TH eCTD Specification

Module 1 and Regional Information

Version 1.0
 Food and Drug Administration Thailand – Bureau of Drug Control

Version History
Version Description of change Effective date

V0.90 Original draft publication for pilot implementation and industry 01/07/2014
review

V0.91 Inconsistencies with Schema updated. 07/08/2014

Updated Heading 1.3.1.3.3.1

V0.92 Update format of eSubmission Identifier 07/10/2014

Require document in Business Protocol

V1.0 Approved Version 01/12/2015

- Update Module 1 Specification
- Clarification
o Introduction
o Business Protocol
o File Reuse
o Lifecycle Operation

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 Food and Drug Administration Thailand – Bureau of Drug Control

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Change Control
Factors that could affect the content of the specification include, but are not limited to:

 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
 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

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We will:

• Provide a practical timeframe for future changes to minimize impact on industry.

• Introduce changes at scheduled intervals to allow stability.

Feedback is welcome and encouraged. Please send any comments or questions to

[email protected] . Common questions will be compiled into a Question and
Answer document and updated as necessary http://drug.fda.moph.go.th/eng

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Table of Contents
1. Glossary of Terms______________________7
2. Introduction___________________________8
3. Business Protocol_____________________10
4. TH Regional Information________________12
4.1. Regional Content__________________________________________________12
4.1.1. Module 1 Administrative and Prescribing Information--------------12
4.1.2. Module 2.3.R & 3.2.R Regional Information------------------------------12
4.1.3. Node Extensions-----------------------------------------------------------------13
4.1.4. Study Tagging Files--------------------------------------------------------------14
4.2. Regional File Formats____________________________________________14
4.2.1. Module 1---------------------------------------------------------------------------14
4.2.2. Modules 2 to 5--------------------------------------------------------------------14
4.3. Use of Electronic Signatures____________________________________14
4.4. Handling of Empty or Missing eCTD Sections________________15
4.5. Updating Backbone Attributes/Metadata____________________15
4.5.1. Updating ICH Attributes-------------------------------------------------------15
4.5.2. Updating TH Envelope Information----------------------------------------15
4.6. Bookmarks, TOCs and Hyperlinks_____________________________15
4.7. File Reuse__________________________________________________________16
5. TH Module 1 General Architecture________17
5.1. The Thai Module 1 Backbone File______________________________17
5.2. The XML Root Element___________________________________________18

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5.3. The Envelope Elements__________________________________________18
5.4. The Heading Elements___________________________________________23
5.5. The Node Extension Element___________________________________29
5.6. The Leaf Elements________________________________________________29
5.7. Files and Folders__________________________________________________30
5.7.1. File and Folder Naming Conventions---------------------------------------30
5.7.2. Folder and File Name Path Length------------------------------------------31
5.7.3. Lifecycle operations------------------------------------------------------------32

6. eCTD Preparation Tools________________33

7. References___________________________34

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1. Glossary of Terms
Term Definition

Application The term Application is used for THAI FDA's medicine registration
process and is the top group of a series of sequences for the same
product (e.g. active ingredient). One Application is usually defined for
the complete life cycle of the specific product.
eCTD Electronic Common Technical Document – an electronic standard for
the Common Technical Document (CTD) providing the means for
transferring information from pharmaceutical companies to agencies.
Dossier A collection of files and documents that contains data (administrative,
quality, nonclinical and clinical) relating to a therapeutic good.
ICH International Conference on Harmonisation of Technical
Requirements for Registration of Pharmaceuticals for Human Use
ICH E3 ICH Harmonised Tripartite Guidance Structure and Content of Clinical
Study Reports
Leaf Structural element delivering a document. It provides the link
information to the document along with the title associated with the
linked content.
Node Extensions Additional heading structures beyond those defined by the
specifications – generally equated to an additional subfolder in a
defined section.
Regulatory The term Regulatory Activity is a subgroup of an Application which
Activity can be a group or series of related sequences for one approval process
(e.g. one variation) One Regulatory Activity is usually defined for the
lifecycle of the specific approval process.
RPS Regulated Product Submission Release 1 (RPS) is a Health Level Seven
(HL7) standard to facilitate the processing and review of regulated
product information. It is the standard for the next eCTD version
titled ICH eCTD v4.0.
Sequence A sequence is a package of information bundled together in an
electronic structure providing information to the agency. The
contents of a sequence will depend on the regulatory activity type and
whether it is the initial sequence of the regulatory activity or a follow-
up providing additional data or changes.
Submission Generic term that can refer to an application, a regulatory activity
type and/or a sequence. Often used when not referring specifically to
a particular hierarchical level of the application. The THAI FDA
recognises that this definition differs from the legal definitions used
under Thai law. This definition will be applied to this and related
documents.
W3C World Wide Web Consortium – international standards organization
for the world wide web.

