GCC - Module - 1 - SpecificationVersion 1.4
GCC - Module - 1 - SpecificationVersion 1.4
GCC - Module - 1 - SpecificationVersion 1.4
Specifications
Version 1.4
Sep 2015
GCC Module 1 Specifications
Version 1.4
Drug Sector
Saudi Food & Drug Authority
Sep 2015
Saudi Food & Drug Authority 2
Drug Sector
Vision
To be the leading regional Drug Regulatory Authority for pharmaceuticals and cosmetic
products, with professional excellence and services that contribute to the protection and
advancement of public health in the Kingdom of Saudi Arabia.
الرؤية
ويدد ددساه همنيية سيمةز ستن يف مياية،أن يكون قطاع ادلواء رائداً اقلمييا يف الرقابة عىل الودوية وست حضارا الحميي
.وهعزيز الصحة يف امليلكة العربية التعوودية
Mission
Protecting public health by ensuring safety, quality, efficacy and accessibility of human,
veterinary drugs and biological products, and safety of cosmetics, through administration of
a national regulatory system which is consistent with international best practice. Through
our mission, we also provide accurate and scientific-based information to the public and
healthcare professionals.
الرساةل
مياية الصحة العاسة سن دالل ضيان أسان وجوود وفعالية وهوفر الودوية البرشية والبيطرية وامليحجا احليوية وسالسة سواود
امليارسا ادلولية وهددمي املعلوسا ادلوائية املبنية عىل أسس عليية، عرب هطبيق نظا وطين للرقابة ستوافق سع أفض،الحميي
.للعاسة واملنييني الصضيني
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DOCUMENT CONTROL
Version Date Authors Comments
0.1 07/12/2010 Regulatory Affairs First draft
0.2 08/03/2011 Regulatory Affairs Revised draft
0.3 12/06/2011 Regulatory Affairs External consultation
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TABLE OF CONTENTS
1 INTRODUCTION ..................................................................................................................................... 6
1.1. BACKGROUND ..................................................................................................................................... 6
1.2. SCOPE .................................................................................................................................................... 6
1.3. TECHNICAL REQUIREMENTS .......................................................................................................... 7
1.4. CHANGE CONTROL ............................................................................................................................ 7
1.5. GLOSSARY ............................................................................................................................................ 8
2 GCC MODULE 1: REGIONAL INFORMATION ...................................................................................... 10
2.1. GENERAL CONSIDERATIONS ......................................................................................................... 10
2.1.1 DOCUMENT GRANULARITY ...................................................................................................... 10
2.1.2 CORRESPONDENCE ..................................................................................................................... 10
2.1.3 SEQUENCE NUMBERS ................................................................................................................. 10
2.1.4 BOOKMARKS AND HYPERTEXT LINKS .................................................................................. 11
2.2. REGIONAL FILE FORMATS............................................................................................................. 11
2.2.1. MODULE 1 .................................................................................................................................. 11
2.2.2. MODULES 2 TO 5....................................................................................................................... 12
2.3. HANDLING OF EMPTY OR MISSING ECTD SECTIONS .............................................................. 12
2.4. TECHNICAL INFORMATION ........................................................................................................... 13
2.4.1. USE OF ELECTRONIC SIGNATURES .................................................................................... 13
2.4.2. SECURITY ISSUES .................................................................................................................... 13
2.4.3. VIRUS PROTECTION................................................................................................................ 13
2.4.4. PASSWORD PROTECTION ...................................................................................................... 13
2.5. GENERAL ARCHITECTURE OF MODULE 1 ................................................................................. 13
2.5.1. CHECKSUM................................................................................................................................ 14
2.5.2. ENVELOPE ................................................................................................................................. 14
2.5.3. XML CATALOGUE .................................................................................................................... 15
2.5.4. DIRECTORY / FILE STRUCTURE........................................................................................... 15
2.5.5. FILE NAMING CONVENTION ................................................................................................. 15
2.6. BUSINESS PROTOCOL ...................................................................................................................... 16
2.7. CHANGE CONTROL .......................................................................................................................... 16
2.8. INSTRUCTIONS FOR EXTENSION SUBMISSIONS ....................................................................... 17
2.9. REFORMATTING ............................................................................................................................... 17
APPENDIX ................................................................................................................................................... 18
APPENDIX 1: ENVELOPE ELEMENT DESCRIPTION ............................................................................ 18
APPENDIX 2: DIRECTORY/FILE STRUCTURE FOR GCC MODULE 1 .................................................... 21
APPENDIX 3: COUNTRY SPECIFIC ELEMENTS .................................................................................. 28
APPENDIX 4: EXAMPLE SCREENSHOT ............................................................................................. 29
APPENDIX 5: LIST OF CODES........................................................................................................... 30
APPENDIX 6: MODULARIZED DTD FOR GCC MODULE 1 ................................................................. 32
GCC Regional DTD .................................................................................................................. 32
GCC Envelope .......................................................................................................................... 36
GCC Leaf ................................................................................................................................. 38
ANNEX 1: ...................................................................................................................................... 40
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1 Introduction
This document should be read together with the ICH eCTD Specification to
prepare a valid eCTD submission for GCC. The latest version of the ICH eCTD
Specification can be found at: http://estri.ich.org
The ICH M4 Expert Working Group (EWG) has defined the Common Technical
Document (CTD). The ICH M2 EWG has defined, in the current document, the
specification for the Electronic Common Technical Document (eCTD). The eCTD is
defined as an interface for industry to agency transfer of regulatory information while
at the same time taking into consideration the facilitation of the creation, review, life
cycle management and archiving of the electronic submission.
