Step-by-Step Instructions for Creating SPL Files For Electronic Drug Establishment 

Registration and Drug Listing v2.0 

Step-by-Step Instructions for Creating Structured Product Labeling (SPL) Files for 

Drug Establishment Registration and Drug Listing 

1 Preface......................................................................................................................... 1 

2 NDC Labeler Code Request Using XForms............................................................... 2 

2.1 Type of Document .............................................................................................. 2 

2.2 Document information........................................................................................ 2 

2.3 Labeler ................................................................................................................ 3 

2.4 Labeler Contact................................................................................................... 3 

2.5 Examples............................................................................................................. 4 

3 Establishment Registration Using XForms................................................................. 5 

3.1 Type of Document .............................................................................................. 5 

3.2 Document information........................................................................................ 5 

3.3 Registrant............................................................................................................ 6 

3.4 Registrant Contact............................................................................................... 6 

3.5 Establishment...................................................................................................... 7 

3.6 Establishment Contact ........................................................................................ 8 

3.7 US Agent (Applicable only to establishments located outside the US).............. 9 

3.8 Importer (Applicable only to establishments located outside the US) ............... 9 

3.9 Examples........................................................................................................... 10 

4 Drug Listing Using XForms ..................................................................................... 11 

4.1 Type of Document ............................................................................................ 11 

4.2 Document information...................................................................................... 11 

4.3 Labeler .............................................................................................................. 12 

4.4 Registrant.......................................................................................................... 12 

4.5 Establishment.................................................................................................... 13 

4.6 Drug listing data elements one part .................................................................. 13 

4.7 Content of labeling............................................................................................ 18 

4.8 Examples........................................................................................................... 19 

5 Sending in SPL files.................................................................................................. 22 

6 Technical assistance.................................................................................................. 22 

1 Preface 

This document provides step by step instructions for creating Structured Product 

Labeling (SPL) file using drug establishment registration and drug listing XForms. 

There are three XForms available for creating test SPL files; NDC Labeler Code request, 

Establishment registration and Drug Listing. The three XForms were developed by 

GlobalSubmit in collaboration with FDA. The XForms are available at no cost from the 

GlobalSubmit website at www.globalsubmit.com/xportal. From the GlobalSubmit 

website, the individual XForms may be downloaded for use on a local computer or the 

SPL files may created directly on the GlobalSubmit web site. 

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Step-by-Step Instructions for Creating SPL Files For Electronic Drug Establishment 

Registration and Drug Listing v2.0 

XForms are one way of creating an SPL file with drug registration and listing 

information. Because FDA has been accepting SPL files for product information since 

2004, a number of solutions for creating SPL are available from individual vendors. 

2 NDC Labeler Code Request Using XForms 

The NDC Labeler Code request XForms is used to create an SPL file with information 

related to requesting a NDC Labeler Code. The following are instructions on filling out 

the relevant fields. 

2.1 Type of Document 

• Select “NDC Labeler Code request”. 

2.2 Document information 

The document information is used for tracking the SPL files and includes the id root, 

setId root, version number and effective time. 

2.2.1 Id Root 

The id root uniquely identifies a specific SPL file. Each new version of an SPL file has a 

new id root. The id root is a Globally Unique Identifier (GUID). A GUID is a string of 

numbers and lower case letters generated using a specifically defined mathematical 

algorithm to ensure a very low probability of identical GUID used in the same system. 

The XForms downloaded from the GlobalSubmit website includes the GlobalSubmit 

GUID Generator which can be used for generating a GUID. The GlobalSubmit GUID 

Generator is one of many software tools available for generating a GUID. 

• To fill in this field, generate a GUID using the GlobalSubmit UUID Generator. 

• Copy the generated identifier and paste it into the id root field. 

2.2.2 Set ID Root 

The setId root uniquely identifies a group of versions of an SPL file. When an SPL file 

changes a new id root is assigned to the new SPL file but the setId root in the original 

SPL file is used. Like the id root, the setId root is a GUID. 

• To fill in this field, generate a GUID using the GlobalSubmit UUID Generator. 

• Copy the generated identifier and paste it into the setId root field. 

2.2.3 Version number 

The version number provides an order for different versions of an SPL file. The version 

number is a whole number greater than zero. The version number is increased with each 

change. 

• Enter a number in the version number field. 

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Step-by-Step Instructions for Creating SPL Files For Electronic Drug Establishment 

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2.2.4 Effective Time 

The effective time provides a date reference to the SPL version. The date includes the 

year, month and day using the format yyyymmdd. 

• Enter the date for the SPL file. 

 

2.3 Labeler 

The labeler is the registrant or private label distributor requesting the NDC Labeler Code. 

The information includes the labeler name and DUNS Number.1

2.3.1 Name 

• Enter the headquarters business name of the registrant or private label distributor. 

2.3.2 DUNS Number 

Each business location (e.g., headquarters, branch, subsidiary, establishment, importer, 

US agent) has its own unique site specific DUNS Number. 

