2. 2
G L O S S A R Y
CTD – Common Technical Document
ICH - International Conference on Harmonisation
eCTD – Electronic Common Technical Document
NeES – Non-eCTD Electronic Submission
RIMS – Regulatory Information Management System
EMA - European Medicines Agency
NCA - National Competent Authorities
FDA - Food and Drug Administration
CDER - Center for Drug Evaluation and Research
CBER - Center for Biologics Evaluation and Research
SPL - Structured Product Labeling
XML – eXtensible Markup Language
XSL – eXtensible Stylesheet Language
DTD – Document Type Definition
4. 4
Regulatory Submissions
Why? Need to gain approval from Regulatory agencies to market
pharmaceutical drug products in their respective countries
When? Innovator discovers a new molecule, Formulator knows of a
patent expiration, API Manufacturer markets Drug Substance, Annual
Reports, Amendments, etc.
What? Administrative, prescription, manufacturing, CMC, quality, non-
clinical and clinical study information
How? Paper, Non-eCTD Electronic Submission (NeES), electronic
Common Technical Document (eCTD)
Whom? ICH Countries (US, EU, JP, CA) and Emerging Markets (TGA,
MCC, Africa, South East Asia, Latin America, etc.)
6. 6
Regulatory Submissions – contd.
Partial list of Regions and Countries for Regulatory Submissions
GCC (Saudi Arabia, Oman, UAE, etc.)
LEVANT (Turkey, Israel, Jordan, Lebanon, Palestine, Northern Cyprus, Syria)
ASEAN (Malaysia, Singapore, Thailand)
APAC (Australia, Brunei, Cambodia, etc.)
EU (England, Austria, Belgium, etc.)
CEE (Albania, Slovakia, Croatia, etc.)
Some important MoH Websites:
http://www.aseansec.org http://mccza.com/
http://www.sfda.gov.sa http://www.fda.gov
http://www.jfda.jo http://www.ema.europa.eu/ema/
http://www.hc-sc.gc.ca https://www.swissmedic.ch/
7. 7
History
Fast forward to early 2000, the International Conference on
Harmonization (ICH) has prepared a guideline on the
organization of a common technical document for
registration of pharmaceuticals for human use or a CTD.
Move forward to 2004, the ICH has issued another guideline
on the specifications and requirements for submission of a
marketing application in electronic form or the eCTD, which
has a designation of ICH M2.
In the year 2008, on January1 the FDA indicated that all
marketing application submissions were to be submitted
electronically in eCTD format.
8. 8
APPLICABILITY
Required in EU, Japan, and Canada for marketing
applications.
“Highly recommended” by FDA for NDA, BLA.
Required by CDER for eCTD submissions.
Required in EU (IMPD) and Canada for investigational
applications.
Accepted by FDA for IND.
9. 9
CTD Structure
CTD stands for Common Technical Document
It is a logical ordering and organization of information
It is a way of managing information at the document level
1. Came into effect in 2000
2. Adopted by ICH
(International Conference
on Harmonization)
3. Organization of the data
into modules and nodes
11. 11
Paper, NeES, eCTD
Paper NeES eCTD
Contains one or more volumes
with continuous table of contents
Contains folders with module and
global table of contents
Contains folders with XML based table
of contents
Printed documents are organized
using slip sheets, page separators
and cover letters
Published PDF documents are
organized into folders under
different modules and nodes
Same as NeES with separate provision
for accommodating Study Tagging
Files (STFs)
Up to 5 copies have to be
couriered to the agency
The entire application is to be
sent to the agency via the Drop
Box or on CD/DVD
Single sequence can be sent to FDA
via CD/DVD or Gateway (ESG).
No need to create bookmarks,
hyperlinks. Just a ToC will do
Need to strictly adhere to the
agency specified document
publishing guidelines
Same as NeES. Need to also create
cross-document and cross-application
hyperlinks for easy navigation
Agency can only validate the
contents of the dossier and not
the structure
Agencies have extensive
Validation criteria to accept
NeES.
Same as NeES. Also checks
checksums, file attribute, life cycle
operations, etc.
