MANUAL OF POLICIES AND PROCEDURES

CENTER FOR DRUG EVALUATION AND RESEARCH MAPP 5018.2

POLICY AND PROCEDURES

Office of Pharmaceutical Quality

NDA Classification Codes

Table of Contents

PURPOSE ..............................................................................1
BACKGROUND ...................................................................1
POLICY .................................................................................1
NDA Classification Codes ...................................................2
RESPONSIBILITIES ...........................................................7
REFERENCES ......................................................................9
DEFINITIONS ......................................................................9
EFFECTIVE DATE ............................................................10
CHANGE CONTROL TABLE..........................................10

PURPOSE

This MAPP describes the new drug application (NDA) classification code assigned by the Center
for Drug Evaluation and Research (CDER) to an NDA based on characteristics of the product in
the application. This code was previously referred to as “Chemistry Classification Code.”

BACKGROUND

• The NDA classification code provides a way of categorizing new drug applications. The
code evolved from both a management and a regulatory need to identify and group
product applications based on certain characteristics, including their relationships to
products already approved or marketed in the United States. Classifying applications
based on these characteristics contributes to the management of CDER’s workload,
promotes consistency across review divisions, enables retrospective analysis of trends,
and facilitates planning and policy development.

• The NDA classification codes are not determinative of classification for purposes of
exclusivity. These codes are not indicative of the extent of innovation or therapeutic
value that a particular drug represents.

POLICY

• FDA tentatively assigns an NDA classification code by the filing date for a new
application and reassesses the code at the time of approval. The reassessment will be
based upon relationships of the drug product being approved to products already

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approved or marketed in the United States at the time of approval. FDA may also
reassess the code after approval.

• FDA can tentatively determine a classification code for an investigational new drug
(IND) prior to submission of a marketing application. This can be useful particularly
with regard to whether or not the active ingredient in the IND may be considered to
contain a new molecular entity (NME). Any determination of the chemical type
during the IND stage is performed as part of review and may be revised when the
marketing application is submitted, or upon approval, or after approval.

• When two or more NDAs for the same active ingredient tentatively considered as an
NME are submitted by the same applicant and approved at the same time, the
classification is changed for all but one NDA. In this case, the decision as to which
NDA should be coded Type 1 may depend on factors other than timing. For example,
the NDA with the bulk of the efficacy data could be coded Type 1 and the other
NDA(s) reclassified, generally as Type 3 or Type 5. 1

• Generally, only one NDA classification code should be assigned, except that more
than one code may be assigned to combination products (see Type 4 and Type 5,
subsection 4).

NDA Classification Codes

Type 1 — New Molecular Entity

A Type 1 NDA is for a drug product that contains an NME. 2 An NME is an active
ingredient that contains no active moiety that has been previously approved by the
Agency in an application submitted under section 505 of the Act 3 or has been previously
marketed as a drug in the United States. A pure enantiomer or a racemic mixture is an
NME only when neither has been previously approved or marketed.

An NDA for a drug product containing an active moiety that has been marketed as a drug
in the United States, but never approved in an application submitted under section 505 of
the Act, would be considered Type 7, not Type 1.

An NDA for a drug-drug 4 combination product containing an active moiety that is an

NME in combination with another active moiety that had already been approved by the

1
Even though the NDA(s) may be reclassified in this circumstance, the Agency does not consider the active moieties to
be previously approved at the time of approval of these NDA(s). The reclassification is made only for administrative
purposes.
2
The terms New Molecular Entity (NME) and New Chemical Entity (NCE) are sometimes used interchangeably;
however, they are distinct. An NCE is defined in 21 CFR 314.108(a) as “a drug that contains no active moiety that has
been approved by the FDA in any other application submitted under 505(b) of the Act.” The term NME is not defined
in the statute or regulations. An NME is an active ingredient that contains no active moiety that has been previously
approved by the Agency in an application submitted under section 505 of the Act or has been previously marketed as a
drug in the United States.
3
This applies to applications approved or deemed approved from 1938 to the present.
4
For example, a drug-drug combination can include a fixed-combination drug product or a co-packaged drug product
with two or more active moieties.