• Enter the DUNS Number without hyphens for the company headquarters. 

2.3.3 NDC Labeler Code 

• Enter the 4 or 5 digit number assigned by FDA as the NDC Labeler Code. 

2.4 Labeler Contact 

The contact is the person FDA contacts regarding the NDC Labeler Code request. The 

contact information includes the name, address, contact telephone numbers and email 

address. 

2.4.1 Name 

• Enter the name of the contact person 

2.4.2 Mailing address 

• Enter the street and number of the mailing address for the contact person 

2.4.3 City 

• Enter the city for the mailing address for the contact person 

2.4.4 State 

• Enter the state for the mailing address for the contact person. If there is no state, 

as with certain addresses outside the United States, leave the field empty. 

2.4.5 Country 

• Enter the three character country code using the ISO 3166-1 standard for the 

mailing address for the contact person. 

 

1

 D-U-N-S® Number is from Dun and Bradstreet 

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Step-by-Step Instructions for Creating SPL Files For Electronic Drug Establishment 

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2.4.6 Postal code 

• Enter the postal code for the mailing address for the contact person. If there is no 

postal code, as with certain addresses outside the United States, leave the field 

empty. 

2.4.7 Telephone number 

Telephone numbers are global telephone numbers using the Uniform Resource Identifier 

(URI) for Telephone Numbers RFC 3966 (no letters; begin with “+”; include hyphens to 

separate the country code, area codes and subscriber number; extensions are separated by 

“;ext=”). 

• Enter the contact telephone number for the contact person. 

2.4.8 Email Address 

• Enter the email address for the contact person. 

2.5 Examples 

2.5.1 Requesting a new NDC Labeler Code 

Fill out the NDC Labeler Code request as described in sections 2.1 through 2.4 leaving 

the NDC Labeler Code field empty. 

Requests for NDC Labeler Codes are individually evaluated prior to entry into the NDC 

System. The initial request will be automatically stopped because there is no NDC 

Labeler Code provided and is diverted to a FDA reviewer. Once the evaluation is 

completed, the response to the request is directed to the designated contact person. 

Once the NDC Labeler Code is assigned, open the original SPL file and add the newly 

assigned NDC Labeler Code and resubmit the corrected file. 

2.5.2 Initial electronic submission when NDC Labeler 

Code already assigned 

Fill out the NDC Labeler Code request as described in sections 2.1 through 2.4. Only one 

NDC Labeler Code is included in an SPL file. In other words, use a different setId root 

for each NDC Labeler Code request. 

 

2.5.3 Correct SPL file validation error 

If an SPL file cannot be processed because of a validation error, a report on the validation 

error is sent from FDA to the contact person.2 Open the SPL file and correct the errors. 

 

2

 This report may be sent through the FDA Gateway, however, depending on the errors, the contact person 

may be contacted by phone or email. 

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Step-by-Step Instructions for Creating SPL Files For Electronic Drug Establishment 

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2.5.4 Correct a mistake in an SPL file just submitted 

Open the SPL file, correct the mistake, and fill in a new id root and new version 

number with the original setId root and the appropriate effective time. 

2.5.5 Update the NDC Labeler Code information 

Open the previous SPL file and fill in the new information without changing the other 

existing information. Fill in a new id root and new version number with the original 

setId root and the appropriate effective time. 

2.5.6 Requesting a second NDC Labeler Code 

Only one NDC Labeler Code is associated with each NDC Labeler Code request. If a 

second NDC Labeler Code is requested, fill out a separate SPL file with a different setId 

root. The labeler information and contact information is the same as the SPL file for the 

first NDC Labeler Code request. 

3 Establishment Registration Using XForms 

The Establishment registration XForms is used to create an SPL file for establishment 

registration. A registrant includes all of their establishments in one Establishment 

registration SPL file. Each establishment is in only one Establishment registration SPL 

file. The following are instructions on filling out the relevant fields. 

3.1 Type of Document 

• Select “Establishment registration”. 

3.2 Document information 

The document information is used for tracking the SPL files and includes the id root, 

setId root, version number and effective time. 

3.2.1 Id Root 

The id root uniquely identifies a specific SPL file. Each new version of an SPL file has a 

new id root. 

• To fill in this field, generate a GUID using the GlobalSubmit UUID Generator. 

• Copy the generated identifier and paste it into the id root field. 

3.2.2 Set ID Root 

The setId root uniquely identifies a group of versions of an SPL file. When an SPL file 

changes a new id root is assigned to the new SPL file but the setId root in the original 

SPL file is used. Like the id root, the setId root is a GUID. 

• To fill in this field, generate a GUID using the GlobalSubmit UUID Generator. 

• Copy the generated identifier and paste it into the setId root field. 

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Step-by-Step Instructions for Creating SPL Files For Electronic Drug Establishment 

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3.2.3 Version number 

The version number provides an order for different versions of an SPL file. The version 

number is a whole number greater than zero. The version number is increased with each 

change. 

