Document ID: FDA-2016-D-1164-0007
Agency: fda
Document Type: Notice
Title: Determination of Status as a Qualified Facility Under Part 117: Current Good Manufacturing Practice, Hazard Analysis, and Risk-Based Preventive Controls for Human Food And Part 507: Current Good Manufacturing Practice, Hazard Analysis, and Risk-Based Preventive Controls for Food for Animals; Guidance for Industry
Posted Date: 2018-09-17T04:00Z

[Federal Register Volume 83, Number 180 (Monday, September 17, 2018)]
[Rules and Regulations]
[Pages 46878-46879]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-20109]

=======================================================================
-----------------------------------------------------------------------

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

21 CFR Parts 117 and 507

[Docket No. FDA-2016-D-1164]

Determination of Status as a Qualified Facility Under the Current 
Good Manufacturing Practice, Hazard Analysis, and Risk-Based Preventive 
Controls for Human and Animal Food Rules; Guidance for Industry; 
Availability

AGENCY: Food and Drug Administration, HHS.

ACTION: Notification of availability.

-----------------------------------------------------------------------

SUMMARY: The Food and Drug Administration (FDA, we, or Agency) is 
announcing the availability of a final guidance for industry entitled 
``Determination of Status as a Qualified Facility Under Part 117: 
Current Good Manufacturing Practice, Hazard Analysis, and Risk-Based 
Preventive Controls for Human Food and Part 507: Current Good 
Manufacturing Practice, Hazard Analysis, and Risk-Based Preventive 
Controls for Food for Animals; Guidance for Industry.'' This guidance 
explains our current thinking on how to determine whether a facility is 
a ``qualified facility'' that is subject to modified requirements under 
our rule entitled ``Current Good Manufacturing Practice, Hazard 
Analysis, and Risk-Based Preventive Controls for Human Food'' (the 
Preventive Controls for Human Food Rule) or under our rule entitled 
``Current Good Manufacturing Practice, Hazard Analysis, and Risk-Based 
Preventive Controls for Food for Animals'' (the Preventive Controls for 
Animal Food Rule). This guidance also explains our current thinking on 
how a facility would submit Form FDA 3942a, attesting to its status as 
a qualified facility under the Preventive Controls for Human Food Rule 
and how a business would submit Form FDA 3942b, attesting to its status 
as a qualified facility under the Preventive Controls for Animal Food 
Rule.

DATES: The announcement of the guidance is published in the Federal 
Register on September 17, 2018.

ADDRESSES: You may submit either electronic or written comments on 
Agency guidances at any time as follows:

Electronic Submissions

    Submit electronic comments in the following way:
     Federal eRulemaking Portal: https://www.regulations.gov. 
Follow the instructions for submitting comments. Comments submitted 
electronically, including attachments, to https://www.regulations.gov 
will be posted to the docket unchanged. Because your comment will be 
made public, you are solely responsible for ensuring that your comment 
does not include any confidential information that you or a third party 
may not wish to be posted, such as medical information, your or anyone 
else's Social Security number, or confidential business information, 
such as a manufacturing process. Please note that if you include your 
name, contact information, or other information that identifies you in 
the body of your comments, that information will be posted on https://www.regulations.gov.
     If you want to submit a comment with confidential 
information that you do not wish to be made available to the public, 
submit the comment as a written/paper submission and in the manner 
detailed (see ``Written/Paper Submissions'' and ``Instructions'').

Written/Paper Submissions

    Submit written/paper submissions as follows:
     Mail/Hand delivery/Courier (for written/paper 
submissions): Dockets Management Staff (HFA-305), Food and Drug 
Administration, 5630 Fishers Lane, Rm. 1061, Rockville, MD 20852.
     For written/paper comments submitted to the Dockets 
Management Staff, FDA will post your comment, as well as any 
attachments, except for information submitted, marked and identified, 
as confidential, if submitted as detailed in ``Instructions.''
    Instructions: All submissions received must include the Docket No. 
FDA-2016-D-1164 for ``Determination of Status as a Qualified Facility 
Under Part 117: Current Good Manufacturing Practice, Hazard Analysis, 
and Risk-Based Preventive Controls for Human Food and Part 507: Current 
Good Manufacturing Practice, Hazard Analysis, and Risk-Based Preventive 
Controls for Food for Animals; Guidance for Industry.'' Received 
comments will be placed in the docket and, except for those submitted 
as ``Confidential Submissions,'' publicly viewable at https://www.regulations.gov or at the Dockets Management Staff

[[Page 46879]]

