Pharmaceutical Quality - Chemistry, Manufacturing and Controls (PQ-CMC) Submissions to FDA
1.1.6 - Reconciliation + Stage 2 Connectathon United States of America flag

Pharmaceutical Quality - Chemistry, Manufacturing and Controls (PQ-CMC) Submissions to FDA, published by HL7 International / Biomedical Research and Regulation. This guide is not an authorized publication; it is the continuous build for version 1.1.6 built by the FHIR (HL7® FHIR® Standard) CI Build. This version is based on the current content of https://github.com/HL7/FHIR-us-pq-cmc-fda/ and changes regularly. See the Directory of published versions

Artifact List

This page provides a list of the FHIR artifacts defined as part of this implementation guide.

Structures: Abstract Profiles

These are profiles on resources or data types that describe patterns used by other profiles, but cannot be instantiated directly. I.e. instances can conform to profiles based on these abstract profiles, but do not declare conformance to the abstract profiles themselves.

Analysis Graphic

Any attached file that contains a graphical representation

Analytical Instrument Data

Any attached file that contains analytical instrument data

Graphic Reference

A Document Reference to any attachment tha contains a graphical representation

PQCMC Attachment

Any attached file in a submission is required to have a type, data, and a title

Structure Data

Any attached file that contains structure data (e.g. SDFiles, MolFiles, INCHI)

Structure Data Reference

A Document Reference to any attachment that contains structure data

Structures: Resource Profiles

These define constraints on FHIR resources for systems conforming to this implementation guide.

Basic Organization

A profile for the data elements required to identify the sponsor of the drug products or substances, Suppliers.

Batch Formula Drug Product Identification

The Drug Product produced by the batch formula.

CMC eCTD 32P10 Document

Definition for a document bundle with the CMC eCTD 32P1 profiles.

CMC eCTD 32P32 Document

Definition for a document bundle with the CMC eCTD 32P32 profiles (Product Batch Formula).

CMC eCTD 32P55 Document

Definition for a document bundle with the CMC eCTD 32P55 profile (Product Characterisation of Impurities).

CMC eCTD 32S10 Document

Definition for a document bundle with the CMC eCTD 32S1 profiles.

CMC eCTD 32S23 Document

Definition for a document bundle with the CMC eCTD 32S23 profiles.

CMC eCTD 32S3 Document

Definition for a document bundle with the CMC eCTD 32S3 profiles.

CMC eCTD SP4151 Document

Definition for a document bundle with the CMC eCTD SP4151 profiles.

Component Substance

Any raw material intended for use in the manufacture of a drug substance, or any ingredient intended for use in the manufacture of a drug product including those that may not appear in such drug product.

ContainerClosure

Container Closure for drug product referred to in Drug Product Description.

Document Reference Attachment

A profile that represents the document or diagram in base64.

Drug Product Batch Formula

Listing of all components of the dosage form to be used in the manufacture, their amounts on a per batch basis, including overages, and reference to their quality standards.

Drug Product Batch Formula Ingredient

The amount details about the drug product ingredients in the batch. Use for Batch Formula.

Drug Product Component

The amount details about the drug product components to define the product composition in a product unit. Use composition.

Drug Product Description

Includes the properties of the drug product and components. Profile of Drug Product profile.

Drug Product Handle

Includes the essential identifying information of the drug product required to link to other profiles about the product in the eCTD structure.

Drug Product Impurities

List of drug product impurities. Profile of Drug Product profile.

Drug Substance

Drug Substance (Active Ingredient) nomenclature and characterisation.

Drug Substance Handle

Provides sufficient information to identify a drug substance. Profile on SubstanceDefinition.

Drug Substance Impurity

Any component of the drug substance that is not the chemical entity for procduct composition.

Excipient Drug Substance

Provides sufficient information to identify an inactive substance and raw materials and its source when stability data is required in the submission.

Manufactured Drug Product

The manufactured drug product defined by all its parts or layers. If the drug product composition is homogeneous it will have a single part or component.

Polymorphic Form

Alternate structure present in the drug substance

Quality Specification

A quality specification is for a drug product or drug substance (excipient, API or raw material).

