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Preparing Compliant
                      eCTD Submissions

                                            Antoinette Azevedo, President
                                       e-SubmissionsSolutions.com


                                  DocTrain Life Sciences, Indianapolis, IN
                                               24 June 2008
Copyright 2008 e-SubmissionsSolutions.com                                    1
Agenda

                    RTF Case Study
                    What Can Go Wrong?
                    How to Assure Compliance of Source
                    Files?
                    eCTD Workflow
                    Questions & Discussion

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Four Keys to eCTD Success


                                             Content     Process




                                            Standards   Technology




Copyright 2008 e-SubmissionsSolutions.com                            3
Refuse-to-File (RTF)
                                    Case Study




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The Guidance on RTF . . .




 July 2006, US FDA, “Providing Regulatory Submissions in Electronic Format – Human
 Pharmaceutical Product Applications and Related Submissions Using the eCTD
 Specifications,” Revision 1, 7087rev.pdf.

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A Picture through Stock Price




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Summer 2005
                    Small California Biotech-- Submits NDA in eCTD
                    format to FDA CDER
                          eCTD publishing system
                          PDF toolkit
                          Electronic document management systems
                               Documentum
                               OpenText LiveLink
                          Consultants
                               PDF preparation
                               eCTD publishing & QC

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The Business Overview

                    NDA is company’s first candidate for
                    commercialization
                    Company is partnered with big pharma
                    who will assist with international sales
                    and marketing post-approval
                    Company hires 200 person sales force in
                    anticipation of approval

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Fall 2005

                    FDA issues Refuse to File (RTF) under
                    PDUFA timeline
                          Inadequacy of individual PDF files
                          Navigability of content of submission
                    Market capitalization drops 50%
                    overnight
                    Analyst conference call

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Early 2006

                    Small biotech prepares resubmission
                          Rework source files
                          Rework CTD folder/file structure
                          Rebuild XML backbone
                    FDA accepts resubmission for review
                    under PDUFA timeline


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May 2006

                    FDA issues “approvable” letter under
                    PDUFA:
                          Drug could be approved in future if certain
                          conditions could be met
                          “Conditions” to be determined in future
                          meeting with FDA



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June 2006

                    Big pharma company withdraws from
                    partnership




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July 2006

                    Small biotech lays off sales force




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August 2006

                    Small biotech lays off more than 100
                    additional employees




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September 2006

                    Small biotech has meeting with FDA
                    concerning “approvable” conditions
                          Additional studies required
                          Additional analysis required




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January 2007

                    Biotech announces plans to resubmit
                    NDA by 2Q2007




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August 2007

                    FDA accepts NDA for review
                    FDA sets PDUFA action date of
                    12 December 2007




Copyright 2008 e-SubmissionsSolutions.com           17
December 2007

                    Company Announces Sale and Leaseback
                    of Real Estate Assets
                          Deal valued at $109M
                          Net $61M after fees, expenses, etc.
                          Leases back corporate headquarters




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December 2007
                    FDA issues “approvable” letter under PDUFA
                    deadline:
                          Objective/subjective trial in elderly
                          Comparator safety study
                          Preclinical evaluation during 3rd trimester of pregnancy
                    Company cuts half its workforce
                    Company prepares meeting request to FDA
                    Ceases all clinical development and pre-
                    commercialization activities for candidate drug

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January 2008

                    Founder-President-CEO resigns after 14
                    years of service
                    Granted a formal meeting with FDA
                    during 1Q08 to discuss 2007 Approvable
                    Letter



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February 2008

                    Hope springs eternal . . .
                          $20.0 million upfront license fee paid for drug
                          candidate rights for Japan
                          Balance sheet assets of $276.7 million
                    10 indications
                          Three programs in Phase 1-2 for 7 indications
                          Three research programs

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What Can Go Wrong
                                   with an eCTD?




Copyright 2008 e-SubmissionsSolutions.com            22
FDA’s Top 12 Issues for
                eCTD Success*
                 12.   SPL must be in “SPL” folder
                 11.   Use elements and leaf titles correctly
                 10.   Always reference all files in the XML backbone(s)
                  9.   Include Module 1 in All eCTD Submissions
                  8.   Make sure all application numbers are 6 digits
                  7.   Make sure all sequence numbers are 4 digits
                  6.   Do not use node extensions
                  5.   Verify that all MD5 checksums are correct
                  4.   All documents should conform to eCTD granularity
                  3.   All XML must use standard components

     *Source: Virginia Ventura, FDA CDERPDF hyperlinks & bookmarks
                      2. Be sure all Office of Business Process Support   are correct
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                  1.   Include TOCs in all PDF documents
Technical Issues with eCTD*
                  12.     SPL must be in “SPL” folder
                  11.     Use elements and leaf titles correctly
                  10.     Always reference all files in the XML backbone(s)
                    9.    Include Module 1 in All eCTD Submissions
                    8.    Make sure all application numbers are 6 digits
                    7.    Make sure all sequence numbers are 4 digits
                    6.    Do not use node extensions
                    5.    Verify that all MD5 checksums are correct
                    3.    All XML must use standard components


     *Source: Virginia Ventura, FDA CDER Office of Business Process Support
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Technical Issues with Source
                 Files*
                    4.    All documents should conform to eCTD granularity
                    2.    Be sure all PDF hyperlinks & bookmarks are correct
                    1.    Include TOCs in all PDF documents




     *Source: Virginia Ventura, FDA CDER Office of Business Process Support
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What is
  CTD/eCTD?                                                                  Module 1
                                                                             Not part of CTD
                                              Module 1
                                             Regional Info

                                             2.1 Table of Contents


                                              2.2 Introduction
                                                                                          Module 2
                                    2.3         2.4 Nonclinical      2.5 Clinical         Summary
                                                   Overview           Overview
                                   Quality
                                   Overall
                                               2.6 Nonclinical           2.7 Clinical
                                  Summary
                                                 Summary                  Summary


                             Module 3          Module 4               Module 5
                              Quality           Safety                Efficacy


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What is CTD/eCTD?

                      Submission
                      “nda121212”
                      Sequence “0000” with
                      5 modules
                      Sequence “0002” with
                      4 modules




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Where is XML Required?
               “XML backbone”




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As the FDA Sees an eCTD




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Where is XML Required?
               Module 1 Regional




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Where is XML required?
                     Structured Product Labeling
                     (SPL)




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Where is XML required?
               Module 4 Study Tagging File
               (STF)




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STF for Module 4




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Where is XML required?
               Module 5 Study Tagging File
               (STF)




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STF for Module 5




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Potential Problems with XML

                    Sponsor’s hand coding of XML
                    eCTD publishing vendor misinterpretation of
                    XML document type definition (DTD)
                    Sponsor’s usage of eCTD publishing system
                    eCTD publishing vendor not providing enough
                    guidance and control of user actions



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What is XML?

                    Document/data interchange standard
                    Originated from SGML/HTML
                    Replaces traditional submission table of
                    contents
                    Rules for individual instances contained
                    in Document Type Definitions (DTD) or
                    Schemas
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What is XML?




