Regulatory Procedures Manual

Chapter 11 – Glossary

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ADDITIONAL SAMPLE: A physical sample collected from a previously sampled lot of 

either a domestic or imported product. Additional import samples must have the same 

sample number as the original sample. Additional domestic samples may have another 

sample number, but it must be flagged as an “ADD” Sample, with the original sample 

number referenced in the “Related Sample” block on the Collection Record.

ADJUDICATE (ADJUDICATION): To make a final judgment in a lawsuit, the judgment

of the court.

AFFIDAVIT: For affidavits provided to FDA -A written statement from a person who has 

dealt with the goods sampled, knows material facts relating to the movement of the

goods or to events affecting their condition, and/or or other fact relevant to the goods in

question, which is obtained by an FDA employee. The affidavit is signed and sworn to

(affirmed as true) by the affiant and then signed by the FDA employee. See IOM 

Chapter 4 and affidavit forms in that chapter.

For affidavits provided by FDA - A written statement signed in the presence of a notary 

public under a sworn oath that the statement is true. FDA considers such affidavits to

be testimony covered by 21 CFR 20.1. See RPM Chapter 10, Requests for Testimony.

ALLEGATION: An assertion or statement, made in a pleading, setting forth what its 

maker intends to prove. A statement of the issues in a written document (a pleading) 

which a person is prepared to prove in court.

AMERICAN GOODS RETURNED: Goods produced in the United States (U.S.) which, 

after being exported, are subsequently returned to the U.S. Such goods are considered 

imports.

AMICUS CURIAE: Literally, “friend of the court.” A person who is not a party in a suit,

but is allowed to file a brief to present their views on the matter before the court.

AMS: See Automated Manifest System.

ANSWER: A formal, written statement by the defendant in a lawsuit which answers 

each allegation contained in the complaint. In a seizure action, after filing a Claim of

Ownership, the claimant files an Answer in which he may deny any or all of the

allegations of the Complaint for Forfeiture.
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APPEAL: The formal review by a higher court of a lower court's disposition of a lawsuit. 

Also, the review of an agency decision at a higher level within the agency or in a court.

BATF: See Bureau of Alcohol, Tobacco and Firearms.

BILL OF LADING B/L: The written order from a shipper to a carrier to move goods from 

one place to another. When available, this is the best source of shipping dates, origin,

and name of shipper.

BIOLOGICAL PRODUCT: Means any virus, therapeutic serum, toxin, antitoxin,

vaccine, blood, blood component or derivative, allergenic product, or analogous 

product, or arsphenamine or its derivatives (or any other trivalent organic arsenic 

compound), applicable to the prevention, treatment, or cure of diseases or injuries of

man.

BIMO: Bioresearch Monitoring Program.

BONA FIDE: Literally, “in good faith.” A bona fide document is a genuine one.

BOND: A written promise to pay a certain sum of money in the event agreed upon 

conditions are not met. For example, section 304(d) of the FD&C Act requires a bond

as a condition of the release of condemned articles for salvaging.

BOND ACTION: Action taken by Customs resulting in forfeiture of all or a portion of an 

entry bond when an importer fails to redeliver merchandise covered by such a bond.

BOND VIOLATION: Failure to redeliver merchandise that is in import status when 

demanded by Customs. Such failure may result in bond action.

BONDED WAREHOUSE: A warehouse in the U.S. where imported merchandise is 

stored under Customs bond prior to withdrawal for consumption entry or export.

BREAK-BULK CARGO: Term used to describe cargo that is transported in individual 

units, i.e., sacks, boxes, bags, or cartons which are not containerized. Also refers to

loose (unbound) items such as sugar.

BROKER (CUSTOMS BROKER): Private individual or firm licensed by Customs to 

represent importers concerning import matters. See Filer.

BROKER'S REFERENCE NUMBER: A number assigned by brokers to identify an

entry of imported merchandise. This number is not to be confused with the entry

number assigned through Customs.

BUREAU OF ALCOHOL, TOBACCO AND FIREARMS: The Homeland Security Act of 

2002 divided the Bureau of Alcohol, Tobacco and Firearms into two new agencies, the 

Bureau of Alcohol, Tobacco, Firearms, and Explosives, which has moved to the 

Department of Justice, and the Alcohol and Tobacco Tax and Trade Bureau (TTB),
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which remained in the Department of the Treasury. This division was effective January

24, 2003. The newly created TTB will, as ATF did before it, administer and enforce the

existing Federal laws and tax code provisions related to the production and taxation of

alcohol and tobacco products. A memorandum of understanding (MOU) between FDA

and TTB (formerly BATF) clarifies and coordinates the responsibility of each agency

with respect to the identification, testing, and recall of adulterated alcoholic beverages. 

Further, the MOU confirms TTB (formerly BATF) policy with respect to the labeling of

ingredients and substances in alcoholic beverages that pose a public health problem.

BURDEN OF PROOF: The necessity or duty of proving a fact or facts in dispute on an 

issue.

CERTIORARI: "To be informed of". An extraordinary writ issued by a superior court (as 

the Supreme Court) to call up the records of a particular case from an inferior judicial 

body (as a Court of Appeals). When the Supreme Court grants certiorari, it has agreed

to hear the case. If it denies certiorari, it will not hear the case

CARGO CONTROL: Placement of an entry in a bonded warehouse so that movement

of the goods can be controlled and traced. Cargo control may occur in those situations 

where an importer does not hold shipments pending a suitable release from FDA and

introduces the product into domestic distribution.

CBER: Center for Biologics Evaluation and Research. 

CDER: Center for Drug Evaluation and Research. 

CDRH: Center for Devices and Radiological Health.

CENTRALIZED EXAMINATION STATION (CES): A privately operated facility at which 

imported merchandise is made available to Customs officers for physical examination. 

A CES may be established in any port, or any portion of a port, or any other area, under 

the jurisdiction of a Customs district director.

CERTIFICATE FOR EXPORT: Firms exporting products from the U.S. are often asked

by foreign customers or foreign governments to supply a certificate concerning the

regulatory status of a product, or the system by which a commodity is manufactured.

See Compliance Policy Guide 110.100, 7150.01.

CERTIFICATION: Agreement between the U.S. government and a foreign government 

specifying the conditions under which FDA may accept the foreign government's 

certification that the product complies with the Federal Food, Drug, and Cosmetic Act 

and/or other pertinent Acts.

Also, a written assurance, or official representation, that some act has or has not been 

done, or some event occurred, or there has been compliance with some legal formality. 

Typically, a requester will ask that FDA certify as to the authenticity of an FDA record as 

a true copy. FDA processes requests or subpoenas for certification under 21 CFR 20.3.
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CFSAN: Center for Food Safety and Applied Nutrition.

CGMP: Current Good Manufacturing Practice.

CHARGE SHEET: The specification of the violation attached to a Section 305 Notice. It

is the proposed statement of charges that, should prosecution ensue, would become

the Government's allegation in the Criminal Information.

CHECK ANALYSIS: A second examination of a sample that has been examined and 

found violative. Check analyses are to be conducted by other than the analyst

performing the original analysis.

CITATION: See Section 305 Meeting.

CITEE: One who is cited. See also Section 305 Meeting.

CIVIL MONEY PENALTIES: Monetary penalties that are assessed by FDA for 

violations of the Federal Food, Drug, and Cosmetic Act (the Act) or the Public Health

Service Act (see FD&C Act Section 303(f)).

CIVIL SUIT (Federal Court): A lawsuit brought under the Federal Rules of Civil 

Procedure. For example, seizure, injunction, and civil contempt are actions initiated

under civil rules.

CLAIM: A statement of interest in seized property, affirmed by sworn oath, entered by a 

person in response to a seizure action.

CMP: Civil Money Penalty (see FD&C Act Section 303(f)).

CODE OF FEDERAL REGULATIONS (CFR): An annual publication which contains 

regulations of Executive Departments and Agencies of the Federal government. The

CFR is divided into 50 titles that represent broad areas subject to Federal regulation. 

Each title is divided into chapters that bear the name of the issuing agency. Each

chapter is further subdivided into parts covering specific regulatory areas. FDA's 

regulations are in Title 21, Parts 1-1271. U.S. Customs regulations are found under 

Title 19.