Substance General Information

Substance General Information containting Drug Substance (Active Ingredient) nomenclature (2.3.S.1.1) and Substance Structure (2.3.S.1.2) profile.

eCTD Batch Formula

The fields needed to represent the Product Batch Formula to be included under the eCTD. References Sponsor Organization and Batch Formula

eCTD Product Characterisation of Impurities Composition

The fields needed to represent the Product Characterisation of Impurities in a to be included under the eCTD. References Sponsor Organization and Product Characterisation of Impurities

eCTD Product Description and Composition

The fields needed to represent the Product Description, Container Closure and Composition of the Drug Product to be included under the 3.2.P.1 heading of the eCTD. References Sponsor Organization, Drug Product Description, and Product Container Closure System.

eCTD Specification Composition

The fields needed to represent Quality Specifications for APIs, Drug Substances, Excipients and Raw Materials.

eCTD Substance Characterisation

The fields needed to represent the Substance Structure and Impurities to be included under the 3.2.S.3 heading of the eCTD. References Sponsor Organization, Drug Substance Structure, and Drug Substance Impurities

eCTD Substance Control of Materials Composition

The fields needed to represent the Substance Control of Materials to be included under the eCTD 3.2.S.2.3 heading. References Sponsor Organization and Drug Substance Materials.

eCTD Substance General Information

The fields needed to represent the Substance Nomenclature and Structure to be included under the 3.2.S.1 heading of the eCTD. References Sponsor Organization.

Structures: Data Type Profiles

These define constraints on FHIR data types for systems conforming to this implementation guide.

PqAddress

pq-specific Constraints on the Address datatype dealing with US addresses.

Structures: Extension Definitions

These define constraints on FHIR data types for systems conforming to this implementation guide.

Additional Information

Any additional information that that the submitter wishes to provide to the FDA that is not structured in the IG. The content of the information submitted via Additional Information may be analyzed at some point in the future, to identify candidate elements for structuring in future iterations of the IG.

Amount Ratio

represent an amount as a ratio in ManufacturedItemDefinition

Hierarchical Level
Numeric level in the hierarchical value-set. As an example, this extension is used to distinguished between Test Category Test Subcategory in Quality Specifications. Test Category is level 1 and Test Subcategory is level two. A constraint enforces values greater than zero.
Product Batch Ingredient Extension

Extension for measurement properties for ingredients in the batch formla.

Specification Status

A classification of the regulatory status of the specification.

Strength Extension

Strength Type (for API)

Target Range

The FHIR Range datatype uses Simple Quantities to represent the high and low bounds, which do not allow a comparator to be set. This extension allows the high and low bounds to have a comparator

Terminology: Value Sets

These define sets of codes used by systems conforming to this implementation guide.

Analytical Instrument Data File Types

The acceptable file types that can be used in Analytical Instrument Data Files

Batch utilization Terminology

Terminology used to qualify the information pertaining to batch utilization in the framework of the Pharmaceutical Quality/Chemistry, Manufacturing and Controls documents.

Capsule Shell Classification Terminology

A category of terminology used to qualify the information pertaining to the classification of a capsule in the framework of the Pharmaceutical Quality/Chemistry, Manufacturing and Controls documents.

Chemical Structure Data File Type Terminology

Terminology used to qualify the information pertaining to chemical structure data file types in the framework of the Pharmaceutical Quality/Chemistry, Manufacturing and Controls documents.

Closure Type Terminology

Terminology used to qualify the information pertaining to closure types in the framework of the Pharmaceutical Quality/Chemistry, Manufacturing and Controls documents.

Coating Purpose Terminology

A category of terminology used to qualify the information pertaining to the coating purpose in the framework of the Pharmaceutical Quality/Chemistry, Manufacturing and Controls documents.

Conformance to Criteria Terminology

Terminology used to qualify the information pertaining to conformance to criteria in the framework of the Pharmaceutical Quality/Chemistry, Manufacturing and Controls documents.

Container Type Terminology

Terminology used to qualify the information pertaining to container types in the framework of the Pharmaceutical Quality/Chemistry, Manufacturing and Controls documents.