The eCTD specification lists the criteria that will make an electronic submission
technically valid. The focus of the specification is to provide the ability to transfer the
registration application electronically from industry to a regulatory authority. Industry
to industry and agency to agency transfer is not addressed.
1.1. Background
The specification for the eCTD is based upon content defined within the CTD
issued by the ICH M4 EWG. The CTD describes the organization of modules,
sections and documents. The structure and level of detail specified in the CTD have
been used as the basis for defining the eCTD structure and content but, where
appropriate, additional details have been developed within the eCTD specification.
The philosophy of the eCTD is to use open standards. Open standards, including
proprietary standards which through their widespread use can be considered de facto
standards, are deemed to be appropriate in general.
1.2. Scope
The CTD as defined by the M4 EWG does not cover the full submission that is to
be made in a region. It describes only modules 2 to 5, which are common across all
regions. The regional Administrative Information and Prescribing Information is
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described in Module 1. The CTD does not describe the content of module 1 because it
is regional specific, nor does it describe documents that can be submitted as
amendments or variations to the initial application. The value of producing a
specification for the creation of an electronic submission based only upon the modules
described in the CTD would be limited. Therefore, the M2 EWG has produced a
specification for the eCTD that is applicable to all modules of initial registration
applications and for other submissions of information throughout the life cycle of the
product, such as variations and amendments.
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1.5. Glossary
A brief glossary of terms (for the purpose of this document only) is indicated below:
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USR Urgent Safety Restriction
RMP Risk Management Plan
Submission The submission type describes the regulatory activity to which the
type content will be submitted.
Submission The submission unit element of the envelope metadata set
unit describes the content at a lower level (a “sub-activity”) which is
submitted in relation to a defined regulatory activity such as the
applicant response to validation issues or list of questions or any
other additional information
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2 GCC Module 1: Regional Information
The ICH Common Technical Document (CTD) specifies that Module 1 should
contain region specific administrative and product information. The content and
numbering of Module 1 for GCC is specified in the latest version of the Guidance for
Submission that can be found at http://www.sfda.gov.sa
2.1.2 Correspondence
In addition to the eCTD application information may need to be exchanged to
assist the processing or handling of the application. Not all that correspondence
should be included in the eCTD. This is because the eCTD exchange is currently one
way only, from applicant to Agency, and not all correspondence is directly relevant to
the application dossier.
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2.1.4 Bookmarks and hypertext links
Navigation through an electronic submission is greatly enhanced by the
intelligent use of bookmarks and hypertext links. ICH guidance states “It is expected
that any document that has a Table of Contents (TOC) will have bookmarks (see the
eCTD specification for details). Documents without TOCs should have bookmarks
included where it aids in the navigation around the document content. For example, a
4 page document summarizing findings could require bookmarks to aid navigation.
However, a 300 page file containing a single data listing might not require bookmarks
as there is no further internal structure. Please consult national guidance documents
for further details.”
In general terms, bookmarks and hyperlinks should be used to aid navigation. The
overuse of hyperlinks may confuse rather than help assessors and may cause problems
later in life cycle management.
The file formats that can be included in Module 1 are given in Table 1. In
addition to the common format PDF as defined by the ICH eCTD Specification
Document, for other formats see regional guidance for narrative documents to be
included in Module 1.