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FDA would be classified as a new combination containing an NME (Type 1,4).

An active moiety in a radiopharmaceutical (or radioactive drug) which has not been
approved by the FDA or marketed in the United States is classified as an NME.

In addition, if a change in isotopic form (e.g., a change from 131I to 123I, 12C to 13C) results
in an active moiety that has never been approved by the FDA or marketed in the United
States, the active ingredient is classified as an NME.

Type 2 — New Active Ingredient

A Type 2 NDA is for a drug product that contains a new active ingredient, but not an
NME. A new active ingredient includes those products whose active moiety has been
previously approved or marketed in the United States, but whose particular ester, salt, or
noncovalent derivative of the unmodified parent molecule has not been approved by the
Agency or marketed in the United States, either alone, or as part of a combination
product. Similarly, if any ester, salt, or noncovalent derivative has been marketed first,
the unmodified parent molecule would also be considered a new active ingredient, but not
an NME. The indication for the drug product does not need to be the same as that of the
already marketed product containing the same active moiety.

If the active ingredient is a single enantiomer and a racemic mixture containing that
enantiomer has been previously approved by the FDA or marketed in the United States,
or if the active ingredient is a racemic mixture containing an enantiomer that has been
previously approved by the FDA or marketed in the United States, the NDA will be
classified as a Type 2.

Type 3 — New Dosage Form

A Type 3 NDA is for a new dosage form of an active ingredient that has been approved or
marketed in the United States by the same or another applicant but in a different dosage
form. (See the Orange Book, Appendix C; or the Electronic Orange Book, Uniform
Terms for examples of dosage forms.) The indication for the drug product does not need
to be the same as that of the already marketed drug product. Once a new dosage form has
been approved for an active ingredient, subsequent applications for the same dosage form
and active ingredient should be classified as Type 5.

Type 4 — New Combination

A Type 4 NDA is for a new drug-drug combination of two or more active ingredients.
An application for a new drug-drug combination product may have more than one
classification code if at least one component of the combination is an NME or a new
active ingredient. The new product may be a physical or chemical (e.g., covalent ester or
noncovalent derivative) combination of two or more active moieties.

A new physical combination may be two or more active ingredients combined into a
single dosage form, or two or more drug products packaged together with combined
labeling. When at least one of the active moieties is classified as an NME, the NDA is
classified as a Type 1,4 application. When none of the active moieties is an NME, but at

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least one is a new active ingredient, the NDA is classified as a Type 2,4 application.

An NDA for an active ingredient that is a chemical combination of two or more

previously approved or marketed active moieties that are linked by an ester bond is
classified as a Type 2,4 application if the active moieties have not been previously
marketed or approved as a physical combination. If the physical combination has been
previously marketed or approved, however, such a product would no longer be
considered a new combination and the NDA would thus be classified as a Type 2.

Type 5 — New Formulation or Other Differences (e.g., new indication, new

applicant, new manufacturer)

A Type 5 NDA is for a product, other than a new dosage form, that differs from a product
already approved or marketed in the United States because of one of the following:

1. The product involves changes in inactive ingredients that require either

bioequivalence studies or clinical studies for approval and is submitted as an
original NDA rather than as a supplement by the applicant of the approved
product.

2. The product is a duplicate of a drug product by another applicant (same

active ingredient, same dosage form, same or different indication, or same
combination), and

(a) requires bioequivalence testing (including bioequivalence studies

with clinical endpoints), but is not eligible for submission as a section
505(j) application; or

(b) requires safety or effectiveness testing because of novel inactive

ingredients; or

(c) requires full safety or effectiveness testing because it is:

(i) subject to exclusivity held by another applicant, or

(ii) a product of biotechnology and its safety and/or effectiveness

are not assessable through bioequivalence testing, or

(iii) a crude natural product, or

(iv) ineligible for submission under section 505(j) because it

differs in bioavailability (e.g., products with different release
patterns); or

(d) the applicant has a right of reference to the application.