Drug Product Component Function Category Terminology

Terminology used to qualify the information pertaining to drug product component function categories in the framework of the Pharmaceutical Quality/Chemistry, Manufacturing and Controls documents.

Drug Route Of Administration Terminology

Terminology used for representation of the information on pharmaceutical product route of administration in the framework of the Structured Product Labeling documents.

Excipient Function Terminology

Terminology used to qualify the information pertaining to excipient functions in the framework of the Pharmaceutical Quality/Chemistry, Manufacturing and Controls documents.

Graphical File Types

The acceptable file types that can be used in graphical files

Impurity Classification Terminology

Terminology used to qualify the information pertaining to impurity classifications in the framework of the Pharmaceutical Quality/Chemistry, Manufacturing and Controls documents.

Ingredient Location Terminology

A category of terminology used to qualify the information pertaining to the location of an ingredient within a product in the framework of the Pharmaceutical Quality/Chemistry, Manufacturing and Controls documents.

Manufactured Dose Form Terminology

Terminology used to qualify the information pertaining to the manufactured dose form.

Non-Percentage Units

Units of Measure terminologies that do not represent percentages

Organization-Site Identifier Terminology

Terminology used to qualify the information pertaining to the sponsor or testing site unique identifier types in the framework of the Pharmaceutical Quality/Chemistry, Manufacturing and Controls documents.

PQCMC Name Part Terminology

Terminology used to qualify the information pertaining to Name Part data in the framework of the Pharmaceutical Quality/Chemistry, Manufacturing and Controls documents.

PQCMC Product Characteristic

Product Characteristic for the characteristic element in ManufacturedItemDefinition for product composition.

Percentage Units

Units of Measure terminologies that represent the concept of a percentage

Pharmaceutical Dosage Form Terminology

Terminology used for representation of the information on pharmaceutical product dosage form in the framework of the SPL documents.

Product Name Types Terminology

Local value set of all codes in the Code system.

Product Part Type Terminology

A category of terminology used to qualify the information pertaining to the product part type in the framework of the Pharmaceutical Quality/Chemistry, Manufacturing and Controls documents.

Quality Benchmark Terminology

Terminology used to qualify the information pertaining to quality benchmarks in the framework of the Pharmaceutical Quality/Chemistry, Manufacturing and Controls documents.

Relationship Types Terminology

Local value set of all codes in Relationship Types codes

Release Mechanism Terminology

A category of terminology used to qualify the information pertaining to release mechanism in the framework of the Pharmaceutical Quality/Chemistry, Manufacturing and Controls documents.

Release Profile Terminology

A category of terminology used to qualify the information pertaining to release profile in the framework of the Pharmaceutical Quality/Chemistry, Manufacturing and Controls documents.

Source Type Terminology

Terminology used to qualify the information pertaining to source types in the framework of the Pharmaceutical Quality/Chemistry, Manufacturing and Controls documents.

Specification Section Type Terminology

Local value set of all codes in Specification Type codes

Specification Status Terminology

Terminology used to qualify the information pertaining to specification statuses in the framework of the Pharmaceutical Quality/Chemistry, Manufacturing and Controls documents.

Specification Type Terminology

Terminology used to qualify the information pertaining to specification types in the framework of the Pharmaceutical Quality/Chemistry, Manufacturing and Controls documents.

Strength Type Terminology

Terminology used to qualify the information pertaining to strength types in the framework of the Pharmaceutical Quality/Chemistry, Manufacturing and Controls documents.

Structure Data Types

The acceptable file types that can be used in Structure Data Files (MOL,SDF,INCHI,etc)

Substance Classification

Substance classes

Substance Name Type

A category of terminology used to quality the information pertaining to the type of substance name in the framework of the Pharmaceutical Quality/Chemistry, Manufacturing and Controls documents.

Test Category Terminology

Terminology used to qualify the information pertaining to test categories in the framework of the Pharmaceutical Quality/Chemistry, Manufacturing and Controls documents.

