Guidelines on the details of the various categories of variations, on

(Information)

INFORMATION FROM EUROPEAN UNION INSTITUTIONS, BODIES, OFFICES

AND AGENCIES

EUROPEAN COMMISSION

Guidelines on the details of the various categories of variations, on the operation of the procedures

laid down in Chapters II, IIa, III and IV of Commission Regulation (EC) No 1234/2008 of

24 November 2008 concerning the examination of variations to the terms of marketing

authorisations for medicinal products for human use and veterinary medicinal products and on

the documentation to be submitted pursuant to those procedures

(2013/C 223/01)

Table of Contents

Page

INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

PROCEDURAL GUIDANCE ON THE HANDLING OF VARIATIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

2.1. Minor variations of Type IA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

2.1.1. Submission of Type IA notifications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

2.1.2. Type IA variations review for mutual recognition procedure . . . . . . . . . . . . . . . . . . . . . . . . . 5

2.1.3. Type IA variations review for purely national procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

2.1.4. Type IA variations review for centralised procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

2.2. Minor variations of Type IB . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

2.2.1. Submission of Type IB notifications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

2.2.2. Type IB variations review for mutual recognition procedure . . . . . . . . . . . . . . . . . . . . . . . . . 7

2.2.3. Type IB variations review for purely national procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

2.2.4. Type IB variations review for centralised procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

2.3. Major variations of Type II . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

2.3.1. Submission of Type II applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

2.3.2. Type II variations assessment for mutual recognition procedure . . . . . . . . . . . . . . . . . . . . . . . 9

2.3.3. Outcome of Type II variations assessment for mutual recognition procedure . . . . . . . . . . . . . 10

2.3.4. Type II variations assessment for purely national procedure . . . . . . . . . . . . . . . . . . . . . . . . . 11

2.3.5. Outcome of Type II variations assessment for purely national procedure . . . . . . . . . . . . . . . . 11

2.3.6. Type II variations assessment for centralised procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

2.8.2013 Official Journal of the European Union C 223/1

Page

2.3.7. Outcome of Type II variations assessment in centralised procedure . . . . . . . . . . . . . . . . . . . . 12

2.4. Extensions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

2.4.1. Submission of Extensions applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

2.4.2. Extension assessment for national procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

2.4.3. Extension assessment for centralised procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

2.5. Human influenza vaccines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

2.5.1. Submission of variations for annual update of human influenza vaccines applications . . . . . . 13

2.5.2. Variations assessment for mutual recognition procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

2.5.3. Variations assessment for purely national procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

2.5.4. Variations assessment in centralised procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

2.6. Urgent Safety Restrictions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

2.7. Statement of compliance under the Paediatric Regulation . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

PROCEDURAL GUIDANCE ON WORKSHARING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

3.1. Submission of variation(s) application under worksharing . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

3.2. Worksharing assessment not involving medicinal products authorised under the centralised

procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

3.3. Outcome of the worksharing assessment not involving medicinal products authorised under the

centralised procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

3.4. Worksharing assessment involving medicinal products authorised under the centralised

procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

3.5. Outcome of the worksharing assessment involving medicinal products authorised under the

centralised procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

ANNEX . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18

C 223/2 Official Journal of the European Union 2.8.2013

INTRODUCTION

Commission Regulation (EC) No 1234/2008 of 24 November

2008 concerning the examination of variations to the terms of

marketing authorisations for medicinal products for human use

and veterinary medicinal products (

) (‘the Variations Regu

lation’) governs the procedure for the variation of marketing

authorisations. It has been amended by Commission Regulation

(EU) No 712/2012 (

Article 4(1) of the Variations Regulation charges the

Commission with the task of drawing up guidelines on the

details of the various categories of variations, on the

operation of the procedures laid down in Chapters II, IIa, III

and IV of that Regulation as well as on the documentation to be

submitted pursuant to these procedures.

These guidelines apply to the variations of marketing authori

sations for medicinal products for human use and veterinary

medicinal products granted in accordance with Regulation (EC)

No 726/2004 of the European Parliament and of the Coun

cil (

), Directives 2001/82/EC (

) and 2001/83/EC (

) of the

European Parliament and of the Council, and Council

Directive 87/22/EEC (

). They are intended to facilitate the inter

pretation and application of the Variations Regulation. They

provide details on the application of the relevant procedures,

including a description of all the relevant steps from the

submission of an application for a variation to the final

outcome of the procedure on the application.

In addition, the Annex to these guidelines provides details of

the classification of variations into the following categories as

defined in Article 2 of the Variations Regulation: minor vari

ations of Type IA, minor variations of Type IB and major

variations of Type II and provides further details, where appro

priate, on the scientific data to be submitted for specific vari

ations and how this data should be documented. The Annex to

these guidelines will be regularly updated, taking into account

the recommendations provided in accordance with Article 5 of

the Variations Regulation as well as scientific and technical

progress.

Definitions relevant to these guidelines are provided in Directive

2001/82/EC, Directive 2001/83/EC, and Regulation (EC) No

726/2004 as well as in the Variations Regulation. In addition,

for the purpose of these guidelines, marketing authorisation

holders belonging to the same mother company or group of

companies and marketing authorisation holders having

concluded agreements or exercising concerted practices

concerning the placing on the market of the relevant

medicinal product have to be taken as the same marketing

authorisation holder (

) (‘holder’).

Reference in these guidelines to the ‘centralised procedure’ is to

be understood as the procedure for granting marketing auth

orisations set out in Regulation (EC) No 726/2004. Reference to

the ‘mutual recognition procedure’ is to be understood as the

procedure for granting marketing authorisations set out in

Directive 87/22/EEC, Articles 32 and 33 of Directive

2001/82/EC, and Articles 28 and 29 of Directive 2001/83/EC.

Marketing authorisations granted following a referral under

Articles 36, 37 and 38 of Directive 2001/82/EC or Articles

32, 33 and 34 of Directive 2001/83/EC that has led to

complete harmonisation are to be considered as marketing

authorisations granted under the mutual recognition

procedure also. Reference to the ‘purely national procedure’ is

to be understood as the procedure for granting marketing auth

orisations by a Member State in accordance with the acquis

outside the mutual recognition procedure.

Reference in this guideline to ‘Member States concerned’, in

accordance with Article 2(6) of the Variations Regulation, is

to be understood as each Member State whose competent

authority has granted a marketing authorisation for the

medicinal product in question. Reference to ‘concerned

Member States’ is to be understood as all Member States

concerned except the reference Member State. Reference to

‘national competent authority’ is to be understood as the

authority that has granted a marketing authorisation under a

purely national procedure.

Reference in these guidelines to the Agency means the European

Medicines Agency.

PROCEDURAL GUIDANCE ON THE HANDLING OF VARI

ATIONS

A marketing authorisation lays down the terms under which the

marketing of a medicinal product is authorised in the EU. A

marketing authorisation is composed of:

(i) a decision granting the marketing authorisation issued by

the relevant authority; and

(ii) a technical dossier with the data submitted by the applicant

in accordance with Article 12(3) to Article 14 of Directive

2001/82/EC and Annex I thereto, Article 8(3) to Article 11

of Directive 2001/83/EC and Annex I thereto, Articles 6(2)

and 31(2) of Regulation (EC) No 726/2004, or Article 7 of

Regulation (EC) No 1394/2007.

The Variations Regulation governs the procedures for the

amendment of the decision granting the marketing authori

sation and of the technical dossier.

However, in the case of medicinal products for human use, the

introduction of changes to the labelling or package leaflet that is

not connected with the summary of product characteristics is

not governed by the procedures of the Variations Regulation. In

accordance with Article 61(3) of Directive 2001/83/EC, these

changes are to be notified to the relevant competent authorities

and they may be implemented if the competent authority has

not objected within 90 days.

2.8.2013 Official Journal of the European Union C 223/3

(

) OJ L 334, 12.12.2008, p. 7.

(

) OJ L 209, 4.8.2012, p. 4.

(

) OJ L 136, 30.4.2004, p. 1.

(

) OJ L 311, 28.11.2001, p. 1.

(

) OJ L 311, 28.11.2001, p. 67.

(

) OJ L 15, 17.1.1987, p. 38.

(

) OJ C 229, 22.7.1998, p. 4.

These guidelines cover the following categories of variations,

defined in Article 2 of the Variations Regulation:

— Minor variations of Type IA

— Minor variations of Type IB

— Major variations of Type II

— Extensions

— Urgent safety restriction

The reference Member State, the national competent authority

or the Agency (

) is available to address any questions which

holders may have regarding a particular upcoming variation.

Where appropriate, a pre-submission discussion may be

organised with the reference Member State, the national

competent authority or the Agency in order to obtain further

regulatory and procedural advice.

It must be noticed that where a group of variations consists of

different types of variations, the group must be submitted and

will be handled according to the ‘highest’ variation type

included in the group. For instance, a group consisting of an

extension and a major variation of Type II will be handled as an

extension application; a group consisting of minor variations of

Type IB and Type IA will be handled as a Type IB notification.

Where reference is made in these guidelines to the submission

of variations’ notifications or applications, the number of copies

to be submitted will be made public for each type of procedure

by the Agency as regards the centralised procedure; by the

coordination groups established by Article 31 of Directive

2001/82/EC as regards veterinary medicinal products and

Article 27 of Directive 2001/83/EC as regards medicinal

products for human use (‘the coordination group’) as regards

the mutual recognition procedure, and by the national

competent authority as regards the purely national procedure.

The application form for variations to a marketing authorisation

for medicinal products (human and veterinary) is available at

http://ec.europa.eu/health/documents/eudralex/vol-2/index_en.

htm

Any information related to the implementation of a given

variation should be immediately provided by the holder upon

the request of the relevant authority.

2.1. Minor variations of Type IA

Hereby guidance is provided on the application of Articles 7, 8,

11, 13a, 13d, 13e, 14, 17, 23 and 24 of the Variations Regu

lation to minor variations of Type IA.

The Variations Regulation and the Annex to these guidelines set

out a list of changes to be considered as minor variations of

Type IA. Such minor variations do not require any prior

approval, but must be notified by the holder within 12

months following implementation (‘Do and Tell’ procedure).

However, certain minor variations of Type IA require

immediate notification after implementation, in order to

ensure the continuous supervision of the medicinal product.

The Annex to these guidelines clarifies the conditions which

must be met in order for a change to follow a Type IA notifi

cation procedure, and specifies which minor variations of Type

IA must be notified immediately following implementation.

2.1.1. Submission of Type IA notifications

Minor variations of Type IA do not require prior examination

by the authorities before they can be implemented by the

holder. However, at the latest within 12 months from the

date of the implementation, the holder must submit simulta

neously to all Member States concerned, to the national

competent authority, or to the Agency (as appropriate) a notifi

cation of the relevant variation(s). It is possible for a holder to

include a minor variation of Type IA which is not subject to

immediate notification in the submission of a minor variation

of Type IA for immediate notification or with any other vari

ation. The conditions laid down in Article 7(2)(a), 7(2)(b),

7(2)(c), 13d(2)(a), 13d(2)(b) or 13d(2)(c) of the Variations Regu

lation (as appropriate) should be fulfilled.

The holder may group several minor variations of Type IA

under a single notification, as established in Articles 7(2) and

13d(2) of the Variations Regulation. Specifically, two possi

bilities exist for the grouping of variations of Type IA:

(1) The holder may group several minor variations of Type IA

regarding the terms of one single marketing authorisation

provided that they are notified at the same time to the same

relevant authority.

(2) The holder may group one or more minor variations of

Type IA to the terms of several marketing authorisations

under a single notification provided that the variations are

the same for all marketing authorisations concerned and

they are notified at the same time to the same relevant

authority.

The 12 months deadline to notify minor variations of Type IA

allows holders to collect Type IA variations for their medicinal

products during a year. However, the notification of these vari

ations in a single submission is only possible where the

conditions for grouping apply (same variations for all

medicinal products concerned). Therefore, it may be the case

that the submission of variations implemented over a period of

12 months (so called ‘annual report’) requires several

submissions; e.g. one referring to a single minor variation of

Type IA, another referring to group of minor variations of Type

C 223/4 Official Journal of the European Union 2.8.2013

(

) In this context, where reference is made to ‘reference Member State’,

this applies to products approved via the mutual recognition

procedure; where reference is made to ‘national competent auth

ority’, this applies to products approved via purely national

procedure; and where reference is made to the Agency, this

applies to products approved via the centralised procedure.

IA to the terms of one marketing authorisation, and another

referring to group of the minor variations of Type IA to the

terms of several marketing authorisations.

The notification must contain the elements listed in Annex IV

to the Variations Regulation, presented as follows in accordance

with the appropriate headings and numbering of ‘The rules

governing medicinal products in the European Union’,

Volume 2B, Notice to applicants (‘EU-CTD’) format or the

Notice to applicants Volume 6B format (veterinary medicinal

products when EU-CTD format is not available):

— Cover letter.

— The completed EU variation application form (published in

the Notice to applicants), including the details of the

marketing authorisation(s) concerned, as well as a

description of all variations submitted together with their

date of implementation as applicable. Where a variation is

the consequence of, or related to, another variation, a

description of the relation between these variations should

be provided in the appropriate section of the application

form.

— Reference to the variation code as laid down in the Annex

to these guidelines, indicating that all conditions and docu

mentation requirements are met or, where applicable,

reference to a classification recommendation published in

accordance with Article 5 of the Variation Regulation used

for the relevant application.

— All documentation specified in the Annex to these guide

lines.

— In case that the variations affect the summary of product

characteristics, labelling or package leaflet: the revised

product information presented in the appropriate format,

as well as the relevant translations. Where the overall

design and readability of the outer and immediate

packaging or package leaflet is affected by the minor

variation of Type IA, mock-ups or specimens should be

provided to the reference Member State, the national

competent authority or the Agency.

For variations in the mutual recognition procedure, the

reference Member State should additionally receive the list of

dispatch dates indicating the Type IA Variation procedure

number, the dates on which the applications have been sent

to each Member State concerned and confirmation that the

relevant fees have been paid as required by the competent auth

orities concerned.

For variations in the purely national procedure confirmation

that the relevant fee has been paid as required by the national

competent authority.

For variations in the centralised procedure, the relevant fee for

the minor variation(s) of Type IA, as provided for in Council

Regulation (EC) No 297/95 (

), should be paid in accordance

with the Agency’s financial procedures.

For grouped minor variations of Type IA concerning several

marketing authorisations from the same holder in accordance

with Article 7 or 13d of the Variations Regulation, a common

cover letter and application form should be submitted together

with separate supportive documentation and revised product

information (if applicable) for each medicinal product

concerned. This will allow the relevant authorities to update

the dossier of each marketing authorisation included in the

group with the relevant amended or new information.

2.1.2. Type IA variations review for mutual recognition procedure

The reference Member State will review the Type IA notification

within 30 days following receipt.

By Day 30, the reference Member State will inform the holder

and concerned Member States of the outcome of its review. In

case the marketing authorisation requires any amendment to

the decision granting the marketing authorisation, all Member

States concerned will update the decision granting the

marketing authorisation within 6 months following the

receipt of the outcome of the review sent by the reference

Member State, provided that the documents necessary for the

amendment of the marketing authorisation have been submitted

to the Member States concerned.

Where one or several minor variations of Type IA are submitted

as part of one notification, the reference Member State will

inform the holder which variation(s) have been accepted or

rejected following its review. The marketing authorisation

holder must not implement the rejected variation(s).

While in the case of minor variations of Type IA, failure to

provide all necessary documentation in the application will not

necessarily lead to the immediate rejection of the variation if the

holder provides any missing documentation immediately upon

the request of the relevant authority, it should be highlighted

that a minor variation of Type IA may in specific circumstances

be rejected with the consequence that the holder must

immediately cease to apply already implemented variations

concerned.

2.1.3. Type IA variations review for purely national procedure

The national competent authority will review the Type IA

notification within 30 days following receipt.

By Day 30, the national competent authority will inform the

holder of the outcome of its review. In case the marketing

authorisation requires any amendment to the decision

granting the marketing authorisation, the national competent

authority will update the decision granting the marketing auth

orisation within 6 months following the date of information to

the holder of the outcome of the review, provided that the

documents necessary for the amendment of the marketing auth

orisation have been submitted to the national competent auth

ority.

Where one or several minor variations of Type IA are submitted

as part of one notification, the national competent authority

will inform the holder which variation(s) have been accepted

or rejected following its review.

2.8.2013 Official Journal of the European Union C 223/5

(

) OJ L 35, 15.2.1995, p. 1.

While in the case of minor variations of Type IA, failure to

provide all necessary documentation in the application will not

necessarily lead to the immediate rejection of the variation if the

holder provides any missing documentation immediately on

request of the relevant authority, it should be highlighted that

a minor variation of Type IA may in specific circumstances be

rejected with the consequence that the holder must immediately

cease to apply already implemented variations concerned.

2.1.4. Type IA variations review for centralised procedure

The Agency will review the Type IA notification within 30 days

following receipt, without involvement of the rapporteur for the

product concerned appointed by the Committee for Medicinal

Products for Human Use or by the Committee for Veterinary

Medicinal Products. However, a copy of the Type IA notification

will be submitted by the Agency to the rapporteur for

information.

By Day 30, the Agency will inform the holder of the outcome

of its review. Where the outcome of the assessment is

favourable and the Commission decision granting the

marketing authorisation requires any amendment, the Agency

will inform the Commission and transmit the revised documen

tation. In such case, the Commission will update the decision

granting the marketing authorisation at the latest within 12

months.

Where one or several minor variations of Type IA are submitted

as part of one notification, the Agency will clearly inform the

holder which variation(s) have been accepted or rejected

following its review.

While in the case of minor variations of Type IA, failure to

provide all necessary documentation in the application will not

necessarily lead to the immediate rejection of the variation if the

holder provides any missing documentation immediately on

request of the Agency, it should be highlighted that a minor

variation of Type IA may in specific circumstances be rejected

with the consequence that the holder must cease to apply

already implemented variations concerned.

2.2. Minor variations of Type IB

Hereby guidance is provided on the application of Articles 7, 9,

11, 13b, 13d, 13e, 15, 17, 23 and 24 of the Variations Regu

lation to minor variations of Type IB.

The Variations Regulation and the Annex to these guidelines set

out a list of changes to be considered as minor variations of

Type IB. Such minor variations must be notified before imple

mentation. The holder must wait a period of 30 days to ensure

that the notification is deemed acceptable by the relevant auth

orities before implementing the change (‘Tell, Wait and Do’

procedure).

2.2.1. Submission of Type IB notifications

Notifications for minor variations of Type IB must be submitted

by the holder simultaneously to all Member States concerned, to

the national competent authority or to the Agency (as appro

priate).

Holders may group under a single notification the submission

of several minor variations of Type IB regarding the same

marketing authorisation, or group the submission of one or

more minor variation(s) of Type IB with other minor variations

regarding the same marketing authorisation, provided that this

corresponds to one of the cases listed in Annex III of the

Variations Regulation, or when this has been agreed previously

with the reference Member State, the national competent,

authority or the Agency (as appropriate).

In addition, for medicinal products authorised under purely

national procedures, the holder may also group several minor

variations of Type IB affecting several marketing authorisations

in a single Member State, or one or more minor variation(s) of

Type IB with other minor variations affecting several marketing

authorisations in a single Member State provided that (i) the

variations are the same for all the marketing authorisations

concerned, (ii) the variations are submitted at the same time

to the national competent authority, and (iii) the national

competent authority has previously agreed to the grouping.

Furthermore, where the same minor variation of Type IB or the

same group of minor variations (as explained above) affect

several marketing authorisations owned by the same holder,

the holder may submit these variations as one application for

‘worksharing’ (see section 3 on ‘worksharing’).

The notification must contain the elements listed in Annex IV

to the Variations Regulation, presented as follows in accordance

with the appropriate headings and numbering of the EU-CTD

format or the Notice to applicants Volume 6B format (vet

erinary medicinal products when EU-CTD format is not avail

able):

— Cover letter.

— The completed EU variation application form (published in

the Notice to applicants), including the details of the

marketing authorisations(s) concerned. Where a variation

is the consequence of or related to another variation, a

description of the relation between these variations should

be provided in the appropriate section of the application

form. Where a variation is considered unclassified, a

detailed justification for its submission as a Type IB notifi

cation must be included.

— Reference to the variation code as laid down in the Annex

to these guidelines, indicating that all conditions and docu

mentation requirements are met or, where applicable,

reference to a classification recommendation published in

accordance with Article 5 of the Variation Regulation used

for the relevant application.

— Relevant documentation in support of the proposed

variation including any documentation specified in the

Annex to these guidelines.

C 223/6 Official Journal of the European Union 2.8.2013

— For variations requested by the competent authority

resulting from new data submitted, e.g. pursuant to post

authorisation conditions or in the framework of pharmaco

vigilance obligations, a copy of the request should be

annexed to the cover letter.

— In case that the variations affect the summary of product

characteristics, labelling or package leaflet: the revised

product information presented in the appropriate format,

as well as the relevant translations. Where the overall

design and readability of the outer and immediate

packaging or package leaflet is affected by the minor

variation of Type IB, mock-ups or specimens should be

provided to the reference Member State, the national

competent authority or the Agency.

For variations in the mutual recognition procedure, the

reference Member State should additionally receive the list of

dispatch dates indicating the Type IB Variation procedure

number, the dates on which the applications have been sent

to each Member States concerned and confirmation that the

relevant fees have been paid as required by the competent auth

orities concerned.

For variations in the purely national procedure confirmation

that the relevant fee has been paid as required by the national

competent authority.

For variations in the centralised procedure, the relevant fee for

the minor variation(s) of Type IB, as provided for in Council

Regulation (EC) No 297/95, should be paid in accordance with

the Agency’s financial procedures.

2.2.2. Type IB variations review for mutual recognition procedure

Upon receipt of a Type IB notification, the notification will be

handled as follows:

The reference Member State will check within 7 calendar days

whether the proposed change can be considered a minor

variation of Type IB, and whether the notification is correct

and complete (‘validation’) before the start of the evaluation

procedure.

When the proposed variation is not considered a minor

variation of Type IB following the Annex to these guidelines

or has not been classified as a minor variation of Type IB in a

recommendation pursuant to Article 5 of the Variations Regu

lation, and the reference Member State is of the opinion that it

may have a significant impact on the quality, safety or efficacy

of the medicinal product, the reference Member State will

inform the concerned Member States and the holder immedi

ately.

If the concerned Member States do not disagree within further 7

calendar days, the holder will be requested to revise its appli

cation and to complete it in accordance with the requirements

for a major variation of Type II application. Following receipt of

the valid revised variation application, a Type II assessment

procedure will be initiated (see section 2.3.2).

If the concerned Member States disagree with the reference

Member State, the reference Member State must take the final

decision on the classification of the proposed variation having

taken into account the comments received.

When the reference Member State is of the opinion that the

proposed variation can be considered a minor variation of Type

IB, the holder will be informed of the outcome of the validation

and of the start date of the procedure.

Within 30 days following the acknowledgement of receipt of a

valid notification, the reference Member State will notify the

holder of the outcome of the procedure. If the reference

Member State has not sent the holder its opinion on the notifi

cation within 30 days following the acknowledgement of

receipt of a valid notification, the notification will be deemed

acceptable.

In case of an unfavourable outcome, the holder may amend the

notification within 30 days to take due account of the grounds

for the non-acceptance of the variation. If the holder does not

amend the notification within 30 days as requested, the

variation will be deemed rejected by all concerned Member

States.

Within 30 days of receipt of the amended notification, the

reference Member State will inform the holder of its final

acceptance or rejection of the variation(s) (including the

grounds for the unfavourable outcome). Concerned Member

States will be informed accordingly.

Where a group of minor variations were submitted as part of

one notification, the reference Member State will inform the

holder and the concerned Member States which variation(s)

have been accepted or rejected following its review.

Where necessary, the relevant authorities will update the

marketing authorisation within 6 months following closure of

the procedure by the reference Member State, provided that the

documents necessary for the amendment of the marketing auth

orisation have been submitted to the Member States concerned.

However, the accepted minor variations of Type IB variation

may be implemented without awaiting the update of the

marketing authorisation.

2.2.3. Type IB variations review for purely national procedure

Upon receipt of a Type IB notification, the notification will be

handled as follows:

The national competent authority will check whether the

proposed change can be considered a minor variation of Type

IB, and whether the notification is correct and complete (‘vali

dation’) before the start of the evaluation procedure.

