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Manual for Submission of Drug Clinical Development Dossier (DCDD)
and Clinical Trial Specific Dossier
v.1
Brasília, 2015
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Copyright © 2015. Brazilian Health Surveillance Agency.
Partial or complete reproduction of this document is permitted, as long as the source is referenced. Legal
deposit at the National Library, in accordance with Decree n° 1.825, of December 20th, 1907.
Acting Director-President
Jaime Cesar de Moura Oliveira
Associate of Director-President
Diogo Penha Soares
Directors
Ivo Bucaresky
José Carlos Magalhães da Silva Moutinho
Renato Alencar Porto
Head of Office
Luciana Shimizu Takara
Superintendent of Drugs and Biological Products
Meiruze Sousa Freitas
Clinical Research Coordination for Drugs and Biological Products
Patrícia Ferrari Andreotti
Team Responsible for the Manual:
Adriane Alves de Oliveira
Flávia Regina Souza Sobral
Kellen do Rocio Malaman
Patrícia Ferrari Andreotti
Ricardo Eccard da Silva
Cooperation:
André Luís Carvalho Santos Souza Claudio Nishizawa
Bruno de Paula Coutinho Fanny Nascimento Moura
Bruno Zago Franca Diniz Fernando Casseb Flosi
Candida Luci Pessoa e Silva Janaina Lopes Domingos
Carla Abrahao Brichesi Miriam Motizuki Onishi
Carlos Augusto Martins Netto Sônia Costa e Silva
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Table of Contents
1. Introduction ...................................................................................................................................... 4
2. DCDD Submission and Specific Clinical Trial Dossiers ..................................................................... 5
2.1 DCDD Submission ................................................................................................................... 5
2.2 Submission of Specific Clinical Trial Dossiers ........................................................................... 7
3. DCDD documents .......................................................................................................................... 10
3.1 Drug Development Plan ......................................................................................................... 10
3.2 Investigator’s Brochure........................................................................................................... 12
3.3 Experimental Drug Dossier..................................................................................................... 12
4. Issuance of Special Bulletin (SB) and Document for Importation of Investigational Product(s) Related
to the Drug Clinical Development Dossier (DCDD) .................................................................................. 15
5. Secondary Petitions ........................................................................................................................ 17
6. Transitional Provisions.................................................................................................................... 17
7. References ..................................................................................................................................... 19
Manual for Submission of Drug Clinical Development Dossier (DCDD) and Clinical Trials Specific Dossiers 4
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1. Introduction
Without prejudice to existing regulations in legal provisions, this manual is intended to additionally
guide and explain submissions of Drug Clinical Development Dossiers (DCDD) and Specific Clinical Trial
Dossiers.
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2. DCDD Submission and Specific Clinical Trial Dossiers
2.1 DCDD Submission
In accordance with Resolution which outlines Health Regulation regarding the conduct of clinical
trials with drugs in Brazil, the Drug Clinical Development Dossier (DCDD) is the compilation of documents
to be submitted to ANVISA with purposes of evaluating the stages related to the development of an
experimental drug, in order to obtain information to support the registration or post-registration changes
regarding the referred product.
For the electronic application of a DCDD at ANVISA, the regulated department must inform one of
the following primary petition subjects:
• 10750 - CLINICAL TRIALS - Approval in Process of Drug Clinical Development Dossier (DCDD)
– Synthetic Drugs
• 10754 - CLINICAL TRIALS - Approval in Process of Drug Clinical Development Dossier (DCDD) -
Biological Products
• 10752 - CLINICAL TRIALS - Approval in Process of Drug Clinical Development Dossier (DCDD) -
Herbal Products
• 10748 - CLINICAL TRIALS - Approval in Process of Drug Clinical Development Dossier (DCDD) -
Radiopharmaceuticals
• 10751 - CLINICAL TRIALS – CRO Approval in Process of Drug Clinical Development Dossier
(DCDD) – Synthetic Drugs
• 10755 - CLINICAL TRIALS – CRO Approval in Process of Drug Clinical Development Dossier
(DCDD) - Biological Products
• 10753 - CLINICAL TRIALS – CRO Approval in Process of Drug Clinical Development Dossier
(DCDD) - Herbal Products
• 10749 - CLINICAL TRIALS – CRO Approval in Process of Drug Clinical Development Dossier
(DCDD) - Radiopharmaceuticals
The specific checklist for the abovementioned subjects can be searched at ANVISA website and
they strictly follow the description of the items contained in the regulation.