Test Method Origin Terminology

Terminology used to qualify the information pertaining to test method origins in the framework of the Pharmaceutical Quality/Chemistry, Manufacturing and Controls documents.

Test Usage Terminology

Terminology used to qualify the information pertaining to test usage in the framework of the Pharmaceutical Quality/Chemistry, Manufacturing and Controls documents.

Units Of Measure

Terminology used to qualify the information pertaining to units of measure in the framework of the Pharmaceutical Quality/Chemistry, Manufacturing and Controls documents. Note: Includes SPL Unit of Presentation Terminology

eCTD sections Terminology

Value set of all codes in Code system PQCMC Comp Section Types for bindings that require a value set instead of the code system.

Terminology: Code Systems

These define new code systems used by systems conforming to this implementation guide.

Code System PQCMC Comp Section Types

Classification of a section of a PQ/CMC composition/document generally based on eCTD Module 3 section numbering for product and substance. A composition can have many section codes. Codes temporarily defined as part of the PQ-CMC-FDA implementation guide. These will eventually migrate into an officially maintained terminology (likely either NCIt or HL7's UTG code systems).

PQ-CMC-FDA Temporary Codes

Codes are temporarily defined as part of the PQ-CMC-FDA implementation guide. Some, but not all, are defined in NCIt. When all codes are in NCIt, they will migrate to the HL7 Terminology (THO). Note: Codes that exist in NCIt at time of ballot begin with 'C'.

Product Name Types Code Types

Indicates patent or trademark status. Codes temporarily defined as part of the PQ-CMC-FDA implementation guide. These will eventually migrate into an officially maintained terminology (likely either NCIt or HL7's UTG code systems)

Relationship Types Codes

Local value set of all codes in the Relationship Types code system.Codes temporarily defined as part of the PQ-CMC-FDA implementation guide. These will eventually migrate into an officially maintained terminology (likely either NCIt or HL7's UTG code systems)

Example: Example Instances

These are example instances that show what data produced and consumed by systems conforming with this implementation guide might look like.

278736ef-2ddf-49e4-895c-3a9f34db36cf

The Excipient Raw representing Cochineal

32532fe8-1bfb-4a0a-998d-9294742a9519
37a26b1a-ede3-4677-943e-72b513f945b7
48beec35-843c-42f5-9251-7aa6fd693199
55f2bbea-1a2d-4240-aef0-bc1a76b39212

Impurity substance for DIOXANE

58ae52aa-c81e-415a-8791-e67a3195290d

Impurity substance - DICHLOROMETHANE

6248d2ea-c9e0-4280-9beb-08b7041071c2

Drug Product with Impurities for AmphetamineSalt_1

7cdbb042-9275-4599-a1fe-08877846bf94

FHIR document bundle with the CMC eCTD SP4151 profile for an Excipient

7f7c63b0-8ad8-4529-b000-bf4b6c384558

Impurity Substance - methylamine

8202d18a-df68-4cbd-912d-59c7cff5cfa6

Impurity Substance - elementalIron

98effc99-db2b-428d-89aa-0ce426e02788

Sponsor example for eCTD SP4151

9e8f2d16-66b1-47ec-878d-f50ae021985b

FHIR document bundle with the CMC eCTD 32P55 profile for a Drug Product

A DrugProductDescription for a multilayer product

An example of section 3.2.P.1.1

A FinishedProduct profile based on ManufacturedItemDefinition

An example of section 3.2.P.1.3 for a multilayer product

A quality specification is for a drug product

A quality specification is for a Drug Product

A quality specification is for a drug substance

A quality specification is for an API

API used in two layer table example

Identification for the drug subtance used in a batch formula

Base64 Document Reference - L-thyroxine-3D-structure-CT1000583834.sdf

An attached SDfile. The ASCII file content is attached in base64.