office between 9 a.m. and 4 p.m., Monday through Friday.
     Confidential Submissions--To submit a comment with 
confidential information that you do not wish to be made publicly 
available, submit your comments only as a written/paper submission. You 
should submit two copies total. One copy will include the information 
you claim to be confidential with a heading or cover note that states 
``THIS DOCUMENT CONTAINS CONFIDENTIAL INFORMATION.'' The Agency will 
review this copy, including the claimed confidential information, in 
its consideration of comments. The second copy, which will have the 
claimed confidential information redacted/blacked out, will be 
available for public viewing and posted on https://www.regulations.gov. 
Submit both copies to the Dockets Management Staff. If you do not wish 
your name and contact information to be made publicly available, you 
can provide this information on the cover sheet and not in the body of 
your comments and you must identify this information as 
``confidential.'' Any information marked as ``confidential'' will not 
be disclosed except in accordance with 21 CFR 10.20 and other 
applicable disclosure law. For more information about FDA's posting of 
comments to public dockets, see 80 FR 56469, September 18, 2015, or 
access the information at: https://www.gpo.gov/fdsys/pkg/FR-2015-09-18/pdf/2015-23389.pdf.
    Docket: For access to the docket to read background documents or 
the electronic and written/paper comments received, go to https://www.regulations.gov and insert the docket number, found in brackets in 
the heading of this document, into the ``Search'' box and follow the 
prompts and/or go to the Dockets Management Staff, 5630 Fishers Lane, 
Rm. 1061, Rockville, MD 20852.
    Submit written requests for single copies of the draft guidance to 
the Office of Food Safety (HFS-300), Center for Food Safety and Applied 
Nutrition, Food and Drug Administration, 5001 Campus Dr., College Park, 
MD 20740. Send two self-addressed adhesive labels to assist that office 
in processing your request. See the SUPPLEMENTARY INFORMATION section 
for electronic access to the draft guidance.

FOR FURTHER INFORMATION CONTACT: For questions relating to the guidance 
as it applies to human food: Jenny Scott, Center for Food Safety and 
Applied Nutrition (HFS-300), Food and Drug Administration, 5001 Campus 
Dr., College Park, MD 20740, 240-402-2166.
    For questions relating to the guidance as it applies to animal 
food: Jeanette Murphy, Center for Veterinary Medicine (HFV-200), Food 
and Drug Administration, 7519 Standish Pl., Rockville, MD 20855, 240-
402-6246.

SUPPLEMENTARY INFORMATION: 

I. Background

    We are announcing the availability of a guidance for industry 
entitled ``Determination of Status as a Qualified Facility Under Part 
117: Current Good Manufacturing Practice, Hazard Analysis, and Risk-
Based Preventive Controls for Human Food and Part 507: Current Good 
Manufacturing Practice, Hazard Analysis, and Risk-Based Preventive 
Controls for Food for Animals; Guidance for Industry.'' We are issuing 
this guidance consistent with our good guidance practices regulation 
(21 CFR 10.115). This guidance represents the current thinking of FDA 
on this topic. It does not establish any rights for any person and is 
not binding on FDA or the public. You can use an alternative approach 
if it satisfies the requirements of the applicable statutes and 
regulations. This guidance is not subject to Executive Order 12866.
    In the Federal Register of May 16, 2016 (81 FR 30219), we made 
available a draft guidance for industry entitled ``Qualified Facility 
Attestation Using Form FDA 3942a (for Human Food) or Form FDA 3942b 
(for Animal Food)'' and gave interested parties an opportunity to 
submit comments by November 14, 2016, for us to consider before 
beginning work on the final version of the guidance. We received a 
couple of comments on the draft guidance and have modified the final 
guidance where appropriate. Changes to the guidance include: (1) 
Clarification regarding recordkeeping and FDA review of records, (2) 
clarification regarding how a facility can meet the definition of a 
``very small business,'' (3) addition of new examples of calculations, 
and (4) explanation of a simpler method for determining whether a 
facility's 3-year average of food sales and food market value is below 
the inflation adjusted threshold for a ``very small business.'' In 
addition, editorial changes were made to improve clarity. The guidance 
announced in this notice finalizes the draft guidance dated May 16, 
2016.

II. Paperwork Reduction Act of 1995

    This guidance contains information collection provisions that are 
subject to review by the Office of Management and Budget (OMB) under 
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520). The 
collections of information in 21 CFR 117.201 and 507.7 have been 
approved under 0910-0854.
    The guidance also refers to previously approved collections of 
information found in FDA regulations. The collections of information in 
part 117 have been approved under OMB control number 0910-0751. The 
collections of information in part 507 have been approved under OMB 
control number 0910-0789.

III. Electronic Access

    Persons with access to the internet may obtain the draft guidance 
at either https://www.fda.gov/FoodGuidances or https://www.regulations.gov. Use the FDA website listed in the previous 
sentence to find the most current version of the guidance.

IV. References

    The following references are on display at the Dockets Management 
Staff (see ADDRESSES) and are available for viewing by interested 
persons between 9 a.m. and 4 p.m., Monday through Friday; they are also 
available electronically at https://www.regulations.gov. FDA has 
verified the website addresses, as of the date this document publishes 
in the Federal Register, but websites are subject to change over time.

1. FDA 2016: Qualified Facility Attestation Using Form FDA 3942a 
(for Human Food) or Form FDA 3942b (for Animal Food): Instructions 
for Submitting Your Attestation. Accessible at: https://www.fda.gov/Food/GuidanceRegulation/FoodFacilityRegistration/default.htm.
2. FDA 2017: Form FDA 3942a. Accessible at: https://www.fda.gov/AboutFDA/ReportsManualsForms/Forms/ListFormsAlphabetically/default.htm.
3. FDA 2017: Form FDA 3942b. Accessible at: https://www.fda.gov/AboutFDA/ReportsManualsForms/Forms/ListFormsAlphabetically/default.htm.

    Dated: September 11, 2018.
Leslie Kux,
Associate Commissioner for Policy.
[FR Doc. 2018-20109 Filed 9-14-18; 8:45 am]
 BILLING CODE 4164-01-P