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2. Introduction
This document specifies Module1 and the regional information of 2.3.R and 3.2.R of the
electronic Common Technical Document (eCTD) for Thailand (TH).
This document should be read together with the ICH eCTD Specification to prepare a valid
eCTD submission for Thailand. The latest version of the ICH eCTD Specification can be
found at: http://www.ich.org/products/electronic-standards.html.
In line with desires to create a structure friendly to harmonization with other regions,
much of this guidance has been modelled from the Australia, Canadian and European
guidance on creating an eCTD. Large portions of the text are based on explanations given
in those documents which can be found in the Reference section of this document.
The EU structure is being used as a proven structure and to increase reusability from
applications already submitted in the EU region. Additional documents required by
Thailand but not covered by the EU structure and not specifically addressed by this
document will be added to section 1.A Additional Data.
Policy Objective
The objective is to ensure sponsors have access to all the information needed to provide a
dossier to the THAI FDA in the eCTD format.
Policy Statement
This document outlines the creation of a regional backbone file according to the
ThaiModule1 schema. This backbone file is to be used in the preparation and filing of
medicine regulatory transactions in eCTD format established by the International
Conference on Harmonisation (ICH).
Scope and Application
This document applies to all regulatory activities relating to medicines and being provided
to the THAI FDA in eCTD format. Additional guidance documents that can or are meant to
be read in conjunction with this guidance are listed in the Reference section.
Background
Given the desire to adopt the eCTD v4.0 / Regulated Product Submissions (RPS) in the
foreseeable future, the decision has been made to move to a World Wide Web Consortium
(W3C) Schema approach to define the new Module1.
This specification will change over time. Future changes will be accompanied by a well
thought out introduction to minimize the impact on industry and introduced at scheduled
intervals to allow stability.
Commencing in July 2014, the THAI FDA has engaged with the industry to pilot the
electronic Common Technical Document format submission using Version 0.90 of the
Thailand eCTD Module 1 and Regional Specification. The version of this document is to be
considered as an approved version to accompany the official acceptance of eCTD intended
to replace paper applications.

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Applicants can submit their applications with version 1.0 of the Thailand eCTD Module 1
and Regional Specification from 1 January 2016. The transition period will be define in
separate announcement.

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3. Business Protocol
Obtaining the eSubmission Identifier
Prior to filing the first regulatory transaction for an application in an electronic format, the
applicant should submit a request to the THAI FDA online service to obtain an
eSubmission identifier.
If the applicant wishes to provide single dossiers for the same active ingredient, dosage
form and therapeutic group but has more than one strength, only one eSubmission
identifier will be issued to cover all strengths.
A request for an eSubmission identifier should made via email until Dec-16 or THAI FDA
website. The request will require the following information:
 Licensee Number
 Description of Application.
 Dosage Form
 INN or Generic Name
 Strength
 WHO ATC Code
 Sequence Type
 Application form
 CPP (In case of Importer)
The eSubmission Identifier will be issued within 10 days of application. The Applicant
must check on the THAI FDA online service for a response informing them of their
eSubmission Identifier. After receiving the identifier, the Applicant must then make an
appointment for submission within 30 days.
The Cover Letter as Transmission Letter
A paper copy of the cover letter should be included with the submission to serve as a
transmission letter which can be found in the Reference.
The cover letter should include:
 The eSubmission identifier in the subject line;
 A description of the electronic submission including type and number of electronic
media, approximate submission size, and if appropriate, characteristics concerning
the media;
 A statement that the submission is virus free with a description of the software used
to check the files for viruses;
 The regulatory and information technology points of contact for the submission; and
 A reference to the validation report, an indication of which validation tool and version
was used as well as a statement addressing any issues found in the accompanying
validation report.
The letter should not contain any scientific information. Responses to questions raised by
THAI FDA should not be included in the cover letter, since they have been assigned a
specific location in Module 1.R.

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The paper copy of the cover letter will not be needed once the THAI FDA has a portal for
the secure electronic transmission of data in place.
Validation Report
An electronic copy of the validation report created should be submitted.A folder should be
created in the application folder named after the eSubmission identifier with the naming
convention of the sequence number followed by validation-report e.g. “0000-validation-
report”. The validation report should be limited to only items listed in the validation
criteria, additional checks should not be included.
Expected Structure of Submitted Media
Content should be submitted in an application folder named after the eSubmission
identifier. The sequence folder and its contents should be placed in this application folder.
If an application is too large and must be split and submitted on multiple items e.g.DVDs,
the overall folder structure should be included on each media so that content can be easily
merged.
Media Formats
The media formats acceptable when submitting an eCTD regulatory activity are:
 Compact Disc-Recordable (CD-R) conforming to the Joliet specification;
 Digital Versatile Disc-Random Access Memory (DVD-RAM) Universal Disc Format
(UDF) standard;
 Digital Versatile Disc-Recordable (DVD+R/-R) recorded in the Universal Disc Format
(UDF) standard;
Ensure that you do not use:
 double-sided discs,
 rewritable discs (protection, authenticity, and stability of information cannot be
guaranteed),
 Compressed or zipped files (except for validation reports).

Delivery of the eCTD Application

The Applicant will need to make an appointment and deliver the application personally at
the Division of Policy System Development. The eCTD will be validated and imported into
the THAI FDA Review System together with the applicant. Once accepted and submitted,
the applicant will be given back their media to keep.

Feedback on Validation of Application

THAI FDA will inform applicants if there are problems experienced during the upload of
an eCTD sequence during the appointment.

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4. TH Regional Information
4.1. Regional Content

4.1.1. Module 1 Administrative and Prescribing

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 Thailand is modelled after the EU Module 1 content as described in the 2008
version of the Notice to Applicants. Additional documents specifically required by
Thailand not covered by the EU structure will be added to 1.A Additional Data.
The following items listed in the Notice to Applicants may be included for an initial
submission:

 a cover letter
 an application form(Form MA-1)
 product information documents
 information on the experts
 specific requirements for different types of applications
 an environmental risk assessment
 product interchangeability equivalence evidence
 information relating to pharmacovigilance
 information relating to clinical trials
 information relating to paediatrics
In addition, other items such as answers to regulatory questions can be included under 1.R
and rationale for variations documentation could also be included in or as an appendix to
the Cover Letter.
It should be noted, that for subsequent submissions in the lifecycle of a medicinal product,
e.g. for a variation, not all of the above mentioned types of document need to be included
in Module 1. Consult the various legal documents for guidance on the exact documents to
be submitted in such a case.

4.1.2. Module 2.3.R & 3.2.R Regional Information

2.3.R Regional Information
A brief description of the information specific to the region, as provided under 3.2.R
should be included, where appropriate.