The applicant must submit a DCDD to ANVISA only if intended to conduct clinical trials with drugs
in the country. DCDD applies only to the development of an experimental drug. For analysis purposes,
DCDD must be submitted with at least one specific clinical trial dossier to be performed in Brazil, and it
may be a clinical trial previously approved by ANVISA.
Upon electronic petition of one of DCDD subjects, the applicant must answer the following question:
“Are there application processes filed with ANVISA to be linked to this DCDD?”. If positive, the person
responsible for petitioning must inform the process numbers of subjects for approval related to DCDD
experimental drug, which were already submitted to ANVISA and that are part of the product clinical
Development Plan. They may have already been analyzed, approved, rejected, canceled, or being
Manual for Submission of Drug Clinical Development Dossier (DCDD) and Clinical Trials Specific Dossiers 6
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awaiting resolution of pending issues or expecting technical analysis. Therefore, approval processes
already submitted to ANVISA must be linked to a single DCDD for each experimental drug.
The following subjects previously petitioned at ANVISA may be linked to a DCDD:
• 10477 - CLINICAL TRIALS – CRO Approval in Clinical Research Process - Herbal Products
• 10483 - CLINICAL TRIALS – CRO Approval in Clinical Research Process - Synthetic Drugs
• 10478 - CLINICAL TRIALS – CRO Approval in Clinical Research Process - Biological Products
• 0476 - CLINICAL TRIALS - Approval in Clinical Research Process - Herbal Products
• 10482 - CLINICAL TRIALS - Approval in Clinical Research Process - Synthetic Drugs
• 10479 - CLINICAL TRIALS - Approval in Clinical Research Process- Biological Products
• 102 - CLINICAL TRIALS - Approval in Clinical Research Process – Drug Products
• 1650 - CLINICAL TRIALS – CRO Approval in Clinical Research Process -
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Drug Products
• 550 - CLINICAL TRIALS - Notification in Clinical Research - Phase IV/Observational linkable to the
DCDD
The documents of a DCDD must be manually filed with ANVISA, in accordance with a specific
checklist for the concerned subject, except for Specific Dossier(s) for each Clinical Trial which will be a
new process, electronically petitioned and filed.
2.2 Submission of Specific Clinical Trial Dossiers
The Specific Dossiers for each clinical trial must be submitted as primary petitions and, therefore,
will have a process number, with specific subjects for each clinical trial to be conducted in Brazil and that
have not yet been submitted to ANVISA.
The Clinical Trial Specific Dossiers may be submitted to ANVISA as one of the following subjects:
• 10482 - CLINICAL TRIALS - Approval in Clinical Research Process - Synthetic Drugs
• 10479 - CLINICAL TRIALS - Approval in Clinical Research Process- Biological Products
• 10476 - CLINICAL TRIALS - Approval in Clinical Research Process - Herbal Products
• 10773 - CLINICAL TRIALS - Approval in Clinical Research Process - Radiopharmaceuticals
• 10483 - CLINICAL TRIALS – CRO Approval in Clinical Research Process - Synthetic Drugs
• 10478 - CLINICAL TRIALS – CRO Approval in Clinical Research Process - Biological Products
• 10477 - CLINICAL TRIALS – CRO Approval in Clinical Research Process - Herbal Products
• 10774 - CLINICAL TRIALS – CRO Approval in Clinical Research Process -
Radiopharmaceuticals
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• 550- CLINICAL TRIALS - Notification in Clinical Research - Phase IV/Observational linkable to
DCDD
The specific dossiers for each clinical trial can be petitioned by institutions with CNPJ (tax ID
number) different from the one informed in the DCDD. For submission of the above subjects, the following
must be informed: DCDD process number to which the petition for Application in Clinical Research
Process shall be linked to, because the system does not allow petitioning of these subjects without relating
to a DCDD.
Specific Dossiers for each Clinical Trial can be petitioned by institutions with Corporate
Taxpayers’ Registry (CNPJ) different from the one informed in DCDD. For petition of the above
subjects, the following must be informed: DCDD process number to which the petition for
Approval in Clinical Research Process shall be linked to, because the system does not allow
petitioning of these subjects without being related to a DCDD.