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Challenges of eCTD:
               The Numbers
                    According to FDA CDER:
                          NDAs will have multiple submissions over their life-
                          cycle
                          Of 10 most active eNDAs:
                               6 had 111 to 139 submissions
                               1 had 185 submissions
                               1 had 202 submissions
                          Of eSubmissions:
                               One initial submission had 5478 files
                               One eCTD supplement had over 15,000 files


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Challenges of eCTD

                    Document Authoring -- Creation of PDFs
                    highly dependent on use of word
                    processor
                          Templates
                          Styles
                          Cross references – how & to what
                               Within document
                               Outside document


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Challenges of eCTD
                    Granularity of content organization
                          Module     2:   Quality, Nonclinical, Clinical summaries
                          Module     3:   Quality
                          Module     4:   Nonclinical study reports
                          Module     5:   Clinical study reports
                    Regional differences
                          US
                               Integrated Analysis of Safety (IAS—formerly ISS)
                               Integrated Analysis of Efficacy (IAE—formerly ISE)
                          EU
                               Expert reports
                               CRFs – in or out
                               CRTs – in or out

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Challenges of eCTD
                   Collecting documents/data from study sites
                        Case Report Forms
                              Cost/time to convert to compliant electronic format
                              Consistency of organization
                                    Changes of study protocol
                                    Different CROs involved in different study phases
                                    Electronic Data Capture (EDC)
                                    Location of queries & data correction forms (DCFs)
                              Does my drug’s indication imply need to review CRFs?
                              Which CRFs will I need to submit?
                                    Deaths/Drops/Serious AEs
                                    All
                                    Other

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Challenges of eCTD
                    Documents/data from study sites
                          Data
                               Can all the data be delivered in electronically-reviewable
                               format?
                               Can I convert from proprietary formats into SAS XPT
                               compliant formats?
                                     Excel
                                     Access
                                     Other
                               Will the agency review my electronic datasets?
                                     Stability
                                     Nonclinical
                                     Clinical

Copyright 2008 e-SubmissionsSolutions.com                                                   43
Challenges of eCTD
                    Electronic Document Management Systems (EDMS) vs.
                    Shared File System
                          How do I know I have the final, approved document?
                          What if the final, approved document changes?
                          What is the effective version for a submission sequence?
                          Do I have the time/budget/resources to implement EDMS?
                          Will the EDMS meet the needs of my entire enterprise?
                          Will the EDMS integrate with my e-Submission publishing
                          process and tools?
                          How do I assure the EDMS is 21 CRF 11 compliant?



Copyright 2008 e-SubmissionsSolutions.com                                            44
eCTD Challenge: The Granularity

                    FDA CDER Study Tagging Files
                          Scope – nonclinical & clinical study reports
                          Lifecycle – from initial IND to product end-of-
                          life
                          Small unit of document granularity
                               Hyperlinking between files
                               Hyperlinking between submission serial numbers
                          A cultural change for most CROs and authors

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Granularity – Quality Overall
               Summary




Copyright 2008 e-SubmissionsSolutions.com      46
Granularity –
               CMC/Quality Drug Product




Copyright 2008 e-SubmissionsSolutions.com   47
Study Report Granularity




Copyright 2008 e-SubmissionsSolutions.com   48
US, EU, Japan Experience To
               Date
                    Problems with PDF Files
                          Lacking navigation aids:
                               Bookmarks
                               Hyperlinks
                               Document tables of contents
                          Absolute paths on hyperlinks
                          Security
                          File format
                          Incorrect granularity
                          Referencing proprietary style sheets

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Conclusion from Experience to
               Date
                    System is needed to produce XML backbone
                    Source documents and data need to be
                    submission-ready & compliant with
                    requirements
                    Sponsors need intimate knowledge of the XML
                    output of their commercial-off-the-shelf (COTS)
                    systems
                    Sponsors must understand how agencies use
                    the components of an eCTD for review

Copyright 2008 e-SubmissionsSolutions.com                             50
Four Keys to eCTD Success


                                             Content     Process




                                            Standards   Technology




Copyright 2008 e-SubmissionsSolutions.com                            51
How to Assure Compliance
                            of Source Files?




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Credits & Disclaimers
                    MS Word templates courtesy Sage Submissions LLC
                    http://www.sagesubmissions.com/
                    MS Office version 2000 Professional
                    Adobe Acrobat 2007 Professional
                    http://www.adobe.com/products/acrobat/index.html
                    MS Windows XP Professional 5.1 (SP2)
                    ISIToolbox Pharma Edition 5.5.1
                    http://www.imagesolutions.com/Default.aspx?alias=www.
                    imagesolutions.com/isitoolbox


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Credits & Disclaimers

                    Enfocus PitStop Professional 7.01
                    http://www.enfocus.com/product.php?id=855
                    eCTD sample courtesy GlobalSubmit
                    http://www.globalsubmit.org/
                    Parsing/validating samples courtesy
                    GlobalSubmit & ING America
                    http://www.ingamerica.com/


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FDA Portable Document
               Format Specifications
                    http://www.fda.gov/cder/regulatory/ersr/
                    PDF_specification_v11.pdf
                    Examples follow . . .




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PDF Version 1.4

                    Options:
                          “Reduce file size”
                          Output by EDMS
                          or eCTD
                          publishing system




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Embed Fonts
                    Not needed
                    for standard
                    font sets
                    Options
                          Converting
                          from MS
                          Word
                          Setting in
                          Acrobat
                          Distiller

Copyright 2008 e-SubmissionsSolutions.com   57
Embed Fonts

                    Options
                          Embed from within
                          Acrobat Standard or
                          Professional
                          Done on a text blocks
                          Not recommended
                          unless no other option




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Embed Fonts

                    Options
                          Enfocus PitStop
                          Professional
                          Done a line at a time
                          Not recommended
                          unless no other option




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Page Orientation




Copyright 2008 e-SubmissionsSolutions.com   60
Page Size & Margins




Copyright 2008 e-SubmissionsSolutions.com   61
Source of Electronic Document

                    Avoid scanning unless no other choice
                    Create PDFs from intelligent source
                          MS Office—Word, Excel, PowerPoint
                          Other word processors, spreadsheets, etc.
                          ASCII text
                    PDFs should be:
                          Searchable
                          Copy & paste to edit in other documents


Copyright 2008 e-SubmissionsSolutions.com                             62
If You Must Scan
               Document Type                         Resolution

               Handwritten notes                     300 dpi (black ink)

               Plotter output graphics               300 dpi

               Photographs—b&w                       600 dpi (8 bit gray scale)

               Photographs—color                     600 dpi (24 bit RGB)

               Gels and karotypes                    600 dpi (8 bit grayscale depth)

               High pressure liquid chromatography   300 dpi
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Lossless Image Compression
               for Scanned Documents
               Black & White Image          Color & Grayscale
               CCITT Group 4 Fax            Zip/Flate

            Reduce file size
            No loss of data




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Image Color Matching
                    CMYK for display
                    Pantone for printing
                    http://www.pantone.com/pages/pantone/index.
                    aspx
                          Calibrated lookup tables for printers
                          Printer application support files
                               Adobe Illustrator, Photoshop, Indesign
                               Macromedia Freehand
                               CorelDraw
                               Quark Xpress



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Hypertext Linking

                    Navigation improved for PDF documents
                    Hypertext links for:
                          Annotations
                          Related sections
                          References
                          Appendices
                          Tables or figures
                          For anything not located on same page


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Table of Contents & Hyperlinks

                    Hyperlinks designated by blue text or rectangles
                    with thin lines
                          Blue text for PDFs from intelligent source
                          Thin rectangles only option for scanned documents
                    Tables of Contents
                          Hyperlinked
                          Invisible rectangles and blue text preferred
                    eCTD publishing system can automate some

Copyright 2008 e-SubmissionsSolutions.com                                     69
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Use Relative Paths for
               Hyperlinks




         eCTD publishing system should generate automatically
Copyright 2008 e-SubmissionsSolutions.com                       71
Use Relative Path for Hyperlinks



                      However!
                      Acrobat still
                      shows relative path




 Link report courtesy Image Solutions, Inc.
 ISIToolbox Pharma Edition
 Bookmark & Link Auditor,
 Export Bookmarks and Links

Copyright 2008 e-SubmissionsSolutions.com        72
Bookmarks Hierarchy
               = TOC Up to 4 Levels




  eCTD publishing system should generate automatically


Copyright 2008 e-SubmissionsSolutions.com                73
Bookmarks & Hyperlinks
               Magnification
               = Inherit Zoom


  eCTD publishing system
  should generate
  automatically

 Link/Bookmark report courtesy
 Image Solutions, Inc.
 ISIToolbox Pharma Edition
 Export Bookmarks and Links

Copyright 2008 e-SubmissionsSolutions.com   74
Page Numbering
               Document Page = PDF Page




Copyright 2008 e-SubmissionsSolutions.com   75
Initial View = Bookmarks & Page




       eCTD publishing system should generate automatically


Copyright 2008 e-SubmissionsSolutions.com                     76
File Naming & Folder/File Path
                    Use lower cases letters
                    Avoid special characters
                    except hyphens
                    File/folder path:
                          230 characters for full
                          folder/file path
                          64 characters for folder
                          names
                    eCTD publishing system
                    should generate/truncate
                    automatically

