FDA Electronic Submission of Safety Reports
FDA Electronic Submission of Safety Reports
Suranjan De
Deputy Director
Regulatory Science Staff
Office of Surveillance and Epidemiology
Center for Drug Evaluation and Research
Overview
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Reporting in E2B(R3) format
Implement electronic submission for both premarket and postmarket safety
report using ICH E2B(R3) data standard
Separate Submission Path and Business Rules for permarket and postmarket
safety reports
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Separate Submission Path
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Submission Methods
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Safety Reporting Portal (SRP)
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Safety Reporting Portal (SRP)
Post-market and premarket reporting
Maintained separately—select up front, can navigate between them
Complete an on-line form
Do not upload E2B R3 XML via SRP
Emails acknowledgement on submission – keep for records
“Free” (no added cost to use)
Availability
Both SRP and E2B R3 for premarket submission available at the same time
No additional action required by existing SRP users for postmarket
reporting
Contact FAERSESUB@fda.hhs.gov to request an SRP account
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E2B (R3) FDA Implementation
Package
Filename: FDA Regional Implementation Guide for E2B(R3) Electronic Transmission of Individual
Case Safety Reports for Drug and Biological Products.pdf (August 2022)
Content: • Purpose of this technical specifications document is to assist submitters transmitting
electronic ICSRs with attachments to the (FAERS) database
• Describes FDA’s technical approach for submitting ICSRs, for incorporating its regionally
controlled terminology, and for implementing regional extensions that are not in ICH ICSR
IG
Filename: FDA E2B(R3) Core and Regional Data Elements and Business Rules – Version 1.6.xlsx
(January 2024)
Content: • Provides a comprehensive list of core ICH and FDA regional data elements, data element
attributes, conformance, business rules, XPaths and acknowledgement attributes
• Some of the regional data elements in this document are detailed in the FDA Regional
Implementation Technical Specification for E2B(R3)
• Revision History describes all the updates
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E2B (R3) FDA Implementation
Package
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Submission for Different Types of
IND Safety Reports
Not all IND safety reports will go to FAERS
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Benefits of electronic submission of
IND Safety Reports
No need to submit 1571 or cover letter for IND safety reports
Additional Benefits
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Updated Requirements
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Implementation Plan and Progress
Sponsors can now submit premarket and postmarket ICSRs in electronic format using
E2B(R3) standard or use the Safety Reporting Portal (SRP).
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Mechanism to validate E2B(R3) XML
files
FDA has provided the FDA
E2B(R3) Validator* tool to
facilitate validation of the
E2B(R3) XML files generated
from your safety database
This validator has a web-
based interface that enables
submitter to select a
E2B(R3) XML file and
validate
The validation status and
results are displayed to the
user
*https://faers2-validator.preprod.fda.gov/LSMV/Validator
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E2B R3 Implementation Plan
Data Submission Changes for IND safety reports
eCTD
X
MedWatch Send
X
MedWatch to
FAERS
Regulatory FAERS
Sponsor FDA ESG Gateway Submissions
XML
XML
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Proposed Implementation Timelines
APRIL 2024 – MARCH 2026 4
• Voluntary period to submit premarket
JANUARY 2024 3
and postmarket safety reports using
E2B(R3) standard
• Jan 16, 2024: FAERS accepts • Once moved to E2B(R3) standard,
postmarket safety reports in cannot revert to legacy methods
E2B(R3) data standard
APRIL 2026
• Jan 29, 2024: FAERS accepts
cosmetic safety reports
2 • April 1, 2026: Companies
must submit premarketing
and postmarketing ICSRs
• Voluntary period starts electronically to FAERS in
E2B(R3) format or SRP
1 APRIL 2024
• Published the final guidance along with FR
Notice
• April 1, 2024: FAERS accepts premarket safety
reports in E2B(R3) data standard or SRP
• Refer to FAERS Electronic Submission web page
for updates and Tech Specs
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Electronic Submission Methods
Methods Setup Benefits
Direct to FDA Electronic WebTrader or AS2 (System-to-System) No need to submit 1571 or cover
Submission Gateway (ESG) using https://www.fda.gov/industry/electronic- letter for IND safety reports
E2B(R3) standard submissions-gateway
No separate submission for cross-
Generate E2B (R3) XML using the ICH reported IND
Implementation Guide and FDA Regional
Requirements Immediate acknowledgement of
your submission
Safety Reporting Portal (SRP) Contact faersesub@fda.hhs.gov to request
for SRP account Submit reports directly from your
safety database (ESG)
SRP account activation
Account activated in about 7 to 10 business Eliminates need to send ICSRs to
days from the date of request. your Regulatory Affairs
Notified via email the Web link and
account information to start reporting.
