Document ID: FDA-2013-N-0297-0001
Agency: fda
Document Type: Notice
Title: Agency Information Collection Activities; Proposals, Submissions, and Approvals: Prevention of Salmonella Enteritidis in Shell Eggs During Production
Posted Date: 2013-03-27T04:00Z

[Federal Register Volume 78, Number 59 (Wednesday, March 27, 2013)]
[Notices]
[Pages 18605-18609]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-07032]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2013-N-0297]

Agency Information Collection Activities; Proposed Collection; 
Comment Request; Prevention of Salmonella Enteritidis in Shell Eggs 
During Production--Recordkeeping and Registration Provisions

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice.

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SUMMARY: The Food and Drug Administration (FDA or we) is announcing an 
opportunity for public comment on our proposed collection of certain 
information. Under the Paperwork Reduction Act of 1995 (the

[[Page 18606]]

PRA), Federal Agencies are required to publish notice in the Federal 
Register concerning each proposed collection of information, including 
each proposed extension of an existing collection of information, and 
to allow 60 days for public comment in response to the notice. This 
notice solicits comments on the information collection provisions of 
FDA's recordkeeping and registration requirements for shell egg 
producers.

DATES: Submit either electronic or written comments on the collection 
of information by May 28, 2013.

ADDRESSES: Submit electronic comments on the collection of information 
to http://www.regulations.gov. Submit written comments on the 
collection of information to the Division of Dockets Management (HFA-
305), Food and Drug Administration, 5630 Fishers Lane, Rm. 1061, 
Rockville, MD 20852. All comments should be identified with the docket 
number found in brackets in the heading of this document.

FOR FURTHER INFORMATION CONTACT: Domini Bean, Office of Information 
Management, Food and Drug Administration, 1350 Piccard Dr., PI50-400B, 
Rockville, MD 20850, 301-796-5733, domini.bean@fda.hhs.gov.

SUPPLEMENTARY INFORMATION: Under the PRA (44 U.S.C. 3501-3520), Federal 
Agencies must obtain approval from the Office of Management and Budget 
(OMB) for each collection of information they conduct or sponsor. 
``Collection of information'' is defined in 44 U.S.C. 3502(3) and 5 CFR 
1320.3(c) and includes Agency requests or requirements that members of 
the public submit reports, keep records, or provide information to a 
third party. Section 3506(c)(2)(A) of the PRA (44 U.S.C. 3506(c)(2)(A)) 
requires Federal Agencies to provide a 60-day notice in the Federal 
Register concerning each proposed collection of information, including 
each proposed extension of an existing collection of information, 
before submitting the collection to OMB for approval. To comply with 
this requirement, we are publishing notice of the proposed collection 
of information set forth in this document.
    With respect to the following collection of information, we invite 
comments on these topics: (1) Whether the proposed collection of 
information is necessary for the proper performance of FDA's functions, 
including whether the information will have practical utility; (2) the 
accuracy of FDA's estimate of the burden of the proposed collection of 
information, including the validity of the methodology and assumptions 
used; (3) ways to enhance the quality, utility, and clarity of the 
information to be collected; and (4) ways to minimize the burden of the 
collection of information on respondents, including through the use of 
automated collection techniques, when appropriate, and other forms of 
information technology.

Prevention of Salmonella Enteritidis in Shell Eggs During Production--
Recordkeeping and Registration Provisions--21 CFR 118.10 and 118.11 
(OMB Control Number 0910-0660)--Extension

