THE ASEAN COMMON TECHNICAL DOSSIER (ACTD) FOR THE

REGISTRATION OF PHARMACEUTICALS FOR HUMAN USE

PART II: QUALITY

TABLE OF CONTENTS

Section A: Quality Overall Summary

1. Drug Substance …………………………………………………

2. Drug Product ……………………………………………………

Scope of the Guideline …………………………………………………

Section B: Table of Contents ………………………………………… .

Section C: Body of Data

1. Drug Substance …………………………………………………

2. Drug Product ……………………………………………………

Section D: Key Literature References ……….………………………..

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SCOPE OF THE GUIDELINE
This document is intended to provide guidance on the format of a registration application
for drug products regarding ASEAN CTR . This format is appropriate for NCE (New
Chemical Entity), Biotech (Biotechnological Products), MaV (Major Variations), MiV
(Minor Variations) and G (Generics). To determine the applicability of this format for a
particular type of product, applicant should consult with the appropriate National
Regulatory Authorities. 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 national guidance and or
accepted leading international references (pharmacopoeias).
For NCE and Biotech requirements please refer to the relevant ICH Guidelines.

Section B: Table of Contents

A table of contents for the filed application should be provided.

Section C: Body of Data

S DRUG SUBSTANCE

S1 General Information

S 1.1 Nomenclature
 International non–proprietary name (INN)
 Compendial name if relevant
 Registry number of chemical abstract service (CAS)
 Laboratory code (if applicable)
 Chemical name(s)

S 1.2 Structural formula

NCE :
The structural, 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.

Generic :
Compendial requirement or equivalent information from the manufacturer.

S 1.3 General Properties

A list should be provided of physicochemical and other relevant properties of the drug
substance, including biological activity for Biotech.

Reference ICH Guidelines: NCE : Q6A, Biotech : Q6B

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S2 Manufacture

S 2.1 Manufacturer(s)
Name and full addresses including the city and country of the manufacturer of active
ingredient.

S 2.2 Description of Manufacturing Process and Process Controls

The description of the drug substances manufacturing process represents the applicant’s
commitment for the manufacture of drug substances. The following information should be
provided to adequately describe the manufacturing process and process controls:

NCE:
 A schematic flow diagram of the synthetic process(es) should be provided that includes
molecular formulae, weights and yields, 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 that provides quantities
of raw materials, solvent, catalysts and reagent reflecting the representative batch scale,
and includes process controls, equipment and operating conditions, such as
temperature, pressure, pH, time etc.
 Alternative process should be explained and described with the same level of details as
the primary process. Reprocessing steps should be identified and justified.

Biotech:
 Information on the manufacturing process, which typically starts with a vial(s) of the
cell bank and includes cell culture, harvest(s), purification and modification reaction,
filling storage and shipping conditions.
Reference ICH Guidelines : Q5A, Q5B and Q6B.

S 2.3 Control of Materials

Material 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 characterization.

Reference ICH Guidelines : NCE : Q6A; Biotech : Q6B

Biotech:
 Control of source and starting materials of biological Origin.
Summaries of viral safety information for biologically -sourced materials should be
provided.
 Source, history and generation of the cell substrate.
Information of 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, characterization and testing.

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 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

S 2.4 Controls of critical steps and intermediates

Critical steps: Tests and acceptance criteria, with justification including experimental data,
performed at critical steps of the manufacturing process to ensure that the process is
controlled.

Intermediates: Specifications and analytical procedure, if any, for intermediates isolated

during the process.

Reference ICH Guidelines : Q6A, Q6B,

Additionally for Biotech: Stability data supporting storage conditions.
Reference ICH Guidelines : Q5C

S 2.5 Process Validation and/or Evaluation

Process validation or evaluation studies for aseptic processing and sterilization.

Biotech
Sufficient information on validation and evaluation studies to demonstrate that the
manufacturing process (including reprocessing steps) is suitable for its intended
purpose and to substantiated selection of critical process controls (operational
parameters and in-process test) and their limits for critical manufacturing steps (e.g.
cell culture, harvesting, purification, and modification).
Information should include a description of the plan for conducting the study and the
results, analysis and conclusions from the executed study(ies). The validation of
corresponding assay and analytical methods should be cross-referenced or provided as
part of justifying the selection of critical process controls and limits.
For manufacturing steps, intended to remove or inactive viral contaminants, the
information from evaluation studies should be provided

Reference ICH Guidelines Q5A, Q5D, and Q6B

S 2.6 Manufacturing Process Development

NCE
Description and discussion of significant changes made to the manufacturing process
or manufacturing site of the drug substance used in producing non-clinical, clinical
scale-up, pilot and if available, production scale batches.