XML is also an acceptable format for the delivery of structured data in Module 1,
specifically the application form and product information, as long as the XML is
produced to the standard defined in the electronic Application Forms.
Although the use of the file formats defined in Table 1 is strongly recommended,
the GCC and applicants could agree on the use of other formats in Module 1, for
example, the proprietary format MS Word is for Product Information documents in
Module 1.3 (see specific national guidance).
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Table 1: Acceptable file formats for GCC Module 1
2.2.2. Modules 2 to 5
No additional file formats are defined for Modules 2 to 5 other than those
mentioned in the ICH eCTD Specification Document. The GCC and pharmaceutical
companies could agree on a case-by-case basis to use formats other than the common
formats (e.g. RTF). However, the use of formats other than those specified by the ICH
eCTD Specification Document is discouraged.
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Note that placeholder documents highlighting 'no relevant content' should not be
placed in the eCTD structure, as these would create a document lifecycle for non-
existent documents, and unnecessary complication and maintenance of the eCTD.
The applicant is responsible for checking the submission for viruses. Checking
should be performed with an up-to-date virus checker and be confirmed in the cover
letter.
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valid XML document according to the GCC Regional Document Type Definition
(DTD). The backbone instance (the gc-regional.xml file) contains meta-data for
the leaves, including pointers to the files in the directory structure. In addition, the
GCC Regional DTD defines meta-data at the submission level in the form of an
envelope. The root element is "gc-backbone" and contains two elements: "gc-
envelope" and "m1-gc".
The GCC Regional DTD is modularized i.e. the envelope and leaves are
referenced from the main part of the DTD as external entities called respectively
"gc-envelope.mod" and "gc-leaf.mod". The "gc-leaf" is identical to the
leaf element described in the ICH eCTD DTD; reference is made to Table 6-8 of the
ICH eCTD Specification. A full description of the GCC Regional DTD can be found
in Appendix 4 of this specification.
2.5.1. Checksum
2.5.2. Envelope
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2.5.3. XML Catalogue
The “m1-gc” element of the GCC regional DTD is based on the same conceptual
approach as the common part of the ICH eCTD DTD. It provides an XML catalogue
with meta-data at the leaf level including pointers to the location of files in a directory
structure. As for the ICH eCTD DTD, the “m1-gc” element maps to the directory
structure. (There may at times be what is seen to be a 'redundant' directory structure,
but this is necessary in order to be able to use the same file/directory structure for all
procedures.)
The GCC Module 1 Specification provides the directory and file structure (see
Appendix 2).
The eCTD file naming conventions described in the ICH M2 eCTD Specification
and this document are highly recommended. If an applicant wishes to submit multiple
files in one section, where only one highly recommended name is available, this can
be achieved using a suffix to the filename,
File names have fixed and variable components. Components are separated by a
hyphen. No hyphens or spaces should be used within each component.
Fixed components are mandatory. The variable component is optional and should
be used as appropriate to further define these files. The variable component if used
should be a meaningful concatenation of words without separation and should be kept
as brief and descriptive as possible. File extensions in line with this specification
should be applied as applicable.
The first component in a file name must be the country code as per Appendix 5
except when the document is valid for all countries within the particular procedure.
The second component must be the document type code. The third component if
necessary should be the variable component.
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There are no recommendations for variable components in this specification. The
format of the file is indicated by the file extension. File names must always be in
lowercase, in line with the ICH eCTD specification.
Examples are:
sa-cover.pdf (Saudi Arabia)
ae-cover.pdf (UAE)
bh-cover.pdf (Bahrain)
kw-cover.pdf (Kuwait)
qa-cover.pdf (Qatar)
ye-cover.pdf (Yemen)
sa-form.pdf (Saudi Arabia)
om-form.pdf (Oman)
2. The GCC will acknowledge the proper receipt and result of the validation process
(technical [e.g. virus check, XML check, etc.] and content based) to the Sponsor
or Agent that submitted the eCTD.
Change in the content of the Module 1 for the CTD, either through the
amendment of information, at the same level of detail, or by provision of
more detailed definition of content and structure
Change to the regional requirements for applications that are outside the
scope of the CTD
Update of standards that are already in use within the eCTD
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Identification of new standards that provide additional value for the
creation and/or usage of the eCTD
Identification of new functional requirements
Experience of use of the eCTD by all parties, in particular Module 1.
For Extension submission, only new data must be submitted as a new sequence in
the already submitted eCTD. The submission type has to be “extension”.