COMMINGLED LOTS: Merchandise arriving off the same carrier with identical 

markings but covered under two or more entries. Two or more separate shipments of

the same product, stored together and bearing no distinguishing marks which enable

easy separation. There may be many codes in one shipment.

COMMISSION: A commission is a formal written document granting the power to

perform various acts or duties

COMPLIANCE ACHIEVEMENT: The observed repair, modification, or adjustment of a 

violative condition, or the repair, modification, adjustment, relabeling, or destruction of a 
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violative product when either the product or condition does not comply with the Acts 

enforced by the agency.

COMPLIANCE POLICY GUIDES (CPG): Compliance Policy Guides explain the Food

and Drug Administration (FDA) policy on regulatory issues related to FDA laws or 

regulations.

COMPLAINANT: Person registering a complaint, as a consumer complaining about an 

article. Also, the party who files the complaint in a legal action or proceeding (i.e., the 

plaintiff).

COMPLAINT FOR FORFEITURE: The document furnished to the United States 

Attorney for filing with the Clerk of Court to initiate the seizure of an article. (This 

document was formerly known as a Libel of Information.)

COMPLAINT SAMPLES (FLAGGED "COMPLAINT"): Samples collected from a 

consumer because of a complaint or injury.

CONFIDENTIALITY AGREEMENT: An agreement not to communicate certain

knowledge to others.

CONSENT DECREE OF CONDEMNATION: The document entered by the court in a 

seizure action based on the claimant's agreement that the article seized is in violation

as alleged in the Complaint for Forfeiture and the article is subject to condemnation. It

is also a declaration of Claimant's intent to provide a Bond and to recondition the article

under supervision of FDA and to pay costs.

CONSENT DECREE OF INJUNCTION: An injunction to which the defendant has 

agreed and which is filed in court.

CONSIGNEE: Person named in a bill of lading to whom or to whose order the bill 

promises delivery.

CONSUMER SAFETY INSPECTOR (CSI)/CONSUMER SAFETY OFFICER (CSO):

FDA personnel performing inspections, investigations, sample collections, and

examinations of imported articles.

CONSUMPTION ENTRY (CE): See Entry.

CONTAINER: Term used to describe a self-contained unit of various dimensions and 

configurations used for storage and transportation of goods.

CONTEMPT OF COURT: Any act which is calculated to embarrass, hinder, or obstruct

a court in the administration of justice, or which is calculated to lessen its authority or its 

dignity. The willful disobedience of a judge's command or of an official court order is a 

contempt of court. Civil contempt consists of a failure to do something ordered by the

court for the benefit or advantage of another party, and a fine is imposed. Criminal 
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contempt is an act done in disrespect of the court or its process or which obstructs the

administration of justice, and a fine or imprisonment is imposed.

CONTEST: To dispute or challenge the case made by a plaintiff or prosecutor.

CORRECTION: "Correction" means repair, modification, adjustment, relabeling, 

destruction, or inspection (including patient monitoring) of a product or the promotional 

materials that cause the product to be violative, without its physical removal to some

other location.

COUNT: A statement of a violation of the Act in a Criminal Information or Indictment.

COUNTERCLAIM: A claim presented by a defendant in opposition to the claim of the 

plaintiff, which claim could have been filed in a separate suit. If asserted in the same

suit brought by plaintiff, it is called a counterclaim.

CONTRABAND: Against the law. Prohibited. Goods exported or imported into a country 

against its laws.

COUNTRY OF ORIGIN: The country of manufacture, production, or growth of any

article of foreign origin entering the U.S. (see Customs regulation, 19 CFR Part 134).

CPG: See Compliance Policy Guides.

CREDENTIALS: Testimonials, certificates, or diploma something that gives a title to

credit or confidence that a person a right to exercise official powers.

CRIMINAL CASE (Federal Court): A criminal prosecution brought under the Federal 

Rules of Criminal Procedure, whereby the defendant may be punished for having

violated the law, or a court order.

CTP: Center for Tobacco Products

CUSTOMS (U.S. CUSTOMS SERVICE): Previously, a Bureau of the Department of the 

Treasury, whose primary duties included the assessment and collection of duties,

taxes, and fees on imported merchandise, and the enforcement of Customs and related

laws. Effective March 1, 2003, the U.S. Customs Service moved to the Department of

Homeland Security and is no longer a component of the Department of the Treasury. 

Now referred to as Customs and Border Protection (CBP), it is the primary enforcement

agency protecting the nation’s borders. It continues to be responsible for regulating and

facilitating international trade, collecting import duties, and enforcing U.S. laws.

CUSTOMS ENTRY NUMBER (CEN): The number assigned to an entry document and 

used by Customs for future references to the entry. The CEN is an 11-character entry 

number in the format XXX-NNNNNNN-Y. XXX represents an entry filer code assigned

by Customs, NNNNNNN is a unique number, which is assigned by the broker or 

importer, and Y is a check digit computed from the first 10 characters based on a

formula provided by Customs. Also referred to as Entry Number.
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CVM: Center for Veterinary Medicine.

DALs: See Defect Action Levels.

DATE AVAILABLE: The date supplied by the importer or his/her representative as to

when the shipment is available for examination by the agency. Date of availability for 

examination or sampling will differ based upon the mode of transport of the shipment

(i.e., seaports have large facilities for containers and it may be several days before the

shipment is available for examination; however, shipments delivered by trucks at the

borders are usually available for examination within several hours upon arrival).

DATE COLLECTED: The date a sample is collected.

DATE OF ARRIVAL: The date a carrier transporting imported cargo arrives in the U.S.

DEA: See Drug Enforcement Administration.

DEALER: The term is agency jargon to identify the party from whom a sample was 

collected; this does not have to be a business concern and often is a private party. 

Under the Radiation Act, this term is defined slightly differently, as found in 21CFR 

1000.3(f).

DEALER STATEMENT (D/S): The written statement taken from the dealer at the time a 

sample is collected and in which the dealer asserts that the sample obtained was taken 

from a lot received by him from a certain source and that those documents showing the 

movement of the lot were furnished for copying.

DEALER VIOLATION: A violation of Section 301(k) of the FD&C Act indicating the

doing of some act after shipment in interstate commerce which resulted in the article

being adulterated or misbranded.

DECLARATION: A written statement signed under the penalty of perjury. A declaration 

can substitute for an affidavit in federal court proceedings. 28 U.S.C. 1746. FDA 

considers a declaration to be testimony covered by 21 CFR 20.1.

DEFAULT DECREE: A Default Decree of Condemnation is a Court Order entered

when a seized article is not claimed or defended. The order condemns the article as 

being in violation of the law and provides for its destruction, donation to charity, sale, or 

disposal as the Court may elect to decree. When signed by the Court, it signifies the

final adjudicatory step in a seizure action.

DEFECT ACTION LEVELS (DALS): Established for specific commodities or products 

for which filth or extraneous matter is unavoidable and for which a zero tolerance would

not be realistic.

DEFENDANT: In civil or criminal cases, the party or parties named in an Information, 

Indictment, or Complaint, and against whom the Government is proceeding. The article 

against which a seizure action is brought is also referred to as the defendant.
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DE MINIMIS: So minor as to be disregarded; Insignificant or unimportant.

DE MINIMIS NON CURAT LEX: The principle that the law does not concern itself with 

minor or insignificant matters.

DENATURE: The decharacterization of an article generally through the addition of

some foreign substance in sufficient quantity so as to preclude its future use for its 

original purpose.

DEPTH OF RECALL: "Depth of recall" means the level in the distribution chain to which 

the recall is to extend. This will depend on the product's degree of hazard and the

extent of distribution. Levels are as follows:

1. Consumer or User Level - which may vary with product, including any

intermediate wholesale or retail level. Consumer or user may include the

individual consumers patients, physicians, restaurants and hospitals.

2. Retail Level - recall to the level immediately preceding the consumer or user 

level. It includes retail groceries, pharmacies, hospital pharmacies,

dispensing physicians, institutions such as clinics and nursing homes, and

any intermediate levels.

3. Wholesale level - all distribution levels between the manufacturer and the

retailer. This level may not been encountered in every recall situation, i.e., the

manufacturer may sell directly to the retailer.

NOTE: In some cases, the user level and the retail level may appear to refer to the

same group. Certain devices, radiological products, biologics, drugs are supplied

directly to physicians or hospital type environments who will, in turn, use the product in

the prescribed manner on/for the consumer. This kind of special environment will be

considered as the "user level."

