biotech.
Reference ICH Guidelines: Q6A and Q6B

3.2.S.2 Manufacture (name, manufacturer)

3.2.S.2.1 Manufacturer(s) (name, manufacturer)

The name, address, and responsibility of each manufacturer, including contractors, and
each proposed production site or facility involved in manufacturing and testing should be
provided.

3.2.S.2.2 Description of Manufacturing Process and Process Controls (name,

manufacturer)
The description of the drug substance manufacturing process represents the applicant’s
commitment for the manufacture of the drug substance. Information should be provided to
adequately describe the manufacturing process and process controls. For example:
NCE:
A flow diagram of the synthetic process(es) should be provided that includes molecular
formulae, weights, yield ranges, chemical structures of starting materials,
intermediates, reagents and drug substance reflecting stereochemistry, and identifies
operating conditions and solvents.
A sequential procedural narrative of the manufacturing process should be submitted.
The narrative should include, for example, quantities of raw materials, solvents,
catalysts and reagents reflecting the representative batch scale for commercial
manufacture, identification of critical steps, process controls, equipment and operating
conditions (e.g., temperature, pressure, pH, time).
Alternate processes should be explained and described with the same level of detail as
the primary process. Reprocessing steps should be identified and justified. Any data to
support this justification should be either referenced or filed in 3.2.S.2.5.
Biotech:
Information should be provided on the manufacturing process, which typically starts
with a vial(s) of the cell bank, and includes cell culture, harvest(s), purification and
modification reactions, filling, storage and shipping conditions.
Batch(es) and scale definition
An explanation of the batch numbering system, including information regarding any
pooling of harvests or intermediates and batch size or scale should be provided.

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Cell culture and harvest

A flow diagram should be provided that illustrates the manufacturing route from the
original inoculum (e.g. cells contained in one or more vials(s) of the Working Cell Bank
up to the last harvesting operation. The diagram should include all steps (i.e., unit
operations) and intermediates. Relevant information for each stage, such as population
doubling levels, cell concentration, volumes, pH, cultivation times, holding times, and
temperature, should be included. Critical steps and critical intermediates for which
specifications are established (as mentioned in 3.2.S.2.4) should be identified.
A description of each process step in the flow diagram should be provided. Information
should be included on, for example, scale; culture media and other additives (details
provided in 3.2.S.2.3); major equipment (details provided in 3.2.A.1); and process
controls, including in-process tests and operational parameters, process steps,
equipment and intermediates with acceptance criteria (details provided in 3.2.S.2.4).
Information on procedures used to transfer material between steps, equipment, areas,
and buildings, as appropriate, and shipping and storage conditions should be provided.
(Details on shipping and storage provided in 3.2.S.2.4.)
Purification and modification reactions
A flow diagram should be provided that illustrates the purification steps (i.e., unit
operations) from the crude harvest(s) up to the step preceding filling of the drug
substance. All steps and intermediates and relevant information for each stage (e.g.,
volumes, pH, critical processing time, holding times, temperatures and elution profiles
and selection of fraction, storage of intermediate, if applicable) should be included.
Critical steps for which specifications are established as mentioned in 3.2.S.2.4 should
be identified.
A description of each process step (as identified in the flow diagram) should be
provided. The description should include information on, for example, scale, buffers and
other reagents (details provided in 3.2.S.2.3, major equipment (details provided in
3.2.A.1), and materials. For materials such as membranes and chromatography resins,
information for conditions of use and reuse also should be provided. (Equipment
details in 3.2.A.1; validation studies for the reuse and regeneration of columns and
membranes in 3.2.S.2.5.) The description should include process controls (including in-
process tests and operational parameters) with acceptance criteria for process steps,
equipment and intermediates. (Details in 3.2.S.2.4.)
Reprocessing procedures with criteria for reprocessing of any intermediate or the drug
substance should be described. (Details should be given in 3.2.S.2.5.)
Information on procedures used to transfer material between steps, equipment, areas,
and buildings, as appropriate, and shipping and storage conditions should be provided
(details on shipping and storage provided in 3.2.S.2.4.).
Filling, storage and transportation (shipping)
A description of the filling procedure for the drug substance, process controls (including
in-process tests and operational parameters), and acceptance criteria should be
provided. (Details in 3.2.S.2.4.) The container closure system(s) used for storage of the
drug substance (details in 3.2.S.6.) and storage and shipping conditions for the drug
substance should be described.
Reference ICH Guidelines: Q5A, Q5B, and Q6B