Reference ICH Guidelines : Q3A

Biotech
The developmental history of the manufacturing process, as described in 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. non-clinical or clinical

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 studies) including for example, changes to the process or 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, non clinical reference material) in relation to the change.

The significance of 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. A discussion of the data including a justification for selection
of the test 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) may also include non-clinical and clinical
studies in other modules of the submission should be included.

Reference ICH Guidelines : Q6B

S 3 Characterization

S 3.1 Elucidation of Structure and Characteristic

NCE :
Confirmation of structure based on e.g. synthetic route and spectral analysis.
Information on the potential for isomerism, the identification of stereochemistry, or
the potential for forming polymorph should also be included.

Reference ICH Guidelines : Q6A

Biotech:
Details on primary, secondary and higher-order structure and information on
biological activity, purity and immunochemical properties (when relevant).

Reference ICH Guidelines : Q6B

MaV, MiV, G:
Compendial requirement or equivalent information from the manufacturer.

S 3.2 Impurities
Information on impurities should be provided.

Reference ICH guidelines : Q3A, Q3C, Q5C, Q6A and Q6B

Generic :
Compendial requirement or equivalent information from the manufacturer.

S 4 Control of Drug Substance

Specification and justification of specification (s).
Summary of analytical procedure and validation.

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S 4.1 Specification
Detailed specification, tests and acceptance criteria for the drug substance should be
provided.

Reference ICH Guidelines NCE : Q6A

Biotech :
Specify source, including as appropriate species of animal, type of microorganism, etc.

Reference ICH Guidelines : Q6B

MaV, MiV, G :
Compendia specification are adequate. Indicate clearly whether the drug substance is
purchased based on specification with a certificate of analysis, or tested by applicant.

S 4.2 Analytical Procedures

The analytical procedure used for testing the drug substance should be provided in sufficient
detail to enable reproducible testing by another laboratory.

Reference ICH Guidelines : NCE : Q2A ; Biotech : Q6B

MaV, MiV, G :
Compendial requirement or equivalent information from the manufacturer

S 4.3 Validation of Analytical Procedures

Analytical validation information, including experimental data for the analytical procedure
used for testing the drug substance should be provided. Typical validation characteristics to
be considered are selectivity, precision (repeatability, intermediate precision and
reproducibility), accuracy, linearity, range, limit of quantitation, limit of detection,
robustness, and system suitability.

Reference ICH Guidelines : NCE : Q2A and Q2B ; Biotech : Q6B

MaV, MiV, G :
Required for non-compendial method only

S 4.4 Batch Analyses

Description of batches and results of batch analyses should be provided

Reference ICH Guidelines : NCE : Q3A, Q3C and Q6A ; Biotech : Q6B

S 4.5 Justification of Specification

Justification for the drug substance specification should be provided.

Reference ICH Guidelines : NCE : Q6A ; Biotech : Q6B

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S 5 Reference Standards or Materials
Quality information of Reference standard or material used for testing of substance should
be provided.

Reference ICH Guidelines : NCE : Q6A ; Biotech : Q6B

MaV, MiV, G :
Compendial requirement or equivalent information from the manufacturer

S 6 Container Closure System

NCE and Biotech :
A descriptions of the container closure systems should be provided, including the identity of
materials of construction of each primary packaging component, and each specifications.
The specifications should include description and identification (and critical dimensions
with drawings where appropriate). Non-compendial methods (with validations) should be
included where appropriate.

For non-functional secondary packaging components (e.g. those that do not provide
additional protection nor serve to deliver the product), 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.

S 7 Stability

Stability Summary and Conclusion

The types os 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 (R2), Q1B, and Q5C

Post-approval Stability Protocol and Stability Commitment

The post-approval stability protocol and stability commitment should be provided.