Copyright 2008 e-SubmissionsSolutions.com            77
Verbally Communicated
               Requirements
                    Open to TOC
                    Optimize for Fast Web View
                    Font size
                          12 point font for text
                          10 point for tables (9.5 pt)




Copyright 2008 e-SubmissionsSolutions.com                78
Open to TOC Page




Copyright 2008 e-SubmissionsSolutions.com   79
Open to TOC




Copyright 2008 e-SubmissionsSolutions.com   80
Optimize for Fast Web View




Copyright 2008 e-SubmissionsSolutions.com   81
Institute Standards for Data

                    Inside and outside suppliers
                    Datasets – must have complete
                    documentation
                          Datasets table of contents
                          Variable definition file—complete
                          Datasets in SAS transport
                          Annotated CRF (for human studies)

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Complete Datasets Documentation




Copyright 2008 e-SubmissionsSolutions.com        83
Bookmarking of CRFs




Copyright 2008 e-SubmissionsSolutions.com   84
Four Keys to eCTD Success


                                             Content     Process




                                            Standards   Technology




Copyright 2008 e-SubmissionsSolutions.com                            85
eCTD Workflow




Copyright 2008 e-SubmissionsSolutions.com                   86
eCTD Single “Document” Workflow
                                                                  Compile to
             Collect Source              Verify                 Single Files or    Release for
              Documents               Completeness           Study Tagging Files    Publishing
                 & Data                                             (STF)




                                                                                            If incomplete,
                                                                                             Incorrect, or
                                    PDF Deliverables – Individual Files                    Content revised
                                            Bookmarks & hyperlinks
                                            Tables of contents
                                            Pagination 1 through n
                                            Optimized for fast web viewing
                                            File Format 1.4
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eCTD Submission Workflow
          Prepare Repository          Insert Content in      Insert Cross-           Output
              for Handoff               eCTD Outline      Document Hyperlinks        for QC




                                                 Set Submission        Adjust Submission
                                                 & Document            & Document             Issues?
                                                 Attributes            Attributes



      • Invalid XML
      • Source document changed
      • Dead or missing bookmarks or hyperlinks


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Components of an EDMS
                       Authoring
                        Client



  Scanner




                                              EDMS Server
                          Rendition Server      RDBMS
                         for PDF Renditions    & File Store

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Components of Submission
Publishing System                                                     e-Submission

                                  Publishing
                                    Client
                                                          File
                                                         Server

                                                                               FDA
                                                                               ESG




      EDMS Server,                  Publishing Server,
         RDBMS                          & RDBMS                     p-Submission
       & File Store

                                                            Web
                                                           Server
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TimeLine for Implementation
             Implementation Steps                      1Q   2Q   3Q   4Q   5Q   6Q

    Gather EDMS & eCTD system requirements;
    determine validation requirements
    Identify potential vendors; select short list

    Prepare & issue RFP, reduce vendor list, start
    negotiations
    Order & install hardware; install EDMS software,
    perform IQ/OQ validation
    Train users, help desk, administrators; perform
    EDMS UAT & PQ validation
    Install & validate eCTD software. Produce small
    submissions – INDs, Annual Reports, Amendments,
    Supplements, Safety Updates
    Produce marketing application & submit



Copyright 2008 e-SubmissionsSolutions.com                                            91
Consistency of
                                            eCTD across ICH




              Vendors’ ability to offer                       Sponsors’ systems
               inexpensive solutions                           ability to manage
                 for multiple eCTD                            lifecycle metadata
              markets’ requirements                           over drug’s lifetime


                   eCTD Critical Success Factors
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eCTD: Challenges to Sponsors

                    Return on Investment (ROI)
                          Cost of systems, training, process redesign
                          Cost of noncompliance
                          Speed, efficiency
                               Submission compilation
                               Agency review process
                          Lead time to application submission
                          On-going compliance

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eCTD: Benefits to Sponsors:

                    Electronic content for sponsor’s internal access
                    (Potentially) faster agency review
                    Higher quality agency review
                    Demonstrated lower cost of production
                    compared with paper
                    Faster time from database lock to submission



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Status of eCTD Requirements

                    FDA CDER
                          eCTD mandated January 1, 2008+ for electronic
                          submissions
                    CBER
                          Accepting both eCTD and eBLA
                          Sometimes e-submission mandatory (fast-track, rolling
                          submissions)
                    FDA CDRH
                          Guidances required
                          Informal pilots underway
                          Turbo 510K http://www.fda.gov/cdrh/cesub/index.html
                          Global Harmonization Task Force (GHTF) and STED
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Status of FDA ESG

               e-Sub                 May 2006 May 2007 Feb 2008 Total
               AERS                         9,109   12,917    247,925
               CDER                           20     1,009     15,931
               CBER                            6      101       2,146
               CDRH                          153       75       3,364
               CVM                                                414
               Totals                       9,228   14,201    269,780

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Business Case for ESG

                    1500 submissions (non-AERS)
                          Manual submission of electronic media &
                          supporting paper = $111,183
                          ESG startup (training, security certificates,
                          hardware) = $30,999 . . . $20.00+
                    Time/resource efficiency for Sponsor &
                    Agency

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Business Case Against Paper

                    10 copies, 100 volume submission
                          $163,290 Total
                               $147,000 = printing
                               $5,790.00 = binder materials
                               $10,500.00 = shipping
                          Does not include labor to assemble, page
                          stamp, manual TOCs, binding, QC, labeling,
                          packing

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Four Keys to eCTD Success


                                             Content     Process




                                            Standards   Technology




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Status of eCTD Requirements

                    EU/Japan/Canada
                          PDF reviewers’ aids accepted along with paper
                          volumes
                          eCTD dependent on each country’s information
                          technology infrastructure
                          Needs early & frequent communication to determine
                          ability to accept & review
                    Rest of World
                          Highly dependent on information technology
                          infrastructure to review e-submissions

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EMEA eCTD Statement of
               Intent
                    1 July 2008 – accept eCTD or non-eCTD
                    electronic-only
                    1 January 2009 – strongly recommend eCTD or
                    non-eCTD; paper an exception
                    1 July 2009 – strongly recommend eCTD; paper
                    and other formats an exception
                          All applications (new and existing)
                          All submission types for Centralised Procedure
                          Rapporteurs & CHMP members receive no paper or
                          other electronic formats beyond this date


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Japan eCTD Experience

                    MHLW statistics as of December 2007:
                          Original Applications = 6 (13 sequences)
                          Reference Applications = 52 (70 sequences)
                          Total = 58 (83 sequences)
                    Free eCTD Validator
                    Integrating eClinical Trial and eSubmission
                    throughout drug development lifecycle
                          CDISC standars for clinical trial data


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Health Canada eCTD Transition
                    Phase 1 – Co-submission
                          Original Submission: eCTD Format on CD and DVD along with full
                          paper-based submission in CTD format
                          Subsequent Submissions: Continue use of both formats
                    Phase 2 - Hybrid submission
                          Original Submission: eCTD format on CD and DVD along with
                          Module 1 and 2 only in paper-based CTD format
                          Subsequent submissions: Submit Modules 1 & 2 in both formats
                          Original & Subsequent Submissions: Modules 3 to 5 may be subject
                          to print-on-demand requests
                    Electronic-only
                          Original Submission: eCTD format with no accompanying paper
                          Subsequent submissions: Do not revert to paper-based CTD

Copyright 2008 e-SubmissionsSolutions.com                                                    103
Health Canada: Criteria for Participation in
               the Hybrid Filing Format Pilot

             Guidance        January 25, 2006                          December 31, 2007
             Comparison      (for pilot beginning on June 30,          (effective immediately)
                             2006)
             Candidate         Submission has priority review status     New Drug Submissions (NDSs),
             submission        Submission qualifies under the            Abbreviated New Drug Submission
             types             Notice of Compliance with conditions      (ANDS), Supplement to a New Drug
                               (NOC/c) policy                            Submission (SNDS), Supplement to a
                               Health Canada does not have               Abbreviated New Drug Submission
                               capacity or ability to perform            (SANDS)
                               electronic review                         NDS labeling only if the original
                               Submission to be assigned to a            submission was filed in the co-submission
                               reviewer on contract or a teleworker      or hybrid filing formats
                                                                         Notifiable Change submissions and annual
                                                                         updates of Notices of Change related to a
                                                                         previously filed eCTD submission that was
                                                                         filed in the hybrid filing format