When the proposed variation is not considered a minor

variation of Type IB following the Annex to these guidelines

or has not been classified as a minor variation of Type IB in a

2.8.2013 Official Journal of the European Union C 223/7

recommendation pursuant to Article 5 of the Variations Regu

lation, and the national competent authority is of the opinion

that it may have a significant impact on the quality, safety or

efficacy of the medicinal product, the holder will be requested

to revise its application and to complete it in accordance with

the requirements for a major variation of Type II application.

Following receipt of the valid revised variation application, a

Type II assessment procedure will be initiated (see section

2.3.4).

When the national competent authority is of the opinion that

the proposed variation can be considered a minor variation of

Type IB, the holder will be informed of the outcome of the

validation and of the start date of the procedure.

Within 30 days following the acknowledgement of receipt of a

valid notification, the national competent authority will notify

the holder of the outcome of the procedure. If the national

competent authority has not sent the holder its opinion on

the notification within 30 days following the acknowledgement

of receipt of a valid notification, the notification will be deemed

acceptable.

In case of an unfavourable outcome, the holder may amend the

notification within 30 days to take due account of the grounds

for the non-acceptance of the variation. If the holder does not

amend the notification within 30 days as requested, the

variation will be deemed rejected by the national competent

authority.

Within 30 days of receipt of the amended notification, the

national competent authority will inform the holder of its

final acceptance or rejection of the variation(s) (including the

grounds for the unfavourable outcome).

Where a group of minor variations were submitted as part of

one notification, the national competent authority will inform

the holder which variation(s) have been accepted or rejected

following its review.

Where necessary, the national competent authority will update

the marketing authorisation within 6 months following closure

of the procedure, provided that the documents necessary for the

amendment of the marketing authorisation have been submitted

to the national competent authority. However, the accepted

minor variations of Type IB may be implemented without

awaiting the update of the marketing authorisation.

2.2.4. Type IB variations review for centralised procedure

Upon receipt of a Type IB notification, the Agency will handle

the notification as follows:

The Agency will check within 7 calendar days whether the

proposed change can be considered a minor variation of Type

IB, and whether the notification is correct and complete (‘vali

dation’) before the start of the evaluation procedure.

When the proposed variation is not considered a minor

variation of Type IB following the Annex to these guidelines

or has not been classified as a minor variation of Type IB in a

recommendation pursuant to Article 5 of the Variations Regu

lation, and the Agency is of the opinion that it may have a

significant impact on the quality, safety or efficacy of the

medicinal product, the holder will be requested to revise its

application and to complete it in accordance with the

requirements for a major variation of Type II application.

Following receipt of the valid revised variation application, a

Type II assessment procedure will be initiated (see section

2.3.6).

When the Agency is of the opinion that the proposed variation

can be considered a minor variation of Type IB, the holder will

be informed of the outcome of the validation and of the start

date of the procedure.

The rapporteur will be involved in the review of the Type IB

notification.

Within 30 days following the acknowledgement of receipt of a

valid notification, the Agency will notify the holder of the

outcome of the procedure. If the Agency has not sent the

holder its opinion on the notification within 30 days

following the acknowledgement of receipt of a valid notifi

cation, the notification will be deemed acceptable.

In case of an unfavourable outcome, the holder may amend the

notification within 30 days to take due account of the grounds

for the non-acceptance of the variation. If the holder does not

amend the notification within 30 days as requested, the notifi

cation will be rejected.

Within 30 days of receipt of the amended notification, the

Agency will inform the holder of its final acceptance or

rejection of the variation(s) (including the grounds for the unfa

vourable outcome).

Where a group of minor variations are submitted as part of one

notification, the Agency will clearly inform the holder which

variation(s) have been accepted or rejected following its review.

Where the opinion of the Agency is positive and the variation(s)

affect(s) the terms of the Commission decision granting the

marketing authorisation, the Agency will inform the

Commission accordingly and transmit the relevant documen

tation. Where necessary, the Commission will update the

marketing authorisation at the latest within 12 months.

However, the accepted minor variation(s) of Type IB may be

implemented without awaiting the update of the Commission

decision granting the marketing authorisation and the agreed

change(s) will be included in the annexes of any subsequent

Regulatory Procedure.

2.3. Major variations of Type II

Hereby guidance is provided on the application of Articles 7,

10, 11, 13, 13c, 13d, 13e, 16, 17, 23 and 24 of the Variations

Regulation to major variations of Type II.

C 223/8 Official Journal of the European Union 2.8.2013

The Variations Regulation and the Annex to these guidelines set

out a list of changes to be considered as major variations of

Type II. Such major variations require approval of the relevant

competent authority before implementation.

2.3.1. Submission of Type II applications

Notifications for major variations of Type II must be submitted

by the holder simultaneously to all Member States concerned, to

the national competent authority or to the Agency (as appro

priate).

Holders may group under a single notification the submission

of several major variations of Type II regarding the same

marketing authorisation, or group the submission of one or

more major variation(s) of Type II with other minor variations

regarding the same marketing authorisation, provided that this

corresponds to one of the cases listed in Annex III of the

Variations Regulation, or when this has been agreed previously

with the reference Member State, the national competent,

authority or the Agency (as appropriate).

In addition, for medicinal products authorised under purely

national procedures, the holder may also group several major

variations of Type II affecting several marketing authorisations

in a single Member State, or one or more major variation(s) of

Type II with other minor variations affecting several marketing

authorisations in a single Member State, provided that (i) the

variations are the same for all the marketing authorisations

concerned, (ii) the variations are submitted at the same time

to the national competent authority, and (iii) the national

competent authority has previously agreed to the grouping.

Furthermore, where the same major variation of Type II or the

same group of variations (as explained above) affect several

marketing authorisations owned by the same holder, the

holder may submit these variations as one application for

‘worksharing’ (see section 3 on ‘worksharing’).

The application must contain the elements listed in Annex IV to

the Variations Regulation, presented as follows in accordance

with the appropriate headings and numbering of the EU-CTD

format or the Notice to applicants Volume 6B format (vet

erinary medicinal products when the EU-CTD format is not

available):

— Cover letter.

— The completed EU variation application form (published in

the Notice to Applicants), including the details of the

marketing authorisation(s) concerned. Where a variation is

the consequence of or related to another variation, a

description of the relation between these variations should

be provided in the appropriate section of the application

form.

— Reference to the variation code as laid down in the Annex

to these guidelines, indicating that all conditions and docu

mentation requirements are met or, where applicable,

reference to a classification recommendation published in

accordance with Article 5 of the Variation Regulation used

for the relevant application.

— Supporting data relating to the proposed variation(s).

— Update or Addendum to quality summaries, non-clinical

overviews and clinical overviews (or expert reports for

veterinary medicinal products) as relevant. When non-

clinical or clinical study reports are submitted, even if

only one, their relevant summary(ies) should be included

in Module 2.

— For variations requested by the competent authority

resulting from new data submitted, e.g. pursuant to post

authorisation conditions or in the framework of pharmaco

vigilance obligations, a copy of the request should be

annexed to the cover letter.

— In case that the variations affect the summary of product

characteristics, labelling or package leaflet, the revised

product information presented in the appropriate format,

as well as the relevant translations. Where the overall

design and readability of the outer and immediate

packaging or package leaflet is affected by the major

variation of Type II, mock-ups or specimens should be

provided to the reference Member State, the national

competent authority or the Agency.

For variations in the mutual recognition procedure, the

reference Member State should additionally receive the list of

dispatch dates indicating the Type II Variation procedure

number, the dates on which the applications have been sent

to each Member State concerned and confirmation that the

relevant fee has been paid as required by the competent auth

orities concerned.

For variations in the purely national procedure confirmation

that the relevant fee has been paid as required by the national

competent authority.

For variations in the centralised procedure, the relevant fee for

the Type II variation(s), as provided for in Council Regulation

(EC) No 297/95, should be paid in accordance with the

Agency’s financial procedures.

2.3.2. Type II variations assessment for mutual recognition procedure

Upon receipt of a Type II application, the reference Member

State will handle the application as follows:

If the application has been submitted simultaneously to all the

Member States concerned and contains the elements listed in

point 2.3.1, the reference Member State will acknowledge

receipt of a valid application of a major variation of Type II.

The procedure starts from the date of acknowledgement of the

receipt of a valid application by the reference Member State.

The holder and the concerned Member States will be informed

of the timetable at the start of the procedure.

2.8.2013 Official Journal of the European Union C 223/9

As a general rule, for major variations of Type II, a 60-day

evaluation period will apply. This period may be reduced by

the reference Member State having regard to the urgency of the

matter, particularly for safety issues, or may be extended by the

reference Member State to 90 days for variations listed in Part I

of Annex V or for grouping of variations in accordance with

Article 7(2)(c) of the Variations Regulation. For variations for

veterinary medicinal products listed in Part 2 of Annex V of the

Variations Regulation a 90-day period will apply.

The reference Member State will prepare a draft assessment

report and a decision on the application according to the

communicated timetable and will circulate them to the

concerned Member States for comments as well as to the

holder for information. The concerned Member States will

send to the reference Member State their comments within

the deadlines set out in the timetable.

Within the evaluation period, the reference Member State may

request the marketing authorisation holder to provide supple

mentary information. The request for supplementary

information will be sent to the holder together with a

timetable stating the date by when the holder should submit

the requested data and where appropriate the extended

evaluation period. In general, a suspension of 1 month will

typically apply. For longer suspension the holder should send

a justified request to the reference Member State for agreement.

The procedure will be suspended until the receipt of the supple

mentary information. The evaluation of responses may take up

to 30 or 60 days depending on the complexity and amount of

data requested to the holder.

After receipt of the holder’s response, the reference Member

State will finalise the draft assessment report and the decision

on the application and will circulate them to the concerned

Member States for comments as well as to the holder for

information.

2.3.3. Outcome of Type II variations assessment for mutual recog

nition procedure

By the end of the evaluation period, the reference Member State

will finalise and submit the assessment report and its decision

on the application to the concerned Member States.

Within 30 days following receipt of the assessment report and

the decision, the concerned Member States will recognise the

decision and inform the reference Member State accordingly,

unless a potential serious risk to public health or a potential

serious risk to human or animal health or to the environment

(in the case of veterinary medicinal products) is identified that

prevents a Member State from recognising the decision of the

reference Member State. The Member State that, within 30 days

following receipt of the assessment report and the decision of

the reference Member State, identifies such a potential serious

risk must inform the reference Member State and give a detailed

statement of the reasons for its position.

The reference Member State will then refer the application to

the corresponding coordination group for application of

Article 33(3), (4) and (5) of Directive 2001/82/EC or

Article 29(3), (4) and (5) of Directive 2001/83/EC to the

matter of disagreement and will inform the holder and the

concerned Member States accordingly. The holder is not

entitled to trigger a referral.

Where an application concerning a grouping of variations that

includes at least a variation Type II is referred to the coor

dination group, the decision on the variations not subject to

the referral will be suspended until the referral procedure has

concluded (including, where relevant, the referral to the

Committee for Medicinal Products for Human Use under

Articles 32 to 34 of Directive 2001/83/EC, or the Committee

for Veterinary Medicinal Products pursuant to Articles 36 to 38

of Directive 2001/82/EC). However, only the variation(s) in

respect of which a potential serious risk to human or animal

health or to the environment has been identified will be

discussed by the coordination group and eventually by the

Committee for Medicinal Products for Human use or the

Committee for Veterinary Medicinal Products, not the whole

group.

The reference Member State will inform the concerned Member

States and the holder about the approval or rejection of the

variation(s) (including the grounds for the unfavourable

outcome). Where several Type II variations, or a group of

Type II variation(s) with other minor variations have been

submitted as one application, the reference Member State will

inform the holder and the concerned Member States which

variation(s) have been accepted or rejected. The holder may

withdraw single variations from the grouped application

during the procedure (prior to the finalisation of the assessment

of the reference Member State).

After a positive decision is communicated regarding variations

with changes to the summary of product characteristics,

labelling or package leaflet, the holder should submit, within

7 days, translations of the product information texts to all

Member States concerned.

After approval of the variation(s), the competent authorities of

the Member States concerned will, where necessary, amend the

marketing authorisation to reflect the variation(s) within 2

months, provided that the documents necessary for the

amendment of the marketing authorisation have been

submitted to the Member States concerned.

The accepted major variation(s) of Type II can be implemented

30 days after the holder has been informed about the

acceptance of the variation(s) by the reference Member State,

provided that the necessary documents to amend the marketing

authorisation have been submitted to the Member State

concerned. In those cases where the application has been the

object of a referral, the variation(s) must not be implemented

until the referral procedure has concluded that the variation(s) is

accepted. However, the variations in the group not subject to

the referral may be implemented if so indicated by the reference

Member State.

Variations related to safety issues must be implemented within a

time-frame agreed between the reference Member State and the

holder.

C 223/10 Official Journal of the European Union 2.8.2013

2.3.4. Type II variations assessment for purely national procedure

Upon receipt of a Type II application, the national competent

authority will handle the application as follows:

If the application contains the elements listed in point 2.3.1, the

national competent authority will acknowledge receipt of a valid

application of a major variation of Type II. The procedure starts

from the date of acknowledgement of the receipt of a valid

application. The holder will be informed of the timetable at

the start of the procedure.

As a general rule, for major variations of Type II, a 60-day

evaluation timetable will apply. This period may be reduced

by the national competent authority having regard to the

urgency of the matter, particularly for safety issues, or may

be extended to 90 days for variations listed in Part I of

Annex V or for grouping of variations in accordance with

Article 13d(2)(c) of the Variations Regulation. For variations

for veterinary medicinal products listed in Part 2 of Annex V

of the Variations Regulation a 90-day timetable will apply.

Within the evaluation period, the national competent authority

may request the holder to provide supplementary information.

The request for supplementary information will be sent to the

holder together with a timetable stating the date by when the

holder should submit the requested data and where appropriate

the extended evaluation period.

The procedure will be suspended until the receipt of the supple

mentary information. As a general rule, a suspension of 1

month will apply. For longer suspension the holder should

send a justified request to the national competent authority

for agreement.

The evaluation of responses may take up to 30 or 60 days

depending on the complexity and amount of data requested

to the holder.

2.3.5. Outcome of Type II variations assessment for purely national

procedure

By the end of the evaluation period, the national competent

authority will finalise the evaluation including its decision on

the application and inform the holder about the approval or

rejection of the variation(s) (including the grounds for the unfa

vourable outcome).

Where several Type II variations, or a group of Type II vari

ation(s) with other minor variations have been submitted as one

application, the national competent authority will inform the

holder which variation(s) have been accepted or rejected. The

holder may withdraw single variations from the grouped appli

cation during the procedure (prior to the finalisation of the

assessment by the national competent authority).

After approval of the variation(s), the national competent auth

orities will, where necessary, amend the marketing authori

sation(s) to reflect the variation(s) within 2 months provided

that the documents necessary for the amendment of the

marketing authorisation have been submitted to the national

competent authority.

The accepted major variation(s) of Type II can be implemented

after the holder has been informed about the acceptance of the

variation(s) by the national competent authority, provided that

the necessary documents to amend the marketing authori

sation(s) have been submitted.

Variations related to safety issues must be implemented within a

time-frame agreed between the national competent authority

and the holder.

2.3.6. Type II variations assessment for centralised procedure

Upon receipt of a Type II application, the Agency will handle

the application as follows:

If the application submitted to the Agency contains the

elements listed in point 2.3.1, the Agency will acknowledge

receipt of a valid application of a major variation of Type II.

By the date of acknowledgement of the receipt of a valid appli

cation, the Agency will start the procedure. The marketing auth

orisation holder will be informed of the adopted timetable at

the start of the procedure.

As a general rule, for major variations of Type II, a 60-day

evaluation timetable will apply. This period may be reduced

by the Agency having regard to the urgency of the matter,

particularly for safety issues, or may be extended by the

Agency to 90 days for variations listed in Part I of Annex V

or for grouping of variations in accordance with Articles 7(2)(c)

of the Variations Regulation. For variations for veterinary

medicinal products listed in Part 2 of Annex V of the Variations

Regulation a 90-day timetable will apply.

Within the evaluation period, the Committee for Medicinal

Products for Human Use or the Committee for Veterinary

Medicinal Products may request supplementary information.

The request for supplementary information or follow-on

request will be sent to the holder together with the timetable

stating the date by when the holder should submit the requested

data and where appropriate the extended evaluation period.

The procedure will be suspended until the receipt of the supple

mentary information. In general, a suspension of up to 1 month

will typically apply. For suspension longer than 1 month the

holder should send a justified request to the Agency for

agreement by the corresponding Committee. For any follow-

on request for supplementary information, an additional

procedural suspension of up to 1 month will be applied in

general; a maximum of 2 months may be applied when

justified.

The Committee assessment of responses may take up to 30 or

60 days depending on the complexity and amount of data to be

requested to the marketing authorisation holder.

An oral explanation to the Committee for Medicinal Products

for Human Use or the Committee for Veterinary Medicinal

Products may be held at the request of the Committee or the

holder, where appropriate.

2.8.2013 Official Journal of the European Union C 223/11

2.3.7. Outcome of Type II variations assessment in centralised

procedure

Upon adoption of an opinion of the Committee for Medicinal

Products for Human Use or the Committee for Veterinary

Medicinal Products, the Agency will inform the marketing auth

orisation holder within 15 days as to whether the opinion is

favourable or unfavourable (including the grounds for the unfa

vourable outcome).

Where several Type II variations, or a group of Type II vari

ation(s) with other minor variations have been submitted as one

application, the Agency will issue an opinion reflecting the final

outcome of the procedure. Such opinion will also list any vari

ations which are not considered approvable. The holder may

withdraw single variations from the grouped application during

the procedure (prior to the finalisation of the opinion of the

Agency).

The re-examination procedure set-out in Articles 9(2) and 34(2)

of Regulation (EC) No 726/2004 also applies to the opinions

adopted for major variations of Type II applications.

Where the final opinion of the Agency is favourable and the

variation(s) affects the terms of the Commission decision

granting the marketing authorisation, the Agency will transmit

to the Commission its opinion and the grounds for its opinion

as well as the necessary documents to amend the marketing

authorisation.

Upon receipt of the final opinion and the relevant information,

the Commission will, where necessary, amend the marketing

authorisation within 2 months in the following cases:

(i) variations related to the addition of a new therapeutic

indication or to the modification of an existing one;

(ii) variations related to the addition of a new contraindi

cation;

(iii) variations related to a change in posology;

(iv) variations related to the addition of a non-food producing

target species or the modification of an existing one for

veterinary medicinal products;

(v) variations concerning the replacement or addition of a

serotype, strain, antigen or combination of serotypes,

strains or antigens for a veterinary vaccine;

(vi) variations related to changes to the active substance of a

seasonal, pre-pandemic or pandemic vaccine against

human influenza;

(vii) variations related to changes to the withdrawal period for

a veterinary medicinal product;

(viii) other type II variations that are intended to implement

changes to the decision granting the marketing authori

sation due to a significant public health concern or

significant animal health or environmental concern in

the case of veterinary medicinal products.

In the case of other variations, the Commission will, where

necessary, amend the decision granting the marketing authori

sation at the latest within 12 months.

The approved major variation(s) of Type II requiring

amendment of the Commission decision granting the

marketing authorisation within 2 months may only be imple

mented once the holder has been informed by the Commission

accordingly. Where amendment of the decision granting the

marketing authorisation is not required within 2 months, or

where the approved variation(s) does not affect the terms of

the Commission decision granting the marketing authorisation,

the variation(s) may be implemented once the holder has been

informed by the Agency that its opinion is favourable.

Variations related to safety issues must be implemented within a

time-frame agreed between the Commission and the holder.

2.4. Extensions

Annex I of the Variations Regulation sets out a list of changes

to be considered as extensions. As established in Article 19 of

the Variations Regulation, such applications will be evaluated in

accordance with the same procedure as for the granting of the

initial marketing authorisation to which it relates. The extension

can either be granted as a new marketing authorisation or will

be included in the initial marketing authorisation to which it

relates.

2.4.1. Submission of Extensions applications

Extension applications must be submitted to all Member States

concerned, to the national competent authority, or to the

Agency (as appropriate).

Holders may group under a single notification the submission

of several extensions, or one or more extensions with one or

more other variations, regarding the same marketing authori

sation provided that this corresponds to one of the cases listed

in Annex III of the Variations Regulation, or when this has been

agreed previously with the reference Member State, the national

competent, authority or the Agency (as appropriate). However,

no worksharing of extensions applications is foreseen in the

Variations Regulation.

The application must be presented as follows, in accordance

with the appropriate headings and numbering of the EU-CTD

format or the Notice to applicants Volume 6B format (vet

erinary medicinal products when the EU-CTD format is not

available):

— Cover letter.

— The completed EU application form (published in the Notice

To Applicants)

— Supporting data relating to the proposed extension. Some

guidance on the appropriate additional studies required for

extension applications is available in Appendix IV to

Chapter 1 of Volume 2A or 6A of the Notice to applicants.

— A full Module 1 (Part 1 for veterinary medicinal products)

should be provided, with justifications for absence of data or

documents included in the relevant section(s) of Module 1

or Part 1.

C 223/12 Official Journal of the European Union 2.8.2013

— Update or Addendum to quality summaries, non-clinical

overviews and clinical overviews (or expert reports for

veterinary medicinal products) as relevant. When non-

clinical or clinical study reports are submitted, even if

only one, their relevant summary(ies) should be included

in Module 2.

— In case that the extension affects the summary of product

characteristics, labelling or package leaflet: the revised

product information, presented in the appropriate format.

For extension applications in the mutual recognition procedure,

the reference Member State should additionally receive the list

of dispatch dates indicating the procedure number, the dates on

which the applications have been sent to each Member State

concerned and confirmation that the relevant fees have been

paid as required by the competent authorities concerned.

For extension applications in the purely national procedure

confirmation that the relevant fee has been paid as required

by the national competent authority.

For extension applications in the centralise procedure, the

relevant fee for the extension(s), as provided for in Council

Regulation (EC) No 297/95, should be paid in accordance

with the Agency’s financial procedures.

2.4.2. Extension assessment for national procedure

Upon receipt of an extension application under the mutual

recognition or the purely national procedure, it will be

handled as an initial marketing authorisation application in

accordance with Directive 2001/82/EC or Directive

2001/83/EC.

2.4.3. Extension assessment for centralised procedure

Upon receipt of an extension application, the Agency will

handle the application as for an initial marketing authorisation

application in accordance with Regulation (EC) No 726/2004.

2.5. Human influenza vaccines

Hereby guidance is provided on the application of Articles 12,

13f and 18 of the Variations Regulation to the annual update of

human influenza vaccines.

Because of the specificities inherent in the manufacturing of

human influenza vaccines, a special ‘fast track’ variation

procedure is applicable for the annual change in active

substance for the purpose of the annual update of a human

influenza vaccine in order to meet the EU recommendation for

human influenza virus strain(s) vaccine composition for the

coming season. In addition, a special urgent procedure is

foreseen in Article 21 of the Variations Regulation for cases

of pandemic situation.

Any other variations to human influenza vaccines follow the

variation procedures foreseen in other sections of these Guide

lines.

The ‘fast track’ procedure consists of two steps. The first step

concerns the assessment of the administrative and quality data

elements (summary of product characteristics, labelling and

package leaflet, and the chemical, pharmaceutical and biological

documentation). The second step concerns the assessment of

additional data where necessary.

Marketing authorisation holders are advised to discuss the

annual update submissions in advance with the reference

Member State, the national competent authority or the Agency.

2.5.1. Submission of variations for annual update of human

influenza vaccines applications

Variations concerning changes to the active substance for the

annual update of human influenza vaccines applications must

be submitted to the reference Member State and to all

concerned Member States, to the national competent authority

or to the Agency (as appropriate).

The application must be presented in accordance with the

appropriate headings and numbering of the EU-CTD format:

— Cover letter.

— The completed EU application form (published in the Notice

to applicants)

— Update or Addendum to quality summaries, non-clinical

overviews and clinical overviews as relevant. When non-

clinical or clinical study reports are submitted, even if

only one, their relevant summary(ies) should be included

in Module 2.

— Supporting data relating to the proposed variation(s).

— The revised product information, presented in the appro

priate format.

In the case of applications for the annual update of human

influenza vaccines under the mutual recognition procedure,

the reference Member State should additionally receive the list

of dispatch dates indicating the procedure number, the dates on

which the applications have been sent to each Member States

concerned and confirmation that the relevant fees have been

paid as required by the competent authorities concerned.