    Shell eggs contaminated with Salmonella Enteritidis (SE) are 
responsible for more than 140,000 illnesses per year. The Public Health 
Service Act (PHS Act) authorizes the Secretary of Health and Human 
Services to make and enforce such regulations as ``are necessary to 
prevent the introduction, transmission, or spread of communicable 
diseases from foreign countries into the States * * * or from one State 
* * * into any other State'' (section 361(a) of the PHS Act). This 
authority has been delegated to the Commissioner of Food and Drugs. 
Under section 402(a)(4) of the Federal Food, Drug, and Cosmetic Act 
(the FD&C Act) (21 U.S.C. 342(a)(4)), a food is adulterated if it is 
prepared, packed, or held under insanitary conditions whereby it may 
have been contaminated with filth or rendered injurious to health. 
Under section 701(a) of the FD&C Act (21 U.S.C. 371(a)), FDA is 
authorized to issue regulations for the efficient enforcement of the 
FD&C Act.
    On July 9, 2009, FDA published in the Federal Register a final rule 
that established a regulation at part 118 (21 CFR part 118) entitled 
``Prevention of Salmonella Enteritidis in Shell Eggs During Production, 
Storage, and Transportation'' (74 FR 33030) (the Shell Eggs final 
rule). Part 118 requires shell egg producers to implement measures to 
prevent SE from contaminating eggs on the farm and from further growth 
during storage and transportation, and requires these producers to 
maintain records concerning their compliance with the rule and to 
register with FDA. As described in more detail with regard to each 
information collection provision of part 118, each farm site with 3,000 
or more egg-laying hens that sells raw shell eggs to the table egg 
market, other than directly to the consumer, must refrigerate, 
register, and keep certain records. Farms that do not send all of their 
eggs to treatment are also required to have an SE prevention plan and 
to test for SE.
    Section 118.10 of FDA's regulations requires recordkeeping for all 
measures the farm takes to prevent SE in its flocks. Since many 
existing farms participate in voluntary egg quality assurance programs, 
those respondents may not have to collect any additional information. 
Records are maintained on file at each farm site and examined there 
periodically by FDA inspectors.
    Section 118.10 also requires each farm site with 3,000 or more egg-
laying hens that sells raw shell eggs to the table egg market, other 
than directly to the consumer, and does not have all of the shell eggs 
treated, to design and implement an SE prevention plan. Section 118.10 
requires recordkeeping for each of the provisions included in the plan 
and for plan review and modifications if corrective actions are taken.
    Finally, Sec.  118.11 of FDA's regulations requires that each farm 
covered by Sec.  118.1(a) register with FDA using Form FDA 3733. The 
term ``Form FDA 3733'' refers to both the paper version of the form and 
the electronic system known as the Shell Egg Producer Registration 
Module, which is available at http://www.access.fda.gov. The Agency 
strongly encourages electronic registration because it is faster and 
more convenient. The system the Agency has developed can accept 
electronic registrations 24 hours a day, 7 days a week. A registering 
shell egg producer will receive confirmation of electronic registration 
instantaneously once all the required fields on the registration screen 
are completed. However, paper registrations will also be accepted. Form 
FDA 3733 is available for download for registration for submission by 
mail or CD-ROM (see http://www.fda.gov/Food/GuidanceRegulation/FoodFacilityRegistration/ShellEggProducerRegistration/ucm217952.htm#cdrom).
    Recordkeeping and registration are necessary for the success of the 
SE prevention measures. Written SE prevention plans and records of 
actions taken due to each provision are essential for farms to 
implement SE prevention plans effectively. Further, they are essential 
for us to be able to determine compliance. Information provided under 
these regulations helps us to notify quickly the facilities that might 
be affected by a deliberate or accidental contamination of the food 
supply. In addition, data collected through registration is used to 
support our enforcement activities.
    Description of Respondents: Respondents to this information 
collection include farm sites with 3,000 or more egg-laying hens that 
sell raw

[[Page 18607]]

eggs to the table egg market, other than directly to the consumer.
    We estimate the burden of this collection of information as 
follows:

Recordkeeping Burden

                               Table 1--Estimated Annual Recordkeeping Burden \1\
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                                      No. of      No. of records                      Average
 Description and 21 CFR section    recordkeepers        per        Total annual     burden per      Total hours
                                        \2\        recordkeeper       records      recordkeeping
----------------------------------------------------------------------------------------------------------------
Refrigeration Records, Sec.                2,600              52         135,200             0.5          67,600
 118.10(a)(3)(iv)...............
Testing, Diversion, and                      343              52          17,836             0.5           8,918
 Treatment Records, Sec.
 118.10(a)(3)(v) to (a)(3)(viii)
 (positive) \3\.................
Egg Testing, Sec.                            331               7           2,317             8.3          19,231
 118.10(a)(3)(vii)..............
Environmental Testing, Sec.                6,308              23         145,084            0.25          36,271
 118.10(a)(3)(v) \3\............
Testing, Diversion, and                    5,965               1           5,965             0.5           2,983
 Treatment Records, Sec.
 118.10(a)(3)(v) to (a)(3)(viii)
 (negative) \3\.................
Prevention Plan Review and                   331               1             331              10           3,310
 Modifications, Sec.
 118.10(a)(4)...................
Chick and Pullet Procurement               4,731               1           4,731             0.5           2,366
 Records, Sec.   118.10(a)(2)...
Rodent and Other Pest Control,             9,462              52         492,024             0.5         246,012
 Sec.   118.10(a)(3)(ii), and
 Biosecurity Records, Sec.
 118.10(a)(3)(i)................
Prevention Plan Design, Sec.                 150               1             150              20           3,000
 118.10(a)(1)...................
Cleaning and Disinfection                    331               1             331             0.5             166
 Records, Sec.
 118.10(a)(3)(iii)..............
                                 -------------------------------------------------------------------------------
    Total hours.................  ..............  ..............  ..............  ..............        389,857
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\1\ There are no capital costs or operating and maintenance costs associated with this collection of
  information.
\2\ Some records are kept on a by-farm basis and others are kept on a by-house basis.
\3\ Calculations include requirements for pullet and layer houses.

    FDA is retaining most of the estimates published in the Shell Eggs 
final rule with regard to the estimated number of respondents and the 
average burden per recordkeeping (74 FR 33030 at 33089 to 33091). FDA 
bases the remaining recordkeeping burden estimates and the reporting 
burden estimates on its experience implementing the final rule and the 
number of registrations and cancellations received in the past 3 years.
    The number of recordkeepers estimated in column 2 of table 1 and 
all other estimates discussed in this section are drawn from estimates 
of the total number of layer and pullet houses affected by the Shell 
Eggs final rule (74 FR 33030 at 33078 to 33080). In the final rule, we 
assumed that those farms that were operating according to recognized 
industry or State quality assurance plans were already largely in 
compliance with the plan design and recordkeeping provisions discussed 
in this section, and therefore would not experience additional costs to 
comply with recordkeeping provisions. We found that 59 percent of farms 
with more than 50,000 layers were members of State or industry quality 
assurance plans. Fewer than 8 percent of farms with fewer than 50,000 
layers were members of quality assurance plans. Thus, we estimated the 
number of layer farms incurring a new recordkeeping burden because of 
the Shell Eggs final rule to be 2,600, and the number of houses 
affected to be 4,731. A detailed breakdown of this estimation is shown 
in table 29 of the Shell Eggs final rule (74 FR 33030 at 33078).
    Prevention plan design (Sec.  118.10(a)(1)) records will be kept on 
a per farm basis but because the Shell Eggs final rule has been fully 
implemented, FDA assumes that new prevention plan design will only be 
undertaken by new entrants to the industry. Refrigeration records 
(Sec.  118.10(a)(3)(iv)) will also be kept on a per farm basis so the 
estimated number of recordkeepers for this provision is 2,600.
    Records of chick and pullet procurement (Sec.  118.10(a)(2)), 
rodent and other pest control (Sec.  118.10(a)(3)(ii)), and biosecurity 
(Sec.  118.10(a)(3)(i)) will be kept on a per house basis, so the 
estimated number of recordkeepers for these provisions is 4,731.
    Records of cleaning and disinfection (Sec.  118.10(a)(3)(iii)) will 
also be kept on a per house basis, but will only need to be kept in the 
event that a layer house tests environmentally positive for SE. 
Prevention plan review and modifications (Sec.  118.10(a)(4)) will also 
need to be performed every time a house tests positive. As discussed in 
section V.F of the Shell Eggs final rule (74 FR 33030 at 33078 to 
33080), FDA estimated that 7.0 percent will test positive after the 
provisions of the rule took effect. Therefore, the number of 
recordkeepers for these provisions is estimated to be 331 (4,731 houses 
x 0.070) annually.
    Records of testing, diversion, and treatment (118.10(a)(3)(v) to 
(a)(3)(viii)) will be kept on a per house basis and will include 
records on flocks from pullet houses. In the Shell Eggs final rule, FDA 
estimated that there are one third as many pullet houses as there are 
layer houses. Therefore the total number of recordkeepers for these 
provisions is 6,308 (4,731 + (4,731/3)). The number of annual records 
kept depends on whether or not houses test positive for SE. Annually, 
343 layer and pullet houses ((4,731 layer houses x 0.070) + ((4731/3 
pullet houses) x 0.0075)) are expected to test positive and 5,965 are 
expected to test negative ((4,731 layer houses x 0.930) + ((4731/3 
pullet houses) x 0.9925)).
    We assume that refrigeration records will be kept on a weekly basis 
on a per farm basis under Sec.  118.10(a)(3)(iv)). We estimate that 
2,600 recordkeepers will maintain 52 records each for a total of 
135,200 records and that it will take approximately 0.5 hour per 
recordkeeping. Thus, the total annual burden for refrigeration records 
is estimated to be 67,600 hours (135,200 x 0.5 hour).
    We assume that records of testing, diversion, and treatment under 
Sec.  118.10(a)(3)(v) to (a)(3)(viii)) will be kept weekly in the event 
a layer house tests environmentally positive for SE. We estimate that 
343 layer and pullet houses will test positive and thus 343 
recordkeepers will maintain 52 records each for a total of 17,836 
records and that it will take approximately 0.5 hour per recordkeeping. 
Thus, the total annual burden for testing, diversion, and treatment 
records in the event of a positive test result is estimated to be 8,918 
hours (17,836 x 0.5 hour).
    Given a positive environmental test for SE., we estimate the 
weighted average number of egg tests per house