Reference ICH Guidelines : Q1A (R2) and Q5C

Stability Data
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 (R2), Q1B, Q2A, Q2B, and Q5C

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MaV, MiV, G:
Manufacturer stability data or equivalent information

P DRUG PRODUCT

P1 Description and Composition

A description of the drug product and its composition should be provided. The information
provided should include, for example :

 Description 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 : NCE : Q6A ; Biotech : Q6B

P2 Pharmaceutical Development

P 2.1 Information on Development Studies

NCE and Biotech:

The section of Pharmaceutical Development presents information and data on the
development studies conducted to establish that the dosage form, the formulation
manufacturing process, container closure system, microbiological attributes and usages
instruction 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 (clinical parameters) that may influence batch reproducibility, product
performance and
drug product quality. Supportive data and result from specific studies or published literature
may be included within or attached to the Pharmaceutical Development Section. Additional
supportive data may be referenced to the relevant non-clinical sections of the application.
Reference ICH Guidelines : NCE : Q6A; Biotech : Q6B

P 2.2 Component of Drug Product

P 2.2.1 Active Ingredients

NCE and Biotech:

The compatibility of the drug substances with excipients listed in Item 2.1 should be
discussed. Additionally, key physicochemical characteristics (e.g. Water content,
solubility, particle size distribution, polymorphic or solid state form) of the drug
substance, which may influence the performance of the drug product should be
discussed.

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MaV, MiV, G:
Literature data is sufficient.

P 2.2.2 Excipients
The choice of excipients listed in Item P 1, their concentration and characteristics which
influence the drug product performance, should be discussed relative to their respective
function.

P 2.3 Finished Product

P 2.3.1 Formulation Development

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 Item P 1 and P 2
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.

P 2.3.2 Overages
Any overages in the formulation(s) described in Item P 1 should be justified.

P 2.3.3 Physicochemical and Biological Properties

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 immunological
activity should be addressed.

P 2.4 Manufacturing Process Development

The selection and optimization of the manufacturing process described in Item P 3.2, in
particular its critical aspects, should be explained. Where relevant, the method of
sterilization should be explained and justified.
Differences between the manufacturing process(es) used to produce pivotal clinical batches
and the process described in Item P 3.2 that can influence the performance of the product
should be discussed.
Generics : refer to P.3.2.

P 2.5 Container Closure System

The suitability of the container closure system used for the storage, transportation (shipping)
and use of the drug product should be discussed as necessary. 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 contraction, and performance such as reproducibility of the dose
delivery from the device when present as part the drug product.

P 2.6 Microbiological Attributes

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

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P 2.7 Compatibility
The compatibility of the drug product or reconstitution diluents(s) or dosage devices, e.g.
precipitation of drug substance in solution, sorption on injection vessels and stability should
be addressed to provide appropriate and supportive information for the labeling.

MaV, MiV, G :
Literature data are acceptable

P3 Manufacture

P 3.1 Batch Formula

The formula with name and quantities of all ingredients (active and otherwise) including
substance(s) which are removed in the course of manufacture should be included:
 The actual quantities (g, kg, liters) etc. of ingredient should be stated.
 Overage: Supporting data and the reason for including the overage shall be enclosed.
 The total number of dosage unit per batch must stated.
 A description of all stages involved in the manufacture of the dosage form is required.
Reference ICH Guidelines : Biotech : Q6B

P 3.2 Manufacturing Process and Process Control

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.
 The full description of manufacturing process must sufficient details to cover the
essential point of each stage of manufacture.
 For sterile product the description includes preparation and sterilization of components
(i.e. Containers, closures, etc).

P 3.3 Controls of Critical Steps and Intermediates

Critical steps: Tests and acceptance criteria should be provided (with justification, including
experimental data) performed at the critical steps identified P3.3 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

P 3.4 Process Validation and/or Evaluation

Description, documentation, and result of the validation studies should be provided from
critical steps or critical assays used in the manufacturing process.
(e.g. Validation of the sterilization process or aseptic processing or filling).
Reference : NCE : Q6B, Biotech : Q6B

MaV, MiV, G :
ASEAN Guideline : on process validation

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P4 Control of Excipients

P 4.1 Specification
The specification for the excipients should be provided.
Reference ICH Guidelines : NCE : Q6A ; Biotech : Q6B

MaV, MiV, G :
Compendial requirements or equivalent information from the manufacturer

P 4.2 Analytical Procedures

The analytical procedure used for the testing of critical excipients i.e. substances which
affect stability and bioavailability of finished product (e.g. preservative, buffer components,
dissolution enhancer, stabilizer) should be provided.
Reference ICH Guidelines : NCE : Q2A ; Biotech : Q6B

MaV, MiV, G :
Compendial requirements or equivalent information from the manufacturer.

P 4.3. Excipients of Human and Animal Origin

For excipients of human or animal origin, provide information of sources (e.g gelatin,
enzyme, etc), specifications, description, viral safety data) regarding adventitious agents
(e.g., TSE, viruses, mycoplasma).

