[Federal Register Volume 74, Number 11 (Friday, January 16, 2009)]
[Notices]
[Pages 3058-3059]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E9-861]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Food and Drug Administration
[Docket No. FDA-2008-D-0381]
Guidance for Industry on Voluntary Third-Party Certification
Programs for Foods and Feeds; Availability
AGENCY: Food and Drug Administration, HHS.
ACTION: Notice.
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SUMMARY: The Food and Drug Administration (FDA) is announcing the
availability of a guidance for industry entitled ``Voluntary Third-
Party Certification Programs for Foods and Feeds.'' This guidance
describes the general attributes FDA believes a voluntary third-party
certification program should have in order to help ensure its
certification is a reliable reflection that the foods and feeds
(hereinafter foods) from certified establishments meet applicable FDA
requirements, as well as other certification criteria.
DATES: Submit written or electronic comments on agency guidance
documents at any time.
ADDRESSES: Submit written requests for single copies of the guidance to
the Office of Policy, Office of the Commissioner, Food and Drug
Administration, 10903 New Hampshire Ave., Bldg. 1, rm. 4337, Silver
Spring, MD 20993-0002. Send one self-addressed adhesive label to assist
that office in processing your requests. The guidance can also be
obtained by mail by calling 301-796-4840. Submit written comments on
the guidance to the Division of Dockets Management (HFA-305), Food and
Drug Administration, 5630 Fishers Lane, rm. 1061, Rockville, MD 20852.
Submit electronic comments to http://www.regulations.gov. See the
SUPPLEMENTARY INFORMATION section for electronic access to the guidance
document.
FOR FURTHER INFORMATION CONTACT: Sharon Lindan Mayl, Food and Drug
Administration, 10903 New Hampshire Ave., Bldg. 1, rm. 4337, Silver
Spring, MD 20993-0002, 301-796-4840.
SUPPLEMENTARY INFORMATION:
I. Background
FDA is announcing the availability of a guidance for industry
entitled ``Voluntary Third-Party Certification Programs for Foods and
Feeds.'' This guidance represents FDA's current thinking on the
certification process and describes the general attributes FDA believes
a voluntary third-party certification program should have in order to
provide FDA with confidence in its certification program. If FDA has
such confidence, we may choose to recognize the program and provide
incentives for establishments to obtain certification by recognized
certification programs. Recognition in this context means that FDA has
determined that certification may be a reliable reflection that the
foods from an establishment certified by that certification body meet
applicable FDA requirements, as well as other certification criteria.
This guidance is intended as one of the steps in FDA's future
recognition of one or more voluntary third-party certification programs
for particular product types. In the future, FDA (we) may issue
guidance that addresses third-party certification programs in
particular product areas.
This guidance is issued in response to the recommendations
contained in the Action Plan for Import Safety: A Roadmap for Continual
Improvement (Action Plan) issued on November 6, 2007, by the
Interagency Working Group on Import Safety (Working Group) established
by Executive Order 13439, as well as FDA's Food Protection Plan
released on the same date. Both those plans emphasize certification as
a way to improve our capacity to verify the safety of products from a
growing food establishment inventory, both domestic and foreign.
In the Federal Register of April 2, 2008 (73 FR 17989), FDA issued
a document requesting comments on the use of third-party certification
programs for foods and animal feeds. FDA received approximately 70
comments in response to that document. The comments were generally
supportive of the use of third-party certification programs. Many
encouraged FDA to recognize such programs as a way to increase
participation and improve the safety and security of foods.
On July 10, 2008, we announced the availability of a draft guidance
for industry entitled ``Voluntary Third-Party Certification Programs
for Foods and Feeds'' (73 FR 39704). In response to the draft guidance,
we received 19 comments from a variety of sources, including trade
associations, individual companies, standards development
organizations, and other domestic and foreign Government agencies.
These comments were considered as the guidance was finalized.