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Health Canada: Criteria for Participation in
               the Hybrid Filing Format Pilot

               Guidance          January 25, 2006                           December 31, 2007
               Comparison        (for pilot beginning on June 30,           (effective immediately)
                                 2006)
               Conditions           Submission has Priority Review           Health Canada does not have the
               where                status                                   capacity and ability to perform an
               candidate will       Submission qualifies under the Notice    electronic review
               not be               of Compliance with conditions            Submission to be assigned to a
               considered           (NOC/c) policy                           reviewer on contract
                                    Health Canada does not have the
                                    capacity and ability to perform an
                                    electronic review
                                    Submission to be assigned to a
                                    reviewer on contract or a teleworker




Copyright 2008 e-SubmissionsSolutions.com                                                                         105
Health Canada:
             Implementation Considerations
            Issue              Co-Submission              Hybrid Submission           Electronic-only Submission
                               (Guidance Section 6.1)     (Guidance Section 6.2)      (Guidance Section 6.3)
            Paper content      Complete paper-based       Modules 1 & 2 in paper      No paper
                               CTD format
            Legal record       Paper-based submission     eCTD submission             eCTD submission

            Signature          Wet ink signature          Digitized or scanned copy   Electronic signature
                               required                   of signed document

            Letter of          Stating that material in   Stating Modules 1 & 2 in    Not applicable
            Attestation        eCTD format exactly        eCTD format exactly
                               matches material in CTD    matches material in CTD


            Technical pre-     Recommended                Required                    To be determined
            submission
            consultation
            Print on           Not applicable              <500 pages – done by       To be determined
            demand                                        Health Canada
                                                           >500 pages – done by
                                                          sponsor on request
Copyright 2008 e-SubmissionsSolutions.com                                                                          106
FDA Status--Part 15 Hearing
                    Request for public input to influence development of new
                    policy/regulation
                          What do you think about an all-electronic submission
                          environment?
                          What do you think about implementing an electronic
                          platform to promote electronic sharing and exchange of
                          research and regulatory information?
                    Public rule being written to mandate electronic
                    submissions across all Centers of FDA—”years” to reach
                    final rule
                    RFI issued for public-private partnership to implement all-
                    electronic submission environment
                    http://www.fbo.gov/spg/HHS/FDA/DCASC/e-Platform-RFI/listing.html
Copyright 2008 e-SubmissionsSolutions.com                                              107
FDA Datasets Status -- Study
               Data Tabulation Model (SDTM)
                    FDA Public Meeting February 1, 2005
                    http://www.fda.gov/oc/datacouncil/presentations.html
                    Steps being taken by FDA to require submission in electronic format:
                          Stability datasets – HL7
                          Animal datasets – tabulation & analysis-ready
                          Human datasets – tabulation & analysis-ready
                    Profound change from business as usual
                          Agency
                          Sponsors
                          CROs
                          Vendors
                    Additional resources:
                          http://www.cdisc.org/
                          http://www.hl7.org/

Copyright 2008 e-SubmissionsSolutions.com                                                  108
FDA Status—Electronic
               Submission Gateway (ESG)
                    May 2006 – implemented Electronic Submission Gateway
                    to enable fully-electronic bidirectional communication
                    http://www.fda.gov/esg/
                    If sponsor has electronic signature policy & technology in
                    place, no paper is required with submissions
                        Forms (1571, 356h) and documents which require
                        original wet signature on hardcopy
                        Acceptable formats
                               Scanned signatures
                               Digital signatures
                               Flattened digital signatures

Copyright 2008 e-SubmissionsSolutions.com                                        109
FDA Status--RPS

                    Regulated Product Submission (RPS) under
                    development
                          Create one model for submission of regulated product
                          information
                               Framework for sponsors to send regulatory information
                               Reviewers able to consistently locate requisite content
                          Animal and human products—human therapeutics,
                          medical devices, food additives, veterinary
                          Worldwide use


Copyright 2008 e-SubmissionsSolutions.com                                                110
FDA Status--RPS

                    Development under HL7
                          Randy Levin of FDA CDER one of three Co-Chairs
                          HL7 being recognized as standards body by ICH
                    Status
                          June 2005 RPS Project initiated
                          Sept. 2006 first test submission to FDA
                          2010+ implemented as extension to eCTD



Copyright 2008 e-SubmissionsSolutions.com                                  111
RPS--More Information
                    RCRIM’s TC:
                    https://www.hl7.org/Special/committees/rcrim/index.cfm
                    RPS Information Page
                    https://gforge.nci.nih.gov/plugins/wiki/index.php?Regulated%20
                    Product%20Submission&id=234&type=g
                    HL7 tools
                    https://www.hl7.org/Library/data-
                    model/V3Tooling/toolsIndex.htm




Copyright 2008 e-SubmissionsSolutions.com                                            112
FDA—SPL Resources

                    Providing Regulatory Submissions in Electronic
                    Format – Content of Labeling
                    http://www.fda.gov/cder/guidance/6719fnl.pdf

                    SPL Standard for Content of Labeling
                    Q&As
                    http://www.fda.gov/cder/guidance/7074fnl.pdf

                    FDA proposes to perform Indexing of SPL:
                    http://www.fda.gov/cder/guidance/7662dft.pdf



Copyright 2008 e-SubmissionsSolutions.com                            113
FDA Data Standards Council

                    http://www.fda.gov/oc/datacouncil/
                          Structured Product Labeling
                               Drug Registration
                               Drug Listing
                          Regulated Product Submission
                          CDISC Data Standards
                          Stability Data Standards


Copyright 2008 e-SubmissionsSolutions.com                114
FDA Resources for CTD

                    Regulatory Submissions in Electronic Format –
                    General Considerations
                    http://www.fda.gov/cder/guidance/4156dft.pdf

                    eCTD Backbone Files Specification for Module 1
                    http://www.fda.gov/cder/regulatory/ersr/Module1Spec.pdf

                    eCTD Backbone Files Specification for Modules 2
                    through 5
                    http://www.fda.gov/cder/regulatory/ersr/module2-5spec.pdf



Copyright 2008 e-SubmissionsSolutions.com                                       115
FDA Resources for CTD

                    eCTD Backbone Files Specification for
                    Study Tagging Files (STF)--Module 4 &
                    Module 5
                    http://www.fda.gov/cder/regulatory/ersr/FDA%20implementatio
                    n%20of%20STFv2-6.pdf
                    Comprehensive Table of Contents
                    Headings and Hierarchy
                    http://www.fda.gov/cder/regulatory/ersr/5640C
                    TOC-v1.2.pdf

Copyright 2008 e-SubmissionsSolutions.com                                         116
FDA Resources for CTD

                    Study Data Specifications--Datasets
                    http://www.fda.gov/cder/regulatory/ersr/Studyd
                    ata-v1.3.pdf
                    Portable Document Format
                    Specifications
                    http://www.fda.gov/cder/regulatory/ersr/PDF_specification_v11.pdf




Copyright 2008 e-SubmissionsSolutions.com                                               117
Summary
                    EU & Japan & Canada – eCTD preferred format for
                    electronic; CTD required format for paper
                    US – CTD preferred format for paper
                    Rest of World-- ability to accept & review varies widely
                    eCTD preferred format for e-Submissions
                    eCTD remains optional except FDA CDER
                    Paper submissions required by most countries
                          Agency cannot legally accept electronic-only
                          Agency IT infrastructure inadequate to perform electronic
                          review


Copyright 2008 e-SubmissionsSolutions.com                                             118
eCTD Success!                          Critical Success Factors:
                                               Faster time to market
                                               Happier stockholders
                                               Greater employee & management
                                               satisfaction
                                               Lower cost of production
                                               Simultaneous global submissions
                                               Healthier patients




Copyright 2008 e-SubmissionsSolutions.com                                        119
Questions & Discussion