Reference ICH Guidelines : NCE : Q5A, Q5D ; Biotech : Q6B

MaV, G :
Use compendial requirements if available, otherwise the same requirements apply.

P 4.4 Novel Excipients

For excipient(s) used for the first time in a drug product or by a new route of administration,
full details of manufacture, characterization and controls, with cross references to
supporting safety data (nonclinical or clinical) should be provided

P 5 Control of Finished Product

Specification and justification of the specification, summary of the analytical procedure and
validation, and characterization of impurities.

P 5.1 Specification
The specification for the finished product should be provided.
Reference ICH Guidelines : NCE : Q6A; Biotech : Q6B

P 5.2 Analytical Procedures.

The analytical procedures use for the testing the finished product should be provided.

Reference ICH Guidelines : NCE : Q2A ; Biotech : Q6B

P 5.3 Validation of Analytical Procedures

Analytical validation information, including experimental data for the analytical procedures
use for the testing the finished product should be provided.

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ReferenceICH Guidelines : NCE : Q2A and Q2B; Biotech : Q6B

MaV, MiV. G :
Required for non-compendial method only however, verification for the applicability
of compendial method used is required.

Reference : ASEAN Guideline

P 5.4 Batch analyses

Description (including size, origin and use) and test result of all relevant batches e.g pre-
clinical, clinical pilot, scale-up, and if available production-scale batches) used to
establish specification and evaluate consistency in manufacturing should be provided.
Reference ICH Guidelines : NCE : Q3A, Q3C, and Q6A; Biotech : Q6B
Generics : refer to P.3.4.

MaV, MiV, G :
A tabulated summary of the batch analyses, with graphical representation where
appropriate, should be provided.

P 5.5 Characterization of Impurities

Information on the characterization of impurities should be provided, if not previously
provided in Item 1.3.2 Impurities.

Reference ICH Guidelines : NCE : Q3B and Q6A; Biotech : Q6B

MaV, MiV, G :
Compendial requirements or appropriate information from the manufacture.

P 5.6 Justification of Specification

Justification for the proposed finished product should be provided
Reference ICH Guidelines : NCE : Q3B and Q6A; Biotech : Q6B

MaV, MiV, G :
Compendial requirements or equivalent information from the manufacture.

P 6 Reference Standards or Materials

Requirement : Quality information and tabulated presentation of Reference standard or
materials used for testing of drug product should be included.
Reference : NCE : Q6A, Biotech : Q6B

MaV , MiV, G :
Compendial requirements or equivalent information from the manufacture.

P 7 Container closure system

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

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For non-functional secondary packaging components (e.g. those that do not provide
additional protection nor serve to deliver the product), only a brief description should be
provided. For functional secondary packaging components, additional information should
be provided.
Suitability information should be located in P 2

P 8 Product Stability
Evidence is required to demonstrate that product is stable, meets the finished product
specifications throughout its proposed shelf-life, that toxic decomposition products are not
produced in significant amount during this period, and that potency, efficacy of preservative
etc. are maintained.

Stability Summary and Conclusion

NCE and Biotech:
All criteria under ICH Guidelines are acceptable with the exception of real time storage
conditions which should be 300C, 70% RH. Provision of moisture protection of the
packaging should be taken into consideration.

Reference ICH Guidelines: Q1A (R2), Q1B, Q2A, Q2B and Q5C

MaV, G:
ASEAN Guideline on Stability Study

Post-approval stability protocol and stability commitment

The post-approval stability protocol and stability commitment should be provided.

References ICH Guidelines : NCE, Biotech : Q1A (R2) and Q5C

Generic :
ASEAN Guideline on Stability Study

Stability Data
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.

Reference : ASEAN Guideline on Stability Study, ASEAN Guideline on Validation of

Analytical Procedure

P 9 Product Interchangeability

This requirement applies to MaV, G.

The type of studies conducted, protocol used and the result of the studies should be
presented in the study report.
Type of studies conducted should refer to ASEAN (proposed) Bioavailability and
Bioequivalence requirement, Guideline for Bioavailability and Bioequivalence Studies or
WHO Manual for Drug Regulatory Authority.

Reference: - WHO, Regulatory Support Series No 5 ,"Bioequivalence Studies in Humans."

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 - ASEAN Guideline on Bioequivalence Study

Section D: Key Literature References

Key literature references should be provided, if applicable.

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