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3.2.S.2.3 Control of Materials (name, manufacturer)

Materials used in the manufacture of the drug substance (e.g., raw materials, starting
materials, solvents, reagents, catalysts) should be listed identifying where each material is
used in the process. Information on the quality and control of these materials should be
provided. Information demonstrating that materials (including biologically-sourced
materials, e.g., media components, monoclonal antibodies, enzymes) meet standards
appropriate for their intended use (including the clearance or control of adventitious
agents) should be provided, as appropriate. For biologically-sourced materials, this can
include information regarding the source, manufacture, and characterisation. (Details in
3.2.A.2 for both NCE and Biotech)
Reference ICH Guidelines: Q6A and Q6B
Biotech:
Control of Source and Starting Materials of Biological Origin
Summaries of viral safety information for biologically-sourced materials should be
provided. (Details in 3.2.A.2.)
Source, history, and generation of the cell substrate
Information on the source of the cell substrate and analysis of the expression construct
used to genetically modify cells and incorporated in the initial cell clone used to develop
the Master Cell Bank should be provided as described in Q5B and Q5D.
Cell banking system, characterisation, and testing
Information on the cell banking system, quality control activities, and cell line stability
during production and storage (including procedures used to generate the Master and
Working Cell Bank(s)) should be provided as described in Q5B and Q5D.
Reference ICH Guidelines: Q5A, Q5B, Q5C and Q5D

3.2.S.2.4 Controls of Critical Steps and Intermediates (name, manufacturer)

Critical Steps: Tests and acceptance criteria (with justification including experimental
data) performed at critical steps identified in 3.2.S.2.2 of the manufacturing process to
ensure that the process is controlled should be provided.
Intermediates: Information on the quality and control of intermediates isolated during the
process should be provided.
Reference ICH Guidelines: Q6A and Q6B
Additionally for Biotech: Stability data supporting storage conditions should be provided.
Reference ICH Guideline: Q5C

3.2.S.2.5 Process Validation and/or Evaluation (name, manufacturer)

Process validation and/or evaluation studies for aseptic processing and sterilisation should
be included.
Biotech:
Sufficient information should be provided on validation and evaluation studies to
demonstrate that the manufacturing process (including reprocessing steps) is suitable
for its intended purpose and to substantiate selection of critical process controls
(operational parameters and in-process tests) and their limits for critical
manufacturing steps (e.g., cell culture, harvesting, purification, and modification).

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The plan for conducting the study should be described and the results, analysis and
conclusions from the executed study(ies) should be provided. The analytical procedures
and corresponding validation should be cross-referenced (e.g., 3.2.S.2.4, 3.2.S.4.3) or
provided as part of justifying the selection of critical process controls and acceptance
criteria.
For manufacturing steps intended to remove or inactivate viral contaminants, the
information from evaluation studies should be provided in 3.2.A.2.

3.2.S.2.6 Manufacturing Process Development (name, manufacturer)