DEPOSITION: The taking and recording of testimony of a witness under oath, in front

of a court reporter prior to trial and away from the courtroom. FDA considers an

employee’s responses in a deposition to be testimony covered by 21 CFR 20.1. 

Testimony of a witness or a party taken under oath outside the courtroom, the transcript

of which may become part of the court's file.

DETENTION (Imports): Administrative act where FDA requires that imported articles 

that appear violative under the laws FDA administers be held intact. Detained articles 

are released if brought into compliance with or rendered not subject to the FD&C Act

(the Act), or are refused entry if not brought into compliance. (Other types of detention –

section 304(g) of the Act-Administrative detention of devices; section 304(h) of the ActAdministrative detention of food.)

DEVANNING: The removal of all articles from a container for examination or sampling 

purposes. Also known as stripping of containers.
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DIRECT ACCOUNTS: "Direct accounts" are those consignees, either domestic or 

foreign, who received shipments of the recalled products directly from the recalling firm

or indirectly from the recalling firm's product source via drop shipment.

DISCHARGING: The unloading of imported merchandise from a carrier.

DISCOVERY: The process of obtaining information concerning the other party's case. 

Methods of discovery are contained in Rule 16 of the Federal Rules of Criminal 

Procedure, and Rules 26 through 37 of the Federal Rules of Civil Procedure.

DISMISSAL: An order or judgment that disposes of an action, suit, or motion without a

trial on the issues. A legal action may be dismissed by the court for failure to introduce 

evidence of facts on which relief may be granted.

DIVERSION: A method used to divert products from their intended market. For 

example, a drug manufacturer ships a drug labeled in Spanish to an authorized

distributor in Costa Rica, but the product is diverted by the distributor into the U.S.

market.

DOCKET, CIVIL: A book kept by the clerk of court, in which each civil action is entered

and assigned a consecutive file number. All papers filed with the clerk, all process 

issued and returns made thereon, all appearances, orders, verdicts, and judgments are

entered chronologically in the civil docket on the folio assigned to the action and

marked with its file number.

DOCKS (PIERS): Unloading facilities for vessels.

DOCUMENTARY (DOC) SAMPLE: An official sample where no actual physical product

is taken. A DOC sample is collected based upon the documents accompanying the

entry such as freight bills, and bills of lading, or any other record or document related to

the lot or item involved. DOC samples are collected in situations where an actual 

physical sample is not practical or where there is little or no need for laboratory

analysis. In addition to copies of transportation records, this official sample may consist

of labels, photos of the product, drawings, and sketches.

DOCUMENTATION: The collection of documents to support a certain element of proof, 

i.e., the copying of a Bill of Lading to demonstrate that interstate commerce has been 

accomplished.

DOMESTIC IMPORT (DI) SAMPLE: A sample of an imported article collected after 

release from import status (See IOM Chapter 4).

DRUG ENFORCEMENT ADMINISTRATION (DEA): A component of the Department of 

Justice responsible for enforcing the controlled substances laws and regulations.

EDIFACT: See Electronic Data Interchange for Administration, Commerce, and 

Transportation.
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EEPS: See Electronic Entry Processing System.

EFFECTIVENESS CHECKS: "Effectiveness Checks" are actions taken to verify that all 

consignees at the recall depth specified by the strategy have received notification about 

the recall and have taken appropriate action. The method for contacting consignees 

may be accomplished by personal visits, telephone calls, letters, or a combination of

both. These checks are to be conducted by the recalling firm as part of its recall 

strategy. In the determination of which consignees should be contacted by the firm for 

effectiveness checks, FDA may consider as acceptable for a portion of the verification

of recall effectiveness:

1. The firm's receipt and retention of response cards, e-mails, or letters from

consignees in accordance with instructions issued in the recall notification.

2. Signed records or reports of actions accomplished by the firm's own

representatives or signed records or reports from direct or sub-accounts.

EFFECTIVENESS CHECK LEVEL: The "Effectiveness Check Level" is an alphabetical 

term representing the extent to which effectiveness checks will be made within the 

distribution chain, including consumers or patients where appropriate.

1. Level A--100 percent of the total number of consignees to be contacted (at

the specified recall depth).

2. Level B--Some percentage of the total number of consignees to be

contacted, which percentage is to be determined on a case-by-case basis,

but is greater that 10 percent and less than 100 percent of the total number of

consignees to be contacted (at the specified recall depth).

3. Level C--10 percent of the total number of consignees to be contacted (at the

specified recall depth).

4. Level D--2 percent of the total number of consignees to be contacted (at the

specified recall depth).

5. Level E--No checks.

ELECTRONIC DATA INTERCHANGE FOR ADMINISTRATION, COMMERCE, AND 

TRANSPORTATION (EDIFACT): A United Nations sponsored initiative to develop 

international electronic messages including electronic invoices.

ELECTRONIC ENTRY PROCESSING SYSTEM (EEPS): The link to ACS, screening 

portion of OASIS, and initial user interface.

ENJOIN: To require a person, through a court-ordered injunction, to perform, or to

abstain or desist from performing a specified act or course of conduct. See injunction.

ENTRY: Delivery or offer for delivery of merchandise into the Customs Territory of the

U.S. from an outside point.

A. Consumption entry (CE): The entry documentation submitted to

Customs by the importer when imported merchandise is offered for 

consumption.
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B. Formal entry: As defined by Customs regulations, an entry required to

be covered by an entry bond. Currently, most entries with aggregate

values of $2,500 or more (value subject to change).

C. Informal entry: As defined by Customs regulations, an entry whose

value is currently less than $2,500 (value subject to change) and

therefore usually not imported under bond. U.S. goods returned (USGR)

valued at $10,000 or less are also considered informal entries. Informal 

entries may be converted to formal entries, pursuant to Customs 

regulations.

D. Intransit Entry (IT): An entry document filed with Customs by the

importer. It allows the merchandise to move from the port of unloading to

its destination under Customs bond without the initial payment of entry

fees and allows the importer 30 days to file a consumption entry. FDA

usually inspects the merchandise at the destination point (port of entry).

E. Mail Entry: Merchandise offered for entry through the mail. Where the

value of the merchandise is less than $2,500 (the current threshold 

between formal and informal entries), an entry document is generally not

required to be filed with Customs. For mail entries, Customs prepares the 

appropriate paperwork for the entry, which is typically forwarded to the 

addressee by the Postal Service, who then collects the duty for Customs

F. Personal Baggage Entry: Entry of merchandise by personal baggage.

G. Transportation and Exportation (T&E): An entry document (CF-7512) 

filed with Customs which permits merchandise to be transported through

the U.S. and exported intact, without payments associated with entry, to

a foreign destination. This does not exempt the articles from complying

with the FD&C Act. See CPG Manual Section 110.700 (7153.08).

H. Warehouse Entry: An entry document filed by the importer with Customs 

for storage of goods in a bonded warehouse without the initial payment

of entry fees. (Normally, it is filed prior to manipulation or withdrawal for 

export).

ENTRY BOND: A bond posted by the Importer of Record with Customs, currently in the 

amount of three times the value of the imported product, to insure redelivery of the

product for examination, reconditioning, export, or destruction.

ENTRY DOCUMENT (ENTRY PACKAGE): Documents describing the articles offered

for entry which may contain a consumption entry form, commercial invoice, manifest, or 

other FDA notification.

ENTRY NUMBER: See Customs Entry Number.

ENVIRONMENTAL PROTECTION AGENCY (EPA): The federal government agency 

responsible for protecting human health and the environment. EPA enforces FIFRA 

(Federal Insecticide, Fungicide, and Rodenticide Act) and registers pesticides for use in

the U.S. on food crops, among other duties.

ESTABLISHMENT: A place of business or residence, including all accoutrements 

essential to such business or resident.
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A. Grower: Raises livestock, raw agricultural products, or aquaculture

products for sale (farms, feedlots, dairy farms, and botanicals).

B. Manufacturer: Firm or individual responsible for making a product.

C. Packer/repacker: Packs a product or products into different containers 

without making any change in the form of the product. Includes packers 

of raw agricultural products and medical gas repackers.

D. Salvage Operation: An establishment dealing primarily in the

reconditioning and resale of damaged goods.