In the case of applications for the annual update of human

influenza vaccines under the purely national procedure confir

mation that the relevant fee has been paid as required by the

national competent authority.

In the case of applications for the annual update of human

influenza vaccines under the centralised procedure, the

relevant fee for the variation as provided for in Council Regu

lation (EC) No 297/95 should be paid in accordance with the

Agency’s financial procedures.

2.8.2013 Official Journal of the European Union C 223/13

2.5.2. Variations assessment for mutual recognition procedure

Upon receipt of an application for the annual update, the

reference Member State will handle the application as follows:

The reference Member State will acknowledge receipt of a valid

application within 7 days and inform the holder and the

Member States concerned of the start of the procedure.

The reference Member State will prepare an assessment report

and a decision on the application. To this end, the reference

Member State will consider first the administrative and quality

data. As the reference Member State must sent the assessment

and the draft Decision within the maximum deadline of 45 days

foreseen in the Regulation, it is expected that, in order to allow

for sufficient time for the assessment of additional data (notably

clinical and stability data) where necessary, the reference

Member State will typically conclude its assessment of the

administrative and quality data within 30 days of the

reception of a valid application.

The reference Member State may request the holder to submit

additional information (notably clinical or stability data); in such

a case, it will inform the concerned Member States. When a

request for additional information is sent to the holder, the 45

days deadline is stopped until the requested information has

been submitted by the holder.

The reference Member State will transmit its assessment report

and draft Decision to the concerned Member States. Within 12

days from the reception date, the concerned Member States will

adopt a decision accordingly and inform the holder and the

reference Member State thereof.

2.5.3. Variations assessment for purely national procedure

Upon receipt of an annual variation human influenza vaccines

application, the national competent authority will handle the

application as follows:

The national competent authority will acknowledge receipt of a

valid application of an annual variation human influenza

vaccine and inform the holder accordingly.

Within the evaluation period, the national competent authority

may send the holder a request for supplementary information

(notably clinical or stability data); in such a case, the 45 days

deadline is stopped until the requested information has been

submitted by the holder.

Within 45 days from the receipt of a valid application, the

national competent authority will finalise the evaluation

including its decision on the application and inform the

holder about the approval or rejection of the variation(s)

(including the grounds for the unfavourable outcome).

2.5.4. Variations assessment in centralised procedure

Upon receipt of an annual variation human influenza vaccines

application, the Agency will handle the application as follows:

The Agency will acknowledge receipt of a valid application of

an annual variation human influenza vaccine within 7 days and

inform the holder of the start of the procedure.

The Committee for Medicinal Products for Human Use has a

maximum of 55 days from the start of the procedure to assess

the application. The Committee may request the holder to

submit additional information (notably clinical or stability

data); in such a case, the 55 days deadline is stopped until

the requested information has been submitted by the holder.

Where necessary and based on the final opinion from the

Committee, the Commission will amend the decision granting

the marketing authorisation and update the Community

2.6. Urgent Safety Restrictions

Article 22 of the Variations Regulation foresees that in the

event of a risk to public health in the case of medicinal

products for human use or in the event of a risk to human

or animal health or to the environment in the case of veterinary

medicinal products, the holder may take provisional ‘urgent

safety restrictions’.

Urgent safety restrictions concern interim change(s) in the terms

of the marketing authorisation due to new information having a

bearing on the safe use of the medicinal product. These urgent

changes must be subsequently introduced via a corresponding

variation in the marketing authorisation.

The holder must immediately notify all Member States

concerned, the national competent authority or the Agency

(as appropriate) of the restrictions to be introduced.

If no objections have been raised by the relevant authority or

the Agency (for centrally authorised medicinal products) within

24 hours following receipt of that information, the urgent

safety restrictions are deemed accepted. They must be imple

mented within a time frame agreed between the reference

Member State, the national competent authority or the

Agency (as appropriate) and the holder.

Urgent safety restrictions may also be imposed by the

Commission (for centrally authorised medicinal products) or

by the national competent authorities (for nationally authorised

medicinal products) in the event of a risk to public health in the

case of medicinal products for human use or in the event of a

risk to human or animal health in the case of veterinary

medicinal products.

The corresponding variation application reflecting the urgent

safety restrictions (whether requested by the holder or

imposed by the Commission or the national competent auth

orities) must be submitted by the holder as soon as possible

within 15 days.

C 223/14 Official Journal of the European Union 2.8.2013

2.7. Statement of compliance under the Paediatric Regu

lation

Regulation (EC) No 1901/2006 of the European Parliament and

of the Council of 12 December 2006 on medicinal products for

paediatric use and amending Regulation (EEC) No 1768/92,

Directive 2001/20/EC, Directive 2001/83/EC and Regulation

(EC) No 726/2004 (

) (‘Paediatric Regulation’) provides for

rewards:

— Under Article 36(1) of Regulation (EC) No 1901/2006, the

holder of a patent or supplementary protection certificate is

entitled to a 6-month extension of the period referred to in

Article 13(1) and (2) of Regulation (EEC) No 1768/92 (

)

(now: Regulation (EC) No 469/2009) under certain

conditions, including the addition to the marketing auth

orisation of the statement referred to in Article 28(3) of

the Paediatric Regulation (‘compliance statement’).

— Under Article 37 of Regulation (EC) No 1901/2006, the

holder of a marketing authorisation for an orphan

medicinal product is entitled to an extension of the 10-

year period referred to in Article 8(1) of Regulation (EC)

No 141/2000 to 12 years under certain conditions,

including the addition of the compliance statement to the

marketing authorisation.

It follows that, for the purposes of benefiting from the rewards

provided for under Articles 36 and 37 of the Paediatric Regu

lation, a variation to add the compliance statement in the

marketing authorisation may be required.

Article 23a of the Variations Regulation simplifies the procedure

to add the compliance statement in the marketing authorisation

so that the rewards foreseen under Regulation (EC) No

1901/2006 may be sought as soon as possible once the

requirements foreseen in the Paediatric Regulation have been

complied with. Specifically, in order to include the compliance

statement holders should submit a variation request to the

relevant authority. After verification that all relevant conditions

are met, the compliance statement is to be included by the

relevant authority in the technical dossier of the marketing

authorisation.

For the purposes of legal certainty, the relevant authority will

provide the holder with a confirmation that the compliance

statement has been included in the technical dossier within

30 days after the relevant assessment has been concluded. In

the case of marketing authorisations granted under the

centralised procedure, the confirmation that the compliance

statement has been included in the marketing authorisation

will be issued by the European Medicines Agency.

PROCEDURAL GUIDANCE ON WORKSHARING

Article 20 of the Variations Regulation allows a holder to

submit in one application the same Type IB, the same Type II

variation, or the same group of variations corresponding to one

of the cases listed in Annex III of the Regulation or agreed with

the reference Member State, the national competent authority or

the Agency (as appropriate) which does not contain any

extension affecting

(i) more than one purely national marketing authorisation of

the same holder in more than one Member State; or

(ii) more than one mutual recognition marketing authorisation

of the same holder; or

(iii) more than one centralised marketing authorisation of the

same holder; or

(iv) one or several purely national marketing authorisation(s)

and one or several centralised marketing authorisation(s) of

the same holder; or

(v) one or several purely national marketing authorisation(s)

and one or several mutual recognition marketing authori

sation(s) of the same holder; or

(vi) one or several mutual recognition marketing authori

sation(s) and one or several centralised marketing authori

sation(s) of the same holder; or

(vii) one or several purely national marketing authorisation(s),

one or several mutual recognition marketing authori

sation(s) and one or several centralised marketing authori

sation(s) of the same holder.

In order to avoid duplication of work in the evaluation of such

variations, a worksharing procedure has been established under

which one authority (the ‘reference authority’), chosen amongst

the competent authorities of the Member States and the Agency,

will examine the variation on behalf of the other concerned

authorities.

Where at least one of the concerned marketing authorisations

has been authorised via the centralised procedure, the Agency

will be the reference authority (section 3.4). In all other cases, a

national competent authority chosen by the coordination group,

taking into account the recommendation of the holder, will act

as the reference authority (section 3.2).

In order to facilitate the planning of the procedure, holders are

encouraged to inform the Agency or the coordination group

and the proposed reference authority in advance of the

submission of a variation or group of variations to be subject

to a worksharing procedure.

2.8.2013 Official Journal of the European Union C 223/15

(

) OJ L 378, 27.12.2006, p. 1.

(

) From 6 July 2009, this Regulation has been repealed by Regulation

(EC) No 469/2009.

In order to benefit from a worksharing procedure, it is

necessary that the same change(s) will apply to the different

medicinal products concerned with no need (or limited need)

for assessment of a potential product-specific impact. Therefore,

where the ‘same’ change(s) to different marketing authorisations

require the submission of individual supportive data for specific

medicinal products concerned or separate product-specific

assessment, such changes cannot benefit from worksharing.

3.1. Submission of variation(s) application under work

sharing

A variation or group of variations presented for worksharing

must be submitted as explained in sections 2.2-2.3 above and

must be transmitted as one integrated submission package

covering all variations for all medicinal products. This must

include a common cover letter and application form, together

with separate supportive documentation for each medicinal

product concerned and revised product information (if appli

cable) for each medicinal product concerned. This will allow the

Agency and the national competent authorities to update the

dossier of each marketing authorisation included in the work

sharing procedure with the relevant amended or new

information.

The worksharing application must be submitted to all relevant

authorities, i.e. all Member States where the products concerned

are authorised and the Agency (for the centralised procedure).

3.2. Worksharing assessment not involving medicinal

products authorised under the centralised procedure

When the holder informs the coordination group of an

upcoming worksharing procedure that does not affect any

centralised marketing authorisation, the coordination group

will at the next meeting decide on the reference authority,

taking into account the proposal of the holder and, if applicable

pursuant to the third subparagraph of Article 20(3) of the

Variations Regulation, another relevant authority to assist the

reference authority. The holder will be informed by the coor

dination group of the decision of which national competent

authority will act as reference authority.

Upon receipt of a worksharing application, the reference

authority will handle the application as follows:

The reference authority will acknowledge receipt of a valid

application for worksharing. Immediately after acknowledging

receipt of a valid application, the reference authority will start

the procedure. The holder and the Member States concerned

will be informed of the timetable at the start of the procedure.

As a general rule, worksharing procedures will follow a 60-day

period or a 90-day evaluation period for variations listed in Part

2 of Annex V of the Variations Regulation. This period may

however be reduced by the reference authority having regard to

the urgency of the matter, particularly for safety issues, or may

be extended to 90 days for variations listed in Part 1 of Annex

V or for grouping of variations in accordance with Article 7(2)(c)

or 13d(2)(c) of the Variations Regulation.

The reference authority will prepare an opinion according to the

communicated timetable and will circulate it to the concerned

Member States for comments as well as to the holder for

information. Concerned Member States will send their

comments within the deadlines set out in the timetable.

Within the evaluation period, the reference Member State may

request the marketing authorisation holder to provide supple

mentary information. The request for supplementary

information will be sent to the holder together with a

timetable stating the date by when the holder should submit

the requested data and, where appropriate, the extended

evaluation period. In general, a suspension of 1 month will

typically apply. For longer suspension the holder should send

a justified request to the reference Member State for agreement.

The procedure will be suspended until the receipt of the supple

mentary information. The assessment of responses may take up

to 30 or 60 days depending on the complexity and amount of

data requested to the holder.

After receipt of the holder’s response, the reference Member

State will finalise the draft opinion and will circulate it to the

concerned Member States for comments as well as to the holder

for information.

3.3. Outcome of the worksharing assessment not involving

medicinal products authorised under the centralised

procedure

By the end of the evaluation period, the reference authority will

issue its opinion on the application and inform the concerned

Member States and the holder.

In case of a favourable opinion, the list of variations that are

not considered approvable should be attached in the Opinion (if

applicable). Variations may be considered approvable for some

of the concerned products only. In case of an unfavourable

outcome, the grounds for the unfavourable outcome should

be explained.

Within 30 days following receipt of the opinion, the concerned

Member States will recognise the opinion and inform the

reference Member State accordingly, unless a potential serious

risk to public health or a potential serious risk to human or

animal health or to the environment (in the case of veterinary

medicinal products) is identified that prevents a Member State

from recognising the opinion of the reference Member State.

The Member State that, within 30 days following receipt of the

opinion of the reference Member State, identifies such a

potential serious risk should inform the reference Member

State and give a detailed statement of the reasons for its

position.

The reference authority will then refer the application to the

coordination group for application of Article 33(3), (4) and (5)

of Directive 2001/82/EC or Article 29(3), (4) and (5) of

Directive 2001/83/EC to the matter of disagreement and will

inform the holder and the Member States concerned accord

ingly. The holder is not entitled to trigger a referral.

C 223/16 Official Journal of the European Union 2.8.2013

Where a referral to the coordination group is made, the

procedure concerning the decision on the worksharing appli

cation will be suspended until a decision has been adopted on

the referral procedure (including, where relevant, the referral to

the Committee for Medicinal Products for Human Use under

Articles 32 to 34 of Directive 2001/83/EC, or the Committee

for Veterinary Medicinal Products pursuant to Articles 36 to 38

of Directive 2001/82/EC).

After a positive opinion is communicated regarding variations

with changes to the summary of product characteristics,

labelling or package leaflet, the holder should submit, within

7 days, translations of the product information texts to all

Member States concerned.

Within 30 days following the approval of the opinion or, where

a referral has been triggered, the notification of the agreement

of the coordination group or the Commission decision (as

applicable), the Member States concerned will amend the

marketing authorisation(s) accordingly, provided that the

documents necessary for the amendment of the marketing auth

orisation have been submitted to the Member States concerned.

Minor variation(s) of Type IB approved via a worksharing

procedure, may be implemented upon receipt of the favourable

opinion of the reference authority.

Major variation(s) of Type II (including those which contain

grouped minor variation(s) of Type IB) approved via a work

sharing procedure may be implemented 30 days after receipt of

the favourable opinion from the reference authority provided

that the necessary documentation to amend the marketing auth

orisation has been submitted to the Member States concerned.

In those cases where the application has been the object of a

referral, the variation(s) must not be implemented until the

referral procedure has concluded that the variation(s) is

accepted.

Variations related to safety issues must be implemented within a

time-frame agreed between the marketing authorisation holder

and the reference authority.

3.4. Worksharing assessment involving medicinal products

authorised under the centralised procedure

Upon receipt of a worksharing application that affects at least

one centralised marketing authorisation, the Agency will handle

the application as follows:

The Agency will acknowledge receipt of a valid worksharing

application. Immediately after acknowledging the receipt of a

valid application, the Agency will start the procedure. The

holder will be informed of the adopted timetable at the start

of the procedure.

The Agency will appoint a rapporteur (and in some cases also a

co-rapporteur) to lead the assessment procedure.

In general, worksharing procedures will follow a 60-day

evaluation timetable or a 90-day evaluation timetable for vari

ations listed in Part 2 of Annex V of the Variations Regulation.

This period may however be reduced by the reference authority

having regard to the urgency of the matter, particularly for

safety issues, or may be extended to 90 days for variations

listed in Part 1 of Annex V or for grouping of variations in

accordance with Article 7(2)(c) or 13d(2)(c).

Within the evaluation period, the Committee for Medicinal

Products for Human Use or the Committee for Veterinary

Medicinal Products may request supplementary information.

The request for supplementary information or follow-on

request will be sent to the holder together with the timetable

stating the date by when the holder should submit the requested

data and where appropriate the extended evaluation period.

The procedure will be suspended until the receipt of the supple

mentary information. In general, a suspension of up to 1 month

will typically apply. For suspension longer than 1 month the

holder should send a justified request to the Agency for

agreement by the Committee for Medicinal Products for

Human or the Committee for Veterinary Medicinal Products.

For any follow-on request for supplementary information, an

additional clock-stop of up to 1 month will be applied in

general; a maximum of 2 months may be applied when

justified.

The Committee assessment of responses may take up to 30 or

60 days depending on the complexity and amount of data

provided by the marketing authorisation holder.

An oral explanation to the Committee for Medicinal Products

for Human Use or the Committee for Veterinary Medicinal

Products can be held at the request of the relevant Committee

or the marketing authorisation holder, where appropriate.

3.5. Outcome of the worksharing assessment involving

medicinal products authorised under the centralised

procedure

By the end of the evaluation period, the Agency will adopt an

opinion on the application, including the assessment report. The

Agency will inform the holder and Member States concerned (if

applicable). In case of disagreement with the opinion, holders

may request a re-examination thereof in accordance with the

procedure set out in Articles 9(2) and 34(2) of Regulation (EC)

No 726/2004.

Where the opinion of the Agency is favourable and the vari

ation(s) affects the terms of the Commission decision(s) granting

the marketing authorisation, the Agency will transmit to the

Commission its opinion and the grounds for its opinion as

well as the necessary documents to amend the marketing auth

orisation.

If the Agency considers that some variations are not approvable,

the list of variations that are not considered approvable should

be attached in the Opinion. Variations may be considered

approvable for some of the concerned products only.

2.8.2013 Official Journal of the European Union C 223/17

Upon receipt of a favourable opinion by the Member States

concerned or the Commission, the following steps apply:

— For medicinal products authorised under the mutual recog

nition procedure or purely national procedures, the Member

States concerned must approve the opinion, inform the

Agency accordingly and, where necessary, amend the

national marketing authorisations within 60 days provided

that the necessary documents to amend the marketing auth

orisation(s) have been submitted.

Minor variation(s) of Type IB (with the exception of those

grouped with major variation(s) of Type II) may be imple

mented upon receipt of the favourable opinion of the Agency.

Major variation(s) of Type II (and those minor variation(s) of

Type IB grouped with the Type II variation) may be imple

mented 30 days after receipt of the favourable opinion from

the Agency provided that (i) the documents necessary for the

amendment of the marketing authorisation(s) have been

submitted to the Member States concerned, and (ii) the appli

cation has not been the object of a referral.

— For centrally authorised products, the Commission will,

where necessary and provided that the necessary

documents to amend the marketing authorisation(s) have

been submitted, amend the relevant authorisation(s) within

2 months in the following cases:

(i) variations related to the addition of a new therapeutic

indication or to the modification of an existing one;

(ii) variations related to the addition of a new contraindi

cation;

(iii) variations related to a change in posology;

(iv) variations related to the addition of a non-food

producing target species or the modification of an

existing one for veterinary medicinal products;

(v) variations concerning the replacement or addition of a

serotype, strain, antigen or combination of serotypes,

strains or antigens for a veterinary vaccine;

(vi) variations related to changes to the active substance of

a seasonal, pre-pandemic or pandemic vaccine against

human influenza;

(vii) variations related to changes to the withdrawal period

for a veterinary medicinal product;

(viii) other type II variations that are intended to implement

changes to the decision granting the marketing auth

orisation due to a significant public health concern or

significant animal health or environmental concern in

the case of veterinary medicinal products.

In the case of other variations, the Commission will amend the

decision granting the marketing authorisation at the latest

within 12 months.

Minor variation(s) of Type IB (with the exception of those

grouped with major variation(s) of Type II) may be imple

mented upon receipt of the favourable opinion of the Agency.

Major variation(s) of Type II (and those minor variation(s) of

Type IB grouped with the Type II variation), with the exception

of variations that require the adoption of a Commission

decision within 2 months, may be implemented 30 days after

receipt of the favourable opinion from the Agency, provided

that the necessary documents to amend the marketing auth

orisation(s) have been submitted.

ANNEX

This Annex consists of four chapters classifying variations

related to: A) Administrative changes; B) Quality changes; C)

Safety, Efficacy and Pharmacovigilance changes and D)

Specific changes to Plasma Master Files and Vaccine Antigen

Master Files.

Where reference has to be made to specific variations in this

Annex, the variation in question should be quoted using the

following structure: X.N.x.n (‘variation code’).

— X refers to the capital letter of the chapter in this Annex

where the variation is included (e.g. A, B, C or D)

— N refers to the roman number of the section inside a

chapter where the variation is included (e.g. I, II, III, etc.)

— x refers to the letter of the subsection inside a chapter where

the variation is included (e.g. a, b, c, etc.)

— n refers to the number given in this Annex to a specific

variation (e.g. 1, 2, 3, etc.)

For each chapter this Annex contains:

— A list of variations which should be classified as minor

variations of Type IA or major variations of Type II in

accordance with the definitions of Article 2 and Annex II

to the Variations Regulation. It is also indicated which

minor variations of Type IA require immediate notification

as established in Article 8(1) of the Variations Regulation

— A list of variations that should be considered as minor

variations of Type IB,. It is noted that, in accordance with

Article 3 of the Variations Regulation, this category applies

by default. Accordingly, this Annex does not attempt to

establish an exhaustive list for this category of variations.

This Annex does not deal with the classification of extensions as

they are exhaustively listed in Annex I of the Variations Regu

lation. All changes specified in Annex I of the Variations Regu

lation must be considered extensions of the marketing auth

orisations; any other change can not be classified as such.

C 223/18 Official Journal of the European Union 2.8.2013

When one or more of the conditions established in this Annex

for a minor variation of Type IA are not met, the concerned

change may be submitted as a Type IB variation (‘Type IB by

default’) unless the change is specifically classified as a major

variation of Type II in this Annex or in a recommendation

pursuant to Article 5 of the Variations Regulation, or unless

the applicant considers that the changes may have a significant

impact on the quality, safety or efficacy of the medicinal

product.

If the competent authority considers that a variation submitted

as a Type IB by default may have a significant impact on the

quality, safety or efficacy of the medicinal product, it may

request that the application be upgraded and processed as a

Type II variation.

For the purpose of this Annex ‘test procedure’ has the same

meaning as ‘analytical procedure’; ‘limits’ has the same meaning

as ‘acceptance criteria’. ‘Specification parameter’ means the

quality attribute for which a test procedure and limits are set,

e.g. assay, identity, water content. The addition or deletion of a

specification parameter therefore includes its corresponding test

method and limits.

When several minor changes are taking place (e.g. to the same

method or process or material) at the same time or in cases of a

major update of the quality information for the active substance

or the finished product, the applicant should take into account

the overall impact of these changes on the quality, safety or

efficacy of the medicinal product when considering the appro

priate classification and submit them accordingly.

Specific supporting data for Type IB and Type II variations will

depend on the specific nature of the change.

Furthermore, if a variation leads to a revision of the summary of

product characteristics, labelling or package leaflet (jointly

referred to as ‘the product information’), this change is

considered part of that variation. In such cases updated

product information has to be submitted as part of the appli

cation with the relevant translations. Mock-ups or specimens

should be provided to the reference Member State, the

national competent authority or the Agency.

There is no need to notify the competent authorities of an

updated monograph of the European pharmacopoeia or a

national pharmacopoeia of a Member State in the case that

reference is made to the ‘current edition’ in the dossier of an

authorised medicinal product. Applicants are reminded that

compliance with the updated monograph should be imple

mented within 6 months.

Any change to the content of the dossier that supports a

European Pharmacopoeia Certificate of Suitability, should be

submitted to the European Directorate for the Quality of

Medicines (EDQM). However, if the certificate is revised

following EDQM evaluation of this change, any marketing auth

orisation concerned must be updated accordingly.

With reference to Part III point 1 of Annex I of Directive

2001/83/EC, changes to Plasma Master Files (hereinafter PMFs)

and Vaccine Antigen Master Files (VAMFs) follow the evaluation

procedures for variations set-out in the Variations Regulation.

Therefore, Chapter D in this guideline provides a list of vari

ations which are specific to such PMFs or VAMFs. Following

review of these variations, any marketing authorisation

concerned must be updated in accordance with Chapter B.V

of this guideline. In case the documentation of the human

plasma used as starting material for a plasma derived

medicinal product is not submitted as a PMF, variations to

this starting material as described in the marketing authorisation

dossier should also be handled in accordance with this Annex.

References in this Annex to changes to the marketing auth

orisation dossier mean addition, replacement or deletion,

unless specifically indicated. If amendments to the dossier

only concern editorial changes, such changes should generally

not be submitted as a separate variation, but they can be

included in a variation concerning that part of the dossier. In

such cases the changes should be clearly identified in the appli

cation form as editorial changes and a declaration that the

content of the concerned part of the dossier has not been

changed by the editorial changes beyond the scope of the

variation submitted should be provided. It should be noted

that editorial changes include the removal of obsolete or

redundant text but not the removal of specification parameters

or manufacturing descriptions.