• Enter a number in the version number field. 

3.2.4 Effective Time 

The effective time provides a date reference to the SPL version. The date includes the 

year, month and day using the format yyyymmdd. 

• Enter the date for the SPL file. 

3.3 Registrant 

The registrant is the owner or operator of the establishment registering the 

establishments. The information includes the registrant name and DUNS Number. 

3.3.1 Name 

• Enter the headquarters business name of the registrant registering the 

establishments. 

3.3.2 DUNS Number 

Each business location (e.g., headquarters, branch, subsidiary, establishment, importer, 

US agent) has its own unique site specific DUNS Number. 

• Enter the DUNS Number without hyphens for the company headquarters. 

3.4 Registrant Contact 

The contact is the person FDA contacts regarding the establishment registration 

information. The contact information includes the name, address, contact telephone 

numbers and email address. 

3.4.1 Name 

• Enter the name of the contact person 

3.4.2 Mailing address 

• Enter the street and number of the mailing address for the contact person 

3.4.3 City 

• Enter the city for the mailing address for the contact person 

3.4.4 State 

• Enter the state for the mailing address for the contact person. If there is no state, 

as with certain addresses outside the United States, leave the field empty. 

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Step-by-Step Instructions for Creating SPL Files For Electronic Drug Establishment 

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3.4.5 Country 

• Enter the three character country code using the ISO 3166-1 standard for the 

mailing address for the contact person. 

3.4.6 Postal code 

• Enter the postal code for the mailing address for the contact person. If there is no 

postal code, as with certain addresses outside the United States, leave the field 

empty. 

3.4.7 Telephone number 

Telephone numbers are global telephone numbers using the Uniform Resource Identifier 

(URI) for Telephone Numbers RFC 3966 (no letters; begin with “+”; include hyphens to 

separate the country code, area codes and subscriber number; extensions are separated by 

“;ext=”). 

• Enter the contact telephone number for the contact person. 

3.4.8 Email Address 

• Enter the email address for the contact person. 

3.5 Establishment 

Establishment information includes the establishment name, DUNS Number, FDA 

Establishment Identifier (FEI), type of operation, contact information, US agent 

information and importation information. 

3.5.1 Name 

• Enter the name of the establishment. 

3.5.2 DUNS Number 

Each business location (e.g., headquarters, branch, subsidiary, establishment, importer, 

US agent) has its own unique site specific DUNS Number. 

• Enter the DUNS Number without hyphens for the establishment. 

3.5.3 FEI 

FDA assigns an establishment identifier after the initial registration for tracking 

inspections. 

• Enter the FEI number for the establishment. If not known, leave the field blank. 

3.5.4 Physical address 

• Enter the street and number of the physical address of the establishment 

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Step-by-Step Instructions for Creating SPL Files For Electronic Drug Establishment 

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3.5.5 City 

• Enter the city of the physical address of the establishment 

3.5.6 State 

• Enter the state of the physical address of the establishment. If there is no state, as 

with certain addresses outside the United States, leave the field empty. 

3.5.7 Country 

• Enter the three character country code using the ISO 3166-1 standard of the 

physical address of the establishment. 

3.5.8 Postal code 

• Enter the postal code of the physical address of the establishment. If there is no 

postal code, as with certain addresses outside the United States, leave the field 

empty. 

3.5.9 Type of operations 

• Enter the one or more drug manufacturing and processing operations performed at 

the establishment. 

3.6 Establishment Contact 

The contact is the person FDA contacts regarding the establishment. The contact 

information includes the name, address, contact telephone numbers and email address. 

3.6.1 Name 

• Enter the name of the contact person 

3.6.2 Mailing address 

• Enter the street and number of the mailing address for the contact person 

3.6.3 City 

• Enter the city for the mailing address for the contact person 

3.6.4 State 

• Enter the state for the mailing address for the contact person. If there is no state, 

as with certain addresses outside the United States, leave the field empty. 

3.6.5 Country 

• Enter the three character country code using the ISO 3166-1 standard for the 

mailing address for the contact person. 

3.6.6 Postal code 

• Enter the postal code for the mailing address for the contact person. If there is no 

postal code, as with certain addresses outside the United States, leave the field 

empty. 

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Step-by-Step Instructions for Creating SPL Files For Electronic Drug Establishment 

Registration and Drug Listing v2.0 

3.6.7 Telephone number 

Telephone numbers are global telephone numbers using the Uniform Resource Identifier 

(URI) for Telephone Numbers RFC 3966 (no letters; begin with “+”; include hyphens to 

separate the country code, area codes and subscriber number; extensions are separated by 

“;ext=”). 

• Enter the contact telephone number for the contact person. 

3.6.8 Email Address 

• Enter the email address for the contact person. 

3.7 US Agent (Applicable only to establishments located outside 

the US) 

Information on the US agent includes the name, DUNS Number, telephone number and 

email address. Each establishment located outside the United States has one US agent. 