[[Page 18608]]

under Sec.  118.10(a)(3)(vii)) to be 7. We estimate that 331 
recordkeepers will maintain 7 records each for a total of 2,317 records 
and that it will take approximately 8.3 hours per recordkeeping. Thus, 
the total annual burden for egg testing is estimated to be 19,231 hours 
(2,317 x 8.3 hours).
    FDA estimates that all 1,577 pullet and 4,731 layer houses not 
currently testing (6,308 recordkeepers) will incur the burden of a 
single environmental test annually under Sec.  118.10(a)(3)(v)). The 
number of samples taken during the test depends on whether a farm 
employs the row based method (an average of 12 samples per house) or 
the random sampling method (32 samples per house). For the purposes of 
this analysis we estimate that roughly 50 percent of the houses 
affected will employ a row based method and 50 percent will employ a 
random sampling method, implying an average of 23 samples per house. 
Thus, we estimate that 6,308 recordkeepers will take 23 samples each 
for a total of 145,084 samples. The time burden of sampling is 
estimated on a per swab sample basis. We estimate that it will take 
approximately 15 minutes to collect and pack each sample. Thus, the 
total annual burden for environmental testing is estimated to be 
36,271hours (145,084 x 0.25 hour).
    We estimate that records of testing, diversion, and treatment under 
Sec.  118.10(a)(3)(v) to (a)(3)(viii) will be kept annually in the 
event a layer house tests environmentally negative for SE. We estimate 
that 5,965 layer and pullet houses will test negative and thus 5,965 
recordkeepers will maintain one record of that testing that will take 
approximately 0.5 hour per record. Thus, the total annual burden for 
testing, diversion, and treatment records in the event of a negative 
test result is estimated to be 2,983 hours (5,965 x 0.5 hour).
    Prevention plan review and modifications under Sec.  118.10(a)(4) 
will need to be performed every time a house tests positive. As 
discussed, we estimate that 331 layer houses will test positive 
requiring plan review and modifications and that it will take 10 hours 
to complete this work. Thus, the total annual burden for prevention 
plan review and modifications in the event of a positive test result is 
estimated to be 3,310 hours (331 x 10 hours).
    We estimate that chick and pullet procurement records under Sec.  
118.10(a)(2) will be kept roughly once annually per layer house basis. 
We estimate that 4,731 layer houses will maintain 1 record each and 
that it will take approximately 0.5 hour per recordkeeping. Thus, the 
total annual burden for chick and pullet procurement recordkeeping is 
estimated to be 2,366 hours (4,731 x 0.5 hour).
    We estimate that rodent and other pest control records under Sec.  
118.10(a)(3)(ii)) and biosecurity records under Sec.  118.10(a)(3)(i) 
will be kept weekly on a per layer house basis. We assume that 4,731 
layer houses will maintain a weekly record under each provision. Thus, 
we estimate 9,462 recordkeepers will maintain 52 records each for a 
total of 492,024 records. We estimate a recordkeeping burden of 0.5 
hours per record for a total of 246,012 burden hours (492,024 x 0.5 
hour).
    New prevention plan design required by Sec.  118.10(a)(1) will only 
be undertaken by new farms and records will be kept on a per farm 
basis. We estimate that there are 150 new farm registrations annually 
and we assume that this reflects 150 new farms requiring prevention 
plan design. We estimate that it will take 20 hours to complete this 
work. Thus, the total annual burden for prevention plan design is 
estimated to be 3,000 hours (150 x 20 hours).
    Cleaning and disinfection recordkeeping under Sec.  
118.10(a)(3)(iii) will need to be performed every time a house tests 
positive. As discussed, we estimate that 331 layer houses will test 
positive requiring 1 record each and that it will take approximately 
0.5 hour per recordkeeping. Thus, the total annual burden for cleaning 
and disinfection recordkeeping in the event of a positive test result 
is estimated to be 166 hours (331 x 0.5 hour).