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3.2.R Regional Information
Any additional drug substance and/or drug product information specific to the region
should be provided in section 3.2.R of the application.
Where similar or relevant information has been provided in another section of Module 3
or where there is supporting or related information from other modules of the application,
the applicant is encouraged to clearly cross-reference to the location of that information.
Cross-referencing should be sufficiently detailed, so as to allow the appropriate
information to be easily located within the dossier.
Applicants should include the following information in Module 3.2.R, where appropriate:

 Process validation scheme for the drug product

 Certificates of suitability
 Medical Device
 Supplier’s declarations regarding compliance with packaging standards and colouring
standards.

4.1.3. Node Extensions

Node extensions are a way of providing extra organisational information to the eCTD. The
node extension should be visualised as an extra heading in the CTD structure and should
be displayed as such when the XML backbone is viewed.
Consideration should be given regarding the impact of changing node extension structures
during the lifecycle as this can lead to a higher level of complexity in the cumulative view
of a submission.
The following rules govern the use of node extensions for TH:

 Node extensions must not be used where ICH-specified sub-headings already exist e.g.
indication, manufacturer, drug substance, and drug product are all-ICH specified node
extensions.
 Node extensions must only be used at the lowest level of the eCTD structure e.g. a
node extension can be used at the level 5.3.5.1 but is not allowed at the level 5.3.
 Node extensions are mainly to be used to group together documents made up of
multiple leaf elements e.g. a clinical study made up of separate files for the synopsis,
main body and individual appendices could be grouped together under a node
extension with the Study Identifier as its Title attribute.
 Node extensions may be nested as this is allowed by the eCTD DTD. However, as
noted in Bullet 2, the first node extension must be at the lowest level in the eCTD
structure e.g. in Module 5.3.7 a node extension may be added to group together files
with the Study Identifier as Title attribute. Further node extensions may be added as
children of the Study Identifier node, separating Case Report Forms (CRFs), if
submitted, from individual patient listings.

 The content associated with a node extension can be placed in a separate sub folder in
the submission; this is recommended for studies in Module 5 where study reports are
provided as multiple files. However, there is no specific requirement for an additional
subfolder.

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4.1.4. Study Tagging Files
The THAI FDA does not currently have any plans to mandate study tagging files (STFs) for
evaluation purposes however applicants wishing to re-use content submitted in other
regions where STFs have been used can do so. If provided, STFs will be validated and must
be conform to standards and specifications. Also, data pertaining to the number and size of
ICH E3 16.3 CRFs and non ICH E3 documents will be collected for informational purposes.

4.2. Regional File Formats

4.2.1. Module 1
In addition to the common format PDF, as defined by the ICH eCTD Specification
Document, XML will also be accepted whenever a structured exchange standard exists for
the content. Currently there are no structured exchange standards for content, however it
is expected that these may be introduced in the future for content such as the tracking
table, application forms, etc.
Note that all PDF files included in an eCTD irrespective of the module should be v1 .4, v1.5,
v1.6 or v1.7 except where a specific requirement for a later version is defined (see ICH
Q&A for further details regarding PDF version acceptability).
It is preferred that PDFs be generated from an electronic source. Signatures may be
embedded as a graphic file in the PDF text if desired.

4.2.2. 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.

4.3. Use of Electronic Signatures

The use of advanced electronic signatures e.g. digital signatures, will be crucial in
achieving pure electronic communication between the pharmaceutical industry and
regulatory agencies, particularly for authentication of electronic submissions and
documents contained therein. Currently the use of digital signatures for electronic
submissions is not fully supported within the THAI FDA. Digital signatures can be used
but only as an adjunct to any required written signatures. Scanned signatures would
ordinarily be used where the documents make up part of the checksum of an eCTD
submission.

4.4. Handling of Empty or Missing eCTD

Sections
For new applications, including generic applications, detailed statements justifying the
absence of data or specific CTD sections should be provided in the relevant Quality Overall

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Summary and/or Nonclinical/Clinical Overviews e.g. Module 2.3, 2.4, or 2.5. Note that
placeholder documents highlighting no relevant content should not be placed in the eCTD
structure. Such documents would create a document lifecycle for non-existent documents
causing unnecessary complications and maintenance of the eCTD submissions.
For a generic application, there is no need to provide a justification for content that is
typically absent.

4.5. Updating Backbone Attributes/Metadata

4.5.1. Updating ICH Attributes

Updating XML backbone attributes such as manufacturer during the eCTD lifecycle is
possible, however, consideration should be given regarding the impact of changing
backbone attributes during the lifecycle as this can lead to a higher level of complexity in
the cumulative view of a submission.

4.5.2. Updating TH Envelope Information

The TH envelope information can be updated during the lifecycle as is necessary to reflect
changes in the application metadata e.g. adding and removing duplicate product names.

4.6. Bookmarks, TOCs and Hyperlinks

The evaluation process is made more efficient if content documents are prepared in such a
manner that will aid the assessor to quickly and effectively locate content. The navigation
through PDF documents is made easier, especially in larger documents, if bookmarks
and/or TOCs are made available to quickly access information within the document. Based
on experience in other regions, the THAI FDA recommends that documents with more
than five pages and with multiple sections should provide a Table of Contents, and/or if
appropriate, a Table of Table, Table of Figures, etc. on the first page of the document to
ease further navigation through the document.
Hyperlinks are recommended when they would aid the evaluation in ways not already
possible through the use of the eCTD index.xml and document navigation aids (bookmarks
and TOCs). Applicants should consider when creating cross document hyperlinks that they
can cause confusion later in lifecycle and therefore be distracting for an efficient review.
For more information on creating bookmarks and hyperlinks in PDF documents, please
refer to Appendix 7 in the ICH eCTD Specifications.