3.7.1 Name 

• Enter the business name of the US agent. 

3.7.2 DUNS Number 

Each business location (e.g., headquarters, branch, subsidiary, establishment, importer, 

US agent) has its own unique DUNS Number. 

• Enter the DUNS Number without hyphens for the US agent business. 

3.7.3 Telephone number 

Telephone numbers are global telephone numbers using the Uniform Resource Identifier 

(URI) for Telephone Numbers RFC 3966 (no letters; begin with “+”; include hyphens to 

separate the country code, area codes and subscriber number; extensions are separated by 

“;ext=”). 

• Enter the contact telephone number for the US agent contact person. 

3.7.4 Email Address 

• Enter the email address for the US agent contact person. 

3.8 Importer (Applicable only to establishments located outside 

the US) 

Information on business entities the establishment uses for importation (importer and 

person offering for import) includes the name, DUNS Number, telephone number and 

email address. 

3.8.1 Name 

• Enter the name of the business name. 

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Step-by-Step Instructions for Creating SPL Files For Electronic Drug Establishment 

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3.8.2 DUNS Number 

Each business location (e.g., headquarters, branch, subsidiary, establishment, importer, 

US agent) has its own unique DUNS Number. 

• Enter the DUNS Number without hyphens for the business. 

3.8.3 Telephone number 

Telephone numbers are global telephone numbers using the Uniform Resource Identifier 

(URI) for Telephone Numbers RFC 3966 (no letters; begin with “+”; include hyphens to 

separate the country code, area codes and subscriber number; extensions are separated by 

“;ext=”). 

• Enter the contact telephone number for the business contact person. 

3.8.4 Email Address 

• Enter the email address for the business contact person. 

3.9 Examples 

3.9.1 Initial electronic submission for establishments 

already registered 

Registrants include information for all of their establishments in one Establishment 

Registration SPL file. Each establishment is in only one SPL file. 

3.9.2 Correct SPL file validation error 

If an SPL file cannot be processed because of a validation error, a report on the validation 

error is sent from FDA to the contact person. Open the SPL file and correct the errors. 

3.9.3 Correct a mistake in an SPL file just submitted 

Open the SPL file, correct the mistake, and fill in a new id root and new version 

number with the original setId root and the appropriate effective time. 

3.9.4 Update information for a registered establishment 

Open the previous SPL file and fill in the new information without changing the other 

existing information. Fill in a new id root and new version number with the original 

setId root and the appropriate effective time. 

3.9.5 Add a new establishment 

Open the previous SPL file and fill in the information on a new establishment without 

changing the information on the other establishments. Fill in a new id root and new

version number with the original setId root and the appropriate effective time. 

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Step-by-Step Instructions for Creating SPL Files For Electronic Drug Establishment 

Registration and Drug Listing v2.0 

3.9.6 Remove a previously registered establishment 

Open the previous SPL file, remove the establishment discontinued without changing the 

existing information on the other establishments. Fill in a new SPL file using a new id 

root and new version number with the original setId. At the next update, remove the 

specific establishment information. 

3.9.7 No changes to registration information 

Each year when the information is updated, if there is no change, create an SPL file with 

the document type No change notification with a new id root and new version number 

with the original setId and the appropriate effective time. Registrant and establishment 

information is not included with an SPL file with the document type No change 

notification. 

3.9.8 Registrant goes out of business 

If the registrant goes out of business, create an SPL file with the document type Out of 

business notification using a new id root and new version number with the original

setId and the appropriate effective time. Registrant and establishment information is not 

included with an SPL file with the document type Out of business notification. 

4 Drug Listing Using XForms 

The Drug Listing XForms is used to create an SPL file for drug listing. The drug listing 

information includes document information, labeler, registrant and establishment 

information, drug listing data elements and content of labeling. The entire drug listing 

information is included in a single SPL file. The following are instructions on filling out 

the fields for drug listing. 

 

4.1 Type of Document 

• Click on the “Document Information” tab 

• Select the type of document that corresponds to the product type being listed. 

4.2 Document information 

The document information is used for tracking the SPL files and includes the id root, 

setId root, version number and effective time. 

4.2.1 Effective Time 

The effective time provides a date reference to the SPL version. The date includes the 

year, month and day using the format yyyymmdd. 

• Enter the date for the SPL file. 

4.2.2 Id Root 

The id root uniquely identifies a specific SPL file. A new version of an SPL file has a 

new id root. 

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Step-by-Step Instructions for Creating SPL Files For Electronic Drug Establishment 

Registration and Drug Listing v2.0 

• To fill in this field, generate a GUID using the GlobalSubmit UUID Generator. 

• Copy the generated identifier and paste it into the id root field. 

4.2.3 Set ID Root 

The setId root uniquely identifies a group of versions of an SPL file. When an SPL file 

changes a new id root is assigned to the new SPL file but setId root in the original SPL 

file is used. Like the id root, the setId root is a GUID. 