3. The product contains an active ingredient or active moiety that has been
previously approved or marketed in the United States only as part of a
combination. This applies to active ingredients previously approved or
marketed as part of a physical or chemical combination, or as part of a

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mixture derived from recombinant DNA technology or natural sources.

4. The product is a combination product that differs from a previously marketed

combination by the removal of one or more active ingredients or by
substitution of a new ester or salt or other noncovalent derivative of an active
ingredient for one or more of the active ingredients. In the latter case, the
NDA would be classified as a Type 2,5.

5. The product contains a different strength of one or more active ingredients in

a previously approved or marketed combination. A Type 5 NDA would
generally be submitted by an applicant other than the holder of the approved
application for the approved product. A similar change in an approved
product by the applicant of the approved product would usually be submitted
as a supplemental application.

6. The product differs in bioavailability (e.g., superbioavailable or different

controlled-release pattern) and, therefore, is ineligible for submission as an
abbreviated new drug application (ANDA) under section 505(j).

7. The product involves a new plastic container that requires safety studies
beyond limited confirmatory testing (see 21 CFR 310.509, Parenteral drug
products in plastic containers, and MAPP 6020.2, Applications for
Parenteral Products in Plastic Immediate Containers).

Type 6 — New Indication or Claim, Same Applicant

This NDA classification code is no longer used and is replaced with Type 9 and Type 10.
This classification is retained in the MAPP for historical reasons.

A Type 6 NDA was used for an NDA received prior to July 27, 2009, 5 for a drug product
that duplicates a drug product already approved or marketed in the United States by the
same applicant, except that it is intended for a new indication or claim (same active
moiety or combination of active moieties, same salt(s), ester(s), or other noncovalent
derivative(s), same dosage form, and same formulation (including all ingredients used in
the manufacturing process whether or not they are present in the final dosage form)).

Type 7 — Previously Marketed But Without an Approved NDA

A Type 7 NDA is for a drug product that contains an active moiety that has not been
previously approved in an application, but has been marketed in the United States. This
classification applies only to the first NDA approved for a drug product containing this
(these) active moiety(ies).

Type 7 NDAs include, but are not limited to:

(1) The first post-1962 application for an active moiety marketed prior to 1938.

5
July 27, 2009 is the date of implementation of the Document Archiving, Reporting and Regulatory Tracking System
(DARRTS), which made Type 6 obsolete.

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(2) The first application for an active moiety first marketed between 1938 and 1962 that
is identical, related or similar (IRS) 6 to a drug covered by a Drug Efficacy Study
Implementation (DESI) notice.

(3) The first application for an IRS drug product first marketed after 1962.

(4) The first application for an active moiety that was first marketed without an NDA
after 1962.

Type 8 — Rx to OTC

A Type 8 NDA is for a drug product intended for over-the-counter (OTC) marketing that
contains an active ingredient that has been approved previously or marketed in the United
States only for dispensing by prescription (OTC switch). A Type 8 NDA may provide for
a different dosing regimen, different strength, different dosage form, or different
indication from the product approved previously for prescription sale.

If the proposed OTC switch will apply to all indications, uses, and strengths of an
approved prescription dosage form (leaving no prescription-only products of that
particular dosage form on the market), the application holder should submit the change as
a supplement to the approved application. If the applicant intends to switch only some
indications, uses, or strengths of the dosage form to OTC status (while continuing to
market other indications, uses, or strengths of the dosage form for prescription-only sale),
the applicant should submit a new NDA for the OTC products, which would be classified
as Type 8.