Also on July 10, 2008, FDA issued a document announcing a pilot on
Voluntary Third-Party Certification Programs for Imported Aquacultured
Shrimp (73 FR 39705). We are currently in Phase II of the pilot in
which we will conduct onsite audits of selected third-party
certification bodies and targeted sampling of imported shrimp products.
The goal of the pilot is to gather technical and operational
information that will assist FDA in determining its infrastructure
needs, as well as the process for evaluating third-party certification
programs. Based on our experience with the pilot, we may make
additional changes to the guidance being announced in this document.
The guidance makes several changes from the draft guidance. For
example, the section on verification that the establishment meets
certification criteria no longer includes detailed criteria on specific
safety and security systems. Instead, the guidance only recommends that
the audit provide the certification body with reasonable assurance that
the food or feed is safe and in compliance with certification criteria,
which should include FDA requirements. As FDA recognizes third-party
certification programs in particular product areas, FDA plans to
provide additional guidance on specific certification criteria for
those product areas.
In order to help minimize confusion, the guidance uses terminology
that is generally consistent with accepted international definitions,
such as those used in documents by the International Organization for
Standardization (ISO) and the Codex Alimentarius Commission (Codex).
There may be some divergence, however, when uses of the terms by these
organizations are inconsistent or when use of the internationally
accepted terminology
[[Page 3059]]
would not make sense in a particular context.
The guidance states that a certification body should immediately
notify FDA and the establishment it is certifying if an auditor finds
or discovers a situation in which there is a reasonable probability
that the food or feed from the audited establishment will cause serious
adverse health consequences or death to humans or animals. We believe
that such reporting is appropriate. Although the certification body is
not a regulatory entity, we believe it would help protect public health
for such circumstances to be reported to FDA so that we can investigate
the situation. The guidance also notes that an establishment that
receives this information may be subject to the requirement imposed by
section 1005 of the Food and Drug Administration Amendments Act of 2007
to report certain information to FDA via an electronic portal.
The guidance states that while FDA may provide incentives for
participation, neither establishments nor certifying bodies are under
an obligation to participate. FDA does not intend to target uncertified
establishments or products for inspection or sampling, for example,
based solely on their lack of certification.
One comment raised a concern regarding the ability of a foreign
Government to serve as a certification body. As in the draft guidance,
the guidance states that foreign Governments may be certification
bodies. More specifically, the definition of certification body states
that it could be a Federal, State, local, or foreign Government agency,
as well as a non-Government entity that is independent of the
businesses it certifies and free from conflicts of interest.
This guidance is being issued consistent with FDA's good guidance
practices regulation (21 CFR 10.115). The guidance represents the
agency's current thinking on voluntary third-party certification
programs for foods and feeds. It does not create or confer any rights
for or on any person and does not operate to bind FDA or the public. An
alternative approach may be used if such approach satisfies the
requirements of the applicable statutes and regulations.
II. Comments
Interested persons may submit to the Division of Dockets Management
(see ADDRESSES) written or electronic comments regarding the guidance.
Submit a single copy of electronic comments or two paper copies of any
mailed comments, except that individuals may submit one paper copy.
Comments are to be identified with the docket number found in the
brackets in the heading of this document. A copy of the guidance and
received comments are available for public examination in the Division
of Dockets Management between 9 a.m. and 4 p.m., Monday through Friday.
Please note that on January 15, 2008, the FDA Division of Dockets
Management Web site transitioned to the Federal Dockets Management
System (FDMS). FDMS is a Government-wide, electronic docket management
system. Electronic comments or submissions will be accepted by FDA only
through FDMS athttp://www.regulations.gov.
III. Electronic Access
Persons with access to the Internet may obtain the guidance at
either http://www.fda.gov/oc/guidance/thirdpartycert.html or http://www.regulations.gov.
Dated: January 12, 2009.
Jeffrey Shuren,
Associate Commissioner for Policy and Planning.
[FR Doc. E9-861 Filed 1-15-09; 8:45 am]
BILLING CODE 4160-01-S