The specific checklist for each of the abovementioned subjects may be referenced at
ANVISA website and those strictly follow the description of items required by current regulation.
Petitioning and filing must be electronically performed. For each item contained in the
checklist of such petitions, the applicant will need to attach at least one PDF file, with textual
search allowed. It will be possible to attach up to five 750-Kb files. For greater clarity, we
recommend that the appendix concerning the protocol is identified as “Protocol”.
For the continuity of the petitioning process, each attached file needs to be viewed.
After the petitioning completion, a transaction number is generated. In cases of taxes collection,
no changes can be made to the submitted dossier after payment of the referred tax. Any
subsequent changes can be performed through the subject-specific codes.
It is emphasized that petitions should only be submitted for dossiers of clinical trials to
be conducted in Brazil. Only dossiers which have already clinical and non-clinical support to be
started should be filed, because the Special Bulletin (SB) issued to DCDD will contain only
clinical trials that ANVISA considers that can be started. If a Development Plan is
comprehensively presented, containing Phases 1, 2, and 3 clinical trials, but with early stage
studies ongoing, which are not able to support late stage clinical trials, the phase 3 trial, for
example, should not be initially petitioned at ANVISA. This clinical trial may be petitioned after
there are already sufficient clinical and non-clinical data to support its initiation. It may later be
included as a petition of subjects of the Clinical Trial Specific Dossiers, if it is not different from
what was already presented in the Development Plan; or it may be petitioned as a Substantial
DCDD Change (10818- CLINICAL TRIALS - DCDD Change - Inclusion of clinical trial protocol
not foreseen in the initial development plan) for cases where there is a change in the
Development Plan.
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The foregoing provisions do not apply to the Drug Development Plan (described in detail
in Section 6), where all trials planned for that experimental drug should be described, regardless
those are to be conducted in Brazil or not.
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3. DCDD documents
For the DCDD submission, Section II, Chapter III of the new Health Regulations for Clinical Trials
with Drugs should be followed. We recommend that all documentation be submitted in Portuguese,
especially the clinical protocol and the investigator's brochure, since it is established in RDC 50/2013 that
the evaluator of the technical area might issue pending requiring translation of the presented
documentation. Below is a description of some documents to facilitate the submission of the DCDD.
3.1 Drug Development Plan
The preparation of a Development Plan by the study sponsor enables the establishment of goals
and methodologies, making possible the identification of critical steps and challenges of the process as
well as planning the monitoring actions, based on established indicators. Information available on the
experimental drug shall support the proposed clinical indication, the target population and the types of
proposed clinical trials designs.
The Drug Development Plan should explain the required steps for clinical research of the
experimental drug. In short, the plan must show all rationale for drug development, forecasting all the steps
which have already been performed, that are in progress and are intended for the clinical research of the
drug. The Development Plan shall also indicate clinical trials that have been, are being or will be held
outside Brazil.
The agency recommends that a table or a schematic drawing is included, containing all clinical
trials planned for clinical development during a certain period of time as well as the progress of these trials
(completed, in progress or planned).
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The Development Plan should be initiated with a brief description of the experimental drug, informing the
AFI (Active Pharmaceutical Ingredient), category of the drug, therapeutic class (according to the ATCC -
Anatomical Therapeutic Chemical Code) and route of administration. The indication(s) must be technically
justified through the experimental drug mechanism of action, demonstrating that it is directly or indirectly
involved in the diagnostic or therapeutic effect. This topic should only include the indication(s) proposed in
the Development Plan.
The sponsor should also inform the general objectives listing all indications intended for the
experimental drug, even those which are not yet being investigated in the presented Development Plan. In
addition, the planned duration of the proposed clinical development must be informed.
Additionally, the sponsor should provide a brief description for all clinical trials included in the
Development Plan, providing information on the phase, design, outcomes, comparators, objectives, the
population to be studied, the hypothesis(es) to be tested, estimated number of participants and statistical
plan.
ANVISA recognizes that the Development Plan is not static and that it can be changed throughout
an experimental drug’s development.
In the Development Plan, results of clinical trials that have already been done do not need to be
presented. The results of clinical trials should be presented in the Investigator's Brochure.
If the experimental drug is already recorded in Brazil, only information pertaining to proposed post-
registration amendments must be submitted in the Development Plan.