2.8.2013 Official Journal of the European Union C 223/19

ANNEX

Topic/Scope of changes

Variation Page

A. ADMINISTRATIVE CHANGES .......................................................................................................

1-8 21

B. QUALITY CHANGES .................................................................................................................................................. 23

I. Active Substance ..........................................................................................................................................................

a) Manufacture ......................................................................................................................................... 1-5 23

b) Control of active substance .............................................................................................................

1-2 28

c) Container closure system .................................................................................................................

1-3 30

d) Stability .................................................................................................................................................

1 33

e) Design Space and post approval change management protocol ..........................................

1-5 34

II. Finished Product ..........................................................................................................................................................

a) Description and composition ..........................................................................................................

1-6 35

b) Manufacture .........................................................................................................................................

1-5 40

c) Control of excipients .........................................................................................................................

1-4 47

d) Control of finished product ............................................................................................................

1-3 50

e) Container closure system .................................................................................................................

1-7 52

f) Stability .................................................................................................................................................

1 57

g) Design Space and post approval change management protocol ..........................................

1-5 59

h) Adventitious Agents Safety ..............................................................................................................

1 60

III. CEP/TSE/monographs ........................................................................................................................... 1-2 61

IV. Medical Devices .....................................................................................................................................

1-3 64

V. Changes to a marketing authorisation resulting from other regulatory procedures ........................

a) PMF/VAMF ...........................................................................................................................................

1-2 66

b) Referral ..................................................................................................................................................

1 67

C. SAFETY, EFFICACY, PHARMACOVIGILANCE CHANGES .........................................................................

I. Human and Veterinary medicinal products ............................................................................... 1-13 68

II. Veterinary medicinal product — specific changes ..................................................................

1-8 73

D. PMF/VAMF ...............................................................................................................................................

1-23 74

C 223/20 Official Journal of the European Union 2.8.2013

A. ADMINISTRATIVE CHANGES

A.1 Change in the name and/or address of the marketing

authorisation holder

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

1, 2 IA

Conditions

1. The marketing authorisation holder must remain the same legal entity.

Documentation

1. A formal document from a relevant official body (e.g. Chamber of Commerce) in which the new name or new

address is mentioned.

2. Revised product information.

A.2 Change in the (invented) name of the medicinal

product

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) for Centrally Authorised products

1 1, 2 IA

b) for Nationally Authorised Products

2 IB

Conditions

1. The check by the EMA on the acceptability of the new name has been finalised and was positive.

Documentation

1. Copy of the EMA letter of acceptance of the new (invented) name.

2. Revised product information.

A.3 Change in name of the active substance or of an

excipient

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

1, 2

1, 2 IA

Conditions

1. The active substance/excipient must remain the same.

2. For veterinary medicinal products for food-producing species, the new name has been published in Regulation

(EC) No 470/2009 of the European Parliament and of the Council of 6 May 2009 laying down Community

procedures for the establishment of residue limits of pharmacologically active substances in foodstuffs of animal

origin, repealing Council Regulation (EEC) No 2377/90 and amending Directive 2001/82/EC of the European

Parliament and of the Council and Regulation (EC) No 726/2004 of the European Parliament and of the Council

before implementation of this change.

Documentation

1. Proof of acceptance by WHO or copy of the INN list. If applicable, proof that the change is in line with the Ph.

Eur. For herbal medicinal product, declaration that the name is in accordance with the Note for Guidance on

Quality of Herbal Medicinal Products, and with the guideline on declaration of herbal substances and herbal

preparations in (traditional) herbal medicinal products.

2. Revised product information

A.4 Change in the name and/or address of: a manu

facturer (including where relevant quality control

testing sites); or an ASMF holder; or a supplier of the

active substance, starting material, reagent or inter

mediate used in the manufacture of the active

substance (where specified in the technical dossier)

where no Ph. Eur. Certificate of Suitability is part of

the approved dossier; or a manufacturer of a novel

excipient (where specified in the technical dossier)

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

1, 2, 3 IA

2.8.2013 Official Journal of the European Union C 223/21

Conditions

1. The manufacturing site and all manufacturing operations must remain the same.

Documentation

1. A formal document from a relevant official body (e.g. Chamber of Commerce) in which the new name and/or

address is mentioned.

2. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate).

3. In case of change in the name of the holder of the Active Substance Master File holder, updated ‘letter of access’.

A.5 Change in the name and/or address of a manufac

turer/importer of the finished product (including batch

release or quality control testing sites)

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) The activities for which the manufacturer/importer

is responsible include batch release

1, 2 IA

b) The activities for which the manufacturer/importer

is responsible do not include batch release

1, 2 IA

Conditions

1. The manufacturing site undergoing the name and/or address change and all manufacturing operations must

remain the same.

Documentation

1. Copy of the modified manufacturing authorisation, if available; or a formal document from a relevant official body

(e.g. Chamber of Commerce, or if not available, from a Regulatory Agency) in which the new name and/or address

is mentioned.

2. If applicable, amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA

volume 6B format for veterinary products, as appropriate), including revised product information as appropriate.

A.6 Change in ATC Code/ATC Vet Code

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

1, 2 IA

Conditions

1. Change following granting of or amendment to ATC Code by WHO/ATC Vet Code.

Documentation

1. Proof of acceptance (by WHO) or copy of the ATC (Vet) Code list.

2. Revised product information

A.7 Deletion of manufacturing sites for an active

substance, intermediate or finished product, packaging

site, manufacturer responsible for batch release, site

where batch control takes place, or supplier of a

starting material, reagent or excipient (when mentioned

in the dossier) (*)

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

1, 2

1, 2 IA

C 223/22 Official Journal of the European Union 2.8.2013

Conditions

1. There should at least remain one site/manufacturer, as previously authorised, performing the same function as the

one(s) concerned by the deletion. Where applicable at least one manufacturer responsible for batch release that is

able to certify the product testing for the purpose of batch release within the EU/EEA remains in the EU/EEA.

2. The deletion should not be due to critical deficiencies concerning manufacturing.

Documentation

1. The variation application form should clearly outline the ‘present’ and ‘proposed’ manufacturers as listed in section

2.5 of the application form for marketing authorisations.

2. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate), including revised product information as appropriate.

(*) Note: where notice has been given by the authorities of the intention to perform an inspection, the deletion of the relevant site shall

be notified immediately.

A.8 Changes to date of the audit to verify GMP

compliance of the manufacturer of the active

substance (*)

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

Documentation

1. Written confirmation from the manufacturer of the finish product stating verification of compliance of the

manufacturer of the active substance with principles and guidelines of good manufacturing practices.

(*) Note: this variation does not apply when the information has been otherwise transmitted to the authorities (e.g. through the so-called

‘QP declaration’).

B. QUALITY CHANGES

B.I ACTIVE SUBSTANCE

B.I.a) Manufacture

B.I.a.1 Change in the manufacturer of a starting material/

reagent/intermediate used in the manufacturing process

of the active substance or change in the manufacturer

(including where relevant quality control testing sites)

of the active substance, where no Ph. Eur. Certificate

of Suitability is part of the approved dossier

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) The proposed manufacturer is part of the same

pharmaceutical group as the currently approved

manufacturer

1, 2, 3

1, 2, 3, 4, 5, 6, 7 IA

b) Introduction of a manufacturer of the active

substance supported by an ASMF

c) The proposed manufacturer uses a substantially

different route of synthesis or manufacturing

conditions, which may have a potential to change

important quality characteristics of the active

substance, such as qualitative and/or quantitative

impurity profile requiring qualification, or

physico-chemical properties impacting on bioavail

ability

d) New manufacturer of material for which an

assessment is required of viral safety and/or TSE

risk

2.8.2013 Official Journal of the European Union C 223/23

e) The change relates to a biological active substance

or a starting material/reagent/intermediate used in

the manufacture of a biological/immunological

product

f) Changes to quality control testing arrangements for

the active substance-replacement or addition of a

site where batch control/testing takes place

2, 4

1, 5 IA

g) Introduction of a new manufacturer of the active

substance that is not supported by an ASMF and

requires significant update to the relevant active

substance section of the dossier

h) Addition of an alternative sterilisation site for the

active substance using a Ph.Eur. method

1, 2, 4, 5, 8

i) Introduction of a new site of micronisation 2, 5 1, 4, 5, 6 IA

j) Changes to quality control testing arrangements for

a biological active substance: replacement or

addition of a site where batch control/testing

including a biological/immunological/immuno

chemical method takes place

k) New storage site of Master Cell Bank and/or

Working Cell Banks

1, 5

Conditions

1. For starting materials and reagents the specifications (including in process controls, methods of analysis of all

materials), are identical to those already approved. For intermediates and active substances the specifications

(including in process controls, methods of analysis of all materials), method of preparation (including batch

size) and detailed route of synthesis are identical to those already approved.

2. The active substance is not a biological/immunological substance or sterile.

3. Where materials of human or animal origin are used in the process, the manufacturer does not use any new

supplier for which assessment is required of viral safety or of compliance with the current Note for Guidance on

Minimising the Risk of Transmitting Animal Spongiform Encephalopathy Agents via Human and Veterinary Medicinal

Products.

4. Method transfer from the old to the new site has been successfully completed.

5. The particle size specification of the active substance and the corresponding analytical method remain the same.

Documentation

1. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate), if applicable.

2. A declaration from the marketing authorisation holder or the ASMF holder, where applicable, that the synthetic

route (or in case of herbal medicinal products, where appropriate the method of preparation, geographical source,

production of herbal drug and manufacturing route) quality control procedures and specifications of the active

substance and of the starting material/reagent/intermediate in the manufacturing process of the active substance (if

applicable) are the same as those already approved.

3. Either a TSE Ph. Eur. Certificate of Suitability for any new source of material or, where applicable, documentary

evidence that the specific source of the TSE risk material has previously been assessed by the competent authority

and shown to comply with the current Note for Guidance on Minimising the Risk of Transmitting Animal Spongiform

Encephalopathy Agents via Human and Veterinary Medicinal Products. The information should include the following:

Name of manufacturer, species and tissues from which the material is a derivative, country of origin of the source

animals, its use and previous acceptance. For the Centralised Procedure, this information should be included in an

updated TSE table A (and B, if relevant).

C 223/24 Official Journal of the European Union 2.8.2013

4. Batch analysis data (in a comparative tabular format) for at least two batches (minimum pilot scale) of the active

substance from the current and proposed manufacturers/sites.

5. The variation application form should clearly outline the ‘present’ and ‘proposed’ manufacturers as listed in section

2.5 of the application form for marketing authorisation.

6. A declaration by the Qualified Person (QP) of each of the manufacturing authorisation holders listed in the

application where the active substance is used as a starting material and a declaration by the Qualified Person

(QP) of each of the manufacturing authorisation holders listed in the application as responsible for batch release.

These declarations should state that the active substance manufacturer(s) referred to in the application operate in

compliance with the detailed guidelines on good manufacturing practice for starting materials. A single declaration

may be acceptable under certain circumstances — see the note under variation No B.II.b.1.

7. Where relevant, a commitment of the manufacturer of the active substance to inform the MA holder of any

changes to the manufacturing process, specifications and test procedures of the active substance.

8. Proof that the proposed site is appropriately authorised for the pharmaceutical form or product or manufacturing

operation concerned, i.e.:

For a manufacturing site within the EU/EEA: a copy of the current manufacturing authorisation. A reference to the

EudraGMP database will suffice.

For a manufacturing site outside the EU/EEA where an operational GMP mutual recognition agreement (MRA)

exists between the country concerned and the EU: a GMP certificate issued within the last 3 years by the relevant

competent authority.

For a manufacturing site outside the EU/EEA where no such mutual recognition agreement exists: a GMP

certificate issued within the last 3 years by an inspection service of one of the Member States of the EU/EEA.

A reference to the EudraGMP database will suffice.

B.I.a.2 Changes in the manufacturing process of the

active substance

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Minor change in the manufacturing process of the

active substance

1, 2, 3, 4, 5, 6,

1, 2, 3

b) Substantial change to the manufacturing process of

the active substance which may have a significant

impact on the quality, safety or efficacy of the

medicinal product

c) The change refers to a biological/immunological

substance or use of a different chemically derived

substance in the manufacture of a biological/im

munological substance, which may have a

significant impact on the quality, safety and

efficacy of the medicinal product and is not

related to a protocol

d) The change relates to a herbal medicinal product

and there is a change to any of the following:

geographical source, manufacturing route or

production

e) Minor change to the restricted part of an Active

Substance Master File

1, 2, 3, 4

Conditions

1. No adverse change in qualitative and quantitative impurity profile or in physico-chemical properties.

2. The synthetic route remains the same, i.e. intermediates remain the same and there are no new reagents, catalysts

or solvents used in the process. In the case of herbal medicinal products, the geographical source, production of

the herbal substance and the manufacturing route remain the same.

2.8.2013 Official Journal of the European Union C 223/25

3. The specifications of the active substance or intermediates are unchanged.

4. The change is fully described in the open (‘applicant’s’) part of an Active Substance Master File, if applicable.

5. The active substance is not a biological/immunological substance.

6. The change does not refer to the geographical source, manufacturing route or production of a herbal medicinal

product.

7. The change does not refer to the restricted part of an Active Substance Master File.

Documentation

1. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate), and of the approved Active Substance Master File (where applicable),

including a direct comparison of the present process and the new process.

2. Batch analysis data (in comparative tabular format) of at least two batches (minimum pilot scale) manufactured

according to the currently approved and proposed process.

3. Copy of approved specifications of the active substance.

4. A declaration from the marketing authorisation holder or the ASMF Holder, where applicable, that there is no

change in qualitative and quantitative impurity profile or in physico-chemical properties, that the synthetic route

remains the same and that the specifications of the active substance or intermediates are unchanged.

Note: for B.I.a.2.b), for chemical active substances, this refers to substantial changes to the synthetic route or manufacturing

conditions which may have a potential to change important quality characteristics of the active substance, such as qualitative

and/or quantitative impurity profile requiring qualification, or physico-chemical properties impacting on bioavailability.

B.I.a.3 Change in batch size (including batch size ranges)

of active substance or intermediate used in the manufac

turing process of the active substance

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Up to 10-fold increase compared to the originally

approved batch size

1, 2, 3, 4, 6, 7,

1, 2, 5

b) Downscaling down to 10-fold

1, 2, 3, 4, 5 1, 2, 5 IA

c) The change requires assessment of the compara

bility of a biological/immunological active

substance

d) More than 10-fold increase compared to the orig

inally approved batch size

1, 2, 3, 4

e) The scale for a biological/immunological active

substance is increased/decreased without process

change (e.g. duplication of line)

1, 2, 3, 4

Conditions

1. Any changes to the manufacturing methods are only those necessitated by scale-up or downscaling, e.g. use of

different-sized equipment.

2. Test results of at least two batches according to the specifications should be available for the proposed batch size.

3. The product concerned is not a biological/immunological medicinal product.

4. The change does not adversely affect the reproducibility of the process.

5. The change should not be the result of unexpected events arising during manufacture or because of stability

concerns.

C 223/26 Official Journal of the European Union 2.8.2013

6. The specifications of the active substance/intermediates remain the same.

7. The active substance is not sterile.

8. The batch size is within the 10-fold range of the batch size foreseen when the marketing authorisation was

granted or following a subsequent change not agreed as a Type IA variation.

Documentation

1. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate).

2. The batch numbers of the tested batches having the proposed batch size.

3. Batch analysis data (in a comparative tabulated format) on a minimum of one production batch of the active

substance or intermediate as appropriate, manufactured to both the currently approved and the proposed sizes.

Batch data on the next two full production batches should be made available upon request and reported by the

marketing authorisation holder if outside specification (with proposed action).

4. Copy of approved specifications of the active substance (and of the intermediate, if applicable).

5 A declaration from the marketing authorisation holder or the ASMF holder as appropriate that the changes to the

manufacturing methods are only those necessitated by scale-up or downscaling, e.g. use of different-sized

equipment, that the change does not adversely affect the reproducibility of the process, that it is not the result

of unexpected events arising during manufacture or because of stability concerns and that the specifications of the

active substance/intermediates remain the same.

B.I.a.4 Change to in-process tests or limits applied during

the manufacture of the active substance

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Tightening of in-process limits 1, 2, 3, 4 1, 2 IA

b) Addition of a new in-process test and limits

1, 2, 5, 6 1, 2, 3, 4, 6 IA

c) Deletion of a non-significant in-process test

1, 2, 7 1, 2, 5 IA

d) Widening of the approved in-process test limits,

which may have a significant effect on the overall

quality of the active substance

e) Deletion of an in-process test which may have a

significant effect on the overall quality of the active

substance

f) Addition or replacement of an in-process test as a

result of a safety or quality issue

1, 2, 3, 4, 6

Conditions

1. The change is not a consequence of any commitment from previous assessments to review specification limits

(e.g. made during the procedure for the marketing authorisation application or a type II variation procedure).

2. The change does not result from unexpected events arising during manufacture, e.g. new unqualified impurity;

change in total impurity limits.

3. Any change should be within the range of currently approved limits.

4. The test procedure remains the same, or changes in the test procedure are minor.

5. Any new test method does not concern a novel non-standard technique or a standard technique used in a novel

way.

2.8.2013 Official Journal of the European Union C 223/27

6. The new test method is not a biological/immunological/immunochemical method or a method using a biological

reagent for a biological active substance (does not include standard pharmacopoeial microbiological methods).

7. The specification parameter does not concern a critical parameter for example any of the following: assay,

impurities (unless a particular solvent is definitely not used in the manufacture of the active substance), any

critical physical characteristics, e.g. particle size, bulk or tapped density, identity test, water, any request for

changing the frequency of testing.

Documentation

1. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate).

2. Comparative table of current and proposed in-process tests.

3. Details of any new non-pharmacopoeial analytical method and validation data, where relevant.

4. Batch analysis data on two production batches (3 production batches for biologicals, unless otherwise justified) of

the active substance for all specification parameters.

5. Justification/risk assessment from the marketing authorisation holder or the ASMF Holder, as appropriate, that the

in-process tests are non-significant, or that the in-process tests are obsolete.

6. Justification from the MAH or ASMF Holder as appropriate for the new in-process test and limits.

B.I.a.5 Changes to the active substance of a seasonal, pre-

pandemic or pandemic vaccine against human influenza

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Replacement of the strain(s) in a seasonal, pre-

pandemic or a pandemic vaccine against human

influenza

B.I.b) Control of active substance

B.I.b.1 Change in the specification parameters and/or

limits of an active substance, starting material/intermedi

ate/reagent used in the manufacturing process of the

active substance

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Tightening of specification limits for medicinal

products subject to Official Control Authority

Batch Release

1, 2, 3, 4

1, 2 IA

b) Tightening of specification limits

1, 2, 3, 4 1, 2 IA

c) Addition of a new specification parameter to the

specification with its corresponding test method

1, 2, 5, 6, 7

1, 2, 3, 4, 5, 7 IA

d) Deletion of a non-significant specification

parameter (e.g. deletion of an obsolete parameter)

1, 2, 8

1, 2, 6 IA

e) Deletion of a specification parameter which may

have a significant effect on the overall quality of

the active substance and/or the finished product

f) Change outside the approved specifications limits

range for the active substance

C 223/28 Official Journal of the European Union 2.8.2013

g) Widening of the approved specifications limits for

starting materials/intermediates, which may have a

significant effect on the overall quality of the active

substance and/or the finished product

h) Addition or replacement (excluding biological or

immunological substance) of a specification

parameter with its corresponding test method as

a result of a safety or quality issue

1, 2, 3, 4, 5, 7 IB

i) Where there is no monograph in the European

Pharmacopoeia or the national pharmacopoeia of

a Member State for the active substance, a change

in specification from in-house to a non-official

Pharmacopoeia or a Pharmacopoeia of a third

country

1, 2, 3, 4, 5, 7

Conditions

1. The change is not a consequence of any commitment from previous assessments to review specification limits

(e.g. made during the procedure for the marketing authorisation application or a type II variation procedure).

2. The change does not result from unexpected events arising during manufacture, e.g. new unqualified impurity;

change in total impurity limits.

3. Any change should be within the range of currently approved limits.

4. The test procedure remains the same, or changes in the test procedure are minor.

5. Any new test method does not concern a novel non-standard technique or a standard technique used in a novel

way.

6. The test method is not a biological/immunological/immunochemical method or a method using a biological

reagent for a biological active substance (does not include standard pharmacopoeia microbiological methods).

7. For any material, the change does not concern a genotoxic impurity. If it involves the final active substance, other

than for residual solvents which must be in line with ICH/VICH limits, any new impurity control should be in line

with the Ph. Eur. or National Pharmacopoeia of a Member State.

8. The specification parameter does not concern a critical parameter, for example any of the following: assay,

impurities (unless a particular solvent is definitely not used in the manufacture of the active substance), any

critical physical characteristics, e.g. particle size, bulk or tapped density, identity test, water, any request for skip

testing.

Documentation

1. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate).

2. Comparative table of current and proposed specifications.

3. Details of any new analytical method and validation data, where relevant.

4. Batch analysis data on two production batches (3 production batches for biologicals, unless otherwise justified) of

the relevant substance for all specification parameters.

5. Where appropriate, comparative dissolution profile data for the finished product on at least one pilot batch

containing the active substance complying with the current and proposed specification. For herbal medicinal

products, comparative disintegration data may be acceptable.

6. Justification/risk assessment from the marketing authorisation holder or the ASMF Holder, as appropriate, that the

in-process parameter is non-significant, or that the in-process parameter is obsolete.

7. Justification from the MAH or ASMF Holder as appropriate of the new specification parameter and the limits.

2.8.2013 Official Journal of the European Union C 223/29

B.I.b.2 Change in test procedure for active substance or

starting material/reagent/intermediate used in the manu

facturing process of the active substance

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Minor changes to an approved test procedure

1, 2, 3, 4 1, 2 IA

b) Deletion of a test procedure for the active

substance or a starting material/reagent/inter

mediate, if an alternative test procedure is already

authorised.

7 1 IA

c) Other changes to a test procedure (including

replacement or addition) for a reagent, which

does not have a significant effect on the overall

quality of the active substance

1, 2, 3, 5, 6

1, 2 IA

d) Substantial change to or replacement of a biologi

cal/immunological/immunochemical test method or

a method using a biological reagent for a biological

active substance

e) Other changes to a test procedure (including

replacement or addition) for the active substance

or a starting material/intermediate

1, 2

Conditions

1. Appropriate validation studies have been performed in accordance with the relevant guidelines and show that the

updated test procedure is at least equivalent to the former test procedure.

2. There have been no changes of the total impurity limits; no new unqualified impurities are detected.

3. The method of analysis should remain the same (e.g. a change in column length or temperature, but not a

different type of column or method).

4. The test method is not a biological/immunological/immunochemical method, or a method using a biological

reagent for a biological active substance (does not include standard pharmacopoeial microbiological methods).

5. Any new test method does not concern a novel non-standard technique or a standard technique used in a novel

way.

6. The active substance is not biological/immunological.

7 An alternative test procedure is already authorised for the specification parameter and this procedure has not been

added through IA/IA(IN) notification.

Documentation

1. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate), including a description of the analytical methodology, a summary of

validation data, revised specifications for impurities (if applicable).

2. Comparative validation results, or if justified comparative analysis results showing that the current test and the

proposed one are equivalent. This requirement is not applicable in case of an addition of a new test procedure.

B.I.c) Container closure system

B.I.c.1 Change in immediate packaging of the active

substance

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Qualitative and/or quantitative composition

1, 2, 3 1, 2, 3, 4, 6 IA

C 223/30 Official Journal of the European Union 2.8.2013

b) Qualitative and/or quantitative composition for

sterile and non-frozen biological/immunological

active substances

c) Liquid active substances (non-sterile)

1, 2, 3, 5, 6 IB

Conditions

1. The proposed packaging material must be at least equivalent to the approved material in respect of its relevant

properties.

2 Relevant stability studies have been started under ICH/VICH conditions and relevant stability parameters have been

assessed in at least two pilot scale or industrial scale batches and at least 3 months satisfactory stability data are at

the disposal of the applicant at time of implementation. However, if the proposed packaging is more resistant

than the existing packaging, the 3 months’ stability data do not yet have to be available. These studies must be

finalised and the data will be provided immediately to the competent authorities if outside specifications or

potentially outside specifications at the end of the shelf-life/retest period (with proposed action).

3 Sterile, liquid and biological/immunological active substances are excluded.

Documentation

1. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate).