• To fill in this field, generate a GUID using the GlobalSubmit UUID Generator. 

• Copy the generated identifier and paste it into the setId root field. 

4.2.4 Version number 

The version number provides an order for different versions of an SPL file. The version 

number is a whole number greater than zero. The version number is increased with each 

change. 

• Enter a number in the version number field. 

4.3 Labeler 

The labeler uses their assigned NDC Labeler Code to create the NDC for the drug 

product. The information includes the name and DUNS Number. 

4.3.1 Name 

• Click on the “Drug Listing” tab 

• Enter the business name of the labeler provided in the NDC Labeler Code request 

SPL file. 

4.3.2 DUNS Number 

• Enter the DUNS Number provided in the NDC Labeler Code request SPL file. 

4.4 Registrant 

The registrant is included if they are listing a drug made for a private label distributor. 

The information includes the name and DUNS Number. Otherwise, this is blank. 

4.4.1 Name 

• Enter the business name of the registrant provided in the establishment 

registration SPL file. 

4.4.2 DUNS Number 

• Enter the DUNS Number of the registrant provided in the establishment 

registration SPL file. 

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Step-by-Step Instructions for Creating SPL Files For Electronic Drug Establishment 

Registration and Drug Listing v2.0 

4.4.3 Mark as confidential 

• Check if the registrant information is confidential. 

 

4.5 Establishment 

The establishments are the entities involved in the manufacturing or processing the drug 

product. Enter one or more establishments. The information includes the name, DUNS 

Number and types of operations. 

4.5.1 Name 

• Enter the name of the establishment provided in the establishment registration 

SPL file. 

4.5.2 DUNS Number 

• Enter the DUNS Number of the establishment provided in the establishment 

registration SPL file. 

4.5.3 Type of operation 

• Select a type of operation performed at the establishment for this specific drug 

product. 

• Click the “Add Type of Operation” button to add additional operations 

4.5.4 Mark as confidential 

• Check if the establishment information is confidential. 

4.6 Drug listing data elements one part 

The drug listing data elements include section identifiers and details on the drug product. 

4.6.1 Id Root 

The id root uniquely identifies the drug listing data elements section. A new id root is 

entered when the drug listing data element section changes. 

• Click the “Add Product” button. 

• To fill in this field, generate a GUID using the GlobalSubmit UUID Generator. 

• Copy the generated identifier and paste it into the id root field. 

4.6.2 Effective Time 

The effective time provides a date reference to the section. The date includes the year, 

month and day using the format yyyymmdd. 

• Enter the date for the section. 

4.6.3 Proprietary name 

The proprietary name is the brand or trade name without additional qualifiers such as 

“extra strength” or “XR”. Drug products that do not have a proprietary name include the 

non proprietary name without additional qualifiers as the proprietary name. 

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Step-by-Step Instructions for Creating SPL Files For Electronic Drug Establishment 

Registration and Drug Listing v2.0 

• Enter the proprietary name. If there is a suffix, leave a space after the name. 

4.6.4 Proprietary name suffix 

The proprietary name suffix is the additional qualifiers added to the proprietary name. 

• Enter the proprietary name suffix. If no suffix, leave blank. 

4.6.5 Non proprietary name 

The non proprietary name is the established or proper name. 

• Enter the non proprietary name. 

4.6.6 NDC Product Code 

The NDC Product Code is the NDC Labeler Code and the product segment of the NDC 

separated by a hyphen. 

• Enter the NDC Product Code 

4.6.7 Dosage form 

The dosage form of the drug product is the physical form as packaged. For example, a 

drug product used as an injection solution but is packaged as a powder that is 

reconstituted has a dosage form of “injection, powder, for solution”. For bulk drug, the 

“dosage form” is the physical form as packaged (e.g., powder) 

• Select the appropriate dosage form from the drop down list. 

• If the drug product has more than one drug product as a component, select “kit” as 

the dosage form and go to packaging. 

4.6.8 Source NDC Product Code 

The Source NDC Product Code is used when a marketed drug product is repacked or 

relabeled. 

• Click the “Add Source NDC Product Code” button 

• Enter the source NDC Product Code. 

4.6.9 DEA schedule 

• Click “Add DEA Schedule” button, if applicable 

• Select the appropriate DEA schedule for the drug product. 

4.6.10 Route of administration 

• Click “Add Route of Administration” button 

• Select the routes of administration approved for the drug product 

• Repeat process for additional routes of administration 

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Step-by-Step Instructions for Creating SPL Files For Electronic Drug Establishment 

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4.6.11 Active ingredient name and UNII 

• Click “Add Active Ingredient” button if there are active ingredients 

• Enter the preferred name and Unique Ingredient Identifier (UNII) for the active 

ingredient. 

