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Code of Federal Regulations (21 CFR 312.23) clearly defines content and format for INDs. In addtion, FDA maintains guidance documents on the format and content of these applications to assist applicants in their preparation. The major outline of content and format for INDs is listed below:

  1. Cover sheet (Form FDA-1571)
  2. A table of contents
  3. Introductory statement and general investigational plan (including the broad objectives and planned duration of the proposed clinical investigation)
  4. [Reserved]
  5. Investigator's brochure (drug substance and the formulation, pharmacological and toxicological effects, pharmacokinetics and biological disposition, information relating to safety and effectiveness, and possible risks and side effects)
  6. Protocols (in general, protocols for Phase 1 studies may be less detailed and more flexible than protocols for Phase 2 and 3 studies)
  7. Chemistry, manufacturing, and control (CMC) information (including the composition, manufacture, and control of the drug substance and the drug product)
  8. Pharmacology and toxicology information (pharmacological and toxicological studies of the drug involving laboratory animals or in vitro, on the basis of which the sponsor has concluded that it is reasonably safe to conduct the proposed clinical investigations)
  9. Previous human experience with the investigational drug (summary of previous human experience known to the applicant, either in the United States or other countries)
  10. Additional information (e.g. Pediatric study plans for assessing pediatric safety and effectiveness)

eCTD (Module 1 Administrative Information)

Sections 1.1 to 1.9

1.1 Forms
Form [form-type]
1.2 Cover letters
1.3 Administrative information
1.3.1 Contact/sponsor/applicant information Change of address or corporate name Change in contact/agent Change in sponsor Transfer of obligation Change in ownership of an application or reissuance of license
1.3.2 Field copy certification
1.3.3 Debarment certification
1.3.4 Financial certification and disclosure
1.3.5 Patent and exclusivity Patent information Patent certification Exclusivity claim
1.3.6 Tropical disease priority review voucher
1.4 References
1.4.1 Letter of authorization
1.4.2 Statement of right of reference
1.4.3 List of authorized persons to incorporate by reference
1.4.4 Cross-reference to previously submitted information
1.5 Application status
1.5.1 Withdrawal of an IND
1.5.2 Inactivation request
1.5.3 Reactivation request
1.5.4 Reinstatement request
1.5.5 Withdrawal of an unapproved BLA, NDA, ANDA, or Supplement
1.5 6 Withdrawal of listed drug
1.5.7 Withdrawal of approval of an application or revocation of license
1.6 Meetings
1.6.1 Meeting request
1.6.2 Meeting background materials
1.6.3 Correspondence regarding meetings
1.7 Fast track
1.7.1 Fast track designation request
1.7.2 Fast track designation withdrawal request
1.7.3 Rolling review request
1.7.4 Correspondence regarding fast track/rolling review
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1.8 Special protocol assessment request
1.8.1 Clinical study
1.8.2 Carcinogenicity study
1.8.3 Stability study
1.8.4 Animal efficacy study for approval under the animal rule
1.9 Pediatric administrative information
1.9.1 Request for waiver of pediatric studies
1.9.2 Request for deferral of pediatric studies
1.9.3 Request for pediatric exclusivity determination
1.9.4 Proposed pediatric study request and amendments
1.9.5 Proposal for written agreement (no longer applicable)
1.9.6 Other correspondence regarding pediatric exclusivity or study plans

Sections 1.10 to 1.13

1.10 Dispute resolution
1.10.1 Request for dispute resolution
1.10.2 Correspondence related to dispute resolution
1.11 Information amendment: Information not covered under modules 2 to 5
1.11.1 Quality information amendment
1.11.2 Nonclinical information amendment
1.11.3 Clinical information amendment
1.11.4 Multiple module information amendment
1.12 Other correspondence
1.12.1 Pre IND correspondence
1.12.2 Request to charge for clinical trial
1.12.3 Request to charge for expanded access
1.12.4 Request for comments and advice
1.12.5 Request for a waiver
1.12.6 Exception from informed consent for emergency research
1.12.7 Public disclosure statement for exception from informed consent for emergency research
1.12.8 Correspondence regarding exception from informed consent for emergency research
1.12.9 Notification of discontinuation of clinical trial
1.12.10 Generic drug enforcement act statement
1.12.11 ANDA basis for submission statement
1.12.12 Comparison of generic drug and reference listed drug
1.12.13 Request for waiver for in vivo studies
1.12.14 Environmental analysis
1.12.15 Request for waiver of in vivo bioavailability studies
1.12.16 Field alert reports
1.12.17 Orphan drug designation
1.13 Annual report
1.13.1 Summary for nonclinical studies
1.13.2 Summary of clinical pharmacology information
1.13.3 Summary of safety information
1.13.4 Summary of labeling changes
1.13.5 Summary of manufacturing changes
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1.13.6 Summary of microbiological changes
1.13.7 Summary of other significant new information
1.13.8 Individual study information
1.13.9 General investigational plan
1.13.10 Foreign marketing
1.13.11 Distribution data
1.13.12 Status of postmarketing study commitments and requirements
1.13.13 Status of other postmarketing studies and requirements
1.13.14 Log of outstanding regulatory business
1.13.15 Development safety update report (DSUR)

Sections 1.14 to 1.15

1.14 Labeling
1.14.1 Draft labeling Draft carton and container labels Annotated draft labeling text Draft labeling text Label comprehension studies Labeling history
1.14.2 Final labeling Final carton or container labels Final package insert (package inserts, patient information, medication guides) Final labeling text
1.14.3 Listed drug labeling Annotated comparison with listed drug Approved labeling text for listed drug Labeling text for reference listed drug
1.14.4 Investigational drug labeling Investigational brochure Investigational drug labeling
1.14.5 Foreign labeling
1.14.6 Product labeling for 2253 submissions
1.15 Promotional material [promotional-material-audience-type]
1.15.1 Correspondence relating to promotional materials Request for advisory comments on launch materials Request for advisory comments on non-launch materials Presubmission of launch promotional materials for accelerated approval products Presubmission of non-launch promotional materials for accelerated approval products Pre-dissemination review of television ads Response to untitled letter or warning letter Response to information request Correspondence accompanying materials previously missing or rejected Withdrawal request
Version 2.3.3 4 Submission of annotated references General correspondence
1.15.2 Materials attribute = [promotional-material-doc-type] Material [promotional-material-type, material-id, issue- date] version Annotated version Annotated labeling version Annotated references

Sections 1.16 to 1.20

1.16 Risk management plan
1.16.1 Risk Management (Non-REMS)
1.16.2 Risk Evaluation and Mitigation Strategy (REMS) Final REMS Draft REMS REMS Assessment REMS Assessment Methodology REMS Correspondence REMS Modification History
1.17 Postmarketing studies
1.17.1 Correspondence regarding postmarketing commitments
1.17.2 Correspondence regarding postmarketing requirements
1.18 Proprietary names
1.19 Pre-EUA and EUA
1.20 General investigational plan for initial IND

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