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Electronic Submission Methods
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Submitter Preparedness
Account for the regional forward Generate the XML files and test Correct any issues identified by
compatibility R2 -> R3 them using the FDA E2B Validator the validator
Perform Gateway setup for AS2 Perform Gateway setup for AS2
Test sample XML files that has
Header / Routing ID in pre- Header / Routing ID in production
cleared FDA E2B Validator via the
production as defined in the FDA as defined in the FDA technical
pre-production Gateway
technical specification specification
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Submitting Reports via SRP
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Submitting Reports via SRP
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Submitting Voluntary Safety Reports
Electronically
MedWatch Online
Health professionals can voluntarily report observed or suspected adverse events for
human medical products to FDA
Individual reports only; no batch reporting
Submit via mobile device or a computer
MedWatch Online allows reporters to start a report and complete it within 3 days.
Reporters can save an incomplete report and provide an email address to receive
instructions on how to complete & submit a report with Report ID and Report Date.
After submitting, you cannot retrieve the report and edit it
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Information You Should Report to
MedWatch
Unexpected side effects or adverse events can include everything from skin rashes to more
serious complications.
Product quality problems such as information if a product isn't working properly or if it has a
defect.
Product Use/Medication Errors that can be prevented. These can be caused by various issues,
including choosing the wrong product because of labels or packaging that look alike or have
similar brand or generic names. Mistakes also can be caused by difficulty with a device due to
hard-to-read controls or displays, which may cause you to record a test result that is not correct.
Therapeutic failures. These problems can include when a medical product does not seem to
work as well when you switch from one generic to another.
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Voluntary Reporting
Recommendations
Fill in all the information possible to support detailed
analysis
Provide detailed narrative of the incident/event
Complete the structured data fields as much as possible
Encourage reporters to provide their contact information
in case FDA needs more information
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Submitting Voluntary Safety Reports
via MedWatch Online
https://www.fda.gov/safety/medwatch-fda-safety-information-and-
adverse-event-reporting-program
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Submitting Voluntary Safety Reports
via MedWatch Online
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Closing Thought
www.fda.gov 30
Generic Drug Pharmacovigilance
Bio-IND
Safety Report1
Review
Flow of ANDA3
information Post-Approval
Adverse Event
Safety Report
Review
IND-exempt Review
BA/BE Safety Report2
Review
1Bio-IND Safety Report = A safety report submitted from a BA/BE study conducted under an Investigational New Drug application (IND).
Refer to MAPP 5210.5 rev. 3. (https://www.fda.gov/media/72562/download).
2IND-exempt BA/BE Safety Report = A safety report submitted from a BA/BE study NOT conducted under an IND.
www.fda.gov 31
BA/BE Study Safety Reporting Requirements
BA/BE studies conducted under an IND
• Must meet safety reporting requirements under 21 CFR 320.31 and 312.32
• Must submit an IND safety report(s) for an event(s) that meet(s) the following conditions:
1) serious, 2) unexpected and 3) suspected adverse reaction(s) => SUSARs
• Include individual case safety reports and aggregate reports
www.fda.gov 32
Generic Drug Premarket vs. Postmarket Safety Report
Submission & Review Prior to 4/1/24
Premarket
Report Type IND-exempt BA/BE Safety Postmarket Safety Reports
Bio-IND Safety Reports
Reports
Sponsors conducting Drug companies or CROs
Drug companies, healthcare
Source BA/BE studies conducted conducting BA/BE studies NOT
professionals, consumers, etc.
under an IND conducted under an IND
Format Form FDA 3500A Form FDA 3500A E2B
Submission
via database-to-database
via OGD Premarket email inbox,
(E2B) transmission
which is manually entered into
electronically or Safety
Route via eCTD the Panorama project tracking
Reporting Portal to the FDA
system. Initial and Follow-up also
Adverse Event Reporting
linked manually.
System (FAERS)
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Electronic IND Safety Reporting Requirement
IND safety reports as Individual Case Safety Reports (ICSRs) under 745A(a) of the
Federal Food Drug and Cosmetic (FD&C) Act
• April 1, 2024: Final Guidance for Industry- Providing Regulatory Submissions in
Electronic Format: IND Safety Reports
• Sponsors of commercial INDs required to submit specified IND safety reports to FAERS
have two options:
o Electronic Submissions Gateway (E2B Transmission)
o Safety Reporting Portal
• Begin voluntary submissions in E2B(R3) format (April 1, 2024)
• Requirement 24 months after Final Guidance publication (April 1, 2026)
Bio-IND Safety Reports (from BA/BE studies conducted under an IND) must meet
the electronic ICSR reporting requirement under 745A(a) of the FD&C Act.