                                 Antoinette Azevedo, President & CEO
                                      e-SubmissionsSolutions.com
                                AAzevedo@e-SubmissionsSolutions.com
                               http://www.e-SubmissionsSolutions.com/
                                       Telephone (619) 220-7081
                                          Fax (619) 220-0831



Copyright 2008 e-SubmissionsSolutions.com                               120

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Preparing Compliant eCTD Submissions

  • 1. Preparing Compliant eCTD Submissions Antoinette Azevedo, President e-SubmissionsSolutions.com DocTrain Life Sciences, Indianapolis, IN 24 June 2008 Copyright 2008 e-SubmissionsSolutions.com 1
  • 2. Agenda RTF Case Study What Can Go Wrong? How to Assure Compliance of Source Files? eCTD Workflow Questions & Discussion Copyright 2008 e-SubmissionsSolutions.com 2
  • 3. Four Keys to eCTD Success Content Process Standards Technology Copyright 2008 e-SubmissionsSolutions.com 3
  • 4. Refuse-to-File (RTF) Case Study Copyright 2008 e-SubmissionsSolutions.com 4
  • 5. The Guidance on RTF . . . July 2006, US FDA, “Providing Regulatory Submissions in Electronic Format – Human Pharmaceutical Product Applications and Related Submissions Using the eCTD Specifications,” Revision 1, 7087rev.pdf. Copyright 2008 e-SubmissionsSolutions.com 5
  • 6. A Picture through Stock Price Copyright 2008 e-SubmissionsSolutions.com 6
  • 7. Summer 2005 Small California Biotech-- Submits NDA in eCTD format to FDA CDER eCTD publishing system PDF toolkit Electronic document management systems Documentum OpenText LiveLink Consultants PDF preparation eCTD publishing & QC Copyright 2008 e-SubmissionsSolutions.com 7
  • 8. The Business Overview NDA is company’s first candidate for commercialization Company is partnered with big pharma who will assist with international sales and marketing post-approval Company hires 200 person sales force in anticipation of approval Copyright 2008 e-SubmissionsSolutions.com 8
  • 9. Fall 2005 FDA issues Refuse to File (RTF) under PDUFA timeline Inadequacy of individual PDF files Navigability of content of submission Market capitalization drops 50% overnight Analyst conference call Copyright 2008 e-SubmissionsSolutions.com 9
  • 10. Early 2006 Small biotech prepares resubmission Rework source files Rework CTD folder/file structure Rebuild XML backbone FDA accepts resubmission for review under PDUFA timeline Copyright 2008 e-SubmissionsSolutions.com 10
  • 11. May 2006 FDA issues “approvable” letter under PDUFA: Drug could be approved in future if certain conditions could be met “Conditions” to be determined in future meeting with FDA Copyright 2008 e-SubmissionsSolutions.com 11
  • 12. June 2006 Big pharma company withdraws from partnership Copyright 2008 e-SubmissionsSolutions.com 12
  • 13. July 2006 Small biotech lays off sales force Copyright 2008 e-SubmissionsSolutions.com 13
  • 14. August 2006 Small biotech lays off more than 100 additional employees Copyright 2008 e-SubmissionsSolutions.com 14
  • 15. September 2006 Small biotech has meeting with FDA concerning “approvable” conditions Additional studies required Additional analysis required Copyright 2008 e-SubmissionsSolutions.com 15
  • 16. January 2007 Biotech announces plans to resubmit NDA by 2Q2007 Copyright 2008 e-SubmissionsSolutions.com 16
  • 17. August 2007 FDA accepts NDA for review FDA sets PDUFA action date of 12 December 2007 Copyright 2008 e-SubmissionsSolutions.com 17
  • 18. December 2007 Company Announces Sale and Leaseback of Real Estate Assets Deal valued at $109M Net $61M after fees, expenses, etc. Leases back corporate headquarters Copyright 2008 e-SubmissionsSolutions.com 18
  • 19. December 2007 FDA issues “approvable” letter under PDUFA deadline: Objective/subjective trial in elderly Comparator safety study Preclinical evaluation during 3rd trimester of pregnancy Company cuts half its workforce Company prepares meeting request to FDA Ceases all clinical development and pre- commercialization activities for candidate drug Copyright 2008 e-SubmissionsSolutions.com 19
  • 20. January 2008 Founder-President-CEO resigns after 14 years of service Granted a formal meeting with FDA during 1Q08 to discuss 2007 Approvable Letter Copyright 2008 e-SubmissionsSolutions.com 20
  • 21. February 2008 Hope springs eternal . . . $20.0 million upfront license fee paid for drug candidate rights for Japan Balance sheet assets of $276.7 million 10 indications Three programs in Phase 1-2 for 7 indications Three research programs Copyright 2008 e-SubmissionsSolutions.com 21
  • 22. What Can Go Wrong with an eCTD? Copyright 2008 e-SubmissionsSolutions.com 22
  • 23. FDA’s Top 12 Issues for eCTD Success* 12. SPL must be in “SPL” folder 11. Use elements and leaf titles correctly 10. Always reference all files in the XML backbone(s) 9. Include Module 1 in All eCTD Submissions 8. Make sure all application numbers are 6 digits 7. Make sure all sequence numbers are 4 digits 6. Do not use node extensions 5. Verify that all MD5 checksums are correct 4. All documents should conform to eCTD granularity 3. All XML must use standard components *Source: Virginia Ventura, FDA CDERPDF hyperlinks & bookmarks 2. Be sure all Office of Business Process Support are correct Copyright 2008 e-SubmissionsSolutions.com 23 1. Include TOCs in all PDF documents
  • 24. Technical Issues with eCTD* 12. SPL must be in “SPL” folder 11. Use elements and leaf titles correctly 10. Always reference all files in the XML backbone(s) 9. Include Module 1 in All eCTD Submissions 8. Make sure all application numbers are 6 digits 7. Make sure all sequence numbers are 4 digits 6. Do not use node extensions 5. Verify that all MD5 checksums are correct 3. All XML must use standard components *Source: Virginia Ventura, FDA CDER Office of Business Process Support Copyright 2008 e-SubmissionsSolutions.com 24
  • 25. Technical Issues with Source Files* 4. All documents should conform to eCTD granularity 2. Be sure all PDF hyperlinks & bookmarks are correct 1. Include TOCs in all PDF documents *Source: Virginia Ventura, FDA CDER Office of Business Process Support Copyright 2008 e-SubmissionsSolutions.com 25
  • 26. What is CTD/eCTD? Module 1 Not part of CTD Module 1 Regional Info 2.1 Table of Contents 2.2 Introduction Module 2 2.3 2.4 Nonclinical 2.5 Clinical Summary Overview Overview Quality Overall 2.6 Nonclinical 2.7 Clinical Summary Summary Summary Module 3 Module 4 Module 5 Quality Safety Efficacy Copyright 2008 e-SubmissionsSolutions.com 26
  • 27. What is CTD/eCTD? Submission “nda121212” Sequence “0000” with 5 modules Sequence “0002” with 4 modules Copyright 2008 e-SubmissionsSolutions.com 27
  • 28. Where is XML Required? “XML backbone” Copyright 2008 e-SubmissionsSolutions.com 28
  • 29. As the FDA Sees an eCTD Copyright 2008 e-SubmissionsSolutions.com 29
  • 30. Where is XML Required? Module 1 Regional Copyright 2008 e-SubmissionsSolutions.com 30
  • 31. Where is XML required? Structured Product Labeling (SPL) Copyright 2008 e-SubmissionsSolutions.com 31
  • 32. Where is XML required? Module 4 Study Tagging File (STF) Copyright 2008 e-SubmissionsSolutions.com 32
  • 33. STF for Module 4 Copyright 2008 e-SubmissionsSolutions.com 33
  • 34. Where is XML required? Module 5 Study Tagging File (STF) Copyright 2008 e-SubmissionsSolutions.com 34
  • 35. STF for Module 5 Copyright 2008 e-SubmissionsSolutions.com 35
  • 36. Potential Problems with XML Sponsor’s hand coding of XML eCTD publishing vendor misinterpretation of XML document type definition (DTD) Sponsor’s usage of eCTD publishing system eCTD publishing vendor not providing enough guidance and control of user actions Copyright 2008 e-SubmissionsSolutions.com 36