4.7. File Reuse

As prescribed in the Appendix 6 of the ICH eCTD Specifications, the THAI FDA accepts and
encourages applicants to make active use of file reuse. Applicants should not submit the
same document multiple times. File reuse should be used when a file is submitted multiple
times within one sequence, a file already submitted in an earlier sequence is being

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referenced again or if a file submitted in another application is being referenced in a new
application.
Please note that the THAI FDA is implementing a flat repository structure to make cross
application referencing possible. Links to content provided in other applications simply
need to be directed out of the current application structure and into the structure of the
corresponding application. Both the source and target applications should be in the same
folder on the same level when references are created. All application will be stored using
the eSubmission Identifier to make cross referencing easily predictable and possible.
We accept and encourage you to reuse files when you:

 Need to submit a file several times within one sequence.

 Are referring to a file that has already been submitted in a previous sequence.
 Are referencing a file submitted in another application.
If referencing content in another application, the link in the xml file should be created as
shown below.

This directs the hyperlink out of the application and into the referenced application using
the eSubmission ID of that application (referencing itself if directing into another
sequence of the same application).

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5. TH Module 1 General
Architecture
5.1. The Thai Module 1 Backbone File
The Thai Module 1 eCTD backbone file comprises three main components:

 A fixed eXtensible Mark-up Language (XML) root element;

 The envelope elements; and
 The eCTD heading elements describing the actual files provided.
Creating the Module 1 eCTD Backbone File
To create the Thai Module 1 backbone file for a given sequence:
1. Create an XML file with the appropriate XML declaration using an authenticated eCTD
preparation software. See The XML Root Element below.
2. Create an envelope with elements containing the appropriate metadata values
describing this sequence. See the The Envelope Elements below.
3. Create heading elements as needed for this sequence, as described in the
below. These elements will be of two broad types:
– Heading elements, organizing the content in the Module 1 to meet the THAI FDA’s
review requirements.
– Leaf elements, providing a file system reference to each file being submitted in
the regulatory transaction as part of Module 1, along with other information such
as eCTD check-sum and life-cycle information.
4. Name the Thai Module 1 eCTD backbone file th-regional.xml and place it in the th
subfolder within the Module 1 i.e. m1 subfolder of the regulatory transaction.
5. Validate the resulting backbone using a suitable eCTD validation tool.
Style-Sheets
The TH Module 1 is provided with a standard style-sheet that is used to view content. Note
that the style-sheet has been designed to display the complete Module 1 table of contents
i.e. all sections, irrespective of whether files are actually present in those sections or
not.The style-sheet is provided so that content in Module1 can be opened using a browser
by the applicant, the THAI FDA will not be using it to review content.

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5.2. The XML Root Element
All Thai Module 1 backbone files prepared for the THAI FDA will contain the standard XML
root element. Note that the required text includes an XML declaration and the root
element th_ectd with its attributes linking this XML file to the XML definition prepared
by the THAI FDA. The line breaks inside of the th_ectd element as shown in the
excerpts below are not mandatory.

5.3. The Envelope Elements

Defined
XML Element Description Constraint Occurrence
Values
esub-id eSubmission Identifier Mandatory Single
sequence-type Sequence Type Mandatory Single X
reg-activity-lead Regulatory Activity Lead Mandatory Single X
licensee Licensee Mandatory Single
licensee-type Licensee Type Mandatory Single X
licensee-name Licensee Name Mandatory Single
Inn INN or Generic Name Mandatory Multiple
product-name Product Name Mandatory Multiple
sequence Sequence Number Mandatory Single
related-sequence Related Sequence Number Mandatory Single
seq-description Sequence Description Mandatory Single X
email Contact email Mandatory Single

eSubmission Identifier
Prior to submitting the first sequence of an eCTD, an eSubmission Identifier must be
assigned. This is done by following the steps described in the Business protocol section of
this document. The identifier must be entered as assigned in the envelope and should also
to be used as the name for the application folder in which the sequence folders are
submitted. The identifier is made up of a letter and seven digits.
Example: e1234567

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Sequence Type
Identifies the type of activity that is being submitted with the sequence, either the
regulatory activity type if it is the first sequence of the regulatory activity or
supplementary information if it is a follow-up to information already submitted for the
regulatory activity.
Example: A : Pharmaceutics - New Chemical Entity

Sequence Type
List Value Description
a-ph-newce A: Pharmaceutics - New Chemical Entity
a-ph-newse A: Pharmaceutics - New Salt or Ester of Existing Active
Ingredient
a-ph-newdosage A: Pharmaceutics - New Dosage Form
a-ph-newroute A: Pharmaceutics - New Route of Administration
a-ph-newcomb A: Pharmaceutics - New Combination
a-ph-abridge A: Pharmaceutics – Abridge application
a-ph-newothers A: Pharmaceutics - New Medicinal Product (Others)
a-ph-newgen A: Pharmaceutics - New Generic
a-ph-generic A: Pharmaceutics - Generic
a-ph-house A: House Hold Remedies
b-bio-vaccine B: Biologics - Vaccine
b-bio-blood B: Biologics - Blood and Plasma Derived Product
b-bio-cell B: Biologics - Cell- and Tissue- Based Therapy Product
b-bio-biotech B: Biologics - Biotechnology Product
b-bio-biosimilar B: Biologics - Biosimilar Product
b-bio-abridge B: Biologics – Abridge application
b-bio-others B: Biologics - Others
c-vet-newprod C: Veterinary - New Medicinal Product
c-vet-newgeneric C: Veterinary - New Generic Medicinal Product
c-vet-generic C: Veterinary - Generic Medicinal Product
c-vet-premixed C: Veterinary - Medicated Premixed
c-vet-bio C: Veterinary - Biologics
d-traditional D: Traditional Medicinal Product
f-var-major F: Variation - Major Variation (MaV)
f-var-minor-pa F: Variation - Minor Variation (MiV-PA)
f-var-minor-n F: Variation - Minor Variation (MiV-N)
f-var-others F: Variation - Others
g-clin-authapp G: Clinical Trial Authorization Application
g-clin-authamend G: Clinical Trial Authorization Amendments
h-review-smph H: Review of SMP Application
h-riskmgtplan H: Risk Management Plan
h-pv H: Pharmacovigilance
h-psur H: Periodic Safety Update Report
i-dmf I: Drug Master Files