NCE:
A description and discussion should be provided of the significant changes made to the
manufacturing process and/or manufacturing site of the drug substance used in
producing nonclinical, clinical, scale-up, pilot, and, if available, production scale
batches.
Reference should be made to the drug substance data provided in section 3.2.S.4.4.
Reference ICH Guideline: Q3A
Biotech:
The developmental history of the manufacturing process, as described in 3.2.S.2.2,
should be provided. The description of change(s) made to the manufacture of drug
substance batches used in support of the marketing application (e.g., nonclinical or
clinical studies) should include, for example, changes to the process or to critical
equipment. The reason for the change should be explained. Relevant information on
drug substance batches manufactured during development, such as the batch number,
manufacturing scale, and use (e.g., stability, nonclinical, reference material) in relation
to the change, should be provided.
The significance of the change should be assessed by evaluating its potential to impact
the quality of the drug substance (and/or intermediate, if appropriate). For
manufacturing changes that are considered significant, data from comparative
analytical testing on relevant drug substance batches should be provided to determine
the impact on quality of the drug substance (see Q6B for additional guidance). A
discussion of the data, including a justification for selection of the tests and assessment
of results, should be included.
Testing used to assess the impact of manufacturing changes on the drug substance(s)
and the corresponding drug product(s) can also include nonclinical and clinical studies.
Cross-reference to the location of these studies in other modules of the submission
should be included.
Reference should be made to the drug substance data provided in section 3.2.S.4.4.
Reference ICH Guideline: Q6B

3.2.S.3 Characterisation (name, manufacturer)

3.2.S.3.1 Elucidation of Structure and other Characteristics (name,

manufacturer)
NCE:
Confirmation of structure based on e.g., synthetic route and spectral analyses should be
provided. Information such as the potential for isomerism, the identification of
stereochemistry, or the potential for forming polymorphs should also be included.

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Reference ICH Guideline: Q6A

Biotech:
For desired product and product-related substances, details should be provided on
primary, secondary and higher-order structure, post-translational forms (e.g.,
glycoforms), biological activity, purity, and immunochemical properties, when relevant.
Reference ICH Guideline: Q6B

3.2.S.3.2 Impurities (name, manufacturer)

Information on impurities should be provided.
Reference ICH Guidelines: Q3A, Q3C, Q5C, Q6A, and Q6B

3.2.S.4 Control of Drug Substance (name, manufacturer)

3.2.S.4.1 Specification (name, manufacturer)

The specification for the drug substance should be provided.
Reference ICH Guidelines: Q6A and Q6B

3.2.S.4.2 Analytical Procedures (name, manufacturer)

The analytical procedures used for testing the drug substance should be provided.
Reference ICH Guidelines: Q2A and Q6B

3.2.S.4.3 Validation of Analytical Procedures (name, manufacturer)

Analytical validation information, including experimental data for the analytical
procedures used for testing the drug substance, should be provided.
Reference ICH Guidelines: Q2A, Q2B, and Q6B

3.2.S.4.4 Batch Analyses (name, manufacturer)

Description of batches and results of batch analyses should be provided.
Reference ICH Guidelines: Q3A, Q3C, Q6A, and Q6B

3.2.S.4.5 Justification of Specification (name, manufacturer)

Justification for the drug substance specification should be provided.
Reference ICH Guidelines: Q3A, Q3C, Q6A and Q6B

3.2.S.5 Reference Standards or Materials (name, manufacturer)

Information on the reference standards or reference materials used for testing of the drug
substance should be provided.
Reference ICH Guidelines: Q6A and Q6B

3.2.S.6 Container Closure System (name, manufacturer)

A description of the container closure system(s) should be provided, including the identity
of materials of construction of each primary packaging component, and their specifications.
The specifications should include description and identification (and critical dimensions
with drawings, where appropriate). Non-compendial methods (with validation) should be
included, where appropriate.

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For non-functional secondary packaging components (e.g., those that do not provide
additional protection), only a brief description should be provided. For functional secondary
packaging components, additional information should be provided.
The suitability should be discussed with respect to, for example, choice of materials,
protection from moisture and light, compatibility of the materials of construction with the
drug substance, including sorption to container and leaching, and/or safety of materials of
construction.