  • 37. What is XML? Document/data interchange standard Originated from SGML/HTML Replaces traditional submission table of contents Rules for individual instances contained in Document Type Definitions (DTD) or Schemas Copyright 2008 e-SubmissionsSolutions.com 37
  • 38. What is XML? Copyright 2008 e-SubmissionsSolutions.com 38
  • 39. Challenges of eCTD: The Numbers According to FDA CDER: NDAs will have multiple submissions over their life- cycle Of 10 most active eNDAs: 6 had 111 to 139 submissions 1 had 185 submissions 1 had 202 submissions Of eSubmissions: One initial submission had 5478 files One eCTD supplement had over 15,000 files Copyright 2008 e-SubmissionsSolutions.com 39
  • 40. Challenges of eCTD Document Authoring -- Creation of PDFs highly dependent on use of word processor Templates Styles Cross references – how & to what Within document Outside document Copyright 2008 e-SubmissionsSolutions.com 40
  • 41. Challenges of eCTD Granularity of content organization Module 2: Quality, Nonclinical, Clinical summaries Module 3: Quality Module 4: Nonclinical study reports Module 5: Clinical study reports Regional differences US Integrated Analysis of Safety (IAS—formerly ISS) Integrated Analysis of Efficacy (IAE—formerly ISE) EU Expert reports CRFs – in or out CRTs – in or out Copyright 2008 e-SubmissionsSolutions.com 41
  • 42. Challenges of eCTD Collecting documents/data from study sites Case Report Forms Cost/time to convert to compliant electronic format Consistency of organization Changes of study protocol Different CROs involved in different study phases Electronic Data Capture (EDC) Location of queries & data correction forms (DCFs) Does my drug’s indication imply need to review CRFs? Which CRFs will I need to submit? Deaths/Drops/Serious AEs All Other Copyright 2008 e-SubmissionsSolutions.com 42
  • 43. Challenges of eCTD Documents/data from study sites Data Can all the data be delivered in electronically-reviewable format? Can I convert from proprietary formats into SAS XPT compliant formats? Excel Access Other Will the agency review my electronic datasets? Stability Nonclinical Clinical Copyright 2008 e-SubmissionsSolutions.com 43
  • 44. Challenges of eCTD Electronic Document Management Systems (EDMS) vs. Shared File System How do I know I have the final, approved document? What if the final, approved document changes? What is the effective version for a submission sequence? Do I have the time/budget/resources to implement EDMS? Will the EDMS meet the needs of my entire enterprise? Will the EDMS integrate with my e-Submission publishing process and tools? How do I assure the EDMS is 21 CRF 11 compliant? Copyright 2008 e-SubmissionsSolutions.com 44
  • 45. eCTD Challenge: The Granularity FDA CDER Study Tagging Files Scope – nonclinical & clinical study reports Lifecycle – from initial IND to product end-of- life Small unit of document granularity Hyperlinking between files Hyperlinking between submission serial numbers A cultural change for most CROs and authors Copyright 2008 e-SubmissionsSolutions.com 45
  • 46. Granularity – Quality Overall Summary Copyright 2008 e-SubmissionsSolutions.com 46
  • 47. Granularity – CMC/Quality Drug Product Copyright 2008 e-SubmissionsSolutions.com 47
  • 48. Study Report Granularity Copyright 2008 e-SubmissionsSolutions.com 48
  • 49. US, EU, Japan Experience To Date Problems with PDF Files Lacking navigation aids: Bookmarks Hyperlinks Document tables of contents Absolute paths on hyperlinks Security File format Incorrect granularity Referencing proprietary style sheets Copyright 2008 e-SubmissionsSolutions.com 49
  • 50. Conclusion from Experience to Date System is needed to produce XML backbone Source documents and data need to be submission-ready & compliant with requirements Sponsors need intimate knowledge of the XML output of their commercial-off-the-shelf (COTS) systems Sponsors must understand how agencies use the components of an eCTD for review Copyright 2008 e-SubmissionsSolutions.com 50
  • 51. Four Keys to eCTD Success Content Process Standards Technology Copyright 2008 e-SubmissionsSolutions.com 51
  • 52. How to Assure Compliance of Source Files? Copyright 2008 e-SubmissionsSolutions.com 52
  • 53. Credits & Disclaimers MS Word templates courtesy Sage Submissions LLC http://www.sagesubmissions.com/ MS Office version 2000 Professional Adobe Acrobat 2007 Professional http://www.adobe.com/products/acrobat/index.html MS Windows XP Professional 5.1 (SP2) ISIToolbox Pharma Edition 5.5.1 http://www.imagesolutions.com/Default.aspx?alias=www. imagesolutions.com/isitoolbox Copyright 2008 e-SubmissionsSolutions.com 53
  • 54. Credits & Disclaimers Enfocus PitStop Professional 7.01 http://www.enfocus.com/product.php?id=855 eCTD sample courtesy GlobalSubmit http://www.globalsubmit.org/ Parsing/validating samples courtesy GlobalSubmit & ING America http://www.ingamerica.com/ Copyright 2008 e-SubmissionsSolutions.com 54
  • 55. FDA Portable Document Format Specifications http://www.fda.gov/cder/regulatory/ersr/ PDF_specification_v11.pdf Examples follow . . . Copyright 2008 e-SubmissionsSolutions.com 55
  • 56. PDF Version 1.4 Options: “Reduce file size” Output by EDMS or eCTD publishing system Copyright 2008 e-SubmissionsSolutions.com 56
  • 57. Embed Fonts Not needed for standard font sets Options Converting from MS Word Setting in Acrobat Distiller Copyright 2008 e-SubmissionsSolutions.com 57
  • 58. Embed Fonts Options Embed from within Acrobat Standard or Professional Done on a text blocks Not recommended unless no other option Copyright 2008 e-SubmissionsSolutions.com 58
  • 59. Embed Fonts Options Enfocus PitStop Professional Done a line at a time Not recommended unless no other option Copyright 2008 e-SubmissionsSolutions.com 59
  • 60. Page Orientation Copyright 2008 e-SubmissionsSolutions.com 60
  • 61. Page Size & Margins Copyright 2008 e-SubmissionsSolutions.com 61
  • 62. Source of Electronic Document Avoid scanning unless no other choice Create PDFs from intelligent source MS Office—Word, Excel, PowerPoint Other word processors, spreadsheets, etc. ASCII text PDFs should be: Searchable Copy & paste to edit in other documents Copyright 2008 e-SubmissionsSolutions.com 62
  • 63. If You Must Scan Document Type Resolution Handwritten notes 300 dpi (black ink) Plotter output graphics 300 dpi Photographs—b&w 600 dpi (8 bit gray scale) Photographs—color 600 dpi (24 bit RGB) Gels and karotypes 600 dpi (8 bit grayscale depth) High pressure liquid chromatography 300 dpi Copyright 2008 e-SubmissionsSolutions.com 63
  • 64. Lossless Image Compression for Scanned Documents Black & White Image Color & Grayscale CCITT Group 4 Fax Zip/Flate Reduce file size No loss of data Copyright 2008 e-SubmissionsSolutions.com 64
  • 66. Image Color Matching CMYK for display Pantone for printing http://www.pantone.com/pages/pantone/index. aspx Calibrated lookup tables for printers Printer application support files Adobe Illustrator, Photoshop, Indesign Macromedia Freehand CorelDraw Quark Xpress Copyright 2008 e-SubmissionsSolutions.com 66
  • 68. Hypertext Linking Navigation improved for PDF documents Hypertext links for: Annotations Related sections References Appendices Tables or figures For anything not located on same page Copyright 2008 e-SubmissionsSolutions.com 68
  • 69. Table of Contents & Hyperlinks Hyperlinks designated by blue text or rectangles with thin lines Blue text for PDFs from intelligent source Thin rectangles only option for scanned documents Tables of Contents Hyperlinked Invisible rectangles and blue text preferred eCTD publishing system can automate some Copyright 2008 e-SubmissionsSolutions.com 69
  • 71. Use Relative Paths for Hyperlinks eCTD publishing system should generate automatically Copyright 2008 e-SubmissionsSolutions.com 71
  • 72. Use Relative Path for Hyperlinks However! Acrobat still shows relative path Link report courtesy Image Solutions, Inc. ISIToolbox Pharma Edition Bookmark & Link Auditor, Export Bookmarks and Links Copyright 2008 e-SubmissionsSolutions.com 72
