Editorial Note on Part 117
Editorial Note: Nomenclature changes to part 117 appear at 81 FR 49896, July 29, 2016.

§ 117.430 Conducting supplier verification activities for raw materials and other ingredients. ( a ) Except as provided by paragraph (c), (d), or (e) of this section, one or more of the supplier verification activities specified in § 117.410(b), as determined under § 117.410(d), must be conducted for each supplier before using the raw material or other ingredient from that supplier and periodically thereafter.
( b ) ( 1 ) Except as provided by paragraph (b)(2) of this section, when a hazard in a raw material or other ingredient will be controlled by the supplier and is one for which there is a reasonable probability that exposure to the hazard will result in serious adverse health consequences or death to humans: ( i ) The appropriate supplier verification activity is an onsite audit of the supplier; and
( ii ) The audit must be conducted before using the raw material or other ingredient from the supplier and at least annually thereafter.
( 2 ) The requirements of paragraph (b)(1) of this section do not apply if there is a written determination that other verification activities and/or less frequent onsite auditing of the supplier provide adequate assurance that the hazards are controlled.
( c ) If a supplier is a qualified facility as defined by § 117.3, the receiving facility does not need to comply with paragraphs (a) and (b) of this section if the receiving facility: ( 1 ) Obtains written assurance that the supplier is a qualified facility as defined by § 117.3: ( i ) Before first approving the supplier for an applicable calendar year; and
( ii ) On an annual basis thereafter, by December 31 of each calendar year, for the following calendar year; and
( 2 ) Obtains written assurance, at least every 2 years, that the supplier is producing the raw material or other ingredient in compliance with applicable FDA food safety regulations (or, when applicable, relevant laws and regulations of a country whose food safety system FDA has officially recognized as comparable or has determined to be equivalent to that of the United States). The written assurance must include either: ( i ) A brief description of the preventive controls that the supplier is implementing to control the applicable hazard in the food; or
( ii ) A statement that the facility is in compliance with State, local, county, tribal, or other applicable non-Federal food safety law, including relevant laws and regulations of foreign countries.
( d ) If a supplier is a farm that grows produce and is not a covered farm under part 112 of this chapter in accordance with § 112.4(a), or in accordance with §§ 112.4(b) and 112.5, the receiving facility does not need to comply with paragraphs (a) and (b) of this section for produce that the receiving facility receives from the farm as a raw material or other ingredient if the receiving facility: ( 1 ) Obtains written assurance that the raw material or other ingredient provided by the supplier is not subject to part 112 of this chapter in accordance with § 112.4(a), or in accordance with §§ 112.4(b) and 112.5: ( i ) Before first approving the supplier for an applicable calendar year; and
( ii ) On an annual basis thereafter, by December 31 of each calendar year, for the following calendar year; and
( 2 ) Obtains written assurance, at least every 2 years, that the farm acknowledges that its food is subject to section 402 of the Federal Food, Drug, and Cosmetic Act (or, when applicable, that its food is subject to relevant laws and regulations of a country whose food safety system FDA has officially recognized as comparable or has determined to be equivalent to that of the United States).
( e ) If a supplier is a shell egg producer that is not subject to the requirements of part 118 of this chapter because it has less than 3,000 laying hens, the receiving facility does not need to comply with paragraphs (a) and (b) of this section if the receiving facility: ( 1 ) Obtains written assurance that the shell eggs produced by the supplier are not subject to part 118 because the shell egg producer has less than 3,000 laying hens: ( i ) Before first approving the supplier for an applicable calendar year; and
( ii ) On an annual basis thereafter, by December 31 of each calendar year, for the following calendar year; and
( 2 ) Obtains written assurance, at least every 2 years, that the shell egg producer acknowledges that its food is subject to section 402 of the Federal Food, Drug, and Cosmetic Act (or, when applicable, that its food is subject to relevant laws and regulations of a country whose food safety system FDA has officially recognized as comparable or has determined to be equivalent to that of the United States).
( f ) There must not be any financial conflicts of interests that influence the results of the verification activities listed in § 117.410(b) and payment must not be related to the results of the activity.