2. Appropriate data on the new packaging (e.g. comparative data on permeability, e.g. for O

, CO

moisture),

including a confirmation that the material complies with relevant pharmacopoeial requirements or legislation

of the Union on plastic materials and objects in contact with foodstuffs.

3. Where appropriate, proof must be provided that no interaction between the content and the packaging material

occurs (e.g. no migration of components of the proposed material into the content and no loss of components of

the product into the pack), including confirmation that the material complies with relevant pharmacopoeia

requirements or legislation of the Union on plastic material and objects in contact with foodstuffs.

4. A declaration from the marketing authorisation holder or the ASMF holder as appropriate that the required

stability studies have been started under ICH/VICH conditions (with indication of the batch numbers concerned)

and that, as relevant, the required minimum satisfactory stability data were at the disposal of the applicant at time

of implementation and that the available data did not indicate a problem. Assurance should also be given that the

studies will be finalised and that data will be provided immediately to the competent authorities if outside

specifications or potentially outside specifications at the end of the approved shelf life (with proposed action).

5. The results of stability studies that have been carried out under ICH/VICH conditions, on the relevant stability

parameters, on at least two pilot or industrial scale batches, covering a minimum period of 3 months, and an

assurance is given that these studies will be finalised, and that data will be provided immediately to the competent

authorities if outside specifications or potentially outside specifications at the end of the approved retest period

(with proposed action).

6. Comparison of the current and proposed immediate packaging specifications, if applicable.

B.I.c.2 Change in the specification parameters and/or

limits of the immediate packaging of the active substance

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Tightening of specification limits

1, 2, 3, 4 1, 2 IA

b) Addition of a new specification parameter to the

specification with its corresponding test method

1, 2, 5

1, 2, 3, 4, 6 IA

c) Deletion of a non-significant specification

parameter (e.g. deletion of an obsolete parameter)

1, 2

1, 2, 5 IA

d) Addition or replacement of a specification

parameter as a result of a safety or quality issue

1, 2, 3, 4, 6

2.8.2013 Official Journal of the European Union C 223/31

Conditions

1. The change is not a consequence of any commitment from previous assessments to review specification limits

(e.g. made during the procedure for the marketing authorisation application or a type II variation procedure)

unless it has been previously assessed and agreed as part of a follow-up measure.

2. The change does not result from unexpected events arising during manufacture of the packaging material or

during storage of the active substance.

3. Any change should be within the range of currently approved limits.

4. The test procedure remains the same, or changes in the test procedure are minor.

5. Any new test method does not concern a novel non-standard technique or a standard technique used in a novel

way.

Documentation

1. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate).

2. Comparative table of current and proposed specifications.

3. Details of any new analytical method and validation data, where relevant.

4. Batch analysis data on two batches of the immediate packaging for all specification parameters.

5 Justification/risk assessment from the marketing authorisation holder or the ASMF Holder, as appropriate, that the

in-process parameter is non-significant, or that the in-process parameter is obsolete.

6. Justification from the marketing authorisation holder or the ASMF Holder, as appropriate, of the new specification

parameter and the limits.

B.I.c.3 Change in test procedure for the immediate

packaging of the active substance

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Minor changes to an approved test procedure

1, 2, 3, 1, 2 IA

b) Other changes to a test procedure (including

replacement or addition)

1, 3, 4

1, 2 IA

c) Deletion of a test procedure if an alternative test

procedure is already authorised

1 IA

Conditions

1. Appropriate validation studies have been performed in accordance with the relevant guidelines and show that the

updated test procedure is at least equivalent to the former test procedure.

2. The method of analysis should remain the same (e.g. a change in column length or temperature, but not a

different type of column or method).

3. Any new test method does not concern a novel non-standard technique or a standard technique used in a novel

way.

4. The active substance/finished product is not biological/immunological.

5. There is still a test procedure registered for the specification parameter and this procedure has not been added

through a IA/IA(IN) notification.

C 223/32 Official Journal of the European Union 2.8.2013

Documentation

1. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate), including a description of the analytical methodology, a summary of

validation data.

2. Comparative validation results or if justified comparative analysis results showing that the current test and the

proposed one are equivalent. This requirement is not applicable in case of an addition of a new test procedure.

B.I.d) Stability

B.I.d.1 Change in the retest period/storage period or

storage conditions of the active substance where no

Ph. Eur. Certificate of Suitability covering the retest

period is part of the approved dossier

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Retest period/storage period

1. Reduction

1 1, 2, 3 IA

2. Extension of the retest period based on extra

polation of stability data not in accordance with

ICH/VICH guidelines (*)

3. Extension of storage period of a biological/im

munological active substance not in accordance

with an approved stability protocol

4. Extension or introduction of a retest period/

storage period supported by real time data

1, 2, 3

b) Storage conditions

1. Change to more restrictive storage conditions of

the active substance

1, 2, 3 IA

2. Change in storage conditions of biological/im

munological active substances, when the

stability studies have not been performed in

accordance with a currently approved stability

protocol

3. Change in storage conditions of the active

substance

1, 2, 3

c) Change to an approved stability protocol

1, 2 1, 4 IA

Conditions

1. The change should not be the result of unexpected events arising during manufacture or because of stability

concerns.

2. The changes do not concern a widening of the acceptance criteria in the parameters tested, a removal of stability

indicating parameters or a reduction in the frequency of testing.

Documentation

1. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate). This must contain results of appropriate real time stability studies,

2.8.2013 Official Journal of the European Union C 223/33

conducted in accordance with the relevant stability guidelines on at least two (three for biological medicinal

products) pilot or production scale batches of the active substance in the authorised packaging material and

covering the duration of the requested retest period or requested storage conditions.

2. Confirmation that stability studies have been done to the currently approved protocol. The studies must show that

the agreed relevant specifications are still met.

3. Copy of approved specifications of the active substance.

4. Justification for the proposed changes.

(*) Note: Retest period not applicable for biological/immunological active substance.

B.I.e) Design Space and post-approval change management protocols

B.I.e.1 Introduction of a new design space or extension

of an approved design space for the active substance,

concerning:

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) One unit operation in the manufacturing process of

the active substance including the resulting in-

process controls and/or test procedures

1, 2, 3

b) Test procedures for starting materials/reagents/in

termediates and/or the active substance

1, 2, 3

Documentation

1. The design space has been developed in accordance with the relevant European and international scientific

guidelines. Results from product, process and analytical development studies (e.g. interaction of the different

parameters forming the design space have to be studied, including risk assessment and multivariate studies, as

appropriate) demonstrating where relevant that a systematic mechanistic understanding of material attributes and

process parameters to the critical quality attributes of the active substance has been achieved.

2. Description of the Design space in tabular format, including the variables (material attributes and process

parameters, as appropriate) and their proposed ranges.

3. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate).

B.I.e.2 Introduction of a post approval change

management protocol related to the active substance

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

1, 2, 3

Documentation

1. Detailed description for the proposed change.

2. Change management protocol related to the active substance.

3. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate).

B.I.e.3 Deletion of an approved change management

protocol related to the active substance

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

1, 2 IA

Conditions

1. The deletion of the approved change management protocol related to the active substance is not a result of

unexpected events or out of specification results during the implementation of the change(s) described in the

protocol and does not have any effect on the already approved information in the dossier.

C 223/34 Official Journal of the European Union 2.8.2013

Documentation

1. Justification for the proposed deletion.

2. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate).

B.I.e.4 Changes to an approved change management

protocol

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Major changes to an approved change management

protocol

b) Minor changes to an approved change management

protocol that do not change the strategy defined in

the protocol

Documentation

1. Declaration that any change should be within the range of currently approved limits. In addition, declaration that

an assessment of comparability is not required for biological/immunological medicinal products.

B.I.e.5 Implementation of changes foreseen in an

approved change management protocol

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) The implementation of the change requires no

further supportive data

1, 2, 4 IA

b) The implementation of the change requires further

supportive data

1, 2, 3, 4

c) Implementation of a change for a biological/im

munological medicinal product

1, 2, 3, 4, 5

Conditions

1. The proposed change has been performed fully in line with the approved change management protocol.

Documentation

1. Reference to the approved change management protocol.

2. Declaration that the change is in accordance with the approved change management and that the study results

meet the acceptance criteria specified in the protocol. In addition, declaration that an assessment of comparability

is not required for biological/immunological medicinal products.

3. Results of the studies performed in accordance with the approved change management protocol.

4. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate).

5. Copy of approved specifications of the active substance.

B.II. FINISHED PRODUCT

B.II.a) Description and composition

B.II.a.1 Change or addition of imprints, bossing or other

markings including replacement, or addition of inks used

for product marking.

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Changes in imprints, bossing or other markings

1, 2, 3, 4 1, 2 IA

2.8.2013 Official Journal of the European Union C 223/35

b) Changes in scoring/break lines intended to divide

into equal doses

1, 2, 3

Conditions

1. Finished product release and end of shelf life specifications have not been changed (except for appearance).

2. Any ink must comply with the relevant pharmaceutical legislation.

3. The scoring/break lines are not intended to divide into equal doses.

4. Any product markings used to differentiate strengths should not be completely deleted.

Documentation

1. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate), including a detailed drawing or written description of the current and new

appearance, and including revised product information as appropriate.

2. Samples of the finished product where applicable (see NTA, Requirements for samples in the Member States).

3 Results of the appropriate Ph. Eur tests demonstrating equivalence in characteristics/correct dosing.

B.II.a.2 Change in the shape or dimensions of the phar

maceutical form

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Immediate release tablets, capsules, suppositories

and pessaries

1, 2, 3, 4

1, 4 IA

b) Gastro-resistant, modified or prolonged release

pharmaceutical forms and scored tablets intended

to be divided into equal doses

1, 2, 3, 4, 5

c) Addition of a new kit for a radiopharmaceutical

preparation with another fill volume

Conditions

1. If appropriate, the dissolution profile of the reformulated product is comparable to the old one. For herbal

medicinal products, where dissolution testing may not be feasible, the disintegration time of the new product

compared to the old one.

2. Release and end of shelf-life specifications of the product have not been changed (except for dimensions).

3. The qualitative or quantitative composition and mean mass remain unchanged.

4. The change does not relate to a scored tablet that is intended to be divided into equal doses.

Documentation

1. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate), including a detailed drawing of the current and proposed situation, and

including revised product information as appropriate.

2. Comparative dissolution data on at least one pilot batch of the current and proposed dimensions (no significant

differences regarding comparability see the relevant (Human or Veterinary) guidance on Bioavailability). For herbal

medicinal product comparative disintegration data may be acceptable.

3. Justification for not submitting a new bioequivalence study according to the relevant (Human or Veterinary)

guidance on Bioavailability.

C 223/36 Official Journal of the European Union 2.8.2013

4. Samples of the finished product where applicable (see NTA, Requirements for samples in the Member States).

5. Results of the appropriate Ph. Eur tests demonstrating equivalence in characteristics/correct dosing.

Note: for B.II.a.2.c), applicants are reminded that any change to the ‘strength’ of the medicinal product requires the submission of an

Extension application.

B.II.a.3 Changes in the composition (excipients) of the

finished product

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Changes in components of the flavouring or

colouring system

1. Addition, deletion or replacement

1, 2, 3, 4, 5, 6,

7, 9, 11

1, 2, 4, 5, 6

2. Increase or reduction

1, 2, 3, 4, 11 1, 2, 4 IA

3. Biological veterinary medicinal products for oral

use for which the colouring or flavouring agent

is important for the uptake by target animal

species

b) Other excipients

1. Any minor adjustment of the quantitative

composition of the finished product with

respect to excipients

1, 2, 4, 8, 9, 10

1, 2, 7 IA

2. Qualitative or quantitative changes in one or

more excipients that may have a significant

impact on the safety, quality or efficacy of the

medicinal product

3. Change that relates to a biological/immuno

logical product

4. Any new excipient that includes the use of

materials of human or animal origin for which

assessment is required of viral safety data or

TSE risk

5. Change that is supported by a bioequivalence

study

6. Replacement of a single excipient with a

comparable excipient with the same functional

characteristics and at a similar level

1, 3, 4, 5, 6, 7,

8, 9, 10

Conditions

1. No change in functional characteristics of the pharmaceutical form, e.g. disintegration time, dissolution profile.

2. Any minor adjustment to the formulation to maintain the total weight should be made by an excipient which

currently makes up a major part of the finished product formulation.

3. The finished product specification has only been updated in respect of appearance/odour/taste and if relevant,

deletion of an identification test.

4. Stability studies have been started under ICH/VICH conditions (with indication of batch numbers) and relevant

stability parameters have been assessed in at least two pilot scale or industrial scale batches and at least 3

months satisfactory stability data are at the disposal of the applicant (at time of implementation for Type IAs

2.8.2013 Official Journal of the European Union C 223/37

and at time of notification for Type IBs) and that the stability profile is similar to the currently registered

situation. Assurance is given that these studies will be finalised and that data will be provided immediately to the

competent authorities if outside specifications or potentially outside specification at the end of the approved

shelf life (with proposed action). In addition, where relevant, photo-stability testing should be performed.

5. Any new proposed components must comply with the relevant Directives (e.g. Directive 94/36/EC of the

European Parliament and of the Council (

) and Commission Directive 2008/128/EC (

) for colours for use in

foodstuffs and Council Directive 88/388/EEC (

) for flavours).

6. Any new component does not include the use of materials of human or animal origin for which assessment is

required of viral safety data or compliance with the current Note For Guidance on Minimising the Risk of Trans

mitting Animal Spongiform Encephalopathy Agents via Human and Veterinary Medicinal Products.

7. Where applicable, the change does not affect the differentiation between strengths and does not have a negative

impact on taste acceptability for paediatric formulations.

8. The dissolution profile of the new product determined on a minimum of two pilot scale batches is comparable

to the old one (no significant differences regarding comparability, see the relevant (Human or Veterinary)

guidance on Bioavailability). For herbal medicinal products where dissolution testing may not be feasible, the

disintegration time of the new product is comparable to the old one.

9. The change is not the result of stability issues and/or should not result in potential safety concerns, i.e.

differentiation between strengths.

10. The product concerned is not a biological/immunological medicinal product.

11. For veterinary medicinal products for oral use, the change does not affect the uptake by target animal species.

Documentation

1. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate), including identification method for any new colorant, where relevant,

and including revised product information as appropriate.

2. A declaration that the required stability studies have been started under ICH/VICH conditions (with indication of

the batch numbers concerned) and that, as relevant, the required minimum satisfactory stability data were at the

disposal of the applicant at time of implementation and that the available data did not indicate a problem.

Assurance should also be given that the studies will be finalised and that data will be provided immediately to

the competent authorities if outside specifications or potentially outside specifications at the end of the approved

shelf life (with proposed action).

3. The results of stability studies that have been carried out under ICH/VICH conditions, on the relevant stability

parameters, on at least two pilot or industrial scale batches, covering a minimum period of 3 months, and an

assurance is given that these studies will be finalised, and that data will be provided immediately to the

competent authorities if outside specifications or potentially outside specifications at the end of the approved

shelf life (with proposed action).

4. Sample of the new product, where applicable (see Notice to Applicants Requirements for samples in the Member

States).

5. Either a Ph. Eur. Certificate of Suitability for any new component of animal susceptible to TSE risk or where

applicable, documentary evidence that the specific source of the TSE risk material has been previously assessed

by the competent authority and shown to comply with the scope of the current Note for Guidance on Minimising

the Risk of Transmitting Animal Spongiform Encephalopathies via Human and Veterinary Medicinal Products. The

following information should be included for each such material: Name of manufacturer, species and tissues

from which the material is a derivative, country of origin of the source animals and its use.

For the Centralised Procedure, this information should be included in an updated TSE table A (and B, if relevant).

6. Data to demonstrate that the new excipient does not interfere with the finished product specification test

methods, if appropriate.

7 Justification for the change/choice of excipients etc. must be given by appropriate development pharmaceutics

(including stability aspects and antimicrobial preservation where appropriate).

C 223/38 Official Journal of the European Union 2.8.2013

8. For solid dosage forms, comparative dissolution profile data of at least two pilot scale batches of the finished

product in the new and old composition. For herbal medicinal products, comparative disintegration data may be

acceptable.

9. Justification for not submitting a new bioequivalence study according to the current Note for Guidance on The

Investigation of Bioavailability and Bioequivalence.

10. For veterinary medicines intended for use in food producing animal species, proof that the excipient is classified

according to Article 14(2)(c) of Regulation (EC) No 470/2009 or, if not, justification that the excipient does not

have pharmacological activity at the dose at which it is administered to the target animal.

(

) OJ L 237, 10.9.1994, p. 13.

(

) OJ L 6, 10.1.2009, p. 20.

(

) OJ L 184, 15.7.1988, p. 61.

B.II.a.4 Change in coating weight of oral dosage forms or

change in weight of capsule shells

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Solid oral pharmaceutical forms

1, 2, 3, 4 1, 2 IA

b) Gastro-resistant, modified or prolonged release

pharmaceutical forms where the coating is a

critical factor for the release mechanism

Conditions

1. The dissolution profile of the new product determined on a minimum of two pilot scale batches is comparable to

the old one. For herbal medicinal products where dissolution testing may not be feasible, the disintegration time

of the new product is comparable to the old one.

2. The coating is not a critical factor for the release mechanism.

3. The finished product specification has only been updated in respect of weight and dimensions, if applicable.

4. Stability studies in accordance with the relevant guidelines have been started with at least two pilot scale or

industrial scale batches and at least 3 months satisfactory stability data are at the disposal of the applicant at the

time of implementation and assurance that these studies will be finalised. Data will be provided immediately to

the competent authorities if outside specifications or potentially outside specifications at the end of the approved

shelf life (with proposed action).

Documentation

1. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate).

2. A declaration that the required stability studies have been started under ICH/VICH conditions (with indication of

the batch numbers concerned) and that, as relevant, the required minimum satisfactory stability data were at the

disposal of the applicant at time of implementation and that the available data did not indicate a problem.

Assurance should also be given that the studies will be finalised and that data will be provided immediately to the

competent authorities if outside specifications or potentially outside specifications at the end of the approved shelf

life (with proposed action). In addition, where relevant, photo-stability testing should be performed.

B.II.a.5 Change in concentration of a single-dose, total use

parenteral product, where the amount of active

substance per unit dose (i.e. the strength) remains the

same

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

2.8.2013 Official Journal of the European Union C 223/39

B.II.a.6 Deletion of the solvent/diluent container from the

pack

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

1, 2

Documentation

1. Justification for the deletion, including a statement regarding alternative means to obtain the solvent/diluent as

required for the safe and effective use of the medicinal product.

2. Revised product information.

B.II.b) Manufacture

B.II.b.1 Replacement or addition of a manufacturing site

for part or all of the manufacturing process of the

finished product

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Secondary packaging site 1, 2 1,3, 8 IA

b) Primary packaging site

1, 2, 3, 4, 5 1, 2, 3, 4, 8, 9 IA

c) Site where any manufacturing operation(s) take

place, except batch release, batch control, and

secondary packaging, for biological/immunological

medicinal products, or for pharmaceutical forms

manufactured by complex manufacturing processes

d) Site which requires an initial or product specific

inspection

e) Site where any manufacturing operation(s) take

place, except batch-release, batch control, primary

and secondary packaging, for non-sterile medicinal

products

1, 2, 3, 4, 5, 6,

7, 8, 9

f) Site where any manufacturing operation(s) take

place, except batch release, batch control, and

secondary packaging, for sterile medicinal

products (including those that are aseptically manu

factured) excluding biological/immunological

medicinal products

1, 2, 3, 4, 5, 6,

7, 8

Conditions

1. Satisfactory inspection in the last 3 years by an inspection service of one of the Member States of the EU/EEA or

of a country where an operational Good Manufacturing Practice (GMP) mutual recognition agreement (MRA)

exists between the country concerned and the EU.

2. Site appropriately authorised (to manufacture the pharmaceutical form or product concerned).

3. Product concerned is not a sterile product.

4. Where relevant, for instance for suspensions and emulsions, validation scheme is available or validation of the

manufacture at the new site has been successfully carried out according to the current protocol with at least three

production scale batches.

5. Product concerned is not a biological/immunological medicinal product.

Documentation

1. Proof that the proposed site is appropriately authorised for the pharmaceutical form or product concerned, i.e.:

For a manufacturing site within the EU/EEA: a copy of the current manufacturing authorisation. A reference to the

EudraGMP database will suffice;

C 223/40 Official Journal of the European Union 2.8.2013

For a manufacturing site outside the EU/EEA where an operational GMP mutual recognition agreement (MRA)

exists between the country concerned and the EU: a GMP certificate issued within the last 3 years by the relevant

competent authority;

For a manufacturing site outside the EU/EEA where no such mutual recognition agreement exists: a GMP

certificate issued within the last 3 years by an inspection service of one of the Member States of the EU/EEA.

A reference to the EudraGMP database will suffice.

2. Where relevant, the batch numbers, corresponding batch size and the manufacturing date of batches (≥ 3) used in

the validation study should be indicated and the validation data presented, or validation protocol (scheme) to be

submitted.

3. The variation application form should clearly outline the ‘present’ and ‘proposed’ finished product manufacturers

as listed in section 2.5 of the application form.

4. Copy of approved release and end-of-shelf life specifications if relevant.

5. Batch analysis data on one production batch and two pilot-scale batches simulating the production process (or

two production batches) and comparative data on the last three batches from the previous site; batch data on the

next two production batches should be available on request or reported if outside specifications (with proposed

action).

6. For semisolid and liquid formulations in which the active substance is present in non-dissolved form, appropriate

validation data including microscopic imaging of particle size distribution and morphology or any other appro

priate imaging technique.

7. i) If the new manufacturing site uses the active substance as a starting material — A declaration by the Qualified

Person (QP) at the site responsible for batch release that the active substance is manufactured in accordance

with the detailed guidelines on good manufacturing practice for starting materials as adopted by the Union.

ii) In addition, if the new manufacturing site is located within the EU/EEA and uses the active substance as a

starting material — A declaration by the Qualified Person (QP) of the new manufacturing site that the active

substance used is manufactured in accordance with the detailed guidelines on good manufacturing practice for

starting materials as adopted by the Union.

8. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate).

9. If the manufacturing site and the primary packaging site are different, conditions of transport and bulk storage

should be specified and validated.

Notes:

In case of a change in or a new manufacturing site in a country outside the EU/EEA without an operational GMP mutual

recognition agreement with the EU, marketing authorisation holders are advised to consult the relevant competent authorities first

before making the submission of the notification and to provide information about any previous EU/EEA inspection in the last 2-

3 years and/or any planned EU/EEA inspection(s) including inspection dates, product category inspected, Supervisory Authority

and other relevant information. This will facilitate the arrangement for a GMP inspection by an inspection service of one of the

Member States if needed.

QP Declarations in relation to active substances

Manufacturing authorisation holders are obliged to only use as starting materials active substances that have been

manufactured in accordance with GMP so a declaration is expected from each of the manufacturing authorisation

holders that use the active substance as a starting material. In addition, as the QP responsible for batch certifi

cation takes overall responsibility for each batch, a further declaration from the QP responsible for batch

certification is expected when the batch release site is a different site from the above.

In many cases only one manufacturing authorisation holder is involved and therefore only one declaration will be

required. However, when more than one manufacturing authorisation holder is involved rather than provide

multiple declarations it may be acceptable to provide a single declaration signed by one QP. This will be accepted

provided that:

The declaration makes it clear that it is signed on behalf of all the involved QPs.

The arrangements are underpinned by a technical agreement as described in Chapter 7 of the GMP Guide and the

QP providing the declaration is the one identified in the agreement as taking specific responsibility for the GMP

compliance of the active substance manufacturer(s). Note: these arrangements are subject to inspection by the

competent authorities.

2.8.2013 Official Journal of the European Union C 223/41

Applicants are reminded that a Qualified Person is at the disposal of a manufacturing authorisation holder

according to Article 41 of Directive 2001/83/EC and Article 45 of Directive 2001/82/EC and located in the

EU/EEA. Therefore declarations from personnel employed by manufacturers in third countries, including those

located within MRA partner countries are not acceptable.

According to Article 46a(1) of Directive 2001/83/EC and Article 50a(1) of Directive 2001/82/EC, manufacture

includes complete or partial manufacture, import, dividing up, packaging or presentation prior to its incor

poration into a medicinal product, including repackaging or relabeling as carried out by a distributor.