3.2.S.7 Stability (name, manufacturer)

3.2.S.7.1 Stability Summary and Conclusions (name, manufacturer)

The types of studies conducted, protocols used, and the results of the studies should be
summarized. The summary should include results, for example, from forced degradation
studies and stress conditions, as well as conclusions with respect to storage conditions and
retest date or shelf-life, as appropriate.
Reference ICH Guidelines: Q1A, Q1B, and Q5C

3.2.S.7.2 Post-approval Stability Protocol and Stability Commitment (name,

manufacturer)
The post-approval stability protocol and stability commitment should be provided.
Reference ICH Guidelines: Q1A and Q5C

3.2.S.7.3 Stability Data (name, manufacturer)

Results of the stability studies (e.g., forced degradation studies and stress conditions)
should be presented in an appropriate format such as tabular, graphical, or narrative.
Information on the analytical procedures used to generate the data and validation of these
procedures should be included.
Reference ICH Guidelines: Q1A, Q1B, Q2A, Q2B, and Q5C

3.2.P DRUG PRODUCT (NAME, DOSAGE FORM)

3.2.P.1 Description and Composition of the Drug Product (name, dosage form)
A description of the drug product and its composition should be provided. The information
provided should include, for example:
• Description 2 of the dosage form;
• Composition, i.e., list of all components of the dosage form, and their amount on a per-
unit basis (including overages, if any) the function of the components, and a reference to
their quality standards (e.g., compendial monographs or manufacturer’s specifications)
• Description of accompanying reconstitution diluent(s); and
• Type of container and closure used for the dosage form and accompanying reconstitution
diluent, if applicable.
Reference ICH Guidelines: Q6A and Q6B

2 For a drug product supplied with reconstitution diluent(s), the information on the diluent(s)
should be provided in a separate part “P”, as appropriate

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3.2.P.2 Pharmaceutical Development (name, dosage form)

The Pharmaceutical Development section should contain information on the development
studies conducted to establish that the dosage form, the formulation, manufacturing
process, container closure system, microbiological attributes and usage instructions are
appropriate for the purpose specified in the application. The studies described here are
distinguished from routine control tests conducted according to specifications. Additionally,
this section should identify and describe the formulation and process attributes (critical
parameters) that can influence batch reproducibility, product performance and drug
product quality. Supportive data and results from specific studies or published literature
can be included within or attached to the Pharmaceutical Development section. Additional
supportive data can be referenced to the relevant nonclinical or clinical sections of the
application.
Reference ICH Guidelines: Q6A and Q6B

3.2.P.2.1 Components of the Drug Product (name, dosage form)

3.2.P.2.1.1 Drug Substance (name, dosage form)
The compatibility of the drug substance with excipients listed in 3.2.P.1 should be
discussed. Additionally, key physicochemical characteristics (e.g., water content,
solubility, particle size distribution, polymorphic or solid state form) of the drug
substance that can influence the performance of the drug product should be
discussed.
For combination products, the compatibility of drug substances with each other
should be discussed.
3.2.P.2.1.2 Excipients (name, dosage form)
The choice of excipients listed in 3.2.P.1, their concentration, their characteristics
that can influence the drug product performance should be discussed relative to
their respective functions.

3.2.P.2.2 Drug Product (name, dosage form)

3.2.P.2.2.1 Formulation Development (name, dosage form)
A brief summary describing the development of the drug product should be provided,
taking into consideration the proposed route of administration and usage. The
differences between clinical formulations and the formulation (i.e. composition)
described in 3.2.P.1 should be discussed. Results from comparative in vitro studies
(e.g., dissolution) or comparative in vivo studies (e.g., bioequivalence) should be
discussed when appropriate.
3.2.P.2.2.2 Overages (name, dosage form)
Any overages in the formulation(s) described in 3.2.P.1 should be justified.
3.2.P.2.2.3 Physicochemical and Biological Properties (name, dosage form)
Parameters relevant to the performance of the drug product, such as pH, ionic
strength, dissolution, redispersion, reconstitution, particle size distribution,
aggregation, polymorphism, rheological properties, biological activity or potency,
and/or immunological activity, should be addressed.

3.2.P.2.3 Manufacturing Process Development (name, dosage form)

The selection and optimisation of the manufacturing process described in 3.2.P.3.3, in
particular its critical aspects, should be explained. Where relevant, the method of
sterilisation should be explained and justified.

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Differences between the manufacturing process(es) used to produce pivotal clinical batches
and the process described in 3.2.P.3.3 that can influence the performance of the product
should be discussed.