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 i-pmf I: Plasma Master Files
i-vamf I: Vaccine Antigen Master File
i-tmf I: Tissue Master File
j-suppl J: Supplementary Information
k-orphan K: Orphan Drug Application
k-emergency K: Emergency Used Application
l-consult L: Consultative Application
z-undefined- Z: Undefined Regulatory Activity
regact

Regulatory Activity Lead

Identifies the group within the THAI FDA which is expected to take the lead in the review
process.
Example: pharma

Defined Values Description

Biologicals Biological Product Review
Pharmaceuticals Pharmaceutical Product Review
Pharmacovigilanc Pharmacovigilance Review
e
Cosmetic Cosmetic Review
Medical-Devices Medical Device Review

Licensee Number
The licensee number that is legally responsible for the application in Thailand. The
licensee number of the company should be provided.
Example: 12345/2557

Licensee Type
The licensee type of Licensee Number for the application in Thailand. The licensee type of
the company should be provided.
Example: Manufacturer

Defined Values Description

Importer Importer
Manufacturer Manufacturer

Licensee Name
The licensee name that is legally responsible for the application in Thailand. The licensee
name of the company should be provided in all capital letter.

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 Example: INCRIDIBLE PHARMA

INN or Generic Name

The INN or Generic Name of the active ingredients used in the product.
Example: amoxicillin

Product Name
The name or proposed product (trade) name(s) to be used on the Certificate of
Registration. If duplicate products are being submitted within one application, all products
should be listed.
Example: SuperPill

Sequence Number
Four digit sequence number matching the sequence folder being submitted.
Example: 0000

Related Sequence Number

The related sequence number is used to group sequences within an eSubmission. This will
allow easy reviewing of sequences associated with a particular regulatory activity among
the multiple activities submitted during the lifecycle of the eSubmission. The four (4)-digit
related sequence no. for each regulatory activity is the sequence-number of the initial
sequence of that regulatory activity. Therefore, all sequences that belong to a specific
regulatory activity should contain the same four (4)-digit number in the related sequence
no field.

Related
Sequence Sequence Type Sequence Description
Sequence

0000 0000 A: Pharmaceutics - Initial Application

New Chemical Entity
0001 0000 J: Supplementary Response to Request for
Information Information
Date: 01-December-2015
0002 0000 J: Supplementary Response to Request for
Information Information
Date: 15-December-2015
0003 0000 J: Supplementary Response to Request for
Information Information
Date: 30-December-2015

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 0004 0004 F: Variation - Major Initial Variation
Variation (MaV)
0005 0005 H: Periodic Safety Initial Report
Update Report
0006 0006 F: Variation - Minor Initial Variation
Variation (MiV-PA)

0007 0004 J: Supplementary Response to Request for

Information Information
Date: 10-February-2016
0008 0004 J: Supplementary Response to Request for
Information Information
Date: 11-March-2016
0009 0004 J: Supplementary Product Information
Information
0010 0006 J: Supplementary Product Information
Information

Each Initial sequence of a regulatory activity will reference itself. Each Supplementary
Information provided thereafter will reference the initial sequence of the regulatory
activity.
The related sequence number should be approached similar to the Submission ID
described in the US regional specifications 2.3.
Example: 0001
Sequence Description
The sequence description is used to provide a free text description of the submission. The
description provided here should also be used in the node title for 1.0 Cover Letter and 1.R
Response to Questions. It is encouraged that applicants provide a short, precise but
informative description. It should not repeat information provided in the Sequence Type
attribute but rather provide additional clarification to information being submitted. The
list below provides a few examples for such a field:

 Initial Application: Initial Application

 Response: Response to LOQ dated 2014-06-13
 Response: Response to Validation Questions
 Response: Providing Quality Supplementary Information
Email
The email is used to notify the applicant in case of change in application status.
Example: [email protected]

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5.4. The Heading Elements
The Thai Module 1 headings are based on the headings from the EU specifications (version
2.0). Additional structure has been added to some sections to better meet Thai
requirements. In particular, an element has been specified for the tracking table, specific
elements for the labelling, SPC and Package Leaflet as well as two additional elements for
the Specific Requirements for Different Types of Applications. Some sections have been
deemed not applicable while others have been designated as optional.
Content should be provided as leaf-nodes. The leaf-node element can be comprised
of one or multiple leaf elements and/or node-extensions. Titles for the leaf-
nodes should be descriptive and helpful for identifying the content and does not need to
repeat information in the parent structure. In the following description of the heading
elements, the leaf-node has been added where specific leaf title
recommendations exist. Where the leaf-node is not specified, it is up to the applicant to
provide an appropriate description of the content in the leaf title.

1.0 Cover Letter and Tracking Table

Section Business
XML-Element
ID Terminology
1.0 Cover m1-0-cover
1.0.1 Tracking Table m1-0-1-tracking
1.0.2 Cover Letter m1-0-2-cover-
letter
During lifecycle, the cover letter should always be submitted with the lifecycle operator
new and the tracking table should be submitted with the lifecycle operator replace.