• Click “Add Active Ingredient” for additional active ingredients 

4.6.12 Active ingredient strength 

Strength is represented as a ratio. The numerator and denominator have a value and a 

unit. The value is the amount of ingredient for a dose (usually a whole number) based on 

either the active ingredient, active moiety or, in rare cases, another drug product. A 

powder that is reconstituted with a fixed amount is described as if it were reconstituted. 

For example, the strength of 10 mg of drug product packaged as powder in a vial to be 

reconstituted with 1 milliliter is 10 mg per 1 milliliter. A powder that is reconstituted with 

a variable amount is described as packaged. For example, the strength of 10 mg of drug 

product packaged as a powder in a vial to be reconstituted with 1 to 5 milliliters is 10 mg 

per 1. 

• Enter the value and select the appropriate unit for the numerator and denominator 

for the strength. 

4.6.13 Reference drug 

Rarely, the strength of an active ingredient is based on a reference drug. 

• Click “Add Reference drug” button if one is used as a basis of strength. 

• Enter the reference drug 

4.6.14 Active moiety name and UNII 

There are one or more active moieties for each active ingredient. 

• Enter the preferred name and UNII for the active moiety for the active ingredient. 

• Click “Add Active Moiety” button for additional active moieties 

4.6.15 Basis of strength 

• Select if the active ingredient, active moiety or reference drug was used as the 

basis of the strength of the drug. 

4.6.16 Inactive ingredient name and UNII 

Inactive ingredients include ingredients deliberately included in the final formulation as 

well as residual material that are a known safety or sensitizing agent (e.g., 21 CFR 

610.61). Inactive ingredients do not include products (mixtures of inactive ingredients) or 

ambiguous ingredients such as flavors, fragrances, undefined coatings or inks. Flavors 

and certain substances may be included as product characteristics (see below). In rare 

cases, the inactive ingredient may be flagged as confidential. 

• Click “Add Inactive Ingredient” button if applicable 

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Step-by-Step Instructions for Creating SPL Files For Electronic Drug Establishment 

Registration and Drug Listing v2.0 

• Enter the preferred name and Unique Ingredient Identifier (UNII) for the inactive 

ingredients. 

• Repeat process for additional inactive ingredients 

4.6.17 Inactive ingredient strength 

The strength of an inactive ingredient is included as needed. Strength is represented as a 

ratio. The numerator and denominator have a value and a unit. The value is the amount of 

ingredient for a dose. 

• Enter the value and select the appropriate unit for the numerator and denominator 

for the strength. 

4.6.18 Mark as confidential 

• Check if the inactive ingredient information is confidential. 

4.6.19 Flavor 

Flavors are described as product distinctive characteristics rather than ingredients. 

• Click “Add Flavor” button to include a flavor. 

• Select the appropriate flavors. 

• Enter additional description of the flavor into the original text field. If flavor 

and/or original text are not needed, leave the field blank. 

• Repeat process for additional flavors 

4.6.20 Color 

• Click “Add Color” button to include a color 

• Select the appropriate color. 

• Enter additional description of the color into the original text field. If color and/or 

original text are not needed, leave the field blank. 

• Repeat process for additional colors 

4.6.21 Score 

• Click “Add Imprint” button for describing solid oral dosage forms 

• Select the appropriate score (no score = 1, scoring with two equal pieces = 2, 

scoring with three equal pieces = 3, scoring with four equal pieces = 4, other = 

nullFlavor = OTH). 

4.6.22 Shape 

• Select the appropriate shape. 

• Enter additional description of the shape into the original text field. If shape 

and/or original text are not needed, leave the field blank. 

4.6.23 Imprint code 

The imprint code is the alphanumeric text that appears on the solid dosage form, 

including text that is embossed, debossed, engraved or printed with ink. Internal and 

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Step-by-Step Instructions for Creating SPL Files For Electronic Drug Establishment 

Registration and Drug Listing v2.0 

external cut-outs in the form of alphanumeric text and the letter 'R' with a circle around it 

(when referring to a registered trademark) and the letters 'TM' (when referring to a 'trade 

mark') are not included. 

• Enter the imprint code by beginning on either side or part of the dosage form. 

Start at the top left and progress as one would normally read a book. Enter a 

semicolon to show separation between words or line divisions. If there is no 

imprint code, leave the field blank. 

4.6.24 Size 

Size is represented by the longest single dimension of the solid dosage form as a physical 

quantity in the dimension of length (e.g., 3 mm). 

• Enter the value rounded to the nearest whole number in the size field 

• Enter mm in the size unit field. If size is not relevant, leave the field blank. 

4.6.25 Marketing status and marketing date 

The marketing status describes the activity of the product and the marketing describes 

when the SPL file is added to the public repository of SPL files and when the SPL file is 

removed from the public repository. The expiration date of the last lot released to the 

marketplace provides an estimate of the date when the SPL file is removed. 

• Select the appropriate product status of either “active” or “completed”. 

• Select the appropriate start marketing date, if active or select the expiration date 

of the last lot marketed, if completed. 