Reporting Burden

                                                     Table 2--Estimated Annual Reporting Burden \1\
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                                                                                              No. of
      Description and 21 CFR section                FDA form No.              No. of       responses per   Total annual   Average burden    Total hours
                                                                            respondents     respondent       responses     per response
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Registrations or Updates, Sec.   118.11...  Form FDA 3733 \2\...........             150               1             150             2.3             345
Cancellations, Sec.   118.11..............  Form FDA 3733...............              15               1              15               1              15
                                           -------------------------------------------------------------------------------------------------------------
    Total.................................  ............................  ..............  ..............  ..............  ..............             360
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\1\ There are no capital costs or operating and maintenance costs associated with this collection of information.
\2\ The term ``Form FDA 3733'' refers to both the paper version of the form and the electronic system known as the Shell Egg Producer Registration
  Module, which is available at http://www.access.fda.gov per Sec.   118.11(b)(1).

    This estimate is based on FDA's experience implementing the Shell 
Eggs final rule and the average number of new Shell Egg Producer 
registrations and cancellations received in the past 3 years under 
Sec.  118.11. Based on FDA experience with implementing the 
registration provisions of the Shell Eggs final rule, which had 
staggered compliance dates and gave producers with fewer than 50,000 
but at least 3,000 laying hens until July 9, 2012, to register (74 FR 
33030 at 33034), FDA expects that it will receive fewer registrations 
or updates each year over the next 3 years, reflecting compliance with 
the final rule's registration deadlines. FDA estimates that it will 
receive 200 registrations or updates in 2013, 150 registrations or 
updates in 2014, and 100 registrations or updates in 2015, for an 
average of 150 registrations or updates per year over the next 3 years. 
FDA received 12 cancellations in 2011 and 19 cancellations in 2012. 
Based on this experience, FDA estimates that it will receive 
approximately 15 cancellations per year over the next 3 years.
    FDA estimated in the Shell Eggs final rule that listing the 
information required by the final rule and presenting it in a format 
that will meet the Agency's registration regulations will require a 
burden of approximately 2.3 hours per average registration. As detailed 
in section V.F of the final rule (see 74 FR 33030 at 33080), FDA 
estimates that it will take the average farm 2.3 hours to register 
taking into account that some respondents completing the registration 
may not have readily available Internet access. Thus, the total annual 
burden for new Shell Egg Producer registrations or updates is estimated 
to be 345 hours (150 x 2.3 hours).
    FDA estimates cancelling a registration will, on average, require a

[[Page 18609]]

burden of approximately 1 hour, taking into account that some 
respondents may not have readily available Internet access. Thus, the 
total annual burden for cancelling Shell Egg Producer registrations is 
estimated to be 15 hours (15 cancellations x 1 hour).

    Dated: March 20, 2013.
Peter Lurie,
Acting Associate Commissioner for Policy and Planning.
[FR Doc. 2013-07032 Filed 3-26-13; 8:45 am]
BILLING CODE 4160-01-P