E. Shipper: Firm or individual responsible for introducing merchandise into 

interstate commerce by way of transport and that does not act as a 

manufacturer, repacker, distributor.

F. Warehouse: A private or public facility for the storage of consumer 

products, including products reshipped from the producer or grower to

the manufacturer or other customer.

EX PARTE: On one side only. These are cases in which only one side is represented

or present. On behalf of only one party, without notice to any other party. For example,

a request for a search warrant is an ex parte proceeding, since the person subject to

the search is not notified of the proceeding and is not present at the hearing.

EXPORT: The shipment of articles from the U.S. to a foreign country. Articles that

comply with the FD&C Act may be exported freely. Section 801(e)(1) contains the

requirements for the export of articles that, but for intended export, would be

adulterated or misbranded. Section 801(e)(2) provides additional requirements 

applicable to the export of unapproved medical devices; and Section 801(f)(2) 

addresses the export of approved drugs for unapproved uses. Section 802 provides 

provisions for the export of unapproved drugs, biologics, and devices. Also see ReExport.

EXECUTION OF DECREE: The carrying out of the court's order. For example, the 

destruction of seized goods by the Marshal, in response to a Default Decree of 

Condemnation.

FACTORY FOOD SAMPLES: A sample, usually investigational in nature, obtained

from an establishment where food is manufactured, processed, or packed, used to

show conditions in the establishment. Such samples include in-line samples and

require analysis to determine the specific conditions.

FDA ORDERED RECALL: "FDA ordered recall," means a recall initiated by a firm in 

response to an order for such action. Examples would be: device recalls ordered under 

section 518(e), Infant Formula recalls ordered under section 412(e)(1) of the act, and 

human tissue for transplantation ordered under 21 CFR Part 1270.

FDA RECALL AUDIT CHECK PROGRAM: The purpose of FDA audit checks is to 

determine the adequacy of the firm's performance in assuring that all consignees have 

received notification of the recall and are taking appropriate action. A FDA audit check 

program should be determined after evaluating the recalling firm's strategy. The audit
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check levels will either be based upon the effectiveness check levels provided in 21

CFR or on other statistically valid plans. The method for conducting audit checks may

be personal visits, telephone calls, or a combination thereof. Cooperating federal, state,

or local

officials may assist FDA in the performance of the audit checks.

FDA REQUESTED RECALL: "FDA requested recall" means a recall initiated by a firm

in response to a formal request for such action by the Associate Commissioner for 

Regulatory Affairs, or the appropriate center director when the authority has been 

delegated.

FD&C Act/FDCA: The Federal Food, Drug, and Cosmetic Act.

F.D.C. OR INJ NUMBER: The F.D.C. or INJ number is the identification used by the 

General Counsel's Office to designate FDA cases. On all correspondence pertaining to 

seizure and prosecution cases, show the F.D.C. number directly under the sample

number identification. On injunction cases, show the INJ number the same way.

FEDERAL IMPORT MILK ACT: An Act to regulate the importation of fluid milk and

cream into the U.S. for the purpose of protecting the public health (see 21 CFR 1210).

FEDERAL TRADE COMMISSION (FTC): An independent government agency whose

goal is to prevent free enterprise from being hampered by monopoly or restraints on

trade or corrupted by unfair or deceptive trade practices.

FIARS: FIARS (FDA’s Import Alert Retrieval System) is a computerized retrieval system

for import alerts. Users navigate FIARS by searching for the import alert number, or by

the problem, product, or country keyword, or by utilizing a full text search for a keyword

or any other word that may be contained in the system. FDA updates FIARS nightly and

the data

is accessible to FDA users via the intranet. A redacted version of the data is also

available to the public via the internet.

FILER: A Customs term used to identify the individual or firm responsible for filing an

entry, which is usually the broker but may be the importer.

FILTH EXHIBITS: Any material obtained to illustrate a condition. An exhibit is for court 

use, and is self-explanatory in nature. Usually no confirmatory analysis by the

laboratory is required. Exhibits include photographs, rat and rodent pellets and mice

nests.

FINAL ORDER: The last order issued by the Court in a lawsuit, which terminates the 

action.

FIRM INITIATED RECALL: "Firm initiated recall," means a recall that is initiated by a

firm on its own volition without a formal request from FDA.
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FOOD STANDARDS SAMPLES (PREFIX "F.S."): Samples collected as a direct result

of an assignment in connection with food standards development.

FOR CAUSE INSPECTION: An inspection that is carried out in response to specific 

information that raises questions, concerns, or problems associated with an FDA

regulated firm or commodity. This information could come to the attention of FDA from

any source, and includes, but is not limited to, the following: the results of a sample

analysis, observations made during prior inspections, recall or market withdrawal,

consumer or employee complaint, adverse reaction report, or suspicion of fraud.

FOREIGN MAIL DIVISION: A designated location within a post office facility for 

examination of foreign mail by Customs.

FOREIGN TRADE ZONES: Areas set aside in the U.S. that allow a person to hold or 

otherwise manipulate goods for an unlimited period of time awaiting a favorable market

in the U.S. or nearby countries without being subject to Customs duties, tax, or other 

charges. See CPG Manual Section 110.200 (7150.11) and Section 110.600 (7150.14).

FORFEITURE OF BOND: Literally, the loss of a bond, as a result of a failure to perform 

the conditions agreed upon when the bond was made.

FORMAL ENTRY: See Entry.

FP&F (FINES, PENALTIES AND FORFEITURES): Both a module of Customs ACS

and a division within Customs which deals with post-entry procedures, i.e., bond

actions, liquidated damages, and seizures.

FPLA (THE FAIR PACKAGING AND LABELING ACT): Applies only to retail 

containers of foods, drugs, cosmetics, and devices.

FREIGHT BILL (F/B): The document stating the transportation charges incurred by the 

carrier (a bill for the freight charges on a shipment). Next to a B/L, the freight bill is the

most authentic document that supports movement of a shipment in interstate

commerce.

GAO (GOVERNMENT ACCOUNTABILITY OFFICE): Was previously named the

General Accounting Office. GAO, which is independent and nonpartisan, is commonly

called the investigative arm of Congress. It studies how the federal government

spends taxpayer dollars. GAO evaluates federal programs, audits federal expenditures,

and issues legal opinions.

GRAND JURY: A jury of inquiry composed of 16-23 citizens whose duty it is to

determine whether probable cause exists that a crime has been committed and whether 

an indictment (true bill) should be returned for such a crime. If the grand jury

determines that probable cause does not exist, it returns a “no bill.” The grand jury is an

accusatory body; it does not determine guilt.
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GREY MARKET: Generally used to describe diversion of regulated commodities 

purchased from foreign suppliers and introduced into the U.S. through a source other 

than the authorized U.S. dealer. It is also used to describe situations where a product 

manufactured by a foreign subsidiary of a U.S. firm is not identical to the U.S. 

manufactured product yet the product is shipped to the U.S. for marketing. The

products may be imported by a third party from a dealer in a country other than the

country of origin.

GROWER: See Establishment.

GUARANTY: A formal and signed agreement between buyers and sellers in which the 

latter verifies the goods he sells are not in violation of the FD&C Act when shipped. A 

guaranty that meets the conditions in section 303(c)(2) of the Act protects a good faith 

purchaser from criminal prosecution based on violations of sections 301(a) or 301(d).

HARMONIZED TARIFF SCHEDULE (HTS): Ten-digit international tariff codes that 

replaced TSUSA codes on January 1, 1989. This system identifies products for 

classification purposes. Once the classification is determined, the rates of duty, valueadded tax, quota limits, and visa requirements can be obtained.

HAZARD ANALYSIS AND CRITICAL CONTROL POINT (HACCP): A preventionbased food safety system by which food processors and importers evaluate the kinds of

hazards that are reasonably likely to occur and could adversely affect the safety of their 

products, institute controls necessary to keep these hazards from occurring or reduce

the hazard to an acceptable level, monitor the performance of these controls, and

maintain records of this monitoring as a matter of routine practice.

HEALTH FRAUD: The promotion, advertisement, distribution, or sale of products, that

are represented as being effective to diagnose, prevent, cure, treat, or mitigate disease

or other conditions, or to provide a beneficial effect on health, but which have not been 

proven safe and effective. Such practices may be intended to defraud or mislead.