4.6.26 Application or citation number and code system 

Application numbers include the character application abbreviation and the numbers 

without spaces or dashes (e.g., NDA123456). Monograph citations include the number of 

the regulatory part (e.g., part234). 

• Enter the application number or the regulatory citation, if appropriate. If there is 

no application number or regulatory citation, leave the field blank. 

• Select the appropriate code system 

4.6.27 Marketing category 

• Select the appropriate marketing category for the drug product. 

4.6.28 Product image 

• Click on “Add Product image” button to include an image of the dosage form 

received from FDA. 

• Enter the file name for the image file. 

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Step-by-Step Instructions for Creating SPL Files For Electronic Drug Establishment 

Registration and Drug Listing v2.0 

4.6.29 Packaging 

• Click on the “Add Package” button to add a new package configuration (e.g., 

samples carton of two, bottle of 30, carton of 100) 

• Starting with the packaging configuration of the immediate unit of use. For a kit, 

the packaging starts with the quantity “1 Kit”. 

• Enter the 10 character NDC Package Code. The NDC Package Code is the NDC 

Product Code and the package segment of the NDC separated by a hyphen. 

• Enter the quantity in the first field and the select the appropriate unit. The unit is 

the same as the denominator unit for the ingredient strength 

• Select the appropriate package type 

• Click on “Add Outer Package” button to add an outer retail package configuration 

and repeat the previous steps 

• Click on “Add Package” button to add a new package configuration (e.g., samples 

carton of two, bottle of 30, carton of 100) and repeat the previous steps 

4.6.30 Product parts 

• Click on the “Add Product Part” button when the drug product has two or more 

drug components. 

• Enter the proprietary name, proprietary suffix, non proprietary name, and dosage 

form as described in sections 4.6.3 through 4.6.7. 

• Enter the total product quantity value as the total amount of the drug component 

in the kit with the appropriate unit. 

• The rest of the information is completed as for products without parts. 

• Click the “Add Product Part” button to add the second component and the repeat 

the steps. 

4.7 Content of labeling 

The content of the labeling provided with drug listing (e.g., professional labeling 

(package insert), consumer labeling, carton labels and container labels) is included in the 

same SPL file as the other drug listing information. Carton and container labels include 

the content of the Drug Facts or equivalent for animal drug products and the content of 

the Principal Display Panel including the image of the entire label as a single jpg file. 

• Click on the “Content of Labeling” tab to begin 

4.7.1 Add title 

• Click on the “Add title” button 

• Enter the title of the label. If there is no title, leave blank. 

4.7.2 Section 

• Click on the “Add Section” button. 

• Select the first section. 

4.7.3 Add Hyperlink ID 

• Enter a unique ID in the ID field to identify the hypertext link ID. 

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Step-by-Step Instructions for Creating SPL Files For Electronic Drug Establishment 

Registration and Drug Listing v2.0 

4.7.4 Title 

• Clink on the “Add Title” to add a title for the section, if necessary 

4.7.5 Effective time 

• Click on “Add Effective time” button 

• Enter the effective time using the format yyyymmdd 

4.7.6 Highlights 

• If Highlights are needed, click on “Add Highlight” button 

• Click on “Edit” button 

• Enter Highlights text 

• Save the entered text 

4.7.7 Section text 

• Click on “Edit” button 

• Enter section text 

• Save the entered text 

4.7.8 Media 

• Click on “Add media” button to add figure 

• Enter ID for figure 

• Enter the descriptive text for the image 

• Enter the image file name 

4.7.9 Subsection 

• Click on “Add Subsection” button 

• Repeat steps above 

4.7.10 Next Section 

• Click on “Add Section” to add next section. 

• Repeat for the other sections. The sections are included in order of how they 

appear in the labeling. 

4.8 Examples 

4.8.1 Initial listing submission when release 3 SPL file 

previously submitted 

Update the previous SPL release 3 file to an SPL release 4 file with the additional drug 

listing information and submit a new SPL file using a new id and new version number 

with the original setId and the appropriate effective time. 

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Step-by-Step Instructions for Creating SPL Files For Electronic Drug Establishment 

Registration and Drug Listing v2.0 

4.8.2 Initial listing submission with drugs previously 

listed 

The drug listing information is provided in a single SPL file. More than one drug 

products are included in a single SPL file when the products relate to the same content of 

labeling. Each drug product is included in only one SPL file unless it is being repacked or 

relabeled. Note that drug listing includes all jpg files associated with the content of 

labeling. The drug listing SPL file is separate from the SPL file for NDC Labeler Code 

request and the SPL file for establishment registration. 

4.8.3 Initial listing submission when the private label 

distributor provides the SPL file 

If the private label distributor chooses to provide the SPL file with the drug listing 

information, the private label distributor includes all of the information that would have 

been supplied by the registrant including all establishments involved in the 

manufacturing and processing of the drug product. The registrant does not submit a drug 

listing SPL file for this drug product. If the private label distributor chooses not to 

provide the SPL file with the drug listing information, then the registrant provides the 

SPL file. 