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3.2 Investigator’s Brochure
The Investigator's Brochure (IB) is a document containing the compilation of the non-clinical and
clinical data of an experimental drug that are relevant to its study in humans. Its goal is to provide
researchers and others involved in the conduct of the clinical trial with information on the dose, dosing
regimen, methods of administration and safety monitoring procedures. The IB also provides support for the
monitoring of clinical trial participants during its conduction. In the meantime, information should be
presented in a concise, clear, simple and objective language to better guide researchers while conducting
the clinical trial.
This item in the manual aims to clarify the minimum information that should be included in an IB.
According to the development phase of the experimental drug and its category, the degree of detail of
information available may vary. If a drug already marketed is being investigated for a new indication or a
new population, the IB must contain information justifying and supporting this new condition.
The IB must contain a brief description of the experimental drug, its chemical characterization,
biological activity, and formulation, the characterization of pharmacological and toxicological effects of the
experimental drug in animals and humans, when applicable, safety and efficacy information in humans
obtained from clinical trials already carried out, as well as any critical information about the experimental
drug. The IB must present data that are already known, available results of non-clinical and clinical studies,
as well as ongoing studies and their preliminary data, if any.
The IB must specify the description of possible risks and adverse events related to the experimental
drug based on past experience, as well as precautions, safety warnings or special monitoring
requirements, including from other regulatory authorities, to be followed during development, to better
guide researchers who will lead the study.
3.3 Experimental Drug Dossier
Documents relating to items a, b, c, d, and f of the experimental drug dossier described in the
regulation will be addressed in a specific guide of technical evaluation of investigational products. Thus,
this item will only address subparagraphs g and h of
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Section II, Chapter III - Application Content and Format - of the new regulation.
The critical analysis of non-clinical studies must provide for the following aspects:
i. Support for the choice of the types of tests and animal models chosen, and discuss possible
methodological limitations of tests already carried out. Tests should support the clinical indication being
studied, route of administration and equivalent dose in humans.
ii. Discuss the findings in animal models with identification of target organs and possible
implications of these findings in humans. Demonstrate that the safety profile of the experimental drug,
based on the results of pharmacological and toxicological studies, is acceptable for clinical research.
iii. Evaluate the possible benefits and risks involved to support the conduct of the experimental
drug’s clinical development.
iv. Present information on sites where the studies were conducted, as well as where their records
are available for inspection, including a statement that each study was conducted in accordance with Good
Laboratory Practice or a justification for the absence of such statement.
The critical analysis of clinical studies already performed must provide for the following aspects:
i. Discuss the scientific quality of clinical trial data based on the level of evidence and grade of
recommendation of available evidence. Also, discuss the possible methodological limitations of clinical
trials already conducted and the procedures used for controlling systematic errors.
ii. Based on non-clinical testing data, present a discussion on the safety monitoring in clinical
development.
iii. Support the choice of safety and efficacy outcomes used in previous studies. These outcomes
should be aligned with the objectives and hypotheses.
iv. In case of post-registration changes, such as expansion of use, new therapeutic indication, new
pharmaceutical form, among others, explain the choice of the type of design, study population, dose
regimens and other relevant aspects related to the changes.
v. Risk management should be guided by results of previous studies as death or other serious
adverse events, type of sequelae due to these events, assessments and recommendations of the
Independent Safety Monitoring Committee,
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tolerability, toxicological findings, pharmacological safety (cardiovascular, respiratory, and nervous
systems), among others. In addition, recommendations from other agencies for the proposed study or the
experimental drug should be taken into consideration.
vi. Present the assessment of the balance between possible benefits and risks involved to support
the continued clinical development of the experimental drug.
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4. Issuance of Special Bulletin (SB) and Document for Importation of Investigational Product(s) Related to the Drug Clinical Development Dossier (DCDD)
According to the resolution, Special Bulletin (SB) is the authorizing document issued by ANVISA,
after DCDD analysis and approval, and can be used in import or export requests for a clinical trial. All
clinical trials authorized to be conducted in Brazil are described in the SB. Therefore, only clinical trials
listed in the SB can be initiated in Brazil, respecting all other ethical approvals.
The SB also contains the list of products to be imported for each clinical trial, as well as storage
conditions and shelf life. This information is provided by the applicant when completing the “Form for
clinical trial presentation”. If new clinical trials are included or excluded, if products to import are included
or excluded, or if storage conditions and shelf life are changed, an updated SB shall be issued.