HEALTH HAZARD EVALUATION: A "health hazard evaluation" is an evaluation by

FDA scientists of the threat to health presented by a product, including its labeling

and/or 

promotional materials, that is being recalled or considered for recall. It takes into

account, but is not limited to, the following:

1. Deaths, diseases, injuries or other adverse reactions that have already occurred

from the use of the product.

2. Existing conditions that could contribute to a clinical situation that could expose 

humans or animals to a health hazard.

3. Assessment of population who may be at greatest risk (age, physical condition.)

4. Assessment of degree of seriousness of the health hazard to the population at 

greatest risk.

5. Assessment of the likelihood of the occurrence of the health hazard.

6. Assessment of long range or immediate consequences of the hazard. See 21

CFR 7.41(a) for a full description of these factors.
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HEARING: The opportunity for a party to present views. In imports, the importer may 

explain why his goods should not be refused entry and returned to the shipper. Many 

types of administrative hearings are provided for in various sections of the CFR.

HEARING RESPONDENT: Individuals who respond to the "Notice of Detention and 

Hearing."

HOLD OF SHIP: Portion of a vessel where cargo is stored for transportation.

HOME DIVISION: The Division in whose program the alleged violation of the Act

occurs, or in whose program the firm or individual responsible for the alleged violation is 

included. The original point from which the article was shipped, or offered for shipment -

as shown by the interstate records - is usually considered the point where the violation 

occurred; and the shipper of such article, as shown by such records, is usually

considered to be the alleged violator.

For actions based on goods which became violative after interstate shipment was 

made, or after reaching their destination (such as 301(b) and 301(k) violations), the

dealer in whose possession the goods are sampled is usually considered the violator 

and the location of this dealer determines the "Home Division."

If both the shipper and the dealer are legally responsible for the violation, and are

located in different Divisions, the records and correspondence shall be processed,

routed, and distributed in accordance with the needs of each Division.

IMMEDIATE DELIVERY (ID): An entry document (CF-3461) filed with Customs by the 

importer. An ID allows the importer to take immediate possession of the goods and

allows him/her 10 days to file the Consumption Entry (CE) documentation.

IMMEDIATE DELIVERY (ID) ADVANCE NOTICE: The filing of an ID by the importer 

prior to the arrival of the goods at the point of entry.

IMMEDIATE EXPORT (IE) NOTICE: A document that is filed with U.S. Customs by a 

broker on behalf of the importer for refused merchandise prior to exportation.

IMPORTS: Products brought into the U.S. from foreign countries. Such products 

include American manufactured goods that are being returned to the United States. 

Once such products are entered (admitted by FDA and the bond is liquidated by

Customs) into the United States, they are no longer considered to be in import status. 

Under certain limited conditions, released articles may be reverted back to import

status.

IMPORT ALERTS: Information to the FDA Division offices concerning unusual or new 

problems affecting imports which gives background and compliance guidance

information for each product and problem.
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IMPORT BULLETINS: Informational bulletins that generally provide only information on

a problem affecting imported products.

IMPORTER OF RECORD: The individual responsible for assuring that imported goods 

are in compliance with all laws affecting the importation. While the importer may

authorize others to carry out certain tasks such as filing, the importer of record holds the

bond and is ultimately responsible for the entry.

IMPORT RECORD DOCUMENT EXAMINATION: The examination of import records to 

determine if goods should be sampled and examined.

IMPORT REGULATIONS: Regulations written under the authority of specific acts 

administered by FDA for the regulation of imported articles: (1) foods, drugs, cosmetics, 

and medical devices - see 21 CFR Sections 1.83 - 1.99; (2) electronic products - see 21 

CFR Part 1005; (3) Imported milk - see 21 CFR Part 1210; (4) banked human tissue for 

transplantation - see 21 CFR Part 1270, among others.

IMPORT SAMPLE COLLECTION: The collection of samples of articles still in import 

status. Sample collections may be either an actual physical collection of the product

with a subsequent analysis or examination, or a documentary sample where the sample 

evaluation is based upon the documents accompanying the import.

IMPORT SAMPLES: Samples of commodities collected from shipments made by

foreign firms into the U.S. Samples are collected by an FDA Investigator or by Customs 

officials for FDA.

IMPORT SECTION (801): The current section of the Federal Food, Drug, and Cosmetic 

Act (Chapter VIII) containing Import/Export Provisions (see 21 USC 381).

IMPORT STATUS: The status of an imported article prior to FDA admission and

Customs entry. Liquidation should not occur until FDA has released the shipment for 

domestic distribution.

IMPORT SUPPORT AND INFORMATION SYSTEM (ISIS): The primary user interface, 

operational support, and reporting portion of OASIS.

IMPORTING VESSEL: Vessel used to transport articles offered for entry into the U.S.

INDICTMENT: The formal statement of the charges against an individual or entity 

presented by a grand jury.

The United States Attorney (with witnesses deemed necessary) appears before a grand 

jury and presents evidence. If at least 12 jurors concur that an offense has been 

committed, the grand jury returns an indictment (referred to as a “true bill” ) to the court

and the matter is then entered on the court docket.

INFORMAL ENTRY: See entry.
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INFORMATION: The formal statement of the charges against an individual for some 

criminal offense, issued by the U.S. Attorney, and not by a grand jury. It may always be 

used in misdemeanor prosecutions, and may be used in felony prosecutions only if the 

defendant waives his right to be indicted.

INJUNCTION: An order issued by the Court requiring a defendant to perform an act

which he is obligated to perform but refuses to do, or forbidding him from doing a

specified act which he is threatening or attempting to do.

IN PERSONAM: Against the person.

IN REM: Against the thing.

INTERROGATORIES: Written questions sent by one party in a lawsuit to the other 

party during the discovery process prior to trial. Interrogatories must be answered in

writing under oath or under penalty of perjury. FDA considers the employee’s response

to interrogatories to be testimony covered by 21 CFR 20.1.

INTERSTATE (IS) COMMERCE: Commerce between one state or territory and

anyplace outside thereof, or commerce within the District of Columbia or within any

other territory. Section 201(b) of the Act.

INTRAGENCY AGREEMENTS (IAGs): Agreements between different parts of the

same agency.

INTRANSIT ENTRY (IT) ADVANCE NOTICE: The filing of an IT by the importer prior to

the arrival of the merchandise at the port of entry.

INTRANSIT SAMPLES (FLAGGED "IN-TRANSIT"): Samples collected from a lot after 

delivery for introduction in Interstate Commerce or while on the way to a consignee. 

Such samples may be on a manufacturer's shipping dock, in a conveyance, or in a

terminal.

INTRASTATE: Within a state.

INVESTIGATIONAL SAMPLES (PREFIX "INV."): Samples collected for purposes of 

general information when regular sample number identification is necessary. Interstate 

documentation is not required at the time of collection. Should interstate documentation

be possible and it is obtained at a later date (for example, after analysis shows the

product is violative) such samples would then be converted to "official" samples.

INVOICE (Imports): A document that accompanies imported merchandise and

contains at least the following information: (a) port of entry or merchandise destination;

(b) local consignee, foreign shipper; (c) description of merchandise including any

marks; (d) quantity, (e) purchase price, (f) country of origin of the merchandise.

ISIS: See Import Support and Information System.
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JUDICIAL DISTRICT: Physical parameters, set by Congress, designating the counties 

under the jurisdiction of a United States District Court.

LABEL and LABELING: These words are defined in the FD&C Act in Sections 201(k) 

and 201(m).

LACF (LOW ACID CANNED FOOD): Any thermally processed foods in hermetically 

sealed containers, other than alcoholic beverages, with a finished equilibrium pH 

greater than 4.6 and a water activity (aw) greater than 0.85. Tomatoes and tomato

products having a finished equilibrium pH less than 4.7 are not classed as low-acid

foods. All manufacturers of low acid canned foods and acidified low acid canned foods 

must be registered with FDA and have a food canning establishment (FCE) number 

and the manufacturing process specific for the product and can size on file with FDA. 

See 21 CFR 108, 113, and 114.

LD-3: Airline containers used to transport imported articles.

LEGAL STATUS: The legal organization or constitution of a business enterprise; for 

example, as a corporation, partnership, cooperative, or sole-ownership.