Base64 Document Reference - Levothyroid.png

Base 64 Document - png file

Base64 Document Reference - Monosodium_D-thyroxine_hydrate.png

Monosodium D-thyroxine hydrate.png

Batch Formula Drug Product Identification

Basic idenfier informion in MDI for the Drug Product with reference to the Batch Formula

Batch Formula Drug Product Identification 2 layer

Basic idenfier informion the Drug Product with reference to the Batch Formula for 2 layer example

Batch Formula for 2 layer tablet

Batch Formula Exmample for drug product with two component layers

Batch Formula for Oxazepam / Propranolol-Hydrochloride product

Batch Formula Exmample for a liquid drug product

Bundle for 3.2.S.1

Bundle containng nomenclature and molecular structure

CMCeCTDDocument32P10 bundle

A bundle for 3.2.P.1.0

Carrageenan specification Example

Example raw material (Carrageenan) specification for CTD 3.2.S.2.3. Raw matrials and Excipients share the same profile but are in different bundles.

Citric acid specification Example

Example raw material (Citric acid) specification for CTD 3.2.S.2.3

Cochineal specification Composition Example

Composition SP4151 implementing eCTD 3.2.P.4.0

Cochineal specification Example

Quality Specification for Cochineal

CodedOrganization - Wunderwerke

A company sponsor of a drug application

CodedOrganization J. Jones Research

Example of a Sponsor type of Organization

Composition ingredient substance indentifying information - Maize starch

An excipient in the two layer tablet

Composition ingredient substance indentifying information - acetaminophen

An API used in two layer table example.

Composition ingredient substance indentifying information - aspirin

API used in two layer table example

Container Closure Attached Document example
Drug Manufacturing Site - Vandechemie

Example of Manufacturing site using the CodedOrganization profile - Vandechemie

Drug Substance Nomenclature and Structure

LEVOTHYROXINE SODIUM ANHYDROUS

DrugProductComponent example for an excipient - Maize starch

Strength is captured for all excipients

East-West Manufacturing

Manufacture of Chemicals

EctdComposition32P10 for 2 layer tablet

eCTD Product Description and Composition for the two layer tablet example

Example 2-layer batch formula ingredient - Water

Example 2-layer inactive ingredient in batch formula

Example 2-layer batch formula ingredient substance - Water

Example 2-layer inactive ingredient in batch formula. Contains the identiy and codes of the substance

Example Asprin Ingredient

Batch formula drug product example Active - Asprin

Example AtomexetineHydrochloride

Batch formula drug product example Active

Example Batch Formula bundle

FHIR bundle with a CMC eCTD 32P32 profile

Example Batch Formula bundle

FHIR bundle with a CMC eCTD 32P32 profile

Example Composition 3.2.P.3.2

Composition 32P32 - Batch Formula Composition

Example Composition 3.2.P.3.2 two layer tablet

Composition 32P32 - Batch Formula Composition with multiple parts

Example Composition for CTD 3.2.S.2.3

This composition contains one section with reference to each raw material specification for the drug substance.

Example Container Closure

Plastic Bottle made of high-density polyethylene (HDPE). The plastic is chosen for its resistance to moisture and its ability to maintain the integrity of the drug.

Child-Resistant Cap: The cap features a Push-and-Turn Cap that he user to push down on the cap while turning it, which is difficult for children but manageable for adults.

Example SubstanceDefinition for Carrageenan

Identification of the subject of the specification which is a sourced plant based raw materials. It contains the sourceMaterial backbone elements.

Example SubstanceDefinition for anhydrous citric acid

Identification of the subject of the specification. It is commonly used in the pharmaceutical industry as a stabilizer and preservative.

Example SubstanceDefinition for water

Identification of the subject of the specification

Example SubstanceDefinition- ATOMOXETINE HYDROCHLORIDE

Idenfiers for the subtance used in a batch formula

Example SubstanceDefinitionHandle - IBUPROFEN

Provides sufficient information to identify a drug substance

Example SubstanceDefinitionHandle for Asprin

Identification of the Drug Substance of the raw materials whose specifications are for Aspirin.