4.8.4 Initial listing submission when the registrant 

provides the SPL file for a drug made for a private label 

distributor 

If the private label distributor chooses not to provide the SPL file with the drug listing 

information, then the registrant provides the SPL file. The registrant includes the name 

of the private label distributor as the labeler, itself as the registrant, and all establishments 

involved in the manufacturing and processing of the drug. 

4.8.5 Initial listing submission with more than one 

registrant involved 

When more than one registrant is involved in manufacturing and processing a single drug 

product (e.g., contract manufacturers), only one registrant provides the SPL file with the 

drug listing information for the drug product. The registrant who provides the SPL file 

includes, in addition to its own establishments, all establishments of the other registrants 

involved in the manufacturing and processing of the drug product. 

4.8.6 Initial listing submission for bulk ingredients 

The registrant provides the SPL file with the drug listing information for the bulk drug 

ingredients (e.g., active pharmaceutical ingredient). 

4.8.7 Initial listing submission for a registrant using a 

marketed bulk ingredient 

The registrant provides the SPL file with the drug listing information for its drug product. 

The registrant includes the NDC Product Code for the marketed bulk drug ingredient as 

the source NDC or the establishments used in manufacturing or processing the bulk 

ingredient. 

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Step-by-Step Instructions for Creating SPL Files For Electronic Drug Establishment 

Registration and Drug Listing v2.0 

4.8.8 Initial listing submission for a registrant 

repacking or relabeling a marketed drug product 

The repacker or relabeler provides the SPL file with the drug listing information for its 

drug product including the NDC Product Code for the source marketed drug product. 

 

4.8.9 Initial listing submission for a kit including two or 

more drug products 

The registrant or private label distributor provides the SPL file with the drug listing 

information for its kit. The SPL file also includes drug listing information for each drug 

product in the kit (component) including NDC Product Codes and NDC Package Codes, 

if applicable. 

4.8.10 Correct SPL file validation error 

If an SPL file cannot be processed because of a validation error, a report on the validation 

error is sent from FDA to the contact person. Open the SPL file and correct the errors. 

4.8.11 Correct a mistake in an SPL file just submitted 

Open the SPL file, correct the mistake, and fill in a new id root and new version 

number with the original setId root and the appropriate effective time. 

4.8.12 Update information for a listed drug product 

Open the previous SPL file and fill in the new information without changing the other 

existing information. Fill in a new id root and new version number with the original 

setId root and the appropriate effective time. 

4.8.13 Add a new drug product 

Open the previous SPL file and fill in the information on a new drug product without 

changing the information on the other drug products. Fill in a new id root and new

version number with the original setId root and the appropriate effective time. 

4.8.14 Discontinue a previously listed drug product 

Open the previous SPL file and update the marketing activity with the expiration date for 

the last lot released for the specific drug product information without changing the 

existing information on the other drug products. Fill in a new SPL file using a new id and 

new version number with the original setId and the appropriate effective time. Once the 

drug is discontinued, open the most recent SPL file and remove the specific drug product 

information without changing the existing information on the other drug products. Fill in 

a new SPL file using a new id and new version number with the original setId and the 

appropriate effective time. 

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Step-by-Step Instructions for Creating SPL Files For Electronic Drug Establishment 

Registration and Drug Listing v2.0 

22

4.8.15 Change in content of labeling not requiring prior 

approval3

Open the previous SPL file and change the content of labeling without changing the other 

existing drug listing information. Fill in the new SPL file using a new id and new version 

number with the original setId and the appropriate effective time. 

4.8.16 Add a package configuration 

Open the previous SPL file and add the new package configuration without changing the 

other existing drug listing information. Fill in the new SPL file using a new id and new

version number with the original setId and the appropriate effective time. 

4.8.17 Remove a package configuration 

Open the previous SPL file and remove the specific package configuration without 

changing the other drug listing information. Fill in the new SPL file using a new id and 

new version number with the original setId and the appropriate effective time. 

5 Sending in SPL files 

The root id from the document identifiers is used for the name of the SPL file with the 

extension “xml”. The version number is increased for every subsequent submission that 

is successfully processed by the FDA system (i.e., does not fail validation). The Agency 

communicates with the designated contact person using email if there are problems. 

SPL files including all image files are placed in a folder and sent through the FDA 

Gateway. Instructions for using the FDA Gateway are found on the FDA Web site at 

http://www.fda.gov/esg. The name of the “center” and the “type of submission” are used 

to properly route the files. For electronic drug registration and listing, the center is “OC” 

and the type of submission is “SPL”. 

6 Technical assistance 

Send an email to spl@fda.hhs.gov for technical assistance. 

 

3

 These include content of labeling changes provided with an annual report (e.g., 21 CFR 314.70(d)), 

content of labeling with changes being effected for safety reasons (e.g., 21 CFR 314.70(c)(6)(iii) and 

approved content of labeling (e.g., final labeling).