A declaration is not required for blood or blood components they are subject to the requirements of Directive

2002/98/EC of the European Parliament and of the Council (

(

) OJ L 33, 8.2.2003, p. 30.

B.II.b.2 Change to importer, batch release arrangements

and quality control testing of the finished product

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Replacement or addition of a site where batch

control/testing takes place

2, 3, 4, 5

1, 2, 5 IA

b) Replacement or addition of a site where batch

control/testing takes place for a biological/immuno

logical product and any of the test methods

performed at the site is a biological/immunological

method

c) Replacement or addition of a manufacturer

responsible for importation and/or batch release

1. Not including batch control/testing

1, 2,5 1, 2, 3, 4, 5 IA

2. Including batch control/testing

1, 2, 3, 4, 5 1, 2, 3, 4, 5 IA

3. Including batch control/testing for a biological/

immunological product and any of the test

methods performed at that site is a biological/

immunological/immunochemical method

Conditions

1. The manufacturer responsible for batch release must be located within the EU/EEA. At least one batch release site

remains within the EU/EEA that is able to certify the product testing for the purpose of batch release within the

EU/EEA.

2. The site is appropriately authorised.

3. The product is not a biological/immunological medicinal product.

4. Method transfer from the old to the new site or new test laboratory has been successfully completed.

5. At least one batch control/testing site remains within the EU/EEA or in a country where an operational and

suitably scoped GMP mutual recognition agreement (MRA) exists between the country concerned and the EU, that

is able to carry out product testing for the purpose of batch release within the EU/EEA.

Documentation

1. For a site within the EU/EEA: Attach copy of manufacturing authorisation(s) or where no manufacturing auth

orisation exists a certificate of GMP compliance issued within the last 3 years by the relevant competent authority.

C 223/42 Official Journal of the European Union 2.8.2013

For a manufacturing site outside the EEA where an operational GMP mutual recognition agreement (MRA) exists

between the country concerned and the EU: a GMP certificate, issued within the last 3 years by the relevant

competent authority. Where no such agreement exists a GMP certificate issued within the last 3 years by a

EU/EEA competent authority.

2. The variation application form should clearly outline the ‘present’ and ‘proposed’ finished product manufacturers,

importer, batch control/testing and batch release sites as listed in section 2.5 of the application form for

marketing authorisation.

3. For centralised procedure only: contact details of new contact person in the EU/EEA for product defects and

recalls, if applicable.

4. A declaration by the Qualified Person (QP) responsible for batch certification stating that the active substance

manufacturer(s) referred to in the marketing authorisation operate in compliance with the detailed guidelines on

good manufacturing practice for starting materials. A single declaration may be acceptable under certain circum

stances — see the note under variation No B.II.b.1.

5 Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate), including revised product information as appropriate.

B.II.b.3 Change in the manufacturing process of the

finished product, including an intermediate used in the

manufacture of the finished product

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Minor change in the manufacturing process

1, 2, 3, 4, 5, 6,

7, 8

b) Substantial changes to a manufacturing process that

may have a significant impact on the quality, safety

and efficacy of the medicinal product

c) The product is a biological/immunological

medicinal product and the change requires an

assessment of comparability

d) Introduction of a non-standard terminal sterili

sation method

e) Introduction or increase in the overage that is used

for the active substance

f) Minor change in the manufacturing process of an

aqueous oral suspension

1, 2, 4, 6, 7,8

Conditions

1. No change in qualitative and quantitative impurity profile or in physico-chemical properties.

2. Either the change relates to an immediate release solid oral dosage form/oral solution and the medicinal product

concerned is not a biological/immunological or herbal medicinal product;

or the change relates to process parameter(s) that, in the context of a previous assessment, have been considered

to have no impact on the quality of the finished product (regardless of the type of product and/or dosage form).

3. The manufacturing principle including the single manufacturing steps remain the same, e.g. processing inter

mediates and there are no changes to any manufacturing solvent used in the process.

4 The currently registered process has to be controlled by relevant in-process controls and no changes (widening or

deletion of limits) are required to these controls.

2.8.2013 Official Journal of the European Union C 223/43

5. The specifications of the finished product or intermediates are unchanged.

6. The new process must lead to an identical product regarding all aspects of quality, safety and efficacy.

7. Relevant stability studies in accordance with the relevant guidelines have been started with at least one pilot scale

or industrial scale batch and at least 3 months stability data are at the disposal of the applicant. Assurance is given

that these studies will be finalised and that the data will be provided immediately to the competent authorities if

outside specifications or potentially outside specifications at the end of the approved shelf life (with proposed

action).

Documentation

1. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate), including a direct comparison of the present process and the new process.

2. For semi-solid and liquid products in which the active substance is present in non-dissolved form: appropriate

validation of the change including microscopic imaging of particles to check for visible changes in morphology;

comparative size distribution data by an appropriate method.

3. For solid dosage forms: dissolution profile data of one representative production batch and comparative data of

the last three batches from the previous process; data on the next two full production batches should be available

on request or reported if outside specification (with proposed action). For herbal medicinal products, comparative

disintegration data may be acceptable.

4. Justification for not submitting a new bioequivalence study according to the relevant (Human or Veterinary)

guidance on Bioavailability.

5. For changes to process parameter(s) that have been considered to have no impact on the quality of the finished

product, declaration to this effect reached in the context of the previously approved risk assessment.

6. Copy of approved release and end-of-shelf life specifications.

7. Batch analysis data (in a comparative tabulated format) on a minimum of one batch manufactured to both the

currently approved and the proposed process. Batch data on the next two full production batches should be made

available upon request and reported by the marketing authorisation holder if outside specification (with proposed

action).

8. Declaration that relevant stability studies have been started under ICH/VICH conditions, as appropriate, (with

indication of the batch numbers concerned) and relevant stability parameters have been assessed in at least one

pilot scale or industrial scale batch and at least 3 months satisfactory stability data are at the disposal of the

applicant at time of notification and that the stability profile is similar to the currently registered situation.

Assurance is given that these studies will be finalised and that the data will be provided immediately to the

competent authorities if outside specifications or potentially outside specifications at the end of the approved shelf

life (with proposed action).

B.II.b.4 Change in the batch size (including batch size

ranges) of the finished product

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Up to 10-fold compared to the originally approved

batch size

1, 2, 3, 4, 5, 7

1, 4 IA

b) Downscaling down to 10-fold

1, 2, 3, 4, 5, 6 1, 4 IA

c) The change requires assessment of the compara

bility of a biological/immunological medicinal

product or the change in batch size requires a

new bioequivalence study

d) The change relates to all other pharmaceutical

forms manufactured by complex manufacturing

processes

C 223/44 Official Journal of the European Union 2.8.2013

e) More than 10-fold increase compared to the orig

inally approved batch size for immediate release

(oral) pharmaceutical forms

1, 2, 3, 4, 5, 6

f) The scale for a biological/immunological medicinal

product is increased/decreased without process

change (e.g. duplication of line)

1, 2, 3, 4, 5, 6

Conditions

1. The change does not affect reproducibility and/or consistency of the product.

2. The change relates to conventional immediate release oral pharmaceutical forms or to non-sterile liquid based

pharmaceutical forms.

3. Any changes to the manufacturing method and/or to the in-process controls are only those necessitated by the

change in batch-size, e.g. use of different sized equipment.

4. Validation scheme is available or validation of the manufacture has been successfully carried out according to the

current protocol with at least three batches at the proposed new batch size in accordance with the relevant

guidelines.

5. The product concerned is not a biological/immunological medicinal product.

6. The change should not be the result of unexpected events arising during manufacture or because of stability

concerns.

7. The batch size is within the 10-fold range of the batch size foreseen when the marketing authorisation was

granted or following a subsequent change not agreed as a Type IA variation.

Documentation

1. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate).

2. Batch analysis data (in a comparative tabulated format) on a minimum of one production batch manufactured to

both the currently approved and the proposed sizes. Batch data on the next two full production batches should be

made available upon request and reported by the MAH if outside specifications (with proposed action).

3. Copy of approved release and end-of-shelf life specifications.

4. Where relevant the batch numbers, corresponding batch size and the manufacturing date of batches (≥ 3) used in

the validation study should be indicated or validation protocol (scheme) be submitted.

5. The validation results should be provided

6. The results of stability studies that have been carried out under ICH/VICH conditions, on the relevant stability

parameters, on at least one pilot or industrial scale batch, covering a minimum period of 3 months, and an

assurance is given that these studies will be finalised, and that data will be provided immediately to the competent

authorities if outside specifications or potentially outside specifications at the end of the approved shelf life (with

proposed action). For biologicals/immunologicals: a declaration that an assessment of comparability is not

required.

B.II.b.5 Change to in-process tests or limits applied

during the manufacture of the finished product

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Tightening of in-process limits

1, 2, 3, 4 1, 2 IA

b) Addition of a new test(s) and limits

1, 2, 5, 6 1, 2, 3, 4, 5, 7 IA

c) Deletion of a non-significant in-process test

1, 2, 7 1, 2, 6 IA

2.8.2013 Official Journal of the European Union C 223/45

d) Deletion of an in-process test which may have a

significant effect on the overall quality of the

finished product

e) Widening of the approved IPC limits, which may

have a significant effect on overall quality of the

finished product

f) Addition or replacement of an in-process test as a

result of a safety or quality issue

1, 2, 3, 4, 5, 7

Conditions

1. The change is not a consequence of any commitment from previous assessments to review specification limits

(e.g. made during the procedure for the marketing authorisation application or a type II variation procedure).

2. The change does not result from unexpected events arising during manufacture, e.g. new unqualified impurity;

change in total impurity limits.

3. Any change should be within the range of currently approved limits.

4. The test procedure remains the same, or changes in the test procedure are minor.

5. Any new test method does not concern a novel non-standard technique or a standard technique used in a novel

way.

6. The new test method is not a biological/immunological/immunochemical method or a method using a biological

reagent for a biological active substance (does not include standard pharmacopoeial microbiological methods).

7. The in-process test does not concern the control of a critical parameter, e.g.:

assay,

impurities (unless a particular solvent is definitely not used in the manufacture)

any critical physical characteristics (particle size, bulk, tapped density, etc.)

identity test (unless there is a suitable alternative control already present)

microbiological control (unless not required for the particular dosage form)

Documentation

1. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate).

2. Comparative table of current and proposed in-process tests and limits.

3. Details of any new analytical method and validation data, where relevant.

4. Batch analysis data on two production batches (3 production batches for biologicals, unless otherwise justified) of

the finished product for all specification parameters.

5. Where appropriate, comparative dissolution profile data for the finished product on at least one pilot batch

manufactured using the current and new in-process tests. For herbal medicinal products, comparative disinte

gration data may be acceptable.

6 Justification/risk assessment showing that the in-process test is non-significant or that it is obsolete.

7. Justification of the new in-process test and limits.

C 223/46 Official Journal of the European Union 2.8.2013

B.II.c) Control of excipients

B.II.c.1 Change in the specification parameters and/or

limits of an excipient

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Tightening of specification limits

1, 2, 3, 4 1, 2 IA

b) Addition of a new specification parameter to the

specification with its corresponding test method

1, 2, 5, 6, 7

1, 2, 3, 4, 6, 8 IA

c) Deletion of a non-significant specification

parameter (e.g. deletion of an obsolete parameter)

1, 2, 8

1, 2, 7 IA

d) Change outside the approved specifications limits

range

e) Deletion of a specification parameter which may

have a significant effect on the overall quality of

the finished product

f) Addition or replacement (excluding biological or

immunological product) of a specification

parameter with its corresponding test method, as

a result of a safety or quality issue

1, 2, 3, 4, 5, 6, 8 IB

g) Where there is no monograph in the European

Pharmacopoeia or the national pharmacopoeia of

a Member State for the excipient, a change in spec

ification from in-house to a non-official Phar

macopoeia or a Pharmacopoeia of a third country

1, 2, 3, 4, 5, 6, 8

Conditions

1. The change is not a consequence of any commitment from previous assessments to review specification limits

(e.g. made during the procedure for the marketing authorisation application or a type II variation procedure).

2. The change does not result from unexpected events arising during manufacture, e.g. new unqualified impurity;

change in total impurity limits.

3. Any change should be within the range of currently approved limits.

4. The test procedure remains the same, or changes in the test procedure are minor.

5. Any new test method does not concern a novel non-standard technique or a standard technique used in a novel

way.

6. The test method is not a biological/immunological/immunochemical method, or a method using a biological

reagent (does not include standard pharmacopoeial microbiological methods)

7. The change does not concern a genotoxic impurity.

8. The specification parameter does not concern the control of a critical parameter, e.g.:

impurities (unless a particular solvent is definitely not used in the manufacture of the excipient)

any critical physical characteristics (particle size, bulk, tapped density, etc.)

identity test (unless there is a suitable alternative control already present)

microbiological control (unless not required for the particular dosage form)

2.8.2013 Official Journal of the European Union C 223/47

Documentation

1. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate).

2. Comparative table of current and proposed specifications.

3. Details of any new analytical method and validation data, where relevant.

4. Batch analysis data on two production batches (3 production batches for biological excipients) of the excipient for

all specification parameters.

5. Where appropriate, comparative dissolution profile data for the finished product on at least one pilot batch

containing the excipient complying with the current and proposed specification. For herbal medicinal products

comparative disintegration data may be acceptable.

6. Justification for not submitting a new bioequivalence study according to the relevant (Human, Veterinary)

Guideline on Bioavailability, if appropriate.

7. Justification/risk assessment showing that the parameter is non-significant or that it is obsolete.

8. Justification of the new specification parameter and the limits.

B.II.c.2 Change in test procedure for an excipient Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Minor changes to an approved test procedure

1, 2, 3, 4 1, 2 IA

b) Deletion of a test procedure if an alternative test

procedure is already authorised

1 IA

c) Substantial change to or replacement of a biologi

cal/immunological/immunochemical test method or

a method using a biological reagent

d) Other changes to a test procedure (including

replacement or addition)

1, 2

Conditions

1. Appropriate validation studies have been performed in accordance with the relevant guidelines and show that the

updated test procedure is at least equivalent to the former test procedure.

2. There have been no changes of the total impurity limits; no new unqualified impurities are detected.

3. The method of analysis should remain the same (e.g. a change in column length or temperature, but not a

different type of column or method).

4. The test method is not a biological/immunological/immunochemical method or a method using a biological

reagent (does not include standard pharmacopoeial microbiological methods).

5. An alternative test procedure is already authorised for the specification parameter and this procedure has not been

added through IA/IA(IN) notification.

Documentation

1. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate), including a description of the analytical methodology, a summary of

validation data, revised specifications for impurities (if applicable).

2. Comparative validation results or if justified comparative analysis results showing that the current test and the

proposed one are equivalent. This requirement is not applicable in case of an addition of a new test procedure.

C 223/48 Official Journal of the European Union 2.8.2013

B.II.c.3 Change in source of an excipient or reagent with

TSE risk

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) From TSE risk material to vegetable or synthetic

origin

1. For excipients or reagents not used in the manu

facture of a biological/immunological active

substance or in a biological/immunological

medicinal product

1 1 IA

2. For excipients or reagents used in the manu

facture of a biological/immunological active

substance or in a biological/immunological

medicinal product

1, 2 IB

b) Change or introduction of a TSE risk material or

replacement of a TSE risk material from a different

TSE risk material, not covered by a TSE certificate

of suitability

Conditions

1. Excipient and finished product release and end of shelf life specifications remain the same.

Documentation

1. Declaration from the manufacturer or the marketing authorisation holder of the material that it is purely of

vegetable or synthetic origin.

2. Study of equivalence of the materials and the impact on production of the final material and impact on behaviour

(e.g. dissolution characteristics) of the finished product.

B.II.c.4 Change in synthesis or recovery of a non-phar

macopoeial excipient (when described in the dossier) or

a novel excipient

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Minor change in synthesis or recovery of a non-

pharmacopoeial excipient or a novel excipient

1, 2

1, 2, 3, 4 IA

b) The specifications are affected or there is a change

in physico-chemical properties of the excipient

which may affect the quality of the finished

product.

c) The excipient is a biological/immunological

substance

Conditions

1. The synthetic route and specifications are identical and there is no change in qualitative and quantitative impurity

profile (excluding residual solvents, provided they are controlled in accordance with ICH/VICH limits), or in

physico-chemical properties.

2. Adjuvants are excluded.

Documentation

1. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate).

2. Batch analysis data (in a comparative tabulated format) of at least two batches (minimum pilot scale) of the

excipient manufactured according to the old and the new process.

2.8.2013 Official Journal of the European Union C 223/49

3. Where appropriate, comparative dissolution profile data for the finished product of at least two batches

(minimum pilot scale). For herbal medicinal products, comparative disintegration data may be acceptable.

4. Copy of approved and new (if applicable) specifications of the excipient.

B.II.d) Control of finished product

B.II.d.1 Change in the specification parameters and/or

limits of the finished product

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Tightening of specification limits

1, 2, 3, 4 1, 2 IA

b) Tightening of specification limits for medicinal

products subject to Official Control Authority

Batch Release

1, 2, 3, 4

1, 2 IA

c) Addition of a new specification parameter to the

specification with its corresponding test method

1, 2, 5, 6, 7

1, 2, 3, 4, 5, 7 IA

d) Deletion of a non-significant specification

parameter (e.g. deletion of an obsolete parameter

such as odour and taste or identification test for a

colouring or flavouring material)

1, 2, 9

1, 2, 6 IA

e) Change outside the approved specifications limits

range

f) Deletion of a specification parameter which may

have a significant effect on the overall quality of

the finished product

g) Addition or replacement (excluding biological or

immunological product) of a specification

parameter with its corresponding test method as

a result of a safety or quality issue

1, 2, 3, 4, 5, 7

h) Update of the dossier to comply with the

provisions of an updated general monograph of

the Ph. Eur for the finished product (*)

1, 2, 3, 4, 7, 8

1, 2 IA

i) Ph. Eur. 2.9.40 Uniformity of dosage units is

introduced to replace the currently registered

method, either Ph. Eur. 2.9.5 (Uniformity of mass)

or Ph. Eur. 2.9.6 (Uniformity of content)

1, 2,10 1, 2, 4 IA

Conditions

1. The change is not a consequence of any commitment from previous assessments to review specification limits

(e.g. made during the procedure for the marketing authorisation application or a type II variation procedure),

unless the supporting documentation has been already assessed and approved within another procedure.

2. The change does not result from unexpected events arising during manufacture, e.g. new unqualified impurity;

change in total impurity limits.

3. Any change should be within the range of currently approved limits.

4. The test procedure remains the same, or changes in the test procedure are minor.

C 223/50 Official Journal of the European Union 2.8.2013

5. Any new test method does not concern a novel non-standard technique or a standard technique used in a novel

way.

6. The test method is not a biological/immunological/immunochemical method or a method using a biological

reagent for a biological active substance.

7. The change does not concern any impurities (including genotoxic) or dissolution.

8. The change concerns the updating of the microbial control limits to be in line with the current Pharmacopoeia,

and the currently registered microbial control limits (present situation) are in line with the pre January 2008

(non-harmonised) situation and does not include any additional specified controls over the Pharmacopoeia

requirements for the particular dosage form and the proposed controls are in line with the harmonised mono

graph.

9. The specification parameter or proposal for the specific dosage form does not concern a critical parameter for

example:

assay,

impurities (unless a particular solvent is definitely not used in the manufacture of the finished product)

any critical physical characteristics (hardness or friability for uncoated tablets, dimensions, etc.)

a test that is required for the particular dosage form in accordance with the general notices of the Ph. Eur.;

any request for skip testing.

10. The proposed control is fully in line with the Table 2.9.40.-1 of Ph. Eur. 2.9.40 monograph, and does not

include the alternative proposal for testing uniformity of dosage units by Mass Variation instead of Content

Uniformity when the latter is specified in Table 2.9.40.-1.

Documentation

1. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate).

2. Comparative table of current and proposed specifications.

3. Details of any new analytical method and validation data, where relevant.

4. Batch analysis data on two production batches (3 production batches for biologicals, unless otherwise justified)

of the finished product for all specification parameters

5. Where appropriate, comparative dissolution profile data for the finished product on at least one pilot batch

complying with the current and proposed specification. For herbal medicinal products, comparative disinte

gration data may be acceptable.

6 Justification/risk assessment showing that the parameter is non-significant or that it is obsolete.

7. Justification of the new specification parameter and the limits

(*) Note: there is no need to notify the competent authorities of an updated monograph of the European pharmacopoeia or a national

pharmacopoeia of a Member State in the case that reference is made to the ‘current edition’ in the dossier of an authorised

medicinal product. This variation therefore applies to cases where no reference to the updated monograph of the phar

macopoeia was contained in the technical dossier and the variation is made to make reference to the updated version.

B.II.d.2 Change in test procedure for the finished product

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Minor changes to an approved test procedure

1, 2, 3, 4, 1,2 IA

b) Deletion of a test procedure if an alternative

method is already authorised

1 IA

2.8.2013 Official Journal of the European Union C 223/51

c) Substantial change to, or replacement of, a biologi

cal/immunological/immunochemical test method or

a method using a biological reagent or replacement

of a biological reference preparation not covered

by an approved protocol

d) Other changes to a test procedure (including

replacement or addition)

1, 2

e) Update of the test procedure to comply with the

updated general monograph in the Ph. Eur.

2, 3, 4, 5

1 IA

f) To reflect compliance with the Ph.Eur. and remove

reference to the outdated internal test method and

test method number (*)

2, 3, 4, 5

1 IA

Conditions

1. Appropriate validation studies have been performed in accordance with the relevant guidelines and show that the

updated test procedure is at least equivalent to the former test procedure.

2. There have been no changes of the total impurity limits; no new unqualified impurities are detected

3. The method of analysis should remain the same (e.g. a change in column length or temperature, but not a

different type of column or method);

4. The test method is not a biological/immunological/immunochemical method or a method using a biological

reagent (does not include standard pharmacopoeial microbiological methods).

5. The registered test procedure already refers to the general monograph of the Ph. Eur. and any changes are minor

in nature and require update of the technical dossier.

Documentation

1. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate), including a description of the analytical methodology, a summary of

validation data, revised specifications for impurities (if applicable).

2. Comparative validation results or if justified comparative analysis results showing that the current test and the

proposed one are equivalent.; This requirement is not applicable in case of an addition of a new test procedure.

(*) Note: there is no need to notify the competent authorities of an updated monograph of the European pharmacopoeia in the case that

reference is made to the ‘current edition’ in the dossier of an authorised medicinal product.

B.II.d.3 Variations related to the introduction of real-time

release or parametric release in the manufacture of the

finished product

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

B.II.e) Container closure system

B.II.e.1 Change in immediate packaging of the finished

product

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Qualitative and quantitative composition

1. Solid pharmaceutical forms

1, 2, 3 1, 2, 3, 4, 6 IA

C 223/52 Official Journal of the European Union 2.8.2013

2. Semi-solid and non-sterile liquid pharmaceutical

forms

1, 2, 3, 5, 6

3. Sterile medicinal products and biological/im

munological medicinal products.

4. The change relates to a less protective pack

where there are associated changes in storage

conditions and/or reduction in shelf life.

b) Change in type of container or addition of a new

container

1. Solid, semi-solid and non-sterile liquid phar

maceutical forms

1, 2, 3, 5, 6, 7

2. Sterile medicinal products and biological/im

munological medicinal products

3. Deletion of an immediate packaging container

that does not lead to the complete deletion of

a strength or pharmaceutical form

1, 8 IA

Conditions

1. The change only concerns the same packaging/container type (e.g. blister to blister).

2. The proposed packaging material must be at least equivalent to the approved material in respect of its relevant

properties.

3. Relevant stability studies have been started under ICH/VICH conditions and relevant stability parameters have been

assessed in at least two pilot scale or industrial scale batches and at least 3 months satisfactory stability data are at

the disposal of the applicant at time of implementation. However, if the proposed packaging is more resistant

than the existing packaging, e.g. thicker blister packaging, the 3 months’ stability data do not yet have to be

available. These studies must be finalised and the data will be provided immediately to the competent authorities if

outside specifications or potentially outside specifications at the end of the approved shelf life (with proposed

action).

4. The remaining product presentation(s) must be adequate for the dosing instructions and treatment duration as

mentioned in the summary of product characteristics.

Documentation

1. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate), including revised product information as appropriate.

2. Appropriate data on the new packaging (comparative data on permeability, e.g. for O

, CO

moisture).