Type 9 — New Indication or Claim, Drug Not to be Marketed Under Type 9 NDA
After Approval

A Type 9 NDA is for a new indication or claim for a drug product that is currently being
reviewed under a different NDA (the ‟parent NDA”), and the applicant does not intend to
market this drug product under the Type 9 NDA after approval. Generally, a Type 9
NDA is submitted as a separate NDA so as to be in compliance with the guidance for
industry on Submitting Separate Marketing Applications and Clinical Data for Purposes
of Assessing User Fees.

Note: When the Type 9 NDA is submitted, it will be given the same NDA classification
as the pending NDA. When one application is approved, the other will be reclassified as
Type 9 regardless of whether it was the first or second NDA actually submitted. After the
approval of a Type 9 NDA, FDA will ‟administratively close” the Type 9 NDA and
thereafter only accept submissions to the “parent” NDA.

Type 10 — New Indication or Claim, Drug to be Marketed Under Type 10 NDA

After Approval
6
FDA’s regulation at 21 CFR 310.6(b)(1) states that: “An identical, related, or similar drug includes other brands,
potencies, dosage forms, salts, and esters of the same drug moiety as well as any of drug moiety related in chemical
structure or known pharmacological properties.”

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A Type 10 NDA is for a drug product that is a duplicate of a drug product that is the
subject of either a pending or approved NDA, and the applicant intends to market the
drug product under this separate Type 10 NDA after approval. A Type 10 NDA is
normally for a drug product that has a new indication or claim, and it may have labeling
and/or a proprietary name that is distinct from that of the original NDA.

Note: When the Type 10 NDA is submitted, it will be given the same NDA classification
as the original NDA unless that NDA is already approved. When one application is
approved, the other will be reclassified as Type 10 regardless of whether it was the first or
second NDA actually submitted.

Medical Gas — A Designated Medical Gas Certification Request Submitted Under

Section 576 of the FD&C Act

A designated medical gas certification request is a request submitted under Section 576
of the Federal Food, Drug, and Cosmetic Act (FD&C Act) to certify a medical gas as a
designated medical gas.7 The requests for Designated Medical Gas Certification for Use
in Humans will result in assignment of an NDA number and will have the effect of an
approved NDA unless denied within 60 days of filing.

RESPONSIBILITIES

Office of New Drugs (OND) Review Division Project Management Staff will:

• Request a determination of NDA classification codes for new and proposed NDAs from
the appropriate Quality Assessment Team.

• Prior to approval of the NDA, request confirmation from the Quality Assessment Team
that the NDA classification is still correct.

Quality Assessment Team will:

• Determine the NDA classification codes for new or proposed NDAs, and file a written
determination to the administrative record of the IND and/or NDA.

• Prior to approval of the NDA, reassess the NDA classification and document the final
classification in the administrative record for the NDA.

Office of Pharmaceutical Quality (OPQ) Regulatory Business Process Manager will:

• Update the administrative record with the current NDA classification code by the filing
date.

7
See FDA guidance for industry on Certification Process for Designated Medical Gases.

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• At the time of approval, verify the classification code with the Quality Assessment Team,
and update, as necessary.

POINTS TO CONSIDER

ESTERS

FDA’s regulations at 21 CFR 314.108(a) define the term “active moiety” to mean “the molecule
or ion, excluding those appended portions of the molecule that cause the drug to be an ester, salt
(including a salt with hydrogen or coordination bonds), or other noncovalent derivative (such as a
complex, chelate, or clathrate) of the molecule, responsible for the physiological or
pharmacological action of the drug substance.” Esters are, thus, the only molecules containing
only covalent bonds for which the active moiety is not the entire molecule. Esters are comprised
of an alcohol and an acid fragment, and because either or both of the fragments may be
“responsible for the physiological or pharmacological action of the drug substance,” either or
both may be considered an “active moiety.” Whether the ester is stable in vivo, i.e., not
metabolized to its constituent alcohol and acid fragments, is not a consideration in the “active
moiety” determination. For example, the Agency determined that for purposes of NCE
exclusivity, fluticasone furoate contained a previously approved “active moiety,” fluticasone,
despite the fact that there is no evidence of in vivo cleavage of the ester.8

METAL-CONTAINING SUBSTANCES

In the case of drugs containing metals, other than salts, the active moiety may be a coordination
complex or chelate of the metal (e.g., gadobutrol), rather than the metal ion itself. This is the case
when the complex or chelate has at least one metal-ligand bond that can be considered to be a
covalent bond.