3.2.P.2.4 Container Closure System (name, dosage form)

The suitability of the container closure system (described in 3.2.P.7) used for the storage,
transportation (shipping) and use of the drug product should be discussed. This discussion
should consider, e.g., choice of materials, protection from moisture and light, compatibility
of the materials of construction with the dosage form (including sorption to container and
leaching) safety of materials of construction, and performance (such as reproducibility of
the dose delivery from the device when presented as part of the drug product).

3.2.P.2.5 Microbiological Attributes (name, dosage form)

Where appropriate, the microbiological attributes of the dosage form should be discussed,
including, for example, the rationale for not performing microbial limits testing for non-
sterile products and the selection and effectiveness of preservative systems in products
containing antimicrobial preservatives. For sterile products, the integrity of the container
closure system to prevent microbial contamination should be addressed.

3.2.P.2.6 Compatibility (name, dosage form)

The compatibility of the drug product with reconstitution diluent(s) or dosage devices (e.g.,
precipitation of drug substance in solution, sorption on injection vessels, stability) should be
addressed to provide appropriate and supportive information for the labeling.

3.2.P.3 Manufacture (name, dosage form)

3.2.P.3.1 Manufacturer(s) (name, dosage form)

The name, address, and responsibility of each manufacturer, including contractors, and
each proposed production site or facility involved in manufacturing and testing should be
provided.

3.2.P.3.2 Batch Formula (name, dosage form)

A batch formula should be provided that includes a list of all components of the dosage form
to be used in the manufacturing process, their amounts on a per batch basis, including
overages, and a reference to their quality standards.

3.2.P.3.3 Description of Manufacturing Process and Process Controls (name,

dosage form)
A flow diagram should be presented giving the steps of the process and showing where
materials enter the process. The critical steps and points at which process controls,
intermediate tests or final product controls are conducted should be identified.
A narrative description of the manufacturing process, including packaging, that represents
the sequence of steps undertaken and the scale of production should also be provided. Novel
processes or technologies and packaging operations that directly affect product quality
should be described with a greater level of detail. Equipment should, at least, be identified
by type (e.g., tumble blender, in-line homogeniser) and working capacity, where relevant.
Steps in the process should have the appropriate process parameters identified, such as
time, temperature, or pH. Associated numeric values can be presented as an expected
range. Numeric ranges for critical steps should be justified in Section 3.2.P.3.4. In certain
cases, environmental conditions (e.g., low humidity for an effervescent product) should be
stated.

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Proposals for the reprocessing of materials should be justified. Any data to support this
justification should be either referenced or filed in this section (3.2.P.3.3).
Additionally for Biotech see 3.2.A.1 for facilities, if appropriate.
Reference ICH Guideline: Q6B

3.2.P.3.4 Controls of Critical Steps and Intermediates (name, dosage form)

Critical Steps: Tests and acceptance criteria should be provided (with justification,
including experimental data) performed at the critical steps identified in 3.2.P.3.3 of the
manufacturing process, to ensure that the process is controlled.
Intermediates: Information on the quality and control of intermediates isolated during the
process should be provided.
Reference ICH Guidelines: Q2A, Q2B, Q6A, and Q6B

3.2.P.3.5 Process Validation and/or Evaluation (name, dosage form)

Description, documentation, and results of the validation and/or evaluation studies should
be provided for critical steps or critical assays used in the manufacturing process (e.g.,
validation of the sterilisation process or aseptic processing or filling). Viral safety
evaluation should be provided in 3.2.A.2, if necessary.
Reference ICH Guideline: Q6B

3.2.P.4 Control of Excipients (name, dosage form)

3.2.P.4.1 Specifications (name, dosage form)

The specifications for excipients should be provided.
Reference ICH Guideline: Q6A and Q6B

3.2.P.4.2 Analytical Procedures (name, dosage form)

The analytical procedures used for testing the excipients should be provided, where
appropriate.
Reference ICH Guidelines: Q2A and Q6B

3.2.P.4.3 Validation of Analytical Procedures (name, dosage form)