3. Where appropriate, proof must be provided that no interaction between the content and the packaging material

occurs (e.g. no migration of components of the proposed material into the content and no loss of components of

the product into the pack), including confirmation that the material complies with relevant pharmacopoeial

requirements or legislation of the Union on plastic material and objects in contact with foodstuffs.

4. A declaration that the required stability studies have been started under ICH/VICH conditions (with indication of

the batch numbers concerned) and that, as relevant, the required minimum satisfactory stability data were at the

disposal of the applicant at time of implementation and that the available data did not indicate a problem.

Assurance should also be given that the studies will be finalised and that data will be provided immediately to the

competent authorities if outside specifications or potentially outside specifications at the end of the approved shelf

life (with proposed action).

5. The results of stability studies that have been carried out under ICH/VICH conditions, on the relevant stability

parameters, on at least two pilot or industrial scale batches, covering a minimum period of 3 months, and an

assurance is given that these studies will be finalised, and that data will be provided immediately to the competent

authorities if outside specifications or potentially outside specifications at the end of the approved shelf life (with

proposed action).

2.8.2013 Official Journal of the European Union C 223/53

6. Comparative table of the current and proposed immediate packaging specifications, if applicable.

7. Samples of the new container/closure where applicable (see NTA, Requirements for samples in the Member

States/EMA).

8. Declaration that the remaining pack-size(s) is/are consistent with the dosage regimen and duration of treatment

and adequate for the dosing instructions as approved in the summary of product characteristics.

Note: for B.II.e.1.b), applicants are reminded that any change which results in a ‘new pharmaceutical form’ requires the submission of

an Extension application.

B.II.e.2 Change in the specification parameters and/or

limits of the immediate packaging of the finished product

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Tightening of specification limits

1, 2, 3, 4 1, 2 IA

b) Addition of a new specification parameter to the

specification with its corresponding test method

1, 2, 5

1, 2, 3, 4, 6 IA

c) Deletion of a non-significant specification

parameter (e.g. deletion of an obsolete parameter)

1, 2

1, 2, 5 IA

d) Addition or replacement of a specification

parameter as a result of a safety or quality issue

1, 2, 3, 4, 6

Conditions

1. The change is not a consequence of any commitment from previous assessments to review specification limits

(e.g. made during the procedure for the marketing authorisation application or a type II variation procedure).

2. The change does not result from unexpected events arising during manufacture

3. Any change should be within the range of currently approved limits.

4. The test procedure remains the same, or changes in the test procedure are minor.

5. Any new test method does not concern a novel non-standard technique or a standard technique used in a novel

way

Documentation

1. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate).

2. Comparative table of current and proposed specifications.

3. Details of any new analytical method and validation data, where relevant.

4. Batch analysis data on two batches of the immediate packaging for all specification parameters.

5. Justification/risk assessment showing that the parameter is non-significant or that it is obsolete.

6. Justification of the new specification parameter and the limits.

B.II.e.3 Change in test procedure for the immediate

packaging of the finished product

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Minor changes to an approved test procedure

1, 2, 3 1, 2 IA

C 223/54 Official Journal of the European Union 2.8.2013

b) Other changes to a test procedure (including

replacement or addition)

1, 3, 4

1, 2 IA

c) Deletion of a test procedure if an alternative test

procedure is already authorised

1 IA

Conditions

1. Appropriate validation studies have been performed in accordance with the relevant guidelines and validation

studies show that the updated test procedure is at least equivalent to the former test procedure.

2. The method of analysis should remain the same (e.g. a change in column length or temperature, but not a

different type of column or method).

3. Any new test method does not concern a novel non-standard technique or a standard technique used in a novel

way.

4. The active substance/finished product is not biological/immunological.

5. An alternative test procedure is already authorised for the specification parameter and this procedure has not been

added through IA/IA(IN) notification.

Documentation

1. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate), including a description of the analytical methodology, a summary of

validation data.

2. Comparative validation results or if justified comparative analysis results showing that the current test and the

proposed one are equivalent. This requirement is not applicable in case of an addition of a new test procedure.

B.II.e.4 Change in shape or dimensions of the container

or closure (immediate packaging)

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Non-sterile medicinal products

1, 2, 3 1, 2, 4 IA

b) The change in shape or dimensions concerns a

fundamental part of the packaging material, which

may have a significant impact on the delivery, use,

safety or stability of the finished product

c) Sterile medicinal products

1, 2, 3, 4 IB

Conditions

1. No change in the qualitative or quantitative composition of the container.

2. The change does not concern a fundamental part of the packaging material, which affects the delivery, use, safety

or stability of the finished product.

3. In case of a change in the headspace or a change in the surface/volume ratio, stability studies in accordance with

the relevant guidelines have been started and relevant stability parameters have been assessed in at least two pilot

scale (three for biological/immunological medicinal products) or industrial scale batches and at least 3 months (6

months for biological/immunological medicinal products) stability data are at the disposal of the applicant.

Assurance is given that these studies will be finalised and that data will be provided immediately to the

competent authorities if outside specifications or potentially outside specifications at the end of the approved

shelf life (with proposed action).

Documentation

1. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate), including description, detailed drawing and composition of the container

or closure material, and including revised product information as appropriate.

2.8.2013 Official Journal of the European Union C 223/55

2. Samples of the new container/closure where applicable (see NTA, Requirements for samples in the Member

States).

3. Revalidation studies have been performed in case of sterile products terminally sterilised. The batch numbers of

the batches used in the revalidation studies should be indicated, where applicable.

4. In case of a change in the headspace or a change in the surface/volume ratio, a declaration that the required

stability studies have been started under ICH/VICH conditions (with indication of the batch numbers concerned)

and that, as relevant, the required minimum satisfactory stability data were at the disposal of the applicant at time

of implementation for a Type IA notification and time of submission of a Type IB notification, and that the

available data did not indicate a problem. Assurance should also be given that the studies will be finalised and that

data will be provided immediately to the competent authorities if outside specifications or potentially outside

specifications at the end of the approved shelf life (with proposed action).

B.II.e.5 Change in pack size of the finished product Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Change in the number of units (e.g. tablets,

ampoules, etc.) in a pack

1. Change within the range of the currently

approved pack sizes

1, 2

1, 3 IA

2. Change outside the range of the currently

approved pack sizes

1, 2, 3

b) Deletion of pack size(s)

3 1, 2 IA

c) Change in the fill weight/fill volume of sterile

multidose (or single-dose, partial use) parenteral

medicinal products, including biological/immuno

logical medicinal products

d) Change in the fill weight/fill volume of non-

parenteral multi-dose (or single-dose, partial use)

products

1, 2, 3

Conditions

1. New pack size should be consistent with the posology and treatment duration as approved in the Summary of

Product Characteristics.

2. The primary packaging material remains the same.

3. The remaining product presentation(s) must be adequate for the dosing instructions and treatment duration as

mentioned in the Summary of Product Characteristics.

Documentation

1. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate) including revised product information as appropriate.

2. Justification for the new/remaining pack-size, showing that the new/remaining size is/are consistent with the

dosage regimen and duration of treatment as approved in the summary of product characteristics

3. Declaration that stability studies will be conducted in accordance with the relevant guidelines for products where

stability parameters could be affected. Data to be reported only if outside specifications (with proposed action).

Note: for B.II.e.5.c) and d), applicants are reminded that any changes to the ‘strength’ of the medicinal product require the submission

of an Extension application.

C 223/56 Official Journal of the European Union 2.8.2013

B.II.e.6 Change in any part of the (primary) packaging

material not in contact with the finished product formu

lation (such as colour of flip-off caps, colour code rings

on ampoules, change of needle shield (different plastic

used))

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Change that affects the product information

1 1 IA

b) Change that does not affect the product

information

1 IA

Conditions

1. The change does not concern a part of the packaging material, which affects the delivery, use, safety or stability of

the finished product.

Documentation

1. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate), including revised product information as appropriate.

B.II.e.7 Change in supplier of packaging components or

devices (when mentioned in the dossier)

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Deletion of a supplier 1 1 IA

b) Replacement or addition of a supplier

1, 2, 3, 4 1, 2, 3 IA

c) Any change to suppliers of spacer devices for

metered dose inhalers

Conditions

1. No deletion of packaging component or device.

2. The qualitative and quantitative composition of the packaging components/device and design specifications

remain the same.

3. The specifications and quality control method are at least equivalent.

4. The sterilisation method and conditions remain the same, if applicable.

Documentation

1. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate).

2. For devices for medicinal products for human use, proof of CE marking.

3. Comparative table of current and proposed specifications, if applicable.

B.II.f) Stability

B.II.f.1 Change in the shelf-life or storage conditions of

the finished product

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Reduction of the shelf life of the finished product

1. As packaged for sale

1 1, 2, 3 IA

2.8.2013 Official Journal of the European Union C 223/57

2. After first opening 1 1, 2, 3 IA

3. After dilution or reconstitution

1 1, 2, 3 IA

b) Extension of the shelf life of the finished product

1. As packaged for sale (supported by real time

data)

1, 2, 3

2. After first opening (supported by real time data)

1, 2, 3 IB

3. After dilution or reconstitution (supported by

real time data)

1, 2, 3

4. Extension of the shelf-life based on extra

polation of stability data not in accordance

with ICH/VICH guidelines (*)

5. Extension of the shelf-life of a biological/im

munological medicinal product in accordance

with an approved stability protocol.

1, 2, 3

c) Change in storage conditions for biological

medicinal products, when the stability studies

have not been performed in accordance with an

approved stability protocol

d) Change in storage conditions of the finished

product or the diluted/reconstituted product

1, 2, 3

e) Change to an approved stability protocol

1, 2 1, 4 IA

Conditions

1. The change should not be the result of unexpected events arising during manufacture or because of stability

concerns.

2. The change does not concern a widening of the acceptance criteria in the parameters tested, a removal of stability

indicating parameters or a reduction in the frequency of testing.

Documentation

1. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate). This must contain results of appropriate real time stability studies

(covering the entire shelf life) conducted in accordance with the relevant stability guidelines on at least two

pilot scale batches (

) of the finished product in the authorised packaging material and/or after first opening or

reconstitution, as appropriate; where applicable, results of appropriate microbiological testing should be included.

2. Revised product information

3. Copy of approved end of shelf life finished product specification and where applicable, specifications after

dilution/reconstitution or first opening.

4. Justification for the proposed change(s).

(*) Note: extrapolation not applicable for biological/immunological medicinal product.

(

) Pilot scale batches can be accepted with a commitment to verify the shelf life on production scale batches.

C 223/58 Official Journal of the European Union 2.8.2013

B.II.g) Design Space and post approval change management protocol

B.II.g.1 Introduction of a new design space or extension

of an approved design space for the finished product,

concerning:

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) One or more unit operations in the manufacturing

process of the finished product including the

resulting in-process controls and/or test procedures

1, 2, 3

b) Test procedures for excipients/intermediates and/or

the finished product.

1, 2, 3

Documentation

1. Results from product and process development studies (including risk assessment and multivariate studies, as

appropriate) demonstrating that a systematic mechanistic understanding of material attributes and process

parameters to the critical quality attributes of the finished product has been achieved.

2. Description of the design space in tabular format, including the variables (material attributes and process

parameters, as appropriate) and their proposed ranges.

3. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate).

B.II.g.2 Introduction of a post approval change

management protocol related to the finished product

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

1, 2, 3

Documentation

1. Detailed description for the proposed change.

2. Change management protocol related to the finished product.

3. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate).

B.II.g.3 Deletion of an approved change management

protocol related to the finished product

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

1, 2 IA

Conditions

1. The deletion of the approved change management protocol related to the finish product is not a result of

unexpected events or out of specification results during the implementation of the change(s) described in the

protocol and does not have any effect on the already approved information in the dossier.

Documentation

1. Justification for the proposed deletion.

2. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate).

B.II.g.4 Changes to an approved change management

protocol

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Major changes to an approved change management

protocol

2.8.2013 Official Journal of the European Union C 223/59

b) Minor changes to an approved change management

protocol that do not change the strategy defined in

the protocol

Documentation

1. Declaration that any change should be within the range of currently approved limits. In addition, declaration that

an assessment of comparability is not required for biological/immunological medicinal products.

B.II.g.5 Implementation of changes foreseen in an

approved change management protocol

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) The implementation of the change requires no

further supportive data

1, 2, 4 IA

b) The implementation of the change requires further

supportive data

1, 2, 3, 4

c) Implementation of a change for a biological/im

munological medicinal product

1, 2, 3, 4, 5

Conditions

1. The proposed change has been performed fully in line with the approved change management protocol, which

requires its immediate notification following implementation.

Documentation

1. Reference to the approved change management protocol.

2. Declaration that the change is in accordance with the approved change management and that the study results

meet the acceptance criteria specified in the protocol. In addition, declaration that an assessment of comparability

is not required for biological/immunological medicinal products.

3. Results of the studies performed in accordance with the approved change management protocol.

4. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate).

5. Copy of approved specifications of the finished product.

B.II.h Adventitious Agents Safety

B.II.h.1 Update to the ‘Adventitious Agents Safety Evalu

ation’ information (section 3.2.A.2)

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Studies related to manufacturing steps investigated

for the first time for one or more adventitious

agents

b) Replacement of obsolete studies related to manu

facturing steps and adventitious agents already

reported in the dossier

1) with modification of risk assessment

2) without modification of risk assessment

1, 2, 3 IB

Documentation

1. Amendment of the relevant section(s) of the dossiers including the introduction of the new studies to investigate

the capability of manufacturing steps to inactivate/reduce adventitious agents.

C 223/60 Official Journal of the European Union 2.8.2013

2. Justification that the studies do not modify the risk assessment.

3. Amendment of product information (where applicable).

B.III CEP/TSE/MONOGRAPHS

B.III.1 Submission of a new or updated Ph. Eur.

certificate of suitability or deletion of Ph. Eur. certificate

of suitability:

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

For an active substance

For a starting material/reagent/intermediate used in the

manufacturing process of the active substance

For an excipient

a) European Pharmacopoeial Certificate of Suitability

to the relevant Ph. Eur. Monograph.

1. New certificate from an already approved manufac

turer

1, 2, 3, 4, 5, 8,

1, 2, 3, 4, 5

2. Updated certificate from an already approved manu

facturer

1, 2, 3, 4, 8

1, 2, 3, 4, 5 IA

3. New certificate from a new manufacturer

(replacement or addition)

1, 2, 3, 4, 5, 8,

1, 2, 3, 4, 5

4. Deletion of certificates (in case multiple certificates

exist per material)

3 IA

5. New certificate for a non-sterile active substance that

is to be used in a sterile medicinal product, where

water is used in the last steps of the synthesis and

the material is not claimed to be endotoxin free

1, 2, 3, 4, 5, 6 IB

b) European Pharmacopoeial TSE Certificate of suit

ability for an active substance/starting material/

reagent/intermediate/or excipient

1. New certificate for an active substance from a new

or an already approved manufacturer

3, 5, 6, 11

1, 2, 3, 4, 5 IA

2. New certificate for a starting material/reagent/inter

mediate/or excipient from a new or an already

approved manufacturer

3, 6, 9

1, 2, 3, 4, 5 IA

3. Updated certificate from an already approved manu

facturer

7, 9

1, 2, 3, 4, 5 IA

4. Deletion of certificates (in case multiple certificates

exist per material)

3 IA

5. New/updated certificate from an already-

approved/new manufacturer using materials of

human or animal origin for which an assessment

of the risk with respect to potential contami

nation with adventitious agents is required

2.8.2013 Official Journal of the European Union C 223/61

Conditions

1. The finished product release and end of shelf life specifications remain the same.

2. Unchanged (excluding tightening) additional (to Ph. Eur.) specifications for impurities (excluding residual

solvents, provided they are in compliance with ICH/VICH) and product specific requirements (e.g. particle size

profiles, polymorphic form), if applicable.

3. The manufacturing process of the active substance, starting material/reagent/intermediate does not include the

use of materials of human or animal origin for which an assessment of viral safety data is required.

4. For active substance only, it will be tested immediately prior to use if no retest period is included in the Ph. Eur.

Certificate of Suitability or if data to support a retest period is not already provided in the dossier.

5. The active substance/starting material/reagent/intermediate/excipient is not sterile.

6. The substance is not included in a veterinary medicinal product for use in animal species susceptible to TSE

7. For veterinary medicinal products: there has been no change in the source of material.

8. For herbal active substances: the manufacturing route, physical form, extraction solvent and drug extract ratio

(DER) should remain the same.

9. If Gelatine manufactured from bones is to be used in a medicinal product for parenteral use, it should only be

manufactured in compliance with the relevant country requirements.

10. At least one manufacturer for the same substance remains in the dossier.

11. If the active substance is a not a sterile substance but is to be used in a sterile medicinal product then according

to the CEP it must not use water during the last steps of the synthesis or if it does the active substance must also

be claimed to be free from bacterial endotoxins.

Documentation

1. Copy of the current (updated) Ph. Eur. Certificate of Suitability.

2. In case of an addition of a manufacturing site, the variation application form should clearly outline the ‘present’

and ‘proposed’ manufacturers as listed in section 2.5 of the application form.

3. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format).

4. Where applicable, a document providing information of any materials falling within the scope of the Note for

Guidance on Minimising the Risk of Transmitting Animal Spongiform Encephalopathy Agents via Human and Veterinary

Medicinal Products including those which are used in the manufacture of the active substance/excipient. The

following information should be included for each such material: Name of manufacturer, species and tissues

from which the material is a derivative, country of origin of the source animals and its use.

For the Centralised Procedure, this information should be included in an updated TSE table A (and B, if relevant).

5. Where applicable, for active substance, a declaration by the Qualified Person (QP) of each of the manufacturing

authorisation holders listed in the application where the active substance is used as a starting material and a

declaration by the QP of each of the manufacturing authorisation holders listed in the application as responsible

for batch release. These declarations should state that the active substance manufacturer(s) referred to in the

application operate in compliance with the detailed guidelines on good manufacturing practice for starting

materials. A single declaration may be acceptable under certain circumstances — see the note under variation

No B.II.b.1. The manufacture of intermediates also require a QP declaration, while as far as any updates to

certificates for active substances and intermediates are concerned, a QP declaration is only required if,

compared to the previously registered version of the certificate, there is a change to the actual listed manu

facturing sites.

6. Suitable evidence to confirm compliance of the water used in the final steps of the synthesis of the active

substance with the corresponding requirements on quality of water for pharmaceutical use.

C 223/62 Official Journal of the European Union 2.8.2013

B.III.2 Change to comply with Ph. Eur. or with a national

pharmacopoeia of a Member State

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Change of specification(s) of a former non-EU Phar

macopoeial substance to fully comply with the Ph.

Eur. or with a national pharmacopoeia of a

Member State

1. Active substance

1, 2, 3, 4, 5 1, 2, 3, 4 IA

2. Excipient/active substance starting material

1, 2,4 1, 2, 3, 4 IA

b) Change to comply with an update of the relevant

monograph of the Ph. Eur. or national phar

macopoeia of a Member State

1, 2, 4, 5

1, 2, 3, 4 IA

c) Change in specifications from a national phar

macopoeia of a Member State to the Ph. Eur.

1, 4, 5

1, 2, 3, 4 IA

Conditions

1. The change is made exclusively to fully comply with the pharmacopoeia. All the tests in the specification need to

correspond to the pharmacopoeial standard after the change, except any additional supplementary tests.

2. Additional specifications to the pharmacopoeia for product specific properties are unchanged (e.g. particle size

profiles, polymorphic form or, e.g. bioassays, aggregates).

3. No significant changes in qualitative and quantitative impurities profile unless the specifications are tightened

4. Additional validation of a new or changed pharmacopoeial method is not required

5. For herbal active substances: the manufacturing route, physical form, extraction solvent and drug extract ratio

(DER) should remain the same.

Documentation

1. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate).

2. Comparative table of current and proposed specifications.

3. Batch analysis data (in a comparative tabulated format) on two production batches of the relevant substance for

all tests in the new specification and additionally, where appropriate, comparative dissolution profile data for the

finished product on at least one pilot batch. For herbal medicinal products, comparative disintegration data may

be acceptable.

4. Data to demonstrate the suitability of the monograph to control the substance, e.g. a comparison of the potential

impurities with the transparency note of the monograph.

Note: there is no need to notify the competent authorities of an updated monograph of the European pharmacopoeia or a national

pharmacopoeia of a Member State in the case that reference is made to the ‘current edition’ in the dossier of an authorised

medicinal product.

2.8.2013 Official Journal of the European Union C 223/63

B.IV MEDICAL DEVICES

B.IV.1 Change of a measuring or administration device

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Addition or replacement of a device which is not

an integrated part of the primary packaging

1. Device with CE marking

1, 2, 3, 6, 7 1, 2, 4 IA

2. Device without CE marking for veterinary

products only

1, 3, 4

3. Spacer device for metered dose inhalers or

other device which may have a significant

impact on the delivery of the active substance

in the product (e.g. nebuliser)

b) Deletion of a device

4, 5 1, 5 IA

c) Addition or replacement of a device which is an

integrated part of the primary packaging

Conditions

1. The proposed measuring or administration device must accurately deliver the required dose for the product

concerned in line with the approved posology and results of such studies should be available.

2. The new device is compatible with the medicinal product.

3. The change should not lead to substantial amendments of the product information.

4. The medicinal product can still be accurately delivered.

5. For veterinary medicinal products, the device is not crucial for the safety of the person administering the product.

6. The medical device is not used as a solvent of the medicinal product.

7. If a measuring function is intended the CE marking should cover the measuring function.

Documentation

1. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate), including description, detailed drawing and composition of the device

material and supplier where appropriate, and including revised product information as appropriate.

2. Proof of CE marking and if a measuring function is intended the proof of CE marking should also include the 4

digit notified body number.

3. Data to demonstrate accuracy, precision and compatibility of the device.

4. Samples of the new device where applicable (see NTA, Requirements for samples in the Member States).

5. Justification for the deletion of the device.

Note: for B.IV.1.c), applicants are reminded that any change which results in a ‘new pharmaceutical form’ requires the submission of

an Extension application.

C 223/64 Official Journal of the European Union 2.8.2013

B.IV.2 Change in specification parameters and/or limits of

a measuring or administration device for veterinary

medicinal products

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Tightening of specification limits 1, 2, 3, 4 1, 2 IA

b) Addition of a new specification parameter to the

specification with its corresponding test method

1, 2, 5

1, 2, 3, 4, 6 IA

c) Widening of the approved specifications limits,

which has a significant effect on the overall

quality of the device

d) Deletion of a specification parameter that has a

significant effect on the overall quality of the

device

e) Addition of a specification parameter as a result of

a safety or quality issue

1, 2, 3, 4, 6

f) Deletion of a non-significant specification

parameter (e.g. deletion of an obsolete parameter)

1, 2

1, 2, 5 IA

Conditions

1. The change is not a consequence of any commitment from previous assessments to review specification limits

(e.g. made during the procedure for the marketing authorisation application or a type II variation procedure)

unless the supporting documentation has been already assessed and approved within another procedure.

2. The change should not be the result of unexpected events arising during manufacture.

3. Any change should be within the range of currently approved limits.

4. The test procedure remains the same

5. Any new test method does not concern a novel non-standard technique or a standard technique used in a novel

way.

Documentation

1. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate).

2. Comparative table of current and proposed specifications.

3. Details of any new analytical method and summary of validation data.

4. Batch analysis data on two production batches for all tests in the new specification.

5. Justification/risk assessment showing that the parameter is non-significant based or that it is obsolete.

6. Justification for the new specification parameter and the limits

B.IV.3 Change in test procedure of a measuring or admin

istration device for veterinary medicinal products

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Minor change to an approved test procedure

1, 2 1, 2 IA

2.8.2013 Official Journal of the European Union C 223/65

b) Other changes to a test procedure (including

replacement or addition)

1, 3

1, 2 IA

c) Deletion of a test procedure if an alternative test

procedure is already authorised

1 IA

Conditions

1. Appropriate validation studies have been performed in accordance with the relevant guidelines and show that the

updated test procedure is at least equivalent to the former test procedure.

2. The method of analysis should remain the same.

3. Any new test method does not concern a novel non-standard technique or a standard technique used in a novel

way

4. An alternative test procedure is already authorised for the specification parameter and this procedure has not been

added through IA/IA(IN) notification.

Documentation

1. Amendment of the relevant section(s) of the dossier (presented in the EU-CTD format or NTA volume 6B format

for veterinary products, as appropriate), including a description of the analytical methodology and a summary of

validation data.