To determine whether a metal-ligand bond is covalent, the Agency applies a “weight-of-

evidence” test for covalency based on a consideration of data based on factors, such as:

• Evidence of bond energies, and inter-atomic distances consistent with covalent bonds;
• Evidence of existence as independent entity (e.g., elutes in a single chromatographic
peak);
• A substantially large equilibrium constant for dissociation of the complex in water (e.g.,
on the order of 1020 for gadolinium contrast agents 9);
• Observed geometry predicted by theory; and
• A well-defined stoichiometry.

8
NDA 22-051: Clinical Pharmacology Biopharmaceutics Review, p. 10,
http://www.accessdata.fda.gov/drugsatfda_docs/nda/2007/022051s000_ClinPharmR.pdf; Pharmacology Review, p. 26
http://www.accessdata.fda.gov/drugsatfda_docs/nda/2007/022051s000_PharmR.pdf.
9
Caravan P, Ellison JJ, McMurry TJ, & Lauffer RB, 1999, Gadolinium (III) chelates as MRI contrast agents: structure,
dynamics, and applications, Chemical Reviews, 99(9):2293-2352.

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REFERENCES

1. IUPAC [International Union of Pure and Applied Chemistry] Compendium of Chemical

Terminology -- the Gold Book, http://goldbook.iupac.org/.

2. Orange Book: Approved Drug Products With Therapeutic Equivalence Evaluations,

published by the FDA, http://www.accessdata.fda.gov/scripts/cder/ob/default.cfm.

DEFINITIONS

• Act: the Federal Food, Drug, and Cosmetic Act.

• Active Ingredient: A component of the drug product that is intended to furnish

pharmacological activity or other direct effect in the diagnosis, cure, mitigation,
treatment, or prevention of disease, or to affect the structure or any function of the body
of man or other animals. The component can be a single chemical substance that
includes the appended portions of the molecule that make it a particular salt or other
noncovalent derivative or ester. The component can also be a naturally-derived mixture.

• Active Moiety: The molecule or ion, excluding those appended portions of the molecule
that cause the drug to be an ester, salt (including a salt with hydrogen or coordination
bonds), or other noncovalent derivative (such as a complex, chelate, or clathrate) of the
molecule, responsible for the physiological or pharmacological action of the drug
substance (21 CFR 314.108(a)).

• Dosage Form: The physical manifestation containing the active and inactive
ingredients that delivers a dose of the drug product. This includes such factors as:
(1) the physical appearance of the drug product, (2) the physical form of the drug
product prior to dispensing to the patient, (3) the way the product is administered,
and (4) the design features that affect frequency of dosing.

• NDA Classification Code: Codes that describe FDA’s assessment of the relationship of
the drug product in the application to its active moieties and to drug products already
marketed or approved in the United States. NDA classification codes are usually
mutually exclusive. However, a new combination (4) can contain a new molecular entity
(1) or new salt (2). In such a case, the classification can be Type 1,4; 2,4; or other coding.

• New Chemical Entity (NCE): As defined under 21 CFR 314.108(a), a drug that
contains no active moiety that has been approved by FDA in any other application
submitted under section 505(b) of the Act.

• New Molecular Entity (NME): An active ingredient that contains no active moiety that
has been previously approved by the Agency in an application submitted under section
505 of the Act or has been previously marketed as a drug in the United States.

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EFFECTIVE DATE

This MAPP is effective upon date of publication.

CHANGE CONTROL TABLE

Effective Revision Revisions

Date Number

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