Example batch formula ingredient - Acetaminophen

Example Active ingredient in batch formula

Example batch formula ingredient - Acetic Acid

Example inactive ingredient in batch formula

Example batch formula ingredient - Grape skinn

Example inactive ingredient in a batch formula in single part

Example batch formula ingredient - Maize starch

Example inactive ingredient in a batch formula distributed over two parts

Example batch formula ingredient - Mannitol

Example inactive ingredient in batch formula

Example batch formula ingredient - Metacresol

Example inactive ingredient in batch formula

Example batch formula ingredient - Sodium Acetate Anhydrous

Example inactive ingredient in batch formula

Example batch formula ingredient - Water

Example inactive ingredient in batch formula

Example batch formula ingredient substance - Acetic Acid

Example inactive ingredient in batch formula. Contains the identiy and codes of the substance

Example batch formula ingredient substance - MANNITOL

Example inactive ingredient in batch formula. Contains the identiy and codes of the substance

Example batch formula ingredient substance - METACRESOL

Example inactive ingredient in batch formula. Contains the identiy and codes of the substance

Example batch formula ingredient substance - Sodium Acetate Anhydrous

Example inactive ingredient in batch formula. Contains the identiy and codes of the substance

Example batch formula ingredient substance - Water

Example inactive ingredient in batch formula. Contains the identiy and codes of the substance

Example of CodedOrganization profile on Organization

A profile for the data elements required to identify an organization that manufactures, processes or tests drug products or substances.

Example of a Supplier Organization

This example if for a Supplier Organization

FHIR Document example of 3.2.P.5.1.

FHIR document bundle with the CMC eCTD SP4151 profile for a Drug Product

FHIR Document example of 3.2.S.4.1.

FHIR document bundle with the CMC eCTD SP4151 profile for a Drug Substance

IngredComponentSubstance example showing the use of the sourceMaterial backbone element

ComponentSubstance example showing the use use of the sourceMaterial backbone element

Ingredient substance indentifying information - Grape skin extract

Grape skin extract excipient

Ingredient substance indentifying information - Maize starch

Maize starch excipient in the two layer tablet

Ingredient substance indentifying information - acetaminophen

An API used in seond layer of table example.

Manufacturing Site (J. Jones Research)

Manufacturing site instance of an Organization Example. There will be a type code in future

Polymorphic Form Example

Polymorphic Form - DextroThyroxine

Sponsor of API

CodedOrganization - Large Life

Strength info for the Active Ingredient

one of the active ingredients in the two layer table example - aspirin

Strength information - Grape skin extract

Example of a DrugProductComponent for an Inactive Ingredient

Strength information for the Active Ingredient - acetaminophen

An active ingredient in the two layer table example - acetaminophen

Substance Characterization - EthylAcetate

Drug Substance Characterization for EthylAcetate

Substance Characterization for EthylAcetate
Vidinaid

Manufacturing site (Vidinaid) instance with second address line

Water Specification Example

Example raw material (water) specification for CTD 3.2.S.2.3

a7a2d35b-5d9d-4a8c-b012-d04a07662c0a

An Example FHIR Bundle containing data for the CMC eCTD 32P55 document

ac7ac2da-df69-4ed9-b399-4dc40a71b332

Impurity Substance - Phenylacetone

ddd3abad-347c-4d2f-95f3-dd804e250502

Example of Drug Product with Impurities

de75e338-626c-4503-a25d-4fcdd8e39bee
drug product for specification

Includes the identifier of the drug product

eCTD Composition for 3.2.S.1

Composition containing eCTD Substance General Information

eCTD Document for 32S23

This is an example of the Substance Control of Materials bundle profile. It is to submit Module 3 of CTD 3.2.S.2.3 folder content to the FDA.

eCTD Drug Substance Specification Composition SP4151

Composition SP4151 implementing eCTD 3.2.S.4.1.

eCTD Product Characterisation of Impurities

FHIR Composition for 32P55

eCTD Product Characterisation of Impurities Composition for TabletCoatedBeadsCoatedAll

FHIR composition for CMC eCTD SP4151

eCTD Product Specification Composition SP4151

Composition SP4151 implementing eCTD 3.2.P.5.1.

f22ab70c-20c0-4ee4-848b-622b67ec8592

Sponsor for Amphetamine Salts 32P55

ffa30c0b-8031-436a-87f1-635b3bbe5989

Impurity substance - hydroxyApatite