The suggested naming convention for the cover letter leaf title is the sequence
number followed by the sequence description as provided in the envelope e.g. “0000
Initial Application”.

1.2 Application Form

Section ID Business Terminology XML-Element

1.2 Application Forms m1-2-forms

1.2.1 Application Form m1-2-1-form
1.2.1.1 <Sequence Number> <Description> leaf-node
1.2.2 Annexes m1-2-2-
annexes
1.2.2.1 <Sequence Number> <Description of Annex> leaf-node

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During lifecycle, the application form should normally be submitted with the lifecycle
operator new unless under rare occasions a correction to an application form already
submitted is being provided in which case, replace can be used.

The application form should be placed under 1.2.1 and the suggested naming convention
for the leaf title is the sequence number followed by a description of the file being
submitted e.g. “0000 Application Form New Generic”.
Any annexes to be provided e.g. declaration documents from the applicant including Proxy
Letter, Letter of Authorization, and Certificates such as CPP CFS and GMP should be
provided under 1.2.2 and the suggested naming convention for the leaf title is the
sequence number followed by a brief, precise and recognizable identification of the Annex
content.
1.3 Product Information

Section ID Business Terminology XML-Element

1.3 Product Information m1-3-pi

1.3.1 SPC, Labelling and Package Leaflet m1-3-1-spc-label-pl
1.3.1.1 Labelling m1-3-1-1-label
1.3.1.1.1 <Description of Labelling> leaf-node
1.3.1.2 SPC m1-3-1-2-spc
1.3.1.3 Package Leaflet m1-3-1-3-pl
1.3.1.3.1 Package Leaflet - Thai m1-3-1-3-pl-th
1.3.1.3.2 Package Leaflet - English m1-3-1-3-pl-en
1.3.1.3.3 Package Leaflet - Other Language m1-3-1-3-pl-ot
1.3.1.3.3. <Language> <Description> leaf-node
1
1.3.2 Mock-up m1-3-2-mockup
1.3.3 Specimen m1-3-3-specimen
1.3.4 Consultation with Target Patient Groups m1-3-4-
consultation
1.3.5 Product Information already approved in Other States m1-3-5-approved
1.3.5.1 Foreign Regulatory Status m1-3-5-1-status
1.3.5.2 Foreign Product Information m1-3-5-2-pi
1.3.5.2.1 <Country> <Product Information Type> leaf-node
1.3.5.3 Data Similarities and Differences m1-3-5-3-
similarities
1.3.6 Braille m1-3-6-braille
The Product Information should be provided in PDF format within the eCTD. Working
documents are not needed and do not need to be provided within the eCTD framework for
Thailand.
The Product Information section for Thailand reflects a more granular and defined
approach than that of the EU specifications. Both the sections for Product Information and
the Product Information already approved in other Countries have been expanded to
define the product information type and languages expected as well as a breakdown of the

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type of information wanted where the product information has already been approved in
other countries.
1.3.1 Product Information has been broken down into three specific sections for Labelling,
SPC and the Package leaflet. No other product types are expected. If one file is submitted
for this section, it should be submitted under 1.3.1.1 Labelling.
The leaf title provided for 1.3.1.1 Labelling should describe the labelling that is being
provided. Multiple documents can be provided or all information can be combined in one
document.
1.3.1.3 Package Leaflet has been broken down into language sections for English, Thai and
Other languages and it is recommended that separate files be submitted for each language.
1.3.4 Consultation with Target Patient Groups is not required for Thai applications but can
be provided.
1.3.5 Product Information already approved in other Countries has been broken down into
three sections. One file should be provided for the Foreign Regulatory Status as a tabular
summary. During the lifecycle, the status should always use the operator replace.
Details of Foreign Product Information should be provided, especially if already approved
in ASEAN, EU, US, Canada, Australia or PIC/S regulated countries. The leaf title
provided for 1.3.5.2 should indicate the originating country and product information type
being provided. Data Similarities and Differences should be provided using the THAI FDA
form. During the lifecycle, the Data Similarities and Differences file should always us the
operator replace.

1.3.6 Braille should is option but should be provided if braille is to be used in the
production information and packaging.
1.4 Information about the Experts

Section ID Business Terminology XML-Element

1.4 Information about the Experts m1-4-expert

1.4.1 Quality m1-4-1-quality
1.4.2 Non-Clinical m1-4-2-non-
clinical
1.4.3 Clinical m1-4-3-clinical
Currently there is no mandate for information to be provided for this section, however, the
THAI FDA would appreciate Information about the Experts.

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1.5 Specific Requirements for Different Types of Applications

Section
Business Terminology XML-Element
ID
1.5 Specific Requirements for Different Types of m1-5-specific
Applications
1.5.1 Information for Bibliographical Applications m1-5-1-bibliographic
1.5.2 Information for Generic, 'Hybrid' or Bio-similar m1-5-2-generic-hybrid-bio-
Applications similar
1.5.2.1 Information for Generic Application m1-5-2-1-generic
1.5.2.2 Information for 'Hybrid' Applications m1-5-2-2-hybrid
1.5.2.3 Information for Bio-similar Applications m1-5-2-3-bio-similar
1.5.3 (Extended) Data/Market Exclusivity m1-5-3-data-market-
exclusivity
1.5.4 Exceptional Circumstances m1-5-4-exceptional-
circumstances
1.5.5 Conditional Marketing Authorization m1-5-5-conditional-ma
1.5.6 Additional Trade Name Declarations m1-5-6-trade-name
1.5.7 Co-marketed Medicines Declarations m1-5-7-co-marketed
This section has been taken from the EU structure and additional types of applications
have been added. Section 1.5.2 has been broken down into three sections and given a
section number to make expectations and cross referencing clearer.
Section 1.5.6 should be included when the application seeks the registration of an
additional trade name for an existing registered prescription medicine. This may be either:

 a stand-alone additional trade name application

 in combination with other application types
For example, an extension of indications in addition to the additional trade name.
Please note that trade names are to:

 identify the products within a range of dose forms and strengths

 include distinguishing letters so they are not confused with those already in the Thai
Register of Medicinal Product
 Identify the strengths of the active ingredients in the trade name for fixed
combinations.
The trade names proposed must not:

 be registered already (unless a further identifier is proposed)

 be inappropriate (for example, must not be advertorial)
 Look or sound like other trade names (potential to cause prescribing and dispensing
errors).
Section 1.5.7 should be included when:

 a cross-licensing agreement exists between the applicant of the application and a

third party applicant

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 the third party sponsor authorises the THAI FDA to use information on its product
(that is either on the Thai Register of Medicinal Product or under evaluation) for the
benefit of the first party’s application
 the applicant’s product will be identical or very similar to the third-party’s product
Please note that you must ensure the third party has lodged their data before lodging the
application. Failure to provide the third part’s data may result in an application being
considered not effective.
To avoid delays in evaluating the application, requests to make corrections or variations to
the Thai Register of Medicinal Product entry for the third party’s already registered
product must be submitted to the THAI FDA well in advance of lodging the co-marketed
medicine application.
1.6 Environmental Risk Assessment

Section ID Business Terminology XML-Element

1.6 Environmental Risk m1-6-

Assessment environrisk
1.6.1 Non-GMO m1-6-1-non-
gmo
1.6.2 GMO m1-6-2-gmo
Only one file should be provided for 1.6 Environmental Risk Assessment. It is not allowed
to provide content in both 1.6.1 and 1.6.2.
1.7 Product Interchangeability Equivalence Evidence

Section ID Business Terminology XML-Element

1.7 Product Interchangeability Equivalence Evidence m1-7-productinter

1.7.1 BE Protocol m1-7-1-beprotocol
1.7.2 BE study report m1-7-2-bestudy
1.7.3 Comparative in vitro dissolution/release studies m1-7-3-beinvitro
1.7.4 Comparative clinical studies m1-7-4-beclinic
1.7.5 Comparative pharmacodynamics studies m1-7-5-
bepharmaco
1.7.6 Other m1-7-6-beother

1.8 Information relating to Pharmacovigilance

Section
Business Terminology XML-Element
ID
1.8 Information relating to m1-8-pharmacovigilance
Pharmacovigilance
1.8.1 Pharmacovigilance System m1-8-1-pharmacovigilance-
system
1.8.2 Risk-management System m1-8-2-risk-management-system

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 1.8.3 SMP Protocol m1-8-3-smp
During lifecycle, 1.8.2 Risk management plan should always use the lifecycle operator
replace.

1.9 Information relating to Clinical Trials

Section ID Business Terminology XML-Element

1.9 Information relating to Clinical Trials m1-9-clinical-

trials
Currently there is no mandate for information to be provided for this section, however, the
THAI FDA would appreciate a statement to the effect that clinical trials performed outside
Thailand meet ethical requirements.
1.10 Information relating to Paediatrics

Section ID Business Terminology XML-Element

1.10 Information relating to Paediatrics m1-10-

paediatrics
Currently there is no mandate for information to be provided for this section, however, the
THAI FDA would appreciate any appropriate information on this topic to be provided if
available.
1.R Responses to Questions

Section ID Business Terminology XML-Element

1.R Responses to Questions m1-

responses
1.R.1 <Sequence Number> <Sequence Description> leaf-node
When responding to questions posed by the THAI FDA, a document addressing these
questions should be provided. Where possible, hyperlinks should be created linking the
topic addressed with the sections where changes have been made. The leaf title
should provide the sequence number and the sequence description as provided in the
envelope e.g. “0000 Response to LOQ – Quality from 2014-06-04”.
1.A Additional Data

Section
Business Terminology XML-Element
ID
1.A Additional Data m1-additional-data
1.A.1 Assessment report from other regulatory m1-a-1-assessment-report
agency
1.A.2 Checklist Form /Self Assessment Report m1-a-2-self-assessment
1.A.3 Information on Development Studies m1-a-3-development-
studies
1.A.4 COA from Institute of Biological Product m1-a-4-coa-biologic

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 1.A.5 Comparison Table m1-a-5-comparison-table
1.A.6 Information of Exportation m1-a-6-exportation
1.A.7 Declaration from applicant m1-a-7-declaration
1.A.8 Template of Database entering m1-a-8-database-
entering
1.A.99 Other m1-a-99-other
Any data provided that would not logically belong in one of the specified sections can be
provide in the 1.A.99Other. The leaf title should be descriptive of the content being
provided.

5.5. The Node Extension Element

Structures beyond the heading elements can be defined through node extension elements.
In addition, wherever a leaf element is allowed in the schema, a node-extension
element is also allowed. The node-extension structure allows the sponsor to
effectively make arbitrary heading structures as desired. This advanced concept can be
helpful in organizing multiple large collections of files which are all needing to be placed
under a single normal eCTD heading.
The fact that the schema allows the node-extension structure is in compliance with
general ICH eCTD specifications, but should not be interpreted as a blanket permission to
use the structures anywhere or without consideration. Sponsors may use these structures
where needed to assist reviewers but may want to contact the THAI FDA for advice if the
usage is novel.
The optional node-extension element contains a single mandatory title element,
followed by at least one leaf element, and followed by another optional node-
extension element. The element can be repeated.

The node extension title element should be short, precise and informative. Information
already categorized by heading elements need not be repeated. The most important
identifying information should be placed at the beginning to prevent reviewers from
having to scroll to the end of the title.