Analytical validation information, including experimental data, for the analytical
procedures used for testing the excipients should be provided, where appropriate.
Reference ICH Guidelines: Q2A, Q2B, and Q6B

3.2.P.4.4 Justification of Specifications (name, dosage form)

Justification for the proposed excipient specifications should be provided, where
appropriate.
Reference ICH Guidelines: Q3C and Q6B

3.2.P.4.5 Excipients of Human or Animal Origin (name, dosage form)

For excipients of human or animal origin, information should be provided regarding
adventitious agents (e.g., sources, specifications; description of the testing performed; viral
safety data). (Details in 3.2.A.2).
Reference ICH Guidelines: Q5A, Q5D, and Q6B

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3.2.P.4.6 Novel Excipients (name, dosage form)

For excipient(s) used for the first time in a drug product or by a new route of
administration, full details of manufacture, characterisation, and controls, with cross
references to supporting safety data (nonclinical and/or clinical) should be provided
according to the drug substance format. (Details in 3.2.A.3).

3.2.P.5 Control of Drug Product (name, dosage form)

3.2.P.5.1 Specification(s) (name, dosage form)

The specification(s) for the drug product should be provided.
Reference ICH Guidelines: Q3B, Q6A and Q6B

3.2.P.5.2 Analytical Procedures (name, dosage form)

The analytical procedures used for testing the drug product should be provided.
Reference ICH Guidelines: Q2A and Q6B

3.2.P.5.3 Validation of Analytical Procedures (name, dosage form)

Analytical validation information, including experimental data, for the analytical
procedures used for testing the drug product, should be provided.
Reference ICH Guidelines: Q2A, Q2B and Q6B.

3.2.P.5.4 Batch Analyses (name, dosage form)

A description of batches and results of batch analyses should be provided.
Reference ICH Guidelines: Q3B, Q3C, Q6A, and Q6B

3.2.P.5.5 Characterisation of Impurities (name, dosage form)

Information on the characterisation of impurities should be provided, if not previously
provided in "3.2.S.3.2 Impurities".
Reference ICH Guidelines: Q3B, Q5C, Q6A, and Q6B

3.2.P.5.6 Justification of Specification(s) (name, dosage form)

Justification for the proposed drug product specification(s) should be provided.
Reference ICH Guidelines: Q3B, Q6A, and Q6B

3.2.P.6 Reference Standards or Materials (name, dosage form)

Information on the reference standards or reference materials used for testing of the drug
product should be provided, if not previously provided in "3.2.S.5 Reference Standards or
Materials".
Reference ICH Guidelines: Q6A and Q6B

3.2.P.7 Container Closure System (name, dosage form)

A description of the container closure systems should be provided, including the identity of
materials of construction of each primary packaging component and its specification. The
specifications should include description and identification (and critical dimensions, with
drawings where appropriate). Non-compendial methods (with validation) should be
included where appropriate.
For non-functional secondary packaging components (e.g., those that neither provide
additional protection nor serve to deliver the product), only a brief description should be

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provided. For functional secondary packaging components, additional information should be

provided.
Suitability information should be located in 3.2.P.2.

3.2.P.8 Stability (name, dosage form)

3.2.P.8.1 Stability Summary and Conclusion (name, dosage form)

The types of studies conducted, protocols used, and the results of the studies should be
summarized. The summary should include, for example, conclusions with respect to storage
conditions and shelf-life, and, if applicable, in-use storage conditions and shelf-life.
Reference ICH Guidelines: Q1A, Q1B, Q3B, and Q5C, Q6A

3.2.P.8.2 Post-approval Stability Protocol and Stability Commitment (name,

dosage form)
The post-approval stability protocol and stability commitment should be provided.
Reference ICH Guidelines: Q1A and Q5C

3.2.P.8.3 Stability Data (name, dosage form)

Results of the stability studies should be presented in an appropriate format (e.g. tabular,
graphical, narrative). Information on the analytical procedures used to generate the data
and validation of these procedures should be included.
Information on characterisation of impurities is located in 3.2.P.5.5.
Reference ICH Guidelines: Q1A, Q1B, Q2A, Q2B and Q5C