2. Comparative validation results or if justified comparative analysis results showing that the current test and the

proposed one are equivalent. This requirement is not applicable in case of an addition of a new test procedure.

B.V. CHANGES TO A MARKETING AUTHORISATION RESULTING FROM OTHER REGULATORY PROCEDURES

B.V.a) PMF/VAMF

B.V.a.1 Inclusion of a new, updated or amended Plasma

Master File in the marketing authorisation dossier of a

medicinal product. (PMF 2nd step procedure)

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) First-time inclusion of a new Plasma Master File

affecting the properties of the finished product

b) First-time inclusion of a new Plasma Master File

not affecting the properties of the finished product

1, 2, 3, 4

c) Inclusion of an updated/amended Plasma Master

File when changes affect the properties of the

finished product

1, 2, 3, 4

d) Inclusion of an updated/amended Plasma Master

File when changes do not affect the properties of

the finished product

1, 2, 3, 4 IA

Conditions

1. The updated or amended Plasma Master File has been granted a certificate of compliance with legislation of the

Union in accordance with Annex I of Directive 2001/83/EC.

Documentation

1. Declaration that the PMF Certificate and Evaluation Report are fully applicable for the authorised product, PMF

holder has provided the PMF Certificate, Evaluation report and PMF dossier to the MAH (where the MAH is

different to the PMF holder), the PMF Certificate and Evaluation Report replace the previous PMF documentation

for this Marketing Authorisation.

C 223/66 Official Journal of the European Union 2.8.2013

2. PMF Certificate and Evaluation Report.

3. An expert statement outlining all the changes introduced with the certified PMF and evaluating their potential

impact on the finished products including product specific risk assessments.

4. The variation application form should clearly outline the ‘present’ and ‘proposed’ PMF EMA Certificate (code

number) in the MA dossier. When applicable, the variation application form should clearly list also all the other

PMFs to which the medicinal product refers even if they are not the subject of the application.

B.V.a.2 Inclusion of a new, updated or amended Vaccine

Antigen Master File in the marketing authorisation

dossier of a medicinal product. (VAMF 2nd step

procedure)

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) First-time inclusion of a new Vaccine Antigen

Master File

b) Inclusion of an updated/amended Vaccine Antigen

Master File, when changes affect the properties of

the finished product

1, 2, 3, 4

c) Inclusion of an updated/amended Vaccine Antigen

Master File, when changes do not affect the prop

erties of the finished product

1, 2, 3, 4 IA

Conditions

1. The updated or amended Vaccine Antigen Master File has been granted a certificate of compliance with legislation

of the Union in accordance with Annex I to Directive 2001/83/EC.

Documentation

1. Declaration that the VAMF Certificate and Evaluation Report are fully applicable for the authorised product, VAMF

holder has submitted the VAMF Certificate, Evaluation report and VAMF dossier to the MAH (where the MAH is

different to the VAMF holder), the VAMF Certificate and Evaluation Report replace the previous VAMF docu

mentation for this Marketing Authorisation.

2. VAMF Certificate and Evaluation Report.

3. An expert statement outlining all the changes introduced with the certified VAMF and evaluating their potential

impact on the finished products including product specific risk assessments.

4. The variation application form should clearly outline the ‘present’ and ‘proposed’ VAMF EMA Certificate (code

number) in the MA dossier. When applicable, the variation application form should clearly list also all the other

VAMFs to which the medicinal product refers even if they are not the subject of the application.

B.V.b) Referral

B.V.b.1 Update of the quality dossier intended to

implement the outcome of a Union referral procedure

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) The change implements the outcome of the referral 1 1, 2 IA

b) The harmonisation of the quality dossier was not

part of the referral and the update is intended to

harmonise it

2.8.2013 Official Journal of the European Union C 223/67

Conditions

1. The outcome does not require further assessment.

Documentation

1. Attached to the cover letter of the variation application: A reference to the Commission Decision concerned.

2. The changes introduced during the referral procedure should be clearly highlighted in the submission.

C. SAFETY, EFFICACY, PHARMACOVIGILANCE CHANGES

C.I HUMAN AND VETERINARY MEDICINAL PRODUCTS

C.I.1 Change(s) in the Summary of Product Character

istics, Labelling or Package Leaflet intended to

implement the outcome of a Union referral procedure

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) The medicinal product is covered by the defined

scope of the procedure

1, 2, 3 IA

b) The medicinal product is not covered by the

defined scope of the procedure but the change(s)

implements the outcome of the procedure and no

new additional data is required to be submitted by

the MAH

1, 2, 3

c) The medicinal product is not covered by the

defined scope of the procedure but the change(s)

implements the outcome of the procedure with

new additional data submitted by the MAH

1, 3 II

Conditions

1. The variation implements the wording requested by the authority and it does not require the submission of

additional information and/or further assessment.

Documentation

1. Attached to the cover letter of the variation application: a reference to the Commission Decision concerned or to

the agreement reached by the CMDh (as applicable) with the annexed Summary of Product Characteristics,

Labelling or Package Leaflet.

2. A declaration that the proposed Summary of Product Characteristics, Labelling and Package Leaflet is identical for

the concerned sections to that annexed to the Commission Decision or to the agreement reached by the CMDh

(as applicable).

3. Revised product information.

C.I.2 Change(s) in the Summary of Product Character

istics, Labelling or Package Leaflet of a generic/hybrid/

biosimilar medicinal products following assessment of

the same change for the reference product

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Implementation of change(s) for which no new

additional data is required to be submitted by the

MAH

1, 2

b) Implementation of change(s) which require to be

further substantiated by new additional data to be

submitted by the MAH (e.g. comparability)

C 223/68 Official Journal of the European Union 2.8.2013

Documentation

1. Attached to the cover letter of the variation application: EMA/NCA request, if applicable.

2. Revised product information.

C.I.3 Change(s) in the Summary of Product Character

istics, Labelling or Package Leaflet of human medicinal

products intended to implement the outcome of a

procedure concerning PSUR or PASS, or the outcome

of the assessment done by the competent authority

under Article 45 or 46 of Regulation (EC) No 1901/2006

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Implementation of wording agreed by the

competent authority

1, 2 IA

b) Implementation of change(s) which require to be

further substantiated by new additional data to be

submitted by the MAH

Conditions

1. The variation implements the wording requested by the competent authority and it does not require the

submission of additional information and/or further assessment.

Documentation

1. Attached to the cover letter of the variation application: reference to the agreement/assessment of the competent

authority.

2. Revised product information.

C.I.4 Change(s) in the Summary of Product Character

istics, Labelling or Package Leaflet due to new quality,

preclinical, clinical or pharmacovigilance data.

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

Note: this variation does not apply when the new data has been submitted under variation C.I.13. In such cases, the change(s) in the

SmPC, labelling and/or package leaflet is covered by the scope of variation C.I.13.

C.I.5 Change in the legal status of a medicinal product

for centrally authorised products

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) For generic/hybrid/biosimilar medicinal products

following an approved legal status change of the

reference medicinal product

1, 2

b) All other legal status changes

Documentation

1. Attached to the cover letter of the variation application: proof of authorisation of the legal status change (e.g.

reference to the Commission Decision concerned).

2. Revised product information.

Note: for Nationally Authorised Products approved via MRP/DCP, the change of the legal status is to be handled at national level (not

via a MRP variation).

2.8.2013 Official Journal of the European Union C 223/69

C.I.6 Change(s) to therapeutic indication(s) Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Addition of a new therapeutic indication or modi

fication of an approved one

b) Deletion of a therapeutic indication IB

Note: where the change takes place in the context of the implementation of the outcome of a referral procedure, or — for a

generic/hybrid/biosimilar product — when the same change has been done for the reference product, variations C.I.1 and C.I.2

apply, respectively.

C.I.7 Deletion of: Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) a pharmaceutical form

1, 2 IB

b) a strength

1, 2 IB

Documentation

1. Declaration that the remaining product presentation(s) are adequate for the dosing instructions and treatment

duration as mentioned in the summary of product characteristics.

2. Revised product information

Note: in cases where a given pharmaceutical form or strength has received a marketing authorisation which is separate to the

marketing authorisation for other pharmaceutical forms or strengths, the deletion of the former will not be a variation but the

withdrawal of the marketing authorisation.

C.I.8 Introduction of, or changes to, a summary of phar

macovigilance system for medicinal products for human

use (*)

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Introduction of a summary of pharmacovigilance

system, changes in QPPV (including contact

details) and/or changes in the Pharmacovigilance

System Master File (PSMF) location

1, 2

Documentation

1. Summary of the pharmacovigilance system, or update of the relevant elements (as applicable):

— Proof that the applicant has at his disposal a qualified person responsible for pharmacovigilance and a

statement signed by the applicant to the effect that the applicant has the necessary means to fulfil the

tasks and responsibilities listed in Title IX of Directive 2001/83/EC.

— Contact details of the QPPV, Member States in which the QPPV resides and carries out his/her tasks

— PSMF location

2. PSMF number (if available)

Note: This variation covers the introduction of a PSMF irrespective of whether or not the technical dossier of the MA contained a DDPS.

Once the Article 57 database is functional, changes in QPPV, including contact details (telephone and fax numbers, postal address

and e-mail address) and changes to the location of the PSMF (street, city, postcode, country) may be updated through the

Article 57 database only (without the need for a variation).

C 223/70 Official Journal of the European Union 2.8.2013

Where the MAH makes use of the possibility to update the above information through the Article 57 database, the MAH must

indicate in the marketing authorisation that the updated information of those particulars is included in the database.

(*) For introduction of a new pharmacovigilance system for veterinary medicinal products, please refer to C.II.7.

C.I.9 Change(s) to an existing pharmacovigilance system

as described in the detailed description of the pharmaco

vigilance system (DDPS).

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Change in the QPPV and/or QPPV contact details

and/or back-up procedure

1 IA

b) Change(s) in the safety database and/or major

contractual arrangements for the fulfilment of

pharmacovigilance obligations, and/or change of

the site undergoing pharmacovigilance activities

1, 2, 3

1 IA

c) Other change(s) to the DDPS that does not impact

on the operation of the pharmacovigilance system

(e.g. change of the major storage/archiving location,

administrative changes)

1 1 IA

d) Change(s) to a DDPS following the assessment of

the same DDPS in relation to another medicinal

product of the same MAH

1, 2 IA

Conditions

1. The pharmacovigilance system itself remains unchanged.

2. The database system has been validated (when applicable).

3. Transfer of data from other database systems has been validated (when applicable).

4. The same changes to the DDPS are introduced for all medicinal products of the same MAH (same final DDPS

version)

Documentation

1. Latest version of the DDPS and, where applicable, latest version of the product specific addendum. These should

include for changes to the QPPV a) summary CV of the new QPPV, b) proof of QPPV EudraVigilance registration,

and c) a new statement of the MAH and the QPPV regarding their availability and the means for notification of

adverse reactions signed by the new QPPV and the MAH, and reflecting any other consequential changes, e.g. to

the organisation chart.

When the QPPV and/or QPPV contact details are not included in a DDPS or no DDPS exists, the submission of a

revised DDPS version is not required and the application form is to be provided.

2. Reference of the application/procedure and product in which the change(s) were accepted.

Note: C.I.9 covers changes to an existing pharmacovigilance system 1) for veterinary medicinal products and 2) for human medicinal

products that have not yet introduced a PSMF.

Note for a): Once the Article 57 database is functional, changes in QPPV, including contact details (telephone and fax numbers,

postal address and e-mail address) may be updated through the Article 57 database only (without the need for a

variation). Where the MAH makes use of the possibility to update this information through the Article 57 database, the

MAH must indicate in the marketing authorisation that the updated information of those particulars is included in the

database.

Note for d): The assessment of a DDPS submitted as part of a new MAA/Extension/Variation may give rise to changes at the request

of the national competent authority/EMA in this DDPS. Where this occurs, the same change(s) can be introduced to the

DDPS in other marketing authorisations of the same MAH by submitting a (grouped) Type IA

variation.

2.8.2013 Official Journal of the European Union C 223/71

C.I.10 Change in the frequency and/or date of submission

of periodic safety update reports (PSUR) for human

medicinal products

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

1, 2 IA

Conditions

1. The change in the frequency and/or date of submission of the PSUR has been agreed by the CHMP/CMDh/NCA

Documentation

1. Attached to the cover letter of the variation application: A reference to the agreement of the competent authority

(in the case of marketing authorisations granted under the centralised procedure, the CHMP).

2. Revised frequency and/or date of submission of the PSUR (for medicinal products authorised via the centralised

procedure, the full set of annexes, including the revised Annex II should be provided).

Note: this variation applies only when the PSUR cycle is specified in the marketing authorisation by other means than a reference to the

list of Union reference dates and where PSUR submission is required.

C.I.11 Introduction of, or change(s) to, the obligations

and conditions of a marketing authorisation, including

the risk management plan

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Implementation of wording agreed by the

competent authority

1, 2 IA

b) Implementation of change(s) which require to be

further substantiated by new additional data to be

submitted by the MAH where significant

assessment by the competent authority is

required (*)

Conditions

1. The variation implements the action requested by the authority and it does not require the submission of

additional information and/or further assessment.

Documentation

1. Attached to the cover letter of the variation application: A reference to the relevant decision of the competent

authority.

2. Update of the relevant section of the dossier.

Note: this variation covers the situation where the only change introduced concerns the conditions and/or obligations of the

marketing authorisation, including the risk management plan and the conditions and/or obligations of marketing authori

sations under exceptional circumstances and conditional marketing authorisation.

(*) the introduction of a risk management plan requested by the competent authority always requires significant assessment.

C.I.12 Inclusion or deletion of black symbol and

explanatory statements for medicinal products in the

list of medicinal products that are subject to additional

monitoring

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

1, 2 IA

Conditions

1. The medicinal product is included or removed from the list of medicinal products that are subject to additional

monitoring (as applicable)

C 223/72 Official Journal of the European Union 2.8.2013

Documentation

1. Attached to the cover letter of the variation application: A reference to the list of medicinal products that are

subject to additional monitoring

2. Revised product information

Note: this variation covers the situation where the inclusion or deletion of the black symbol and explanatory statements is not done

as part of another regulatory procedure (e.g. renewal or variation procedure affecting the product information).

C.I.13 Other variations not specifically covered

elsewhere in this Annex which involve the submission

of studies to the competent authority (*)

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

Note: in cases where the assessment by the competent authority of the data submitted leads to a change of the Summary of Product

Characteristics, Labelling or Package Leaflet, the relevant amendment to the Summary of Product Characteristics, Labelling or

Package Leaflet is covered by the variation.

The inclusion of the Compliance Statement provided for under Article 28(3) of Regulation (EC) No 1901/2006 is likewise covered

by this variation (provided that the requirements under Regulation (EC) No 1901/2006 have been met).

(*) This variation does not apply to variations that can be considered as Type IB by default under any other section of this Annex.

C.II VETERINARY MEDICINAL PRODUCT — SPECIFIC CHANGES

C.II.1 Variations concerning a change to or addition of a

non-food producing target species.

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

C.II.2 Deletion of a food producing or non-food

producing target species.

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Deletion as a result of a safety issue

b) Deletion not resulting from a safety issue

1, 2 IB

Documentation

1. Justification for the deletion of the target species

2. Revised product information

C.II.3 Changes to the withdrawal period for a veterinary

medicinal product

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

C.II.4 Variations concerning the replacement or addition

of a serotype, strain, antigen or combination of sero

types, strains or antigens for a veterinary vaccine

against avian influenza, foot-and-mouth disease or blue

tongue.

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

C.II.5 Variations concerning the replacement of a strain

for a veterinary vaccine against equine influenza.

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

2.8.2013 Official Journal of the European Union C 223/73

C.II.6 Changes to the labelling or the package leaflet

which are not connected with the summary of product

characteristics.

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Administrative information concerning the holder’s

representative

b) Other changes

1 IB

Documentation

1. Revised product information.

C.II.7 Introduction of a new Pharmacovigilance system

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) Which has not been assessed by the relevant

national competent authority/EMA for another

product of the same MAH

b) Which has been assessed by the relevant national

competent authority/EMA for another product of

the same MAH (*)

1, 2

Documentation

1. The new Detailed Description of the Pharmacovigilance System (DDPS)

2. Reference to the application/procedure and product in which the DDPS was assessed previously

(*) Note: this variation covers the situation where the applicability of an already assessed Pharmacovigilance System will have to be

assessed for the new MAs concerned (e.g. at time of transfer of MA)

C.II.8 Change in the frequency and/or date of submission

of periodic safety update reports (PSUR)

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

1 IA

Conditions

1. The change in the frequency and/or date of submission of the PSUR has been agreed by the competent authority

Documentation

1. Attached to the cover letter of the variation application: The relevant decision of the competent authority

D. PMF/VAMF

D.1 Change in the name and/or address of the VAMF

certificate holder

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

1 IA

Conditions

1. The VAMF certificate holder must remain the same legal entity.

Documentation

1. A formal document from a relevant official body (e.g. Chamber of Commerce) in which the new name or new

address is mentioned.

C 223/74 Official Journal of the European Union 2.8.2013

D.2 Change in the name and/or address of the PMF

certificate holder

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

1 IA

Conditions

1. The PMF certificate holder must remain the same legal entity.

Documentation

1. A formal document from a relevant official body (e.g. Chamber of Commerce) in which the new name or new

address is mentioned.

D.3 Change or transfer of the current PMF certificate

holder to a new PMF certificate holder, i.e. different

legal entity

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

1, 2, 3, 4, 5, 6

Documentation

1. A document including the identification (name and address) of the current PMF Holder (transferor) and the

identification (name and address) of the person to whom the transfer is to be granted (transferee) together

with the proposed implementation date — signed by both companies.

2. Copy of the latest PMF Certificate page ‘EMA Plasma Master File (PMF) Certificate of compliance with Community

legislation’.

3. Proof of establishment of the new holder (Excerpt of the commercial register and the English translation of it) —

signed by both companies.

4. Confirmation of the transfer of the complete PMF documentation since the initial PMF certification to the

transferee — signed by both companies.

5. Letter of Authorisation including contact details of the person responsible for communication between the

competent authority and the PMF holder — signed by the transferee.

6. Letter of Undertaking to fulfil all open and remaining commitments (if any) — signed by the transferee.

D.4 Change in the name and/or address of a blood estab

lishment including blood/plasma collection centres

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

1, 2

1, 2, 3 IA

Conditions

1. The blood establishment must remain the same legal entity.

2. The change must be administrative (e.g. merger, take over); change in the name of the blood establishment/

collection centre provided the blood establishment must remain the same.

Documentation

1. Signed declaration that the change does not involve a change of the quality system within the blood estab

lishment.

2. Signed declaration that there is no change in the list of the collection centres.

3. Updated relevant sections and annexes of the PMF dossier.

D.5 Replacement or addition of a blood/plasma

collection centre within a blood establishment already

included in the PMF

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

1, 2, 3

2.8.2013 Official Journal of the European Union C 223/75

Documentation

1. Epidemiological data for viral markers related to the blood/plasma collection centre covering the last 3 years. For

newly opened centre(s) or in case no data are yet available, a declaration that epidemiological data will be

provided at the time of the next annual update(s).

2. Statement that the centre is working under the same conditions as the other centres belonging to the blood

establishment, as specified in the standard contract between blood establishment and PMF holder.

3. Updated relevant sections and annexes of the PMF dossier.

D.6 Deletion or change of status (operational/non-oper

ational) of establishment(s)/centre(s) used for blood/

plasma collection or in the testing of donations and

plasma pools

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

1, 2

1 IA

Conditions

1. The reason for deletion or change of status should not be related to a GMP issue.

2. The establishments(s)/centre(s) should comply with the legislation in terms of inspections in case of change of

status from non-operational to operational.

Documentation

1. Updated relevant sections and annexes of the PMF dossier.

D.7 Addition of a new blood establishment for the

collection of blood/plasma not included in the PMF

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

D.8 Replacement or addition of a blood centre for

testing of donations and/or plasma pools within an estab

lishment already included in the PMF

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

1, 2

Documentation

1. Statement that the testing is performed following the same SOPs and/or test methods as already accepted.

2. Updated relevant sections and annexes of the PMF dossier.

D.9 Addition of a new blood establishment for testing of

donations and/or plasma pool not included in the PMF

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

D.10 Replacement or addition of a new blood estab

lishment or centre(s) in which storage of plasma is

carried out

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

1, 2

Documentation

1. Statement that the storage centre is working following the same SOPs as the already accepted establishment.

2. Updated relevant sections and annexes of the PMF dossier.

C 223/76 Official Journal of the European Union 2.8.2013

D.11 Deletion of a blood establishment or centre(s) in

which storage of plasma is carried out

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

1 IA

Conditions

1. The reason for deletion should not be related to a GMP issues.

Documentation

1. Updated relevant sections and annexes of the PMF dossier.

D.12 Replacement or addition of an organisation

involved in the transport of plasma.

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

Documentation

1. Updated relevant sections and annexes of the PMF dossier, including a list of all the blood establishments using

this transport organisation, a summary of the system in place to ensure that the transport is performed under

appropriate conditions (time, temperature and GMP compliance) and confirmation that transport conditions are

validated.

D.13 Deletion of an organisation involved in the

transport of plasma

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

1 IA

Conditions

1. The reason for deletion should not be related to GMP issues.

Documentation

1. Updated relevant sections and annexes of the PMF dossier.

D.14 Addition of a CE-marked test kit to test individual

donations as a new test kit or as a replacement of an

existing test kit

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

1, 2 IA

Conditions

1. The new test kit is CE-marked.

Documentation

1. List of testing site(s) where the kit is used.

2. Updated relevant sections and annexes of the PMF dossier, including updated information on testing as requested

in the ‘Guideline on the scientific data requirements for a PMF’.

D.15 Addition of a non-CE marked test kit to test indi

vidual donations as a new test kit or as a replacement of

an existing test kit

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) The new test kit has not previously been approved

in the PMF for any blood centre for testing of

donations

b) The new test kit has been approved in the PMF for

other blood centre(s) for testing of donations

1, 2

2.8.2013 Official Journal of the European Union C 223/77

Documentation

1. List of testing centre(s) where the kit is currently used and a list of testing centre(s) where the kit will be used.

2. Updated relevant sections and annexes of the PMF dossier, including updated information on testing as requested

in the ‘Guideline on the scientific data requirements for a PMF’.

D.16 Change of kit/method used to test pools (antibody

or antigen or NAT test).

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

D.17 Introduction or extension of inventory hold

procedure.

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

1 IA

Conditions

1. The inventory hold procedure is a more stringent procedure (e.g. release only after retesting of donors).

Documentation

1. Updated relevant sections of the PMF dossier, including the rationale for introduction or extension of inventory

hold period, the sites where the inventory hold takes place and for changes to procedure, a decision tree including

new conditions.

D.18 Removal of inventory hold period or reduction in

its length.

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

Documentation

1. Updated relevant sections of the PMF dossier

D.19 Replacement or addition of blood containers (e.g.

bags, bottles)

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) The new blood containers are CE-marked

1, 2 1 IA

b) The new blood containers are not CE-marked

Conditions

1. The container is CE-marked.

2. The quality criteria of the blood in the container remain unchanged.

Documentation

1. Updated relevant sections and annexes of the PMF dossier, including the name of container, manufacturer,

anticoagulant solution specification, confirmation of CE-mark and the name of the blood establishments where

the container is used.

D.20 Change in storage/transport

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

a) storage and/or transport conditions

1 1 IA

b) maximum storage time for the plasma

1, 2 1 IA

C 223/78 Official Journal of the European Union 2.8.2013

Conditions

1. The change should tighten the conditions and be in compliance with Ph. Eur. requirements for Human Plasma for

Fractionation.

2. The maximum storage time is shorter than previously.

Documentation

1. Updated relevant sections and annexes of the PMF dossier, including detailed description of the new conditions,

confirmation of validation of storage/transport conditions and the name of the blood establishment(s) where the

change takes place (if relevant).

D.21 Introduction of test for viral markers when this

introduction will have significant impact on the viral

risk assessment.

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

D.22 Change in the plasma pool preparation (e.g. manu

facturing method, pool size, storage of plasma pool

samples)

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

Documentation

1. Updated relevant sections of the PMF dossier.

D.23 Change in the steps that would be taken if it is

found retrospectively that donation(s) should have been

excluded from processing (‘look-back’ procedure).

Conditions to

be fulfilled

Documentation

to be supplied

Procedure type

2.8.2013 Official Journal of the European Union C 223/79