5.6. The Leaf Elements

Content for each heading element is provided through leaf elements. This optional
element contains one other element, the title element along with a number of
attributes, all based upon the ICH eCTD definition provided in the Electronic Common
Technical Document Specification (Version 3.2.2). This element can be repeated. The
schema will additionally ensure the checksum-type attribute contains either “MD5” or
“md5”.
The leaf title element should be short, precise and informative. Information already
categorized by heading elements need not be repeated. The most important identifying
information should be placed at the beginning to prevent reviewers from having to scroll
to the end of the title.

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5.7. Files and Folders

5.7.1. File and Folder Naming Conventions

Naming conventions for the content files are irrelevant for eCTD review as the leaf titles
provided in the XML files will be used to identify content. The naming conventions used
by other regions can be reused for Thai eCTDs. Naming conventions will not be validated
as part of the TH eCTD Validation Criteria. It is, however, required that all file and folder
names be submitted in English and not in Thai.
All content must be referenced by the appropriate XML files for efficient navigation.
Applicants should concentrate on providing precise but informative leaf titles to aid
reviewers.
While naming conventions for content will not be validated, it is expected that the basic
construction of the eCTD be maintained and adherence to the following naming
conventions will be required.

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 Folder File Description
e1234567 Application folder with eSubmission identifier e.g. e1234567
000 Sequence folder with four digit sequence number e.g. 0000
0
index.xml Index file in accordance with ICH
index-md5.txt MD5 checksum in accordance with ICH
m1 Content folder for Module 1 documents in accordance with ICH
th Thai country specific folder
th- Thai regional index file for Module 1
regional.xml
m2 Content folder for Module 2 documents in accordance with ICH
m3 Content folder for Module 3 documents in accordance with ICH
m4 Content folder for Module 4 documents in accordance with ICH
m5 Content folder for Module 5 documents in accordance with ICH
util Util folder in accordance with ICH
dtd DTD and schema folder in accordance with ICH
th-regional.xsd Thai regional backbone schema for Module 1
xlink.xsd W3C schema for XLink 1.1 (referenced from th-regional.xsd)
xml.xsd W3C schema for XML namespace (referenced from th-
regional.xsd)
ich-ectd-3- ICH DTD for Modules 2 to 5
2.dtd
style Style sheet folder in accordance with ICH
ectd-2-0.xsl ICH style sheet for Modules 2 to 5
th-regional.xsl Style sheet for Thai regional backbone
0000-validation-report Folder for validation report to be provided with the submitted
sequence.

5.7.2. Folder and File Name Path Length

The overall folder and file name path length starting from the sequence number should
not exceed 180 characters, for any file in any module. This is a TH regional requirement
based on existing requirements in the EU. It is acknowledged that this is less than the ICH
agreed overall path length.

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5.7.3. Lifecycle operations
The following four lifecycle operations defined under the ICH eCTD specification:

 New
 Replace
 Delete
 Append
We encourage you to: Use New, Replace, and Delete.
Only use Append as part of the study tagging files (STF) as defined by the ICH
eCTDBackbone File Specification for Study Tagging Files. If you use Append for any other
purpose, you will receive a validation warning which need to include an explanation in the
cover letter.

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6. eCTD Preparation Tools
The THAI FDA does not mandate or recommend any particular software product for eCTD
preparation. However, based upon other agency observations and experience the THAI
FDA recommends that applicants:

 Prepare the eCTD using an authenticated commercial eCTD preparation software.

There are a wide variety of options available to sponsors for commercial eCTD
preparation software, both in terms of multiple vendors and in terms of approaches
e.g. installed software, software as a service, service providers. Sponsors are
encouraged to find a solution which supports current and ongoing TH eCTD
requirements and meets their overall business needs.
 Validate the prepared regulatory activity using an authenticated commercial eCTD
validation tool.
Sponsors are encouraged to use a validation tool which supports checking current and
ongoing TH eCTD requirements. These validation tools are not just XML checkers or
parsers, but actually evaluate the technical content of the regulatory activity. There are
numerous options available to sponsors, several of which are free. This minimizes the
possibility of technical validation errors with eCTD regulatory transactions sent to the
THAI FDA which introduce delays into the overall regulatory process.
A list of validation tools that the THAI FDA feels support the Thai validation requirements
will be maintained on the THAI FDA website at http://drug.fda.moph.go.th/eng.Vendors of
validation tools are encouraged to demonstrate their tool’s compliance and will be listed if
they are in-line with validation criteria.

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7. References
The following documents should be read in connection with this specification to ensure
conformity with overall eCTD requirements. Where applicable, these specifications should
be followed unless otherwise stated in this specification document.
ICH Electronic Common Technical Document Specification (Version 3.2.2)
ICH The eCTD Backbone File Specification for Study Tagging Files (Version 2.6.1)
eCTD Specification and Related files – ICH links to specifications and related files including
change control process, change request forms and their Q&A document.
Notice to Applicants Volume 2 B(June 2006), Medicinal products for human use.
Presentation and format of the CTD dossier. Provides information on expected content for
the CTD. The THAI FDA will adopt these expectations unless expectations are otherwise
stated in the Section 5.4
TH Regional Specification and Validation Criteria – source document for Module 1
elements, envelope attributes, eCTD Validation criteria and naming conventions for the TH
Module 1 sections added by this specification and not covered by the EU naming
conventions. The numbering of the validation criteria has been maintained to correlate
with EU criteria. Where requirements were removed, no renumbering of remaining
requirements was done. Requirements that were added were appended to the EU criteria.
Example of Cover Letter

Example of Tracking Table

The following documents were referenced during the creation of this specification and
many sections were modelled on their content.
AU eCTD Specification
EU Module 1 eCTD Specification (Version 2.0)
Guidance Document: Creation of the Canadian Module 1 Backbone

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