If single eCTDs are used for each strength or form of a product, full data
concerning the extension applied for has to be included in the submitted eCTD and
therefore clear information should be given to the assessor on what is new compared
to earlier submitted data for the product to avoid unnecessary assessment.
2.9. Reformatting
To support the reformatting of an existing submission application from any
format to eCTD, i.e. a baseline eCTD submission containing no content change and
which will not be subject to review, the submission unit type ‘reformat‘ should be
used in the envelope. This type will always be used together with the submission type
‘none’.
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APPENDIX
Appendix 1: Envelope Element Description
The “gc-envelope” element is the root element that defines meta-data of the
submission. This element may contain several envelope entries.
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Element Attribute Description/Instructions Example Constraint Occurrence
This is the sequence number of 0000
the submission – this should
start at 0000 for the initial
submission, and then increase
sequence incrementally with each Mandatory Unique
subsequent submission
related to the same product
e.g. 0000, 0001, 0002, 0003
etc.
This is the sequence number of
a previous submission to
related-sequence which this submission relates 0001 Optional Repeatable
e.g. the responses to questions
to a particular variation.
submission- This element is used to briefly
Mandatory Unique
description describe the submission
This is any number, used by an
agency or the applicant to
number track the submission, in any Optional Repeatable
procedure, in relation to a
particular product.
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Example of how the Related Sequence should be used:
Submission Related
Sequence Comment
Description Sequence
Application for New This is a new regulatory submission and so no related
0000 <none>
Generic application sequence is included
Responses to Section This is continued activity for the regulatory submission
0001 31 for New Generic 0000 initiated in 0000 and so the related sequence points to
application the beginning of that submission
Updated information This is the completion of the regulatory activity for this
0002 for New Generic 0000 submission initiated in 0000 and so the related
application sequence points to the beginning of that submission
Application for
EXTENSION OF
This is the beginning of a new regulatory submission
0003 INDICATION (EOI) <none>
and so no related sequence is included
for the approved
product
Responses Section 31
This is continued activity for the regulatory submission
for the change in
0004 0003 initiated in 0003 and so the related sequence points to
manufacturing site for
the beginning of that submission
the approved product
Responses to CLIN This is continued activity for the regulatory submission
0003
0005 Section 31 EOI for the initiated in 0003 and so the related sequence points to
approved product the beginning of that submission
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Appendix 2: Directory/File Structure for GCC Module 1
The directory / file structure is defined in this appendix as a table containing the
following information:
The names of the actual files and directories used should be presented in lower
case in accordance with the eCTD specification. The codes “VAR” and “EXT”
represent a variable component of the file name and a representation of a file
extension respectively. The use of upper case for those codes is for illustrative
purposes only to show differentiation between the variable parts and the fixed part of
the name.
Please note that “CC” represents the country code and “LL” the language code. It
is added to a directory if a file is specific to a country. If the file applied to all GCC
countries, “CC” will be “common”.
1 Number
Title GCC Module 1
Element m1-gc
Directory m1/gc
Comment Top level directory for the GCC Module 1 as per ICH eCTD
Specification
2 Number
Title GCC Module 1 – DTD version 1.0
Element
File m1/gc/gc-regional.xml
Comment The GCC Regional XML instance including the envelope
information. Note that the operation attribute for the gc-
regional.xml should always be set to ‘new’
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3 Number 1.0
Title Cover letter
Element m1-0-cover
Directory m1\gc\10-cover
Comment General place holder for cover letter information
If there is a special cover letter from specific agency, please
add the country and language to the directory
m1\gc\10-cover\CC\LL.
4 Number
Title Cover letter for SFDA
Element m1-0-cover
Directory m1\gc\10-cover
File CC-cover-VAR.EXT
Comment Example for the cover letter is specific for (SFDA) in Saudi
Arabia, the placeholder will be m1\gc\10-cover\sa\sa-cover.pdf
5 Number 1.1
Title Module 1 table of contents
Element m1-1-table-of-contents
Directory 0000
Comment The table of contents should include a list of all documents
provided in the data submission by module.
In eCTD, the xml backbone replaces the table of contents
0000\index.xml
6 Number 1.2
Title Application form
Element m1-2-application-form
Directory m1\gc\12-form
File CC-form-VAR.EXT
Comment General place holder for application form information.
