The Applicant Guide: New active substance applications under Regulation (EC) No1107/2009 optional 'phased submission' process

This is a national procedure for applicants wishing to apply for first approval of a new active substance under Regulation (EC) 1107/2009. It provides an opportunity for pre-application evaluation of studies with the aim of improving the efficiency of the regulatory process. Use of the procedure is optional and proposals are subject to agreement by CRD.

Overview and objectives

CRD recognises that when companies are compiling regulatory dossiers for new active substances a significant proportion of the studies may be available well in advance of the anticipated application date. Longer term and higher-tier studies, together with the need to compile risk assessments, are generally the rate-limiting steps that dictate the formal application date. CRD is therefore willing to consider the submission of a set or group of studies for evaluation prior to the submission of the formal application for approval being made under Regulation (EC) No 1107/2009. The result of this pre-application submission would be limited to hazard evaluation and endpoint determination for the submitted studies and would not, given the absence of a complete dossier, involve risk assessment.

CRD's objectives in introducing this phased submission approach are to:

It is considered that use of the procedure will reduce the number of post-application technical questions and requests for revision. It also has the potential to reduce the time from formal application to production of the draft assessment report (DAR) although this is not a guaranteed outcome.


It is envisaged that a prospective applicant would identify an active substance as a candidate for this phased submission process. In the first instance they should contact HSE setting out their proposal: Link to Contact Details Page.

The proposal should:

As the phased submission process is a national measure, the decision on whether or not any given proposal is acceptable will rest with CRD. In making that decision CRD will take into account:

Assuming the proposal is acceptable it is likely that a meeting would be necessary to consider the detail of the submission and timelines for the project. For the pre-application submission it is considered that the framework of the OECD dossier format would also be used and the studies should be accompanied, in principle, by document M study summaries, a reference list and an endpoint list completed as far as possible given the partial nature of the submission.


The fee for the pre-application submission would be based on CRD's partial dossier fee structure. The fee would be determined and charged immediately after receipt. The formal application would also be charged on this basis, however, an additional 'completeness check' fee would also be payable. Prospective applicants should note that it is likely that the total fee, for the pre-application evaluation followed by the subsequent evaluation of the complete dossier supporting the formal application, is likely be greater than the current fee for the evaluation of a core dossier given the greater co-ordination resource required.


Updated 2021-08-09->->->