www.fda.gov 35
IND-exempt BA/BE Safety Reporting
A. Options for submission:
1. May continue to email Form FDA 3500A to OGD-PremarketSafetyReports@fda.hhs.gov.
Options for submitting IND-exempt BA/BE Safety Reports as ICSRs in E2B(R3) format
• Electronic Submission Gateway (E2B Transmission) <- Today’s Focus
• Safety Reporting Portal
www.fda.gov 36
Voluntary Electronic Submission of
IND-exempt BA/BE Safety Reports
B. Electronic Submission Gateway (E2B Transmission) Option:
1. Understand requirements4,5
• FDA Regional Implementation Guide for E2B(R3) Electronic Transmission of Individual
Case Safety Reports for Drug and Biological Products Guidance for Industry Technical
Specifications Document (hereafter referred as Technical Specifications Document)
• Final Guidance for Industry: Electronic Submission of Expedited Safety Reports from
IND-exempt BA/BE studies (April 2024)
Additional resources:
• Specifications for Preparing and Submitting Electronic ICSRs and ICSR Attachments
• E2B(R3) Electronic Transmission of Individual Case Safety Reports (ICSRs)
Implementation Guide –Data Elements and Message Specification
• FDA E2B(R3) Core and Regional Data Elements and Business Rules
2. Prepare IT system
• FAERS started accepting premarket ICSRs in E2B (R3) format on April 1, 2024.
• Learn the specifications for preparing and submitting electronic submission of ICSRs.
• Need an account with FDA to submit ICSRs electronically.
• Notify the FAERS electronic submission coordinator at faersesub@fda.hhs.gov to create an
account.
b. Choose element value=2 for ‘Report from study’ as the ‘Type of Report’ in Data Element C.1.3
Data element Title Element value
www.fda.gov 39
Voluntary Electronic Submission of
IND-exempt BA/BE Safety Reports
4. Identify ICSRs from IND-exempt BA/BE studies
c. Submit Pre-assigned ANDA (‘Pre-ANDA’)8 number
Data element Title Element values
FDA.C.5.5b Pre-ANDA Number where AE Numeric
Occurred
Max Length: 10
Data Type: Numeric (N) (For example, “234567“)
Conformance: Conditional-Required
Business Rule:
• If Type of Report (C.1.3) is 2=Report from study and
Message Receiver Identifier (N.2.r.3) = “CDER_IND_EXEMPT_BA_BE”
then Pre-ANDA Number where AE Occurred (FDA.C.5.5b) is required.
• Required to be a valid Pre-ANDA number for processing and routing
8Although these are pre-assigned ANDA numbers and the term ‘Pre-ANDA’ is being used with these numbers, each submission may or may not be associated
with the Office of Generic Drug’s Pre-ANDA Program (https://www.fda.gov/drugs/generic-drugs/pre-anda-program) for complex drug products .
www.fda.gov 40
Voluntary Electronic Submission of
IND-exempt BA/BE Safety Reports
5. Identify drug substance
Data element Title Element values
G.k.2.2 Medicinal Product Name as Reported by Medicinal product name (free text)
the Primary Source
G.k.2.3.r.1 Substance/Specified Substance Name Drug substance name (free text)
• Report medicinal product name (proprietary name) using data element G.k.2.2 if available.
• Report drug substance name in data element G.k.2.3.r.1
• Report only drug substance name if medicinal product name (proprietary name) is not available.
www.fda.gov 42
Voluntary Electronic Submission of
IND-exempt BA/BE Safety Reports
8. Other considerations
• Refer to the Technical Specifications Document for information on:
ICH E2B data elements
Regional specifications
www.fda.gov 44
Acknowledgements
• Howard Chazin, OGD/OSCE/DCSS Director
• Debra Catterson, OGD/OSCE/DCSS Deputy Director
• James Osterhout, OGD/OSCE/DCSS Senior Data Scientist
• Suranjan De, Office of Surveillance and Epidemiology/
Regulatory Science Staff/Deputy Director
www.fda.gov 45
References
Document / Web Page Accessible At
FDA Adverse Event Reporting System (FAERS) https://www.fda.gov/drugs/questions-and-answers-fdas-
Electronic Submissions –Web page adverse-event-reporting-system-faers/fda-adverse-event-
reporting-system-faers-electronic-submissions
FDA Regional Implementation Guide for E2B(R3) https://www.fda.gov/regulatory-information/search-fda-
Electronic Transmission of Individual Case Safety guidance-documents/fda-regional-implementation-guide-e2br3-
Reports for Drug and Biological Products (Apr 2024) electronic-transmission-individual-case-safety-reports-drug
FDA E2B(R3) Core and Regional Data Elements and https://www.fda.gov/media/157982/download
Business Rules v1.6 (Apr 2024)
FDA E2B(R3) Forward Compatible Rules (Apr 2022) https://www.fda.gov/media/157993/download
FDA ICSR XML Instances (Feb 2024) https://www.fda.gov/media/157983/download
Electronic Submission of IND Safety Reports - https://www.fda.gov/regulatory-information/search-fda-
Technical Conformance Guide (Apr 2022) guidance-documents/electronic-submission-ind-safety-reports-
technical-conformance-guide
Electronic Submission of Expedited Safety Reports https://www.fda.gov/regulatory-information/search-fda-
From IND-Exempt BA/BE Studies - Draft Guidance guidance-documents/electronic-submission-expedited-safety-
for Industry (Apr 2024) reports-ind-exempt-babe-studies-guidance-industry
Preparing for the electronic exchange of safety https://www.fda.gov/media/177186/download?attachment
reports
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