7 Number 1.3
Title Product Information
Element m1-3-product-information
Directory m1\gc\13-pi
Comment General placeholder for Product Information
8 Number 1.3.1
Title Summary of Product Characteristics (SPC)
Element m1-3-1-spc
Directory m1\gc\13-pi\131-spc
File CC-spc-VAR.EXT
Comment General placeholder for SPC.
English SPC the directory is m1\gc\13-pi\131-spc\CC\en
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9 Number 1.3.2
Title Labeling
Element m1-3-2-label
Directory m1\gc\13-pi\132-labeling
File CC-label-VAR.EXT
Comment General placeholder for labeling
The directory is m1\gc\13-pi\132-labeling\CC\LL
10 Number 1.3.3
Title Patient information leaflet
Element m1-3-3-pil
Directory m1\gc\13-pi\133-leaflet
Comment General placeholder for Patient information leaflet
11 Number 1.3.3.1
Title Arabic Patient information leaflet
Element m1-3-3-pil
Directory m1\gc\13-pi\133-leaflet\CC\ar
File CC-leaflet-VAR.EXT
Comment Document in Arabic
12 Number 1.3.3.2
Title English Patient information leaflet
Element m1-3-3-pil
Directory m1\gc\13-pi\133-leaflet\CC\en
Comment Document in English
13 Number 1.3.4
Title Artwork (mock-ups)
Element m1-3-4-mockup
Directory m1\gc\13-pi\134-artwork\CC\LL
File CC-artwork-VAR.EXT
Comment Artwork or Mock-ups
14 Number 1.3.5
Title Samples
Element m1-3-5-samples
Directory m1\gc\13-pi\135-samples\CC\LL
File CC-samples-VAR.EXT
Comment Samples
15 Number 1.4
Title Information on the Experts
Element m1-4-expert
Directory m1\gc\14-expert
Comment
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16 Number 1.4.1
Title Quality
Element m1-4-1-quality
Directory m1\gc\14-expert\141-quality
File quality-VAR.EXT
Comment
17 Number 1.4.2
Title Non clinical
Element m1-4-2-non-clinical
Directory m1\gc\14-expert\142-nonclinical
File nonclinical-VAR.EXT
Comment
18 Number 1.4.3
Title Clinical
Element m1-4-3-clinical
Directory m1\gc\14-expert\143-clinical
File clinical-VAR.EXT
Comment
19 Number 1.5
Title Environmental Risk Assessment
Element m1-5-environrisk
Directory m1\gc\15-environrisk
Comment
20 Number 1.5.1
Title Non-GMO
Element m1-5-1-non-gmo
Directory m1\gc\15-environrisk\151-nongmo
File nongmo-VAR.EXT
Comment
21 Number 1.5.2
Title GMO
Element m1-5-2-gmo
Directory m1\gc\15-environrisk\152-gmo
File gmo-VAR.EXT
Comment
22 Number 1.6
Title Pharmacovigilance
Element m1-6-pharmacovigilance
Directory m1\gc\16-pharmacovigilance
Comment
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23 Number 1.6.1
Title Pharmacovigilance System
Element m1-6-pharmacovigilance-system
Directory m1\gc\16-pharmacovigilance\161-phvig-system
File phvigsystem-VAR.EXT
Comment
24 Number 1.6.2
Title Risk Management Plan
Element m1-6-2-risk-management-system
Directory m1\gc\16-pharmacovigilance\162-riskmgt-system
File riskmgtsystem-VAR.EXT
Comment
25 Number 1.7
Title Certificates and Documents
Element m1-7-certificates
Directory m1\gc\17-certificates
Comment
26 Number 1.7.1
Title GMP Certificate
Element m1-7-1-gmp
Directory m1\gc\17-certificates\171-gmp
File CC-gmp-VAR.EXT
Comment
27 Number 1.7.2
Title CPP or Free-sales
Element m1-7-2-cpp
Directory m1\gc\17-certificates\172-cpp
File CC-cpp-VAR.EXT
Comment
28 Number 1.7.3
Title Certificate of analysis – Drug Substance / Finished Product
Element m1-7-3-analysis-substance
Directory m1\gc\17-certificates\173-analysis-substance
File CC-drugsubstance-VAR.EXT
Comment
29 Number 1.7.4
Title Certificate of analysis – Excipients
Element m1-7-4-analysis-excipients
Directory m1\gc\17-certificates\174-analysis-excipients
File CC-excipients-VAR.EXT
Comment
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30 Number 1.7.5
Title Alcohol-content declaration
Element m1-7-5-alcohol-content
Directory m1\gc\17-certificates\175-alcohol-content
File CC-alcoholcontent-VAR.EXT
Comment
31 Number 1.7.6
Title Pork-content declaration
Element m1-7-6-pork-content
File CC-porkcontent-VAR.EXT
Directory m1\gc\17-certificates\176-pork-content
Comment
32 Number 1.7.7
Title Certificate of suitability for TSE
Element m1-7-7-certificate-tse
Directory m1\gc\17-certificates\177-certificate-tse
File CC-tse-VAR.EXT
Comment
33 Number 1.7.8
Title The diluents and coloring agents in the product formula