LIB: Laboratory Information Bulletin

LICENSE: Means authorization issued by CBER, which is required by the PHS Act for 

individuals or companies who introduce or deliver for introduction into interstate

commerce any biological product. Biologics license applications for human use are

approved on the basis of a demonstration that the biological product is safe, pure, and

potent; and that the facility in which the biological product is manufactured, processed,

packed, or held meets

the standards designed to assure that the biological product continues to be safe, pure, 

and potent. Biological products intended for veterinary use are regulated separately.

LINE ITEM: Each portion of an entry that is listed as a separate item on an entry 

document. An importer may identify merchandise in an entry in multiple portions;

however, an item in the entry having a different tariff description must be listed

separately.

LINE RELEASE: Customs - An automated bar code system of identifying and

processing "repetitive and low-risk" entries that involve a combination of the same

importer, filer (broker), product, or manufacturer.

LIQUIDATED DAMAGES: A monetary claim against a person, company and surety for 

violations of a Customs bond.

LIQUIDATING AN ENTRY: Customs liquidates an entry when duty has been paid and

the product has been determined to be admissible into the U.S.

LITIGATION: The act or process of carrying on a lawsuit.
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LOT: An amount of a product produced during a period of time indicated by a specific 

code, or some other unique identifying characteristic. Also, an import entry, group of 

entries, or a portion of an entry of merchandise that can be clearly defined as 

appropriate for FDA sampling and examination purposes.

MAGISTRATE (U.S. Magistrates): A judicial officer of federal district courts who has 

some but not all of the powers of a federal district judge. They may conduct many of the 

preliminary or pre-trial proceedings in both civil and criminal cases; and perform certain 

other duties of the court, such as issuing inspection warrants.

MAIL ENTRY: See Entry.

MANDAMUS: A command that a superior court issues to a lower court or a person

(including a government agency) ordering it to do its duty.

MANIFEST: An itemized listing of a vessel's cargo, with other particulars, for the facility

of the customs officers. A document issued by the carrier describing the contents of 

merchandise being transported.

MANUFACTURER: See Establishment.

MARKET WITHDRAWAL: "Market withdrawal" means a firm's removal or correction of

a distributed product which involves a minor violation for which FDA would not initiate

legal action, or which involves no violation. These include normal stock rotation

practices, routine equipment adjustments and repairs, and product improvement. 

Replacement of device components which fail or wear out after a reasonable life span

will be considered a market withdrawal unless a violation of the FD&C Act has occurred

and can be supported. Recovery of investigational products are normally considered a

market withdrawal unless the product has been sold in domestic commercial distribution

or a significant health hazard is involved necessitating classification and publication of

the action as a recall.

The removal of products from the market as a result of actual or alleged tampering with 

individual units, and where there is no evidence of manufacturing or distribution

problems will be considered a market withdrawal.

MARKS: Words or symbols, usually including the country of origin, marked on cartons, 

bags, and other containers of imported merchandise for identification purposes. See 

Customs requirements in 19 CFR Part 134.

MEDICAL DEVICE SAFETY ALERT: A medical device Safety Alert is a notification to 

device users that, under certain circumstances, use of or exposure 1 to the device may 

pose a risk of harm. 

1 The exposure mentioned in this definition excludes electronic product radiation exposure. See 21 CFR Subchapter 

J.
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MEMORANDUM OF UNDERSTANDING (MOU): This is a formal agreement between

the Food and Drug Administration and another Government Agency (Federal, State,

local) or an informal agreement with foreign governments or other foreign institutions. 

See Staff Manual Guides (SMG) 2820.1 and 2830.1. The agreement does not involve a

transfer of personnel, or a transfer of funds or real property (Agreements calling for 

transfer of personnel, funds, or real property are considered Interagency Agreements,

see SMG 2810.1).

MIS: Management information system.

MODUS OPERANDI: Manner of operating.

MOTION: A written or oral application to a court or judge, which requests a ruling or 

order in favor of the applicant.

MUTUAL RECOGNITION AGREEMENT (MRA): A type of memorandum of

understanding that provides for the mutual assessment of the comparability of specific 

FDA programs or activities with those of a foreign regulatory authority. An MRA is 

suitable as an equivalence agreement when it can be determined that FDA's controls 

and the foreign regulatory authority's controls are comparable and are designed to

provide the same level of protection. With respect to MRAs for good manufacturing

practices (GMPs), this term means that the agency has determined that another 

country’s regulatory system for GMPs (i.e., regulations, inspection procedures and

enforcement) provides at least the same level of consumer protection as FDA’s system.

NAI: No action indicated.

NCBFAA: National Customs Brokers & Forwarders Association of America, Inc.

NO-TOBACCO-SALE ORDER: An agency order that temporarily or permanently

prohibits an individual retail outlet from selling tobacco products. All permanent orders 

shall include provisions that allow the outlet, after a specified period of time, to request

that the agency compromise, modify, or terminate the order (see FD&C Act Section

303(f)).

NOTARY PUBLIC: A person authorized by the state in which they reside to administer 

an oath of truth to a person making an affidavit, and to apply their signature and seal or 

stamp to attest to the oath.

OASIS: Operational and Administrative System for Import Support.

ODNR: See Originally Detained Now Released.

OFFICIAL COMPENDIA: See FD&C Act Section 201(g)(1)(A).

OFFICIAL SAMPLES: A sample taken from a lot for which Federal jurisdiction can be 

established. If violative, the official sample provides a basis for administrative or legal 

action. Official samples generally, but not always, consist of a physical portion of the lot 
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sampled. See 21 CFR 2.10 for requirements regarding official samples of food, drugs, 

or cosmetics collected for analysis.

ORA: Office of Regulatory Affairs.

ORDER: A formal written statement from a Court, requiring action or simply stating a 

ruling.

ORIGINALLY DETAINED NOW RELEASED (ODNR): Notice to importer that detained 

merchandise has been satisfactorily shown to be in compliance with the law and is now 

released.

PACKER/REPACKER: See Establishment. PACKING LIST: Inventory of contents. 

PDMA: Prescription Drug Marketing Act.

PENALTY: Damages assessed against an importer or broker, usually connected with 

failure to redeliver merchandise.

PENALTY CASE: See Bond Action.

PERMANENT INJUNCTION: A Decree of Permanent Injunction may be entered at any 

time after the complaint is filed, either following a hearing or as a result of a negotiated 

settlement. Defendants in an injunction proceeding may consent to a Decree of 

Permanent Injunction just as they consent to a Consent Decree of Condemnation in a 

seizure action.

Should the defendant not consent to such a decree, a trial is held in which, to prevail,

the government must prove each element of its case by a preponderance of the

evidence. As its name implies, a Decree of Permanent Injunction remains in effect until 

it is dissolved by an order of the court.

A Decree of Permanent Injunction perpetually restrains the defendants from engaging

in specified violative practices and remains in force until termination.

PERSONAL BAGGAGE ENTRY: See Entry.

PLAINTIFF: The party who institutes the lawsuit; the opposite of the defendant. The 

government is the plaintiff in all the actions it initiates. When the Government is sued,

the suing party is the plaintiff in the action.

PLANT PROTECTION AND QUARANTINE (PPQ): A division within USDA's Animal 

and Plant Health Inspection Service (APHIS) that prohibits or restricts the entry of

foreign pests and plants, plant products, animal products and byproducts, and other 

materials that may harbor pests or disease. Other responsibilities include the inspection

and certification of domestic commodities for export, regulation of the import and export

of endangered plant species, and ensuring that imported seed is free of noxious weeds.
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PLEADINGS: The papers filed in court to initiate and defend a suit, such as the

Complaint, and Answer, setting forth the allegations and defense in the case. The

written statements of fact and law filed by the parties to a lawsuit.

PORT (POINT) OF ENTRY: The Customs locations where the consumption entry is 

made. This may or may not be at the Port of Unloading.

PORT OF LOADING: The location where the final Bill of Lading is issued prior to

shipment to the U.S. This may or may not be the country of origin.

PORT (POINT) OF UNLOADING OR DISCHARGING: The location where the 

merchandise is unloaded from the carrier. This may or may not be at the Port of Entry.

POST-SEIZURE SAMPLES (PREFIX "P.S."): A representative sample collected under 

court order from goods under seizure.

PPQ: See Plant Protection and Quarantine.