Information relating to the inclusion of Clinical Trials not foreseen in the Development Plan must be
provided to ANVISA through the subjects: 10818- CLINICAL TRIALS - DCDD Modification - Clinical trial
protocol inclusion not foreseen in the initial development plan. In cases of inclusion of protocol(s) already
foreseen in the initial development plan, only the submission through the subject(s) listed in Section 2.2 of
this Manual will be required. As for exclusion of protocols, the information will be provided through the
subject: 10819 - CLINICAL TRIALS - DCDD Modification - Clinical Trial Protocol Exclusion. For changes in
the information about the products under investigation, such as storage conditions and shelf life, the
following subject should be petitioned - 10823 - CLINICAL TRIALS – Modification to Form for clinical trial
presentation.
For cases when there is no manifestation from ANVISA, according to the new Health Resolution for
Clinical Trials with drugs, a “document for importation of
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product(s) under investigation by the Drug Clinical Development Dossier (DCDD)” is sent, to allow import
of products needed to conduct the Clinical Trials. This document contains the same information of the SB
regarding Clinical Trials and products to be imported. Therefore, in cases of changes to this information,
the same criteria and subjects presented for amendments to the SB must be followed. After sending the
relevant documentation to allow changes by the applicant, an updated “document for importation of
product(s) under investigation by the Drug Clinical Development Dossier (DCDD)” will be issued.
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5. Secondary Petitions
Secondary petitions must be linked to their respective specific processes, i.e. secondary petitions
related to a DCDD shall be filed to the application process of the Drug Clinical Development Dossier
(DCDD). Some examples of DCDD petitions are: Subjects of DCDD Modification, Change to the DCDD
Petition Form, Safety Update Report for development of the experimental drug, DCDD Cancellation
Request, DCDD Cancellation due to Global Transfer of Responsibility by the Sponsor in charge,
Temporary Suspension of DCDD, Reactivation of Suspended DCDD.
Similarly, petitions related to Clinical Trial Dossiers should be linked to their respective clinical trial
processes. Examples of Clinical Trial Dossiers petitions are: Change to Form for clinical trial presentation,
Substantial Amendment to Clinical Protocol, Annual Report for Clinical Trial Protocol Monitoring, Clinical
Trial Protocol Cancellation Request, Clinical Trial Protocol Cancellation due to Global Transfer of
Responsibility, Temporary Suspension of Clinical Trial Protocol, Reactivation of Suspended Clinical Trial
Protocol.
The linking of secondary petitions to their corresponding processes is critical to their analysis and
traceability within ANVISA’s electronic systems.
Secondary petitions shall be filed electronically. For each item contained in the check-list of these
petitions, the applicant will need to attach at least one PDF file, with textual search enabled. It is possible
to attach up to five 750-Kb files.
For the continuity of the petitioning process, each attached file will need to be viewed. After
completion of the petitioning process, a transaction number will be generated. In cases of taxes collection,
no changes can be made to the submitted dossier after payment of the referred tax. Any subsequent
changes can be performed through the subject-specific codes.
6. Transitional Provisions
The application processes in clinical trials filed within ANVISA which predate the publication of the
new resolution and that are still awaiting technical analysis will be evaluated according to the resolutions in
effect at the time of their submission.
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In cases of petitions that are within the 90 (ninety) days scope described in the Transitional
Provisions of the Health Regulations for the conduct of clinical trials with drugs in Brazil, a SSB will be
issued for import purposes, according to the resolution in effect at the time of their submission.
This SSB will be needed to import requests as established in RDC 39/2008, that is, for these cases
a pre-shipment approval from the technical area (COPEC) and a post-shipment approval (location of
unloading) will be needed.
For processes falling outside the scope of 90 (ninety) days, it will be necessary to hold for approval
of the clinical trial by ANVISA, as provided in the Resolution current at the time of filing and the import
process will also occur as foreseen in RDC 39/2008.
The applicability for the processes assessment in accordance with current resolutions at the time of
filing also includes the analysis of other secondary petitions linked to them, such as: sites inclusion or
exclusion, change of principal investigator, change in the amount of products to be imported, among
others.
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7. References
Guidance for Industry E6 Good Clinical Practice: Consolidated Guidance