Element m1-7-8-diluent-coloring-agents
Directory m1\gc\17-certificates\178-diluent-coloring-agents
File CC-diluent-VAR.EXT
Comment
34 Number 1.7.9
Title Patent Information
Element m1-7-9-patent-information
Directory m1\gc\17-certificates\179-patent-information
File CC-patent-VAR.EXT
Comment
35 Number 1.7.10
Title Letter of access or acknowledgements to DMF
Element m1-7-10-letter-access-dmf
Directory m1\gc\17-certificates\1710-letter-access-dmf
File CC-accessdmf-VAR.EXT
Comment
36 Number 1.8
Title Pricing
Element m1-8-pricing
Directory m1\gc\18-pricing
Comment
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37 Number 1.8.1
Title Price list
Element m1-8-1-price-list
Directory m1\gc\18-pricing\181-price-list
File CC-price-VAR.EXT
Comment
38 Number 1.8.2
Title Other documents related
Element m1-8-2-other-document
Directory m1\gc\18-pricing\182-other-doc
File CC-others-VAR.EXT
Comment
39 Number 1.9
Title Responses to questions
Element m1-9-responses
Directory m1\gc\19-responses\CC
File CC-responses-VAR.EXT
Comment
40 Number m1-additional-data
Title Additional data
Element m1-additional-data
Directory m1\gc\additional-data\CC
File CC-additionaldata-VAR.EXT
Comment Any additional data requested should be put on this place such
as documents that don’t really fit in any other sections (transfer
agreement, declaration of conformity of translation, etc.)
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Appendix 3: Country Specific Elements
A number of the elements that represent Module 1 TOC headings possess the
child element “specific”, which allows country specificity of content to be
explicitly indicated.
Module 1 elements that have “specific” child elements can therefore contain
multiple documents, each with content for review by a different country in the Gulf
Cooperation countries. These elements are listed below:
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Appendix 4: Example Screenshot
This appendix is included only to demonstrate how the directory structure may
appear for Module 1 for Gulf Cooperation Council (GCC).
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Appendix 5: List of codes
Procedure
Type Description
gcc GCC procedure
national National procedure
Submission
Type Description
Asmf Active Substance Master File
extension Extension Submission*
new-bio MAA - Biological
new-gen MAA - Generic (Multisource)
new-nce MAA - New chemical Entity
new-rad MAA - Radiopharmaceuticals
None In the exceptional case of reformatting the application no
regulatory activity is allowed. Therefore, ‘none’ must be
stated. The submission unit will identify the sub-activity
related to the product.
new-her MAA - New Herbal
new-hea MAA - New Health
new-vet MAA - New vet
pmf Plasma Master File
psur Periodic Safety Update Report
psusa PSUR single assessment procedure
renewal Renewal of Marketing Authorization
rmp Risk Management Plan
transfer-ma Transfer of Marketing Authorization
usr Urgent Safety Restriction
var-type1 Variation Type 1
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var-type2 Variation Type 2
withdrawal Withdrawal
*consult your local regulatory authority before submission
Submission unit
Type Description
additional-info Other additional Information (could include, for example,
missing files) and should only be used, if response is not
suitable
closing Submission unit that provides the final documents in the
GCC procedure following the decision of the GCC
committee
correction Correction to the published annexes in the GCC procedure
(usually shortly after approval)
initial Initial submission to start any regulatory activity
reformat Intended to support the reformatting of an existing
submission application from any format to eCTD, i.e. a
baseline eCTD submission containing no content change
and which will not be subject to review. This type will
always be used together with the submission type ‘none’
response Submission unit that contains the response to any kind of
question, validation issues out-standing information
requested by the agency
DESTINATION
In most cases the destination code is an ISO-3166-1 code usually called “country
code”.