3.2.A APPENDICES

3.2.A.1 Facilities and Equipment (name, manufacturer)

Biotech:
A diagram should be provided illustrating the manufacturing flow including movement
of raw materials, personnel, waste, and intermediate(s) in and out of the
manufacturing areas. Information should be presented with respect to adjacent areas
or rooms that may be of concern for maintaining integrity of the product.
Information on all developmental or approved products manufactured or manipulated
in the same areas as the applicant's product should be included.
A summary description of product-contact equipment, and its use (dedicated or multi-
use) should be provided. Information on preparation, cleaning, sterilisation, and
storage of specified equipment and materials should be included, as appropriate.
Information should be included on procedures (e.g., cleaning and production
scheduling) and design features of the facility (e.g., area classifications) to prevent
contamination or cross-contamination of areas and equipment, where operations for the
preparation of cell banks and product manufacturing are performed.

3.2.A.2 Adventitious Agents Safety Evaluation (name, dosage form,

manufacturer)
Information assessing the risk with respect to potential contamination with adventitious
agents should be provided in this section.
For non-viral adventitious agents:

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Detailed information should be provided on the avoidance and control of non-viral

adventitious agents (e.g., transmissible spongiform encephalopathy agents, bacteria,
mycoplasma, fungi). This information can include, for example, certification and/or testing
of raw materials and excipients, and control of the production process, as appropriate for
the material, process and agent.
Reference ICH Guidelines: Q5A, Q5D, and Q6B
For viral adventitious agents:
Detailed information from viral safety evaluation studies should be provided in this section.
Viral evaluation studies should demonstrate that the materials used in production are
considered safe, and that the approaches used to test, evaluate, and eliminate the potential
risks during manufacturing are suitable. The applicant should refer to Q5A, Q5D, and Q6B
for further guidance.
Materials of Biological Origin
Information essential to evaluate the virological safety of materials of animal or human
origin (e.g. biological fluids, tissue, organ, cell lines) should be provided. (See related
information in 3.2.S.2.3, and 3.2.P.4.5). For cell lines, information on the selection,
testing, and safety assessment for potential viral contamination of the cells and viral
qualification of cell banks should also be provided. (See related information in
3.2.S.2.3).
Testing at appropriate stages of production
The selection of virological tests that are conducted during manufacturing (e.g., cell
substrate, unprocessed bulk or post viral clearance testing) should be justified. The
type of test, sensitivity and specificity of the test, if applicable, and frequency of testing
should be included. Test results to confirm, at an appropriate stage of manufacture,
that the product is free from viral contamination should be provided. (See related
information in 3.2.S.2.4 and 3.2.P.3.4 ).
Viral Testing of Unprocessed Bulk
In accordance with Q5A and Q6B, results for viral testing of unprocessed bulk should
be included.
Viral Clearance Studies
In accordance with Q5A, the rationale and action plan for assessing viral clearance and
the results and evaluation of the viral clearance studies should be provided. Data can
include those that demonstrate the validity of the scaled-down model compared to the
commercial scale process; the adequacy of viral inactivation or removal procedures for
manufacturing equipment and materials; and manufacturing steps that are capable of
removing or inactivating viruses. (See related information in 3.2.S.2.5 and 3.2.P.3.5).
Reference ICH Guidelines: Q5A, Q5D, and Q6B

3.2.A.3 Excipients

3.2.R REGIONAL INFORMATION

Any additional drug substance and/or drug product information specific to each region
should be provided in section R of the application. Applicants should consult the
appropriate regional guidelines and/or regulatory authorities for additional guidance.
Some examples are as follows:
• Executed Batch Records (USA only)

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• Method Validation Package (USA only)

• Comparability Protocols (USA only)
• Process Validation Scheme for the Drug Product (EU only)
Where validation is still to be completed, a summary of the studies intended to be
conducted should be provided.
• Medical Device (EU only)

3.3 LITERATURE REFERENCES

Key literature referenced should be provided, if applicable.

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