  • 73. Bookmarks Hierarchy = TOC Up to 4 Levels eCTD publishing system should generate automatically Copyright 2008 e-SubmissionsSolutions.com 73
  • 74. Bookmarks & Hyperlinks Magnification = Inherit Zoom eCTD publishing system should generate automatically Link/Bookmark report courtesy Image Solutions, Inc. ISIToolbox Pharma Edition Export Bookmarks and Links Copyright 2008 e-SubmissionsSolutions.com 74
  • 75. Page Numbering Document Page = PDF Page Copyright 2008 e-SubmissionsSolutions.com 75
  • 76. Initial View = Bookmarks & Page eCTD publishing system should generate automatically Copyright 2008 e-SubmissionsSolutions.com 76
  • 77. File Naming & Folder/File Path Use lower cases letters Avoid special characters except hyphens File/folder path: 230 characters for full folder/file path 64 characters for folder names eCTD publishing system should generate/truncate automatically Copyright 2008 e-SubmissionsSolutions.com 77
  • 78. Verbally Communicated Requirements Open to TOC Optimize for Fast Web View Font size 12 point font for text 10 point for tables (9.5 pt) Copyright 2008 e-SubmissionsSolutions.com 78
  • 79. Open to TOC Page Copyright 2008 e-SubmissionsSolutions.com 79
  • 80. Open to TOC Copyright 2008 e-SubmissionsSolutions.com 80
  • 81. Optimize for Fast Web View Copyright 2008 e-SubmissionsSolutions.com 81
  • 82. Institute Standards for Data Inside and outside suppliers Datasets – must have complete documentation Datasets table of contents Variable definition file—complete Datasets in SAS transport Annotated CRF (for human studies) Copyright 2008 e-SubmissionsSolutions.com 82
  • 83. Complete Datasets Documentation Copyright 2008 e-SubmissionsSolutions.com 83
  • 84. Bookmarking of CRFs Copyright 2008 e-SubmissionsSolutions.com 84
  • 85. Four Keys to eCTD Success Content Process Standards Technology Copyright 2008 e-SubmissionsSolutions.com 85
  • 86. eCTD Workflow Copyright 2008 e-SubmissionsSolutions.com 86
  • 87. eCTD Single “Document” Workflow Compile to Collect Source Verify Single Files or Release for Documents Completeness Study Tagging Files Publishing & Data (STF) If incomplete, Incorrect, or PDF Deliverables – Individual Files Content revised Bookmarks & hyperlinks Tables of contents Pagination 1 through n Optimized for fast web viewing File Format 1.4 Copyright 2008 e-SubmissionsSolutions.com 87
  • 88. eCTD Submission Workflow Prepare Repository Insert Content in Insert Cross- Output for Handoff eCTD Outline Document Hyperlinks for QC Set Submission Adjust Submission & Document & Document Issues? Attributes Attributes • Invalid XML • Source document changed • Dead or missing bookmarks or hyperlinks Copyright 2008 e-SubmissionsSolutions.com 88
  • 89. Components of an EDMS Authoring Client Scanner EDMS Server Rendition Server RDBMS for PDF Renditions & File Store Copyright 2008 e-SubmissionsSolutions.com 89
  • 90. Components of Submission Publishing System e-Submission Publishing Client File Server FDA ESG EDMS Server, Publishing Server, RDBMS & RDBMS p-Submission & File Store Web Server Copyright 2008 e-SubmissionsSolutions.com 90
  • 91. TimeLine for Implementation Implementation Steps 1Q 2Q 3Q 4Q 5Q 6Q Gather EDMS & eCTD system requirements; determine validation requirements Identify potential vendors; select short list Prepare & issue RFP, reduce vendor list, start negotiations Order & install hardware; install EDMS software, perform IQ/OQ validation Train users, help desk, administrators; perform EDMS UAT & PQ validation Install & validate eCTD software. Produce small submissions – INDs, Annual Reports, Amendments, Supplements, Safety Updates Produce marketing application & submit Copyright 2008 e-SubmissionsSolutions.com 91
  • 92. Consistency of eCTD across ICH Vendors’ ability to offer Sponsors’ systems inexpensive solutions ability to manage for multiple eCTD lifecycle metadata markets’ requirements over drug’s lifetime eCTD Critical Success Factors Copyright 2008 e-SubmissionsSolutions.com 92
  • 93. eCTD: Challenges to Sponsors Return on Investment (ROI) Cost of systems, training, process redesign Cost of noncompliance Speed, efficiency Submission compilation Agency review process Lead time to application submission On-going compliance Copyright 2008 e-SubmissionsSolutions.com 93
  • 94. eCTD: Benefits to Sponsors: Electronic content for sponsor’s internal access (Potentially) faster agency review Higher quality agency review Demonstrated lower cost of production compared with paper Faster time from database lock to submission Copyright 2008 e-SubmissionsSolutions.com 94
  • 95. Status of eCTD Requirements FDA CDER eCTD mandated January 1, 2008+ for electronic submissions CBER Accepting both eCTD and eBLA Sometimes e-submission mandatory (fast-track, rolling submissions) FDA CDRH Guidances required Informal pilots underway Turbo 510K http://www.fda.gov/cdrh/cesub/index.html Global Harmonization Task Force (GHTF) and STED Copyright 2008 e-SubmissionsSolutions.com 95
  • 96. Status of FDA ESG e-Sub May 2006 May 2007 Feb 2008 Total AERS 9,109 12,917 247,925 CDER 20 1,009 15,931 CBER 6 101 2,146 CDRH 153 75 3,364 CVM 414 Totals 9,228 14,201 269,780 Copyright 2008 e-SubmissionsSolutions.com 96
  • 97. Business Case for ESG 1500 submissions (non-AERS) Manual submission of electronic media & supporting paper = $111,183 ESG startup (training, security certificates, hardware) = $30,999 . . . $20.00+ Time/resource efficiency for Sponsor & Agency Copyright 2008 e-SubmissionsSolutions.com 97
  • 98. Business Case Against Paper 10 copies, 100 volume submission $163,290 Total $147,000 = printing $5,790.00 = binder materials $10,500.00 = shipping Does not include labor to assemble, page stamp, manual TOCs, binding, QC, labeling, packing Copyright 2008 e-SubmissionsSolutions.com 98
  • 99. Four Keys to eCTD Success Content Process Standards Technology Copyright 2008 e-SubmissionsSolutions.com 99
  • 100. Status of eCTD Requirements EU/Japan/Canada PDF reviewers’ aids accepted along with paper volumes eCTD dependent on each country’s information technology infrastructure Needs early & frequent communication to determine ability to accept & review Rest of World Highly dependent on information technology infrastructure to review e-submissions Copyright 2008 e-SubmissionsSolutions.com 100
  • 101. EMEA eCTD Statement of Intent 1 July 2008 – accept eCTD or non-eCTD electronic-only 1 January 2009 – strongly recommend eCTD or non-eCTD; paper an exception 1 July 2009 – strongly recommend eCTD; paper and other formats an exception All applications (new and existing) All submission types for Centralised Procedure Rapporteurs & CHMP members receive no paper or other electronic formats beyond this date Copyright 2008 e-SubmissionsSolutions.com 101
  • 102. Japan eCTD Experience MHLW statistics as of December 2007: Original Applications = 6 (13 sequences) Reference Applications = 52 (70 sequences) Total = 58 (83 sequences) Free eCTD Validator Integrating eClinical Trial and eSubmission throughout drug development lifecycle CDISC standars for clinical trial data Copyright 2008 e-SubmissionsSolutions.com 102
  • 103. Health Canada eCTD Transition Phase 1 – Co-submission Original Submission: eCTD Format on CD and DVD along with full paper-based submission in CTD format Subsequent Submissions: Continue use of both formats Phase 2 - Hybrid submission Original Submission: eCTD format on CD and DVD along with Module 1 and 2 only in paper-based CTD format Subsequent submissions: Submit Modules 1 & 2 in both formats Original & Subsequent Submissions: Modules 3 to 5 may be subject to print-on-demand requests Electronic-only Original Submission: eCTD format with no accompanying paper Subsequent submissions: Do not revert to paper-based CTD Copyright 2008 e-SubmissionsSolutions.com 103