LANGUAGE
Language Description
ar Arabic (when required)
en English
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Saudi Food & Drug Authority 31
Appendix 6: Modularized DTD for GCC Module 1
GCC Regional DTD
<!--
PUBLIC "-//GC//DTD eCTD GCBackbone 1.1//EN"
In the eCTD File Organisation: "util/dtd/gc-regional.dtd"
<!ELEMENT specific (
%leaf-node;
)>
<!ATTLIST specific
country %countries; #REQUIRED
>
<!ATTLIST gc:gc-backbone
xmlns:gc CDATA #FIXED "http://sfda.gov.sa"
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xmlns:xlink CDATA #FIXED
"http://www.w3c.org/1999/xlink"
xml:lang CDATA #IMPLIED
dtd-version CDATA #FIXED "1.1"
>
<!--
..............................................................
..... -->
<!ELEMENT m1-gc (
m1-0-cover,
m1-2-form?,
m1-3-pi?,
m1-4-expert?,
m1-5-environrisk?,
m1-6-pharmacovigilance?,
m1-7-certificates?,
m1-8-pricing?,
m1-9-responses?,
m1-additional-data?
)>
<!--
..............................................................
..... -->
<!ELEMENT m1-0-cover (
specific+
)>
<!--
..............................................................
..... -->
<!ELEMENT m1-2-form (
specific+
)>
<!--
..............................................................
..... -->
<!ELEMENT m1-3-pi (
m1-3-1-spc?,
m1-3-2-label?,
m1-3-3-pil?,
m1-3-4-mockup?,
m1-3-5-samples?
)>
<!ELEMENT m1-3-1-spc (
pi-doc+
)>
<!ELEMENT m1-3-2-label (
pi-doc+
)>
<!ELEMENT m1-3-3-pil (
pi-doc+
)>
<!ELEMENT m1-3-4-mockup (
specific+
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)>
<!ELEMENT m1-3-5-samples (
specific+
)>
<!ELEMENT pi-doc (
%leaf-node;
)>
<!ATTLIST pi-doc
xml:lang %languages; #REQUIRED
type (spc|label|pil) #REQUIRED
country %countries; #REQUIRED
>
<!--
..............................................................
..... -->
<!ELEMENT m1-4-expert (
m1-4-1-quality?,
m1-4-2-non-clinical?,
m1-4-3-clinical?
)>
<!--
..............................................................
..... -->
<!ELEMENT m1-5-environrisk (
(m1-5-1-non-gmo | m1-5-2-gmo)?
)>
<!ELEMENT m1-5-1-non-gmo %leaf-node;>
<!ELEMENT m1-5-2-gmo %leaf-node;>
<!--
..............................................................
..... -->
<!ELEMENT m1-6-pharmacovigilance (
m1-6-1-pharmacovigilance-system?,
m1-6-2-risk-management-system?
)>
<!ELEMENT m1-6-1-pharmacovigilance-system %leaf-node;>
<!ELEMENT m1-6-2-risk-management-system %leaf-node;>
<!--
..............................................................
..... -->
<!ELEMENT m1-7-certificates (
m1-7-1-gmp?,
m1-7-2-cpp?,
m1-7-3-analysis-substance?,
m1-7-4-analysis-excipients?,
m1-7-5-alcohol-content?,
m1-7-6-pork-content?,
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m1-7-7-certificate-tse?,
m1-7-8-diluent-coloring-agents?,
m1-7-9-patent-information?,
m1-7-10-letter-access-dmf?
)>
<!ELEMENT m1-7-1-gmp %leaf-node;>
<!ELEMENT m1-7-2-cpp %leaf-node;>
<!ELEMENT m1-7-3-analysis-substance %leaf-node;>
<!ELEMENT m1-7-4-analysis-excipients %leaf-node;>
<!ELEMENT m1-7-5-alcohol-content %leaf-node;>
<!ELEMENT m1-7-6-pork-content %leaf-node;>
<!ELEMENT m1-7-7-certificate-tse %leaf-node;>
<!ELEMENT m1-7-8-diluent-coloring-agents %leaf-node;>
<!ELEMENT m1-7-9-patent-information %leaf-node;>
<!ELEMENT m1-7-10-letter-access-dmf %leaf-node;>
<!--
..............................................................
..... -->
<!ELEMENT m1-8-pricing (
m1-8-1-price-list?,
m1-8-2-other-document?
)>
<!ELEMENT m1-8-1-price-list %leaf-node;>
<!ELEMENT m1-8-2-other-document %leaf-node;>
<!--
..............................................................