PRELIMINARY INJUNCTION: Court order requiring action or forbidding action until a 

decision can be made whether to issue a permanent injunction. Whether or not a 

Temporary Restraining Order (TRO) has been obtained, a Motion for Preliminary

Injunction is subject to a full hearing in which (1) evidence by affidavit, and/or (2) 

testimony of witnesses is presented, depending on the practice of the court. Once the

motion is granted, or the defendants consent to the entry of a decree, the preliminary

injunction is in effect.

A preliminary injunction may stand indefinitely on the court record until the case is 

settled or a permanent injunction has been entered, after trial. A preliminary injunction

may be dismissed, or the court, at the request of either party, may set a trial for 

permanent injunction at any time.

PREPONDERANCE OF EVIDENCE: The common standard of proof in civil cases. To 

prevail, the party bearing the burden of proof must present evidence which is more 

convincing than that presented by the opposing party; and which as a whole shows that

the fact to be proven is more probable than not.

PRE-SENTENCE INVESTIGATION: Many courts request an investigation of convicted 

parties prior to the imposition of sentence. These investigations are conducted by the

U.S. Probation Officer, and are governed by Rule 32(c) of the Federal Rules of Criminal 

Procedure.

PRE-TRIAL CONFERENCE: A meeting between the Court and the attorneys for the 

parties in preparation for trial. One use of a pre-trial conference is to consider ways to

limit the issues for trial through admissions or agreements of counsel.

PRIMA FACIE EVIDENCE: Evidence sufficient to establish the allegations in the

Complaint unless refuted by some evidence to the contrary.
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PRIOR NOTICE: The FDA policy of notifying an individual or firm of a violation of the 

Federal FD&C Act, or other acts, when voluntary correction is an appropriate initial 

response to the violation. This policy is also commonly referred to as "Prior Warning."

PRIVATE LABORATORIES: Independent laboratories providing analytical services to 

importers, customshouse brokers, and others.

PRODUCT PROBLEM AREAS (PPAS): Also known as import targeting. This term is 

used to describe a program where FDA targets (samples and analyzes) specific 

imported products over a specific period. It can also include investigating certain importrelated practices over a specified period of time.

PRO FORMA: As a matter of form. Provided or made in advance to describe items or 

projections. Example: a pro forma invoice.

PRO FORMA INVOICE: Importer's statement of value or the price paid in the form of

an invoice.

PROCEDURE IN ADMIRALTY: Seizure actions taken pursuant to the FD&C Act are

(per Section 304(b)) to be in conformity with the procedure in admiralty, which means 

the Government may initiate confiscation of articles it deems to be contraband without

having to first show proof of the allegation or responsibility for the violation.

PROMULGATE: To publish; to announce officially, e.g., to promulgate new regulations 

pursuant to the FD&C Act.

PROSECUTION: The institution of a criminal proceeding against a person.

QUICK COLOR TEST (QCT): A field screening technique used by FDA personnel to 

detect lead in ceramicware.

RARE DISEASE OR CONDITION: A rare disease or condition is one that affects less 

than 200,000 persons in the United States or that affects more than 200,000 persons in

the United States, but the drug sponsor has no reasonable expectation of recovering 

development costs through U.S. sales. (Section 526 of the Act.)

RCHSA: Radiation Control for Health and Safety Act covers radiation emitting

electronic products and devices. These include x-ray machines, TVs, compact disc 

players, microwave ovens, and tanning beds. See Sections 531- 542 of the Act.

REBUTTAL: An answer or response to a statement. To refute, oppose, or contradict

that which has been stated. Evidence disproving other evidence previously given or 

reestablishing the credibility of challenged evidence.

RECALL: A "recall" is a firm's removal or correction of marketed products, including its 

labeling and/or promotional materials, that FDA considers to be in violation of the laws it 

administers. The agency would initiate legal action for example, seizure or other 
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administrative or civil actions available to the agency if the product was not recalled. 

Recall does not include market withdrawal or a stock recovery.

RECALL CLASSIFICATION: "Recall classification" is a numerical designation, I, II, or 

III, that is assigned by FDA to a particular product recall that indicates the relative

degree of health hazard.

1. Class I is a situation in which there is a reasonable probability (strong likelihood) 

that the use of, or exposure to, a violative product will cause serious adverse

health consequences or death.

2. Class II is a situation in which the use of, or exposure to, a violative product may 

cause temporary or medically reversible adverse health consequences or where

the probability of serious adverse health consequences is remote.

3. Class III is a situation in which the use of, or exposure to, a violative product is 

not likely to cause adverse health consequences.

RECALL COMPLETED/RECALL TERMINATED: Recall completed is the classification 

status used for monitoring purposes when the recall action reaches the point at which

the firm has actually retrieved and impounded all outstanding product that could

reasonably be expected to be recovered, or has completed all product corrections.

Recall terminated is the monitoring classification used to indicate that FDA has 

determined that all reasonable efforts have been made to remove or correct the

violative product in accordance with the recall strategy, and proper disposition has been

made according to the degree of hazard.

RECALLING FIRM: "Recalling firm" means the firm that initiates a recall or, in the case

of an FDA requested recall, the firm that has primary responsibility for the manufacture

and (or) marketing of the product to be recalled.

RECALL NUMBER: A "recall number" is the number assigned to the recall of one

product regardless of package size, lot numbers, or private buyers' labels, provided the

labels are otherwise identical. If a manufacturer requests a wholesaler, distributor, or 

relabeler to extend the recall to a lower level (assuming no change of the product has 

occurred), the same recall number assigned to the manufacturer will be used. If the

recalled product has undergone a change due to further processing or use as an

ingredient or component in a new product, or has had the directions or indications for 

use changed, it will be considered a different product and its recall will be the

responsibility of the firm responsible for the change. FDA will then assign a separate

recall number.

RECALL STRATEGY: The planned course of action to be carried out by the firm in the 

achievement of its recall goals. The strategy will normally be developed by the recalling 

firm following 21 CFR, Part 7, Subpart C, Recalls. For FDA requested recalls, the

agency will recommend a strategy to the recalling firm.
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RECONDITION: The process of reworking a lot of goods under seizure pursuant to a 

Consent Decree of Condemnation, in an attempt to bring the goods into compliance

with the Act.

RECONDITIONING: A process by which the importer of record, owner, or consignee

may submit to FDA a written application requesting permission to bring into compliance

any article, adulterated, misbranded, or in violation of Section 505 by relabeling or other 

action, or by rendering it other than a food, drug, device, or cosmetic.

REDELIVERY BOND: See Entry Bond.

REEFER CARGO: Refrigerated cargo.

RE-EXPORT (RE-EXPORTATION): A term used to identify goods shipped out of the

U.S. after being offered for entry. This is not the same as an export of U.S.

manufactured goods and is not covered by the restrictions in Section 801(e) of the

FD&C Act.

RELABELING: The application of different labels to a product.

RELEASE WITH COMMENT: FDA Release Notice advising the importer the goods 

offered for entry are released but appear to have minor violations which the agency, in

the exercise of its enforcement discretion, has refrained from enforcing at this time, and

that future entries violating the Act may be detained.

RELEASED WITHOUT EXAMINATION: Form FDA-717 amended. A notice to the 

importer that FDA is releasing an entry for which a Notice of Sampling was issued, and

the sample was collected but was not examined.

RES: Things, includes real and personal property.

RES JUDICATA: A matter finally decided on its merits by a court having competent 

jurisdiction and not subject to litigation again between the same parties. For example, if

a product has been seized for misbranding and adjudicated by order of a Court, the

same article with the same labeling containing the same misbranding may be seized 

subsequently and summary judgment obtained without a trial.

RESPONDENT: One who answers; as in Notice of Hearing, the response is given by

the party to whom notice is given - he then is the respondent. In an appeal, the party

who contends against the appeal, the appellee.

RETURN DATE: After a lot has been seized by the U.S. Marshal, the court allows a

period of time so that a claimant may appear. The date this interval expires is known as 

the "return date". This date varies according to judicial district. If no one appears as 

claimant before expiration of the return date in the proceedings, the U.S. Attorney will 

secure a default decree of condemnation, forfeiting and disposing of the article.
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RETURN OF SERVICE: The person serving the process shall make proof of service to

the court.

REVERSAL: The act of a higher court in setting aside or revoking a lower court order or 

verdict; i.e., an appellate court may reverse a decision, rendered by a district court.

REVOCATION: Is the cancellation of a license and the withdrawal of the authorization

to ship a biological product for sale, barter, or exchange in interstate commerce either 

at the request of the manufacturer or when grounds exist for the agency to initiate such

an action.