No tools are required to create a
paper submission
Sophisticated tools are required
to create and manage NeES
submissions
Same as NeES. In addition, the tool
must be 21 CFR Part 11 compliant
Has become the exception Still accepted by some NCAs Is the most preferred format
12. 12
Benefits of eCTD
Financial
Printing and shipping costs are eliminated
Application can be submitted in multiple countries with relatively minor changes
Reduce review times, increase your response times to Agency requests, and
ultimately lead to a faster approval
Improved Application Review Process
Most Agency reviewers prefer eCTD vs. paper
Submissions can be uploaded to the Electronic Submissions Gateway (ESG) and are
available to reviewers within hours
Thanks to bookmarks and hyperlinks, a reviewer can easily jump to the paper you
just cited, the table you just mentioned, or the validation report you just
referenced
Reviewers no longer have to search through countless paper volumes to
determine what changes have been made to an application
Convenience
Multiple people can access the same documents at the same time – no more
sharing paper volumes or making extra copies
Agency employees can access the application remotely, allowing reviewers to
continue their review regardless of their location
Agency can audit the software used to create the eCTD submission during site
inspections
16. 16
MODULE 2
Module 2
2.1 OVERALL CTD TABLE OF CONTENTS OF MODULES 2, 3, 4, AND 5
2.2 INTRODUCTION
2.3 QUALITY OVERALL SUMMARY
2.3.S DRUG SUBSTANCE
2.3.S.1 General Information
2.3.S.2 Manufacture
2.3.S.3 Characterization
2.3.S.4 Control of Drug Substance
2.3.S.5 Reference Standards or Materials
2.3.S.6 Container Closure System
2.3.S.7 Stability
2.3.P DRUG PRODUCT
2.3.P.1 Description and Composition of the Drug Product
2.3.P.2 Pharmaceutical Development
2.3.P.3 Manufacture
2.3.P.4 Control of Excipients
2.3.P.5 Control of Drug Product
2.3.P.6 Reference Standards or Materials
2.3.P.7 Container Closure System
2.3.P.8 Stability
26. 26
Global Submission Formats
Europe
Mandatory eCTD format for electronic-only submissions since January 1,
2010 for Centralized Procedure
Almost all member states/NCAs are ready to accept eCTD only submissions
since January 1, 2010
Since January 2013 and “Mandatory from March 2014″ all eCTD submissions
must be sent using the dedicated submission channels: eSubmission
Gateway or the related eSubmission Web Client
USA
eCTD most preferred format of eSubmission. Mandatory for IND
submissions.
Paper accepted as an exception and is extremely rare
Health Canada
“Co-Submissions” and “Hybrid Submissions” no longer accepted by HC since
January 1, 2010.
eCTD is the most preferred format of eSubmission
27. 27
Global Submission Formats – contd.
Saudi FDA
Starting on January 05, 2013, the eCTD will be accepted, which will
become the preferred submission format one year later (starting on
January 04, 2014).
Finally, starting from January 03, 2015, only eCTD will be accepted.
GCC Nations
Started accepting NeES submissions from Q1 of 2014.
Transition to eCTD expected to happen in 2015.
Australia (TGA) and South Africa (MCC)
TGA – Accepting NeES since 2011-12. Started accepting eCTD from
2015.
MCC - eCTD pilot phase completed in February 2014. Industry asked to
submit in eCTD from June 2014
Golden Rule: Once eCTD, always eCTD
33. Electronic Submissions to US
Application Types – FDA
IND (Investigational New Drug
Application)
NDA (New Drug Application)
ANDA (Abbreviated New Drug
Application)
DMF (Drug Master File)
BLA (Biological license
Application)
