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FDA Provides Draft Guidance Prior to Implementing New Forms 3988 & 3989

What you need to know about the FDA’s proposed new PMR/PMC forms

The FDA has released guidance indicating that they will be encouraging the use of new forms FDA 3988 and FDA 3989 to improve the agency’s collection, identification, and use of information regarding PMRs (post marketing requirements) and PMCs (post marketing commitments). The guidance was introduced in October 2020; the implementation date is still to be determined. Once the guidance goes into effect, you should expect to complete and submit the new forms as part of your PMR/PMC-related submissions.  

What are PMRs and PMCs?

PMRs and PMCs are studies or clinical trials (concerning clinical safety, clinical efficacy, clinical pharmacology, or nonclinical toxicology) conducted by the applicant after FDA has approved a drug or biologic product for marketing or licensing. These studies or clinical trials can be either required by statute or regulation (in the case of PMRs) or agreed upon in writing by the FDA and the applicant as part of the application process (PMCs).

Why is the FDA Adding Forms to the PMR/PMC Submission Process?

Information submitted in the Annual Status Report (ASR) on PMRs and PMCs is reviewed for accuracy and used by the agency for monitoring, tracking, and oversight of PMRs and PMCs and for maintaining their internal databases and public web page. The use of the new forms should minimize manual data entry by FDA staff and thereby improve the speed and accuracy of the agency’s data collection.

Why two new forms?

Form 3988 is for submission with any PMR/PMC documentation you are sending except for Annual Status Reports. Form 3989 is to be submitted only with your ASRs. This two-form system – one for most submissions, another only sent with yearly required reports – echoes what the FDA already expects from companies who use form 356h for many electronic common technical document (eCTD) submissions but replace it with form 2252 exclusively for their NDA, ANDA, or BLA annual reports.

Do the new forms replace forms or documents we’re already submitting?

Form 3988 will be added to the PMR/PMC documentation you’re submitting. PMR- and PMC-related submission types that this form will accompany will include:

  • Draft protocol
  • Final Protocol
  • Interim Report
  • Final Report
  • General Correspondence
  • Pediatric Research Equity Act (PREA) PMR Deferral Extension Request
  • Response to Information Request
  • Request for Revised Milestones
  • Other

Correctly filling out Form 3988 will help the FDA to properly categorize your PMR/PMC submission.

Form 3989 will work a little differently in that the FDA asks you to use it to replace ASR information that would previously be included in a company-derived document in eCTD section 1.13.12 (“Status of Post marketing Commitments and Requirements.”) The FDA prefers you use this form instead of any custom document in that section.

It’s important to note that in both cases, the main form required for electronic submissions gateway (ESG) transmission – 356h for most submissions, 2252 for Annual Reports – must still be included along with the new forms 3988 and 3989. For ASR submissions, FDA recommends that any company filling out section 9.g (“Status Reports of Post marketing Study Commitments”) on their Form 2252 refer to the accompanying Form 3989.

Can you summarize the differences between the new forms?

Form FDA 3988Form FDA 3989
NameTransmittal of PMR/PMC Submissions for Drugs and BiologicsPMR/PMC Annual Status Report for Drugs and Biologics
Purpose & ContentProvide PMR/PMC-related information for all PMR/PMC submissions except the Annual Status Report (ASR)Replace content previously included in eCTD section 1.13.12 (“Status of Post marketing Study Commitments and Requirements”)
When to UseAccompany all PMR/PMC-related submissions except the Annual Status Report (ASR)Accompany the ASR
How to SubmitInclude in section 1.1 (Forms) of the eCTD sequence if possible or section 1.2 (Cover Letter) section of the eCTD if section 1.1 for Form 3988 is not yet supportedInclude in section 1.13.12 of the eCTD sequence, in place of any company-derived status update document. Form 2252 is still required with submission of annual report

Reach out to our team of regulatory and submissions experts if you have any questions about when, how, or why you should be using the new FDA forms 3988 and 3989.

About the author

Jeremy Grise
By: Jeremy Grise

Jeremy Grise has been publishing, reviewing, and troubleshooting pharmaceutical regulatory submissions since 2006, during which time he’s worked on thousands of NDA, ANDA, IND, and DMF sequences. He has experience working with multiple publishing tools including EZsubs, Insight Publisher, and GlobalSubmit, and is comfortable in multiple document management systems including Veeva, Documentum, and SharePoint. In all environments, he has extensive experience producing high-quality, compliant eCTD submissions on time, frequently handling multiple submissions simultaneously. He has a track record of overcoming technical challenges while still meeting submission deadlines. He is experienced both as a team leader and individual contributor.

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