REVOCATION OF PROBATION: If a person convicted of a criminal charge is placed

on probation by the Court, the probation may be revoked if, during the period of

probation, the person violates the law or the conditions of probation.

RFDD: Regional Food and Drug Director.

ROGATORY LETTERS: A written request from a judge in one state to a judge in

another, asking that the latter take the testimony of a witness. FDA considers testimony

in response to rogatory letters to be covered by 21 CFR 20.1.

RPM: Regulatory Procedures Manual.

SAIL: State Action Information Letter. 

SALVAGE OPERATION: See Establishment.

SAMPLE JACKET: The file containing the investigational, analytical, and compliance

or regulatory recommendation and legal documents on any civil or criminal case.

SECTION 305 MEETING: A meeting prior to consideration of criminal proceedings that

is provided pursuant to Section 305 of the Act.

SEGREGATION: See Recondition.

SEIZURE: An action brought against an FDA-regulated product because it is 

adulterated and/or misbranded within the meaning of the FD&C Act. The purpose of 

such an action is to remove specific violative goods from commerce.

SELECTIVITY: U.S. Customs' entry screening mechanism. Criteria can include

information concerning the importer, filer (broker), manufacturer, country, or 

Harmonized Tariff Schedule (HTS) code.

SENTENCE: The judgment formally pronounced by the court upon the defendant after 

his conviction in a criminal prosecution.
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SERVICE: The delivery of a writ, summons, subpoena, or other notice to the party

named in the document, thereby officially notifying him of some action or step which he

is commanded to take or not to take.

SHIP-TO-SHIP COVERAGE: An import coverage approach providing for placing of

FDA inspectors and analysts at a point of cargo discharge for the purpose of sampling

and examination of merchandise as it is being unloaded from a carrier.

SHIPPER: See Establishment.

SPLIT SAMPLES: A sample that is divided into two or more portions for analysis by two

or more laboratories.

SPONSOR: The sponsor of a work-sharing agreement is the FDA office assigned

primary responsibility in the proposed agreement.

STANDARDS: The term applied to formal statements of Definitions and Standards for

Foods promulgated pursuant to Section 401, FD&C Act.

STATUTE OF LIMITATIONS: This is the period in which any criminal action

contemplated must be brought. In all FDC matters, the period is five (5) years; if no

prosecution is filed within that time, FDA may not proceed. 18 U.S.C. 3282.

STOCK RECOVERY: "Stock recovery" means a firm's removal or correction of a

product that has not been marketed or that has not left the direct control of the firm. The

product is located on premises owned by, or under the control of, the firm and no

portion of the lot has been released for sale or use.

STRIPPING (OF CONTAINERS): The removal of all articles from a container for 

examination or sampling purposes. This is also known as "devanning."

SUB-ACCOUNTS: "Sub-accounts" are consignees, either domestic or foreign, who 

received shipments of the recalled product from other than the recalling firm. This 

includes wholesalers, assemblers, and other distributors.

SUBPOENA: A court order commanding a witness to appear at a certain time and

place to testify on a certain matter. For purposes of this section, a “subpoena” means a

subpoena for verbal or written testimony (e.g., an affidavit). A subpoena for testimony

also might include a request for records. In that case, FDA would process the subpoena

under 21CFR 20.1 and 20.2.

SUBPOENA DUCES TECUM: A court order commanding a witness to produce

documents at a certain time and place. FDA processes these subpoenas, which are

intended for the production of records, under 21 CFR 20.2.

SUMMARY JUDGMENT: A judgment given to one party or the other without the

necessity of a formal trial. This may be done when the record before the court shows 

there are no genuine issues of fact that are in dispute.
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SUMMARY AND RECOMMENDATION (S&R): The written justification from the

Division in its request for institution of a criminal prosecution.

SUMMONS: In a civil suit, a document that is served upon the defendant along with the 

complaint, advising him that a case has been filed against him, and requiring him to

appear and answer the complaint within a specified time.

SUPERVISORY CHARGES: The charges for supervising the reconditioning and 

examination of articles that an importer, owner, or consignee attempts to bring into 

compliance after detention (See 21 CFR 1.99).

SURVEY SAMPLES: Samples obtained during a survey that is a planned operation in 

which the primary objective is to gather information on labeling, production, or 

marketing practices regarding a certain product or class of products.

Injury, poisoning, and complaint investigation samples where there is no interstate 

documentation available.

Samples collected in connection with Civil Defense activities.

General investigational samples collected to provide information of interest to the 

Administration, such as methods development and interpretation.

SUSPENSION: Means the immediate withdrawal by FDA of the authorization to

introduce or deliver for introduction into interstate commerce a biological product. 

Suspension is a summary action taken by the agency when there is a reasonable belief

that any of the grounds for revocation of a license exist and by reason thereof there is a

danger to health.

TEMPORARY ABEYANCE (TA): The holding of samples in abeyance for possible

future regulatory action.

TEMPORARY RESTRAINING ORDER (TRO): Temporary restraining orders are courtenforced cease and desist orders that are brought to control an emergency situation. A 

TRO seeks immediate, temporary relief (for a period of 10 days, which may be

extended for 10 additional days) prior to the hearing for preliminary injunction.

FDA recommends a TRO when the agency believes that the violation is so serious that

it must be controlled immediately. A request for a TRO also has the effect of expediting 

review of the underlying injunction case by the court. An inadequately documented TRO 

request may result in the court viewing the entire injunction action as lacking credibility.

At the court's discretion, the TRO request may be subjected to a hearing, but usually

the court hears the matter ex parte by reviewing the documents and questioning

government counsel, the FDA investigator, the Division compliance officer, or other 

FDA personnel.
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An emergency remedy of brief duration issued by a court only in exceptional 

circumstances, usually when immediate or irreparable damages or loss might result

before the opposition could take action.

TESTIMONY: For purposes of this section, testimony is an individual’s statement given

in writing (such as an affidavit or a declaration) or by appearance under oath at a 

proceeding. The statement might be in response to a deposition or interrogatories. 

Testimony is covered by 21 CFR 20.1.

TOBACCO RETAIL COMPLIANCE CHECK INSPECTIONS: Inspections of tobacco 

product retailers conducted by FDA or FDA-commissioned personnel to determine a 

retailer’s compliance with the Federal Food, Drug, and Cosmetic Act, as amended by

the Family Smoking Prevention and Tobacco Control Act and its implementing

regulations, with regard to tobacco products.

TRANSPORTATION AND EXPORTATION (T&E): See Entry.

TRANS-SHIPMENT: Merchandise transferred from one conveyance to another form of 

conveyance while enroute to the port of unloading or discharging.

USDA: U.S. Department of Agriculture.

VAI: voluntary action indicated.

VALUE OF ENTRY: The value of an entry used by Customs to determine the rate of

duty and entry bond amount.

VENUE: The proper location for the trial of a case.

VERDICT: The decision of a jury after a trial.

WALK-BY EXAMINATION: A rapid inspection of imported articles conducted by FDA

field personnel. Although the inspection is rapid, it should be thorough enough to

determine whether a sample should be collected. The examination usually consists of a

visual examination for water damage, and breakage.

WAREHOUSE: See Establishment.

WAREHOUSE ENTRY: See Entry.

WARRANT (FOR ARREST): A writ, directed to the marshal or other proper officer, 

requiring him to arrest the defendant or article named and bring him before the court or 

U.S. magistrate.

WAYBILL: This record accompanies the shipment during transit.
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WHARF EXAMINATION: The examination of a product in import status, sufficient in

scope to determine whether the product is in compliance with the Acts enforced by

FDA.

WITNESS: A person who will appear to present evidence as testimony in any

proceeding in a lawsuit. An expert witness is one who is skilled in some art, science,

trade, profession, or other human activity, and may give opinions while under oath. A

fact witness may not express opinions while testifying.

WORKSHEET: A document on which the analyst records his analytical work and

findings.

WRIT: An order of the court.

WORK-SHARING: This term describes any arrangement between FDA and state or 

local agencies in which the parties agree to assume a portion of the activities necessary

to fulfill common responsibilities. These arrangements are usually with state agencies 

having regulatory responsibilities that are essentially the same as FDA's. Ideally, these 

arrangements should be formalized by written memoranda.