FDA recommends sponsors to
submit a pilot submission for
technical evaluation
Submission Types – FDA
Original Application
Amendment
Re-submission
Pre-submission
Annual Report
Establishment Description
Supplement
Efficacy Supplement
Labeling Supplement
CMC Supplement
Other
34. Electronic Submissions to US – contd.
Unique FDA Submission
Requirements:
Filled out Form 356h (ANDA)
Annotated Label and Proposed
Labeling Text
Side by Side comparison of
Labeling Text with RLD (ANDA)
Signed, Executed Batch Records
Study Tagging Files (STF)
Clinical Study Reports (CSR)
Case Report Form (CRF)
Section 5.3.7 Case Report Forms
no longer used
Application number is always 6
digits
All Drug Listings must be sent via
Electronic Submission Gateway
(ESG)
35. Electronic Submissions to EU
Procedure Types – EU
Centralised Procedure (CP)
A marketing authorisation granted under the
centralised procedure means the medicinal
product may be put on the market in all
Member States
Decentralised Procedure (DCP)
Use if application will be made to several
member states and product has not received
marketing authorization in any member state
at time of application
Mutual Recognition Procedure (MRP)
Use if application will be made to several
member states and product has received
marketing authorization in any member state
at time of application
National Procedure (NP)
Single application filed to single nation
under existing national laws
Unique EU Sub Requirements
Country Specific Envelope(s)
“Common” directory for files common to
all nations receiving the submission
File naming as per the pattern [country
code]-[document type code]-[variable
component].[file type extension]
Tracking Table mandatory for MRP and DCP
Submissions
Node Extensions allowed, especially in the
case of Module 5
Product Information has both country and
language designations
“To be Advised” can be used if procedure
number not provided by the RMS or NCA
Unique Agency Codes and Names
Drop Box facility available for submitting
dossiers online
37. Electronic Submissions to SFDA and GCC
Procedure Types – GCC
GCC Procedure (GP)
A marketing authorization granted under the
GCC procedure means the medicinal product
may be put on the market in all 6 Member
countries
National Procedure (NP)
Single application filed to single nation
under existing national laws
Typical Process Flow at GCC/SFDA
Specification - version 1.2
SFDA eCTD vs GCC NeES
KSA CTD GCC CTD
Module 1:
1.7.3 Titled as “certificate of
Analysis – Drug Substance /
Finished Product”
Module 1:
1.7.3 Titled as “certificate of
Analysis – Drug Substance”
Module 2:
2.5 Titled as “Clinical Overview”
Module 2;
2.6 Titled as “Non-Clinical written
& Tabulated Summaries”
Module 2:
2.5 Titled as “Overview of the
Nonclinical Strategy”.
2.6 Titled as “Non-Clinical written
& Tabulated Summaries:
Pharmacology, Pharmacokinetics,
Toxicology”
Module 3:
3.2.R Regional Information
Module 3:
3.2.R Regional Information
3.2.R.1 Alcohol Content
Declaration
3.2.R.2 Porcine/Pork-Content
origin
3.2.R.3 The Diluents and Coloring
agents in the product formula.
38. Electronic Submissions to HC
Submission Types – HC
Technical Validation is based on 4 levels
Error
Warning
Information
Ignore
Unique HC Requirements
“Co-Submission” and “Hybrid
Submission” discontinued
Pre-assigned application number not
required for pilot submissions
Application numbers are 6 digits and
are prefixed with “e”
Simple M1/CA folder structure
40. 40
eCTD – Processes and Technologies
Processes to be followed:
Global Strategy to launch drugs in single or multiple markets
Adherence to Current and Country Specific Guidance
Creating Checklists for Document Assimilation, Assembly and
Review
Have good experience in using eCTD Publishing Tools
Following SoPs for generation of WORD and PDF documents
Ensuring eCTD submission meets country specific Validation
Criteria
Maintain Communication with Health Authorities
Tools and Technologies to be used:
PDF Publishing and Compliance Tool
eCTD Publisher and Validator
eCTD Consolidated (All Sequence) Viewer
eCTD Import Utility
41. Regulatory Information Management
System (RIMS)
Product Registration
Management
Submission Archive
Agency Correspondence
Q&A Database
Document and
Content
Management
eSubmission Publishing
Submission Planning Tool
Portfolio Management
Master Data
Acceleration is the result of the capabilities working in harmony…
Product Quality Systems
Quality Management System
(QMS)
42. 42
Document Publishing Standards
All PDF documents must be between version 1.4 and 1.6
All PDF documents that have more than 5 pages must have bookmarks and a table
of contents that is linked to the respective pages. The bookmarks must generally
match the table of contents
The ZOOM levels for all the bookmarks and hyperlinks must be set to “Inherit
Zoom” only
The PDF document must be made searchable, or, should be OCRd if scanned and
saved as PDF file
The initial view should be set to “Bookmarks Panel and Page” if the PDF document
has bookmarks. Else, should be set to “Page only”
“Fast Web Access” and “Most Recent View” must always be enabled in all PDF
documents