  • 104. Health Canada: Criteria for Participation in the Hybrid Filing Format Pilot Guidance January 25, 2006 December 31, 2007 Comparison (for pilot beginning on June 30, (effective immediately) 2006) Candidate Submission has priority review status New Drug Submissions (NDSs), submission Submission qualifies under the Abbreviated New Drug Submission types Notice of Compliance with conditions (ANDS), Supplement to a New Drug (NOC/c) policy Submission (SNDS), Supplement to a Health Canada does not have Abbreviated New Drug Submission capacity or ability to perform (SANDS) electronic review NDS labeling only if the original Submission to be assigned to a submission was filed in the co-submission reviewer on contract or a teleworker or hybrid filing formats Notifiable Change submissions and annual updates of Notices of Change related to a previously filed eCTD submission that was filed in the hybrid filing format Copyright 2008 e-SubmissionsSolutions.com 104
  • 105. Health Canada: Criteria for Participation in the Hybrid Filing Format Pilot Guidance January 25, 2006 December 31, 2007 Comparison (for pilot beginning on June 30, (effective immediately) 2006) Conditions Submission has Priority Review Health Canada does not have the where status capacity and ability to perform an candidate will Submission qualifies under the Notice electronic review not be of Compliance with conditions Submission to be assigned to a considered (NOC/c) policy reviewer on contract Health Canada does not have the capacity and ability to perform an electronic review Submission to be assigned to a reviewer on contract or a teleworker Copyright 2008 e-SubmissionsSolutions.com 105
  • 106. Health Canada: Implementation Considerations Issue Co-Submission Hybrid Submission Electronic-only Submission (Guidance Section 6.1) (Guidance Section 6.2) (Guidance Section 6.3) Paper content Complete paper-based Modules 1 & 2 in paper No paper CTD format Legal record Paper-based submission eCTD submission eCTD submission Signature Wet ink signature Digitized or scanned copy Electronic signature required of signed document Letter of Stating that material in Stating Modules 1 & 2 in Not applicable Attestation eCTD format exactly eCTD format exactly matches material in CTD matches material in CTD Technical pre- Recommended Required To be determined submission consultation Print on Not applicable <500 pages – done by To be determined demand Health Canada >500 pages – done by sponsor on request Copyright 2008 e-SubmissionsSolutions.com 106
  • 107. FDA Status--Part 15 Hearing Request for public input to influence development of new policy/regulation What do you think about an all-electronic submission environment? What do you think about implementing an electronic platform to promote electronic sharing and exchange of research and regulatory information? Public rule being written to mandate electronic submissions across all Centers of FDA—”years” to reach final rule RFI issued for public-private partnership to implement all- electronic submission environment http://www.fbo.gov/spg/HHS/FDA/DCASC/e-Platform-RFI/listing.html Copyright 2008 e-SubmissionsSolutions.com 107
  • 108. FDA Datasets Status -- Study Data Tabulation Model (SDTM) FDA Public Meeting February 1, 2005 http://www.fda.gov/oc/datacouncil/presentations.html Steps being taken by FDA to require submission in electronic format: Stability datasets – HL7 Animal datasets – tabulation & analysis-ready Human datasets – tabulation & analysis-ready Profound change from business as usual Agency Sponsors CROs Vendors Additional resources: http://www.cdisc.org/ http://www.hl7.org/ Copyright 2008 e-SubmissionsSolutions.com 108
  • 109. FDA Status—Electronic Submission Gateway (ESG) May 2006 – implemented Electronic Submission Gateway to enable fully-electronic bidirectional communication http://www.fda.gov/esg/ If sponsor has electronic signature policy & technology in place, no paper is required with submissions Forms (1571, 356h) and documents which require original wet signature on hardcopy Acceptable formats Scanned signatures Digital signatures Flattened digital signatures Copyright 2008 e-SubmissionsSolutions.com 109
  • 110. FDA Status--RPS Regulated Product Submission (RPS) under development Create one model for submission of regulated product information Framework for sponsors to send regulatory information Reviewers able to consistently locate requisite content Animal and human products—human therapeutics, medical devices, food additives, veterinary Worldwide use Copyright 2008 e-SubmissionsSolutions.com 110
  • 111. FDA Status--RPS Development under HL7 Randy Levin of FDA CDER one of three Co-Chairs HL7 being recognized as standards body by ICH Status June 2005 RPS Project initiated Sept. 2006 first test submission to FDA 2010+ implemented as extension to eCTD Copyright 2008 e-SubmissionsSolutions.com 111
  • 112. RPS--More Information RCRIM’s TC: https://www.hl7.org/Special/committees/rcrim/index.cfm RPS Information Page https://gforge.nci.nih.gov/plugins/wiki/index.php?Regulated%20 Product%20Submission&id=234&type=g HL7 tools https://www.hl7.org/Library/data- model/V3Tooling/toolsIndex.htm Copyright 2008 e-SubmissionsSolutions.com 112
  • 113. FDA—SPL Resources Providing Regulatory Submissions in Electronic Format – Content of Labeling http://www.fda.gov/cder/guidance/6719fnl.pdf SPL Standard for Content of Labeling Q&As http://www.fda.gov/cder/guidance/7074fnl.pdf FDA proposes to perform Indexing of SPL: http://www.fda.gov/cder/guidance/7662dft.pdf Copyright 2008 e-SubmissionsSolutions.com 113
  • 114. FDA Data Standards Council http://www.fda.gov/oc/datacouncil/ Structured Product Labeling Drug Registration Drug Listing Regulated Product Submission CDISC Data Standards Stability Data Standards Copyright 2008 e-SubmissionsSolutions.com 114
  • 115. FDA Resources for CTD Regulatory Submissions in Electronic Format – General Considerations http://www.fda.gov/cder/guidance/4156dft.pdf eCTD Backbone Files Specification for Module 1 http://www.fda.gov/cder/regulatory/ersr/Module1Spec.pdf eCTD Backbone Files Specification for Modules 2 through 5 http://www.fda.gov/cder/regulatory/ersr/module2-5spec.pdf Copyright 2008 e-SubmissionsSolutions.com 115
  • 116. FDA Resources for CTD eCTD Backbone Files Specification for Study Tagging Files (STF)--Module 4 & Module 5 http://www.fda.gov/cder/regulatory/ersr/FDA%20implementatio n%20of%20STFv2-6.pdf Comprehensive Table of Contents Headings and Hierarchy http://www.fda.gov/cder/regulatory/ersr/5640C TOC-v1.2.pdf Copyright 2008 e-SubmissionsSolutions.com 116
  • 117. FDA Resources for CTD Study Data Specifications--Datasets http://www.fda.gov/cder/regulatory/ersr/Studyd ata-v1.3.pdf Portable Document Format Specifications http://www.fda.gov/cder/regulatory/ersr/PDF_specification_v11.pdf Copyright 2008 e-SubmissionsSolutions.com 117
  • 118. Summary EU & Japan & Canada – eCTD preferred format for electronic; CTD required format for paper US – CTD preferred format for paper Rest of World-- ability to accept & review varies widely eCTD preferred format for e-Submissions eCTD remains optional except FDA CDER Paper submissions required by most countries Agency cannot legally accept electronic-only Agency IT infrastructure inadequate to perform electronic review Copyright 2008 e-SubmissionsSolutions.com 118
  • 119. eCTD Success! Critical Success Factors: Faster time to market Happier stockholders Greater employee & management satisfaction Lower cost of production Simultaneous global submissions Healthier patients Copyright 2008 e-SubmissionsSolutions.com 119
  • 120. Questions & Discussion Antoinette Azevedo, President & CEO e-SubmissionsSolutions.com AAzevedo@e-SubmissionsSolutions.com http://www.e-SubmissionsSolutions.com/ Telephone (619) 220-7081 Fax (619) 220-0831 Copyright 2008 e-SubmissionsSolutions.com 120