..... -->
<!ELEMENT m1-9-responses (
specific+
)>
<!--
..............................................................
..... -->
<!ELEMENT m1-additional-data (
specific+
)>
<!-- +++ -->
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GCC Envelope
<!--
In the eCTD File Organisation: "util/dtd/gc-envelope.mod"
Version 1.1
Aug 2015
-->
<!--
..............................................................
..... -->
<!ELEMENT gc-envelope (
envelope+
)>
<!ELEMENT envelope (
application,
applicant,
agency,
atc*,
submission,
submission-unit,
procedure,
invented-name+,
inn*,
sequence,
related-sequence*,
submission-description
)>
<!--
..............................................................
..... -->
<!ELEMENT application ( number* )>
<!ELEMENT applicant ( #PCDATA )>
<!ELEMENT agency EMPTY>
<!ELEMENT atc ( #PCDATA )>
<!ELEMENT submission EMPTY>
<!ELEMENT submission-unit EMPTY>
<!ELEMENT procedure EMPTY>
<!ELEMENT invented-name ( #PCDATA )>
<!ELEMENT inn ( #PCDATA )>
<!ELEMENT sequence ( #PCDATA )>
<!ELEMENT related-sequence ( #PCDATA )>
<!ELEMENT submission-description ( #PCDATA )>
<!ELEMENT number ( #PCDATA )>
<!--
..............................................................
..... -->
<!ATTLIST agency code (
AE-MOH
| BH-MOH
| KW-MOH
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| OM-MOH
| QA-NHA
| SA-SFDA
| YE-MOPHP
) #REQUIRED>
<!--
..............................................................
..... -->
<!ATTLIST procedure type (
gcc
| national
) #REQUIRED>
<!--
..............................................................
..... -->
<!ATTLIST submission type (
asmf
| extension
| new-gen
| new-nce
| new-bio
| new-rad
| none
| new-her
| new-hea
| new-vet
| pmf
| psur
| psusa
| renewal
| rmp
| transfer-ma
| usr
| var-type1
| var-type2
| withdrawal
) #REQUIRED>
<!--
..............................................................
..... -->
<!ATTLIST submission-unit type (
initial
| response
| additional-info
| closing
| correction
| reformat
) #REQUIRED>
<!--
..............................................................
..... -->
<!ENTITY % env-countries "(ae|common|bh|kw|om|qa|sa|ye)">
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<!--
..............................................................
..... -->
<!ATTLIST envelope country %env-countries; #REQUIRED >
GCC Leaf
<!--
In the eCTD File Organisation: "util/dtd/gc-leaf.mod"
Version 1.0
May 2009
This is based on ich-ectd-3-2.dtd;
If the ich-ectd.dtd is modularized, this one could be
replaced.
Hence, one is certain that the common and GCC leaf are the
same.
-->
<!--
=============================================================
-->
<!ELEMENT node-extension (title, (leaf | node-extension)+)>
<!ATTLIST node-extension
ID ID #IMPLIED
xml:lang CDATA #IMPLIED
>
<!--
=============================================================
-->
<!ENTITY % show-list " (new | replace | embed | other | none)
">
<!ENTITY % actuate-list " (onLoad | onRequest | other | none)
">
<!ENTITY % operation-list " (new | append | replace | delete)
">
<!ENTITY % leaf-element " (title, link-text?) ">
<!ENTITY % leaf-att '
ID ID #REQUIRED
application-version CDATA #IMPLIED
version CDATA #IMPLIED
font-library CDATA #IMPLIED
operation %operation-list; #REQUIRED
modified-file CDATA #IMPLIED
checksum CDATA #REQUIRED
checksum-type CDATA #REQUIRED
keywords CDATA #IMPLIED
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xmlns:xlink CDATA #FIXED
"http://www.w3c.org/1999/xlink"
xlink:type CDATA #FIXED "simple"
xlink:role CDATA #IMPLIED
xlink:href CDATA #IMPLIED
xlink:show %show-list; #IMPLIED
xlink:actuate %actuate-list; #IMPLIED
xml:lang CDATA #IMPLIED
'>
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Annex 1:
What's New in the GCC Module 1 Specifications (Version 1.4)?
New Capabilities
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Hyperlinks and Bookmarks have a Added to BP
valid target
Submission unit type Added to Pass/Fail
‘reformat‘ should be used with
submission type ‘none’
Sep 2015
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