Title 21 CFR reference

(a) The criteria and definitions in this part apply in determining whether a food is: (1) Adulterated within the meaning of: (i) Section 402(a)(3) of the Federal Food, Drug, and Cosmetic Act in that the food has been manufactured under such conditions that it is unfit for food; or (ii) Section 402(a)(4) of the Federal Food, Drug, and Cosmetic Act in that the food has been prepared, packed, or held under insanitary conditions whereby it may have become contaminated with filth, or whereby it may have been rendered injurious to health; and (2) In violation of section 361 of the Public Health Service Act (42 U.S.C. 264). (b) The operation of a facility that manufactures, processes, packs, or holds food for sale in the United States if the owner, operator, or agent in charge of such facility is required to comply with, and is not in compliance with, section 418 of the Federal Food, Drug, and Cosmetic Act or subpart C, D, E, F, or G of this part is a prohibited act under section 301(uu) of the Federal Food, Drug, and Cosmetic Act. (c) Food covered by specific current good manufacturing practice regulations also is subject to the requirements of those regulations. [80 FR 56145,…

The management of the establishment must take reasonable measures and precautions to ensure the following: Disease control.e.g.,(a) Any person who, by medical examination or supervisory observation, is shown to have, or appears to have, an illness, open lesion, including boils, sores, or infected wounds, or any other abnormal source of microbial contamination by which there is a reasonable possibility of food, food-contact surfaces, or food-packaging materials becoming contaminated, must be excluded from any operations which may be expected to result in such contamination until the condition is corrected, unless conditions such as open lesions, boils, and infected wounds are adequately covered ( by an impermeable cover). Personnel must be instructed to report such health conditions to their supervisors. Cleanliness.(b) All persons working in direct contact with food, food-contact surfaces, and food-packaging materials must conform to hygienic practices while on duty to the extent necessary to protect against allergen cross-contact and against contamination of food. The methods for maintaining cleanliness include: (1) Wearing outer garments suitable to the operation in a manner…

(a) The manufacturer, processor, packer, and holder of food must at all times utilize quality control operations that reduce natural or unavoidable defects to the lowest level currently feasible. http://www.fda.gov/pchfrulehttp://www.fda.gov(b) The mixing of a food containing defects at levels that render that food adulterated with another lot of food is not permitted and renders the final food adulterated, regardless of the defect level of the final food. For examples of defect action levels that may render food adulterated, see the Defect Levels Handbook, which is accessible at and at.

Requirement for a food safety plan.(a) (1) You must prepare, or have prepared, and implement a written food safety plan. (2) The food safety plan must be prepared, or its preparation overseen, by one or more preventive controls qualified individuals. Contents of a food safety plan.(b) The written food safety plan must include: (1) The written hazard analysis as required by § 117.130(a)(2); (2) The written preventive controls as required by § 117.135(b); (3) The written supply-chain program as required by subpart G of this part; (4) The written recall plan as required by § 117.139(a); and (5) The written procedures for monitoring the implementation of the preventive controls as required by § 117.145(a); (6) The written corrective action procedures as required by § 117.150(a)(1); and (7) The written verification procedures as required by § 117.165(b). Records.(c) The food safety plan required by this section is a record that is subject to the requirements of subpart F of this part. [80 FR 56145, Sept. 17, 2015, as amended at 84 FR 12491, Apr. 2, 2019]

Requirement for a hazard analysis.(a) (1) You must conduct a hazard analysis to identify and evaluate, based on experience, illness data, scientific reports, and other information, known or reasonably foreseeable hazards for each type of food manufactured, processed, packed, or held at your facility to determine whether there are any hazards requiring a preventive control. (2) The hazard analysis must be written regardless of its outcome. Hazard identification.(b) The hazard identification must consider: (1) Known or reasonably foreseeable hazards that include: (i) Biological hazards, including microbiological hazards such as parasites, environmental pathogens, and other pathogens; (ii) Chemical hazards, including radiological hazards, substances such as pesticide and drug residues, natural toxins, decomposition, unapproved food or color additives, and food allergens; and (iii) Physical hazards (such as stones, glass, and metal fragments); and (2) Known or reasonably foreseeable hazards that may be present in the food for any of the following reasons: (i) The hazard occurs naturally; (ii) The hazard may be unintentionally introduced; or (iii) The hazard may be…

(a)(1) You must identify and implement preventive controls to provide assurances that any hazards requiring a preventive control will be significantly minimized or prevented and the food manufactured, processed, packed, or held by your facility will not be adulterated under section 402 of the Federal Food, Drug, and Cosmetic Act or misbranded under section 403(w) of the Federal Food, Drug, and Cosmetic Act. (2) Preventive controls required by paragraph (a)(1) of this section include: (i) Controls at critical control points (CCPs), if there are any CCPs; and (ii) Controls, other than those at CCPs, that are also appropriate for food safety. (b) Preventive controls must be written. (c) Preventive controls include, as appropriate to the facility and the food: Process controls.(1) Process controls include procedures, practices, and processes to ensure the control of parameters during operations such as heat processing, acidifying, irradiating, and refrigerating foods. Process controls must include, as appropriate to the nature of the applicable control and its role in the facility's food safety system: (i) Parameters associated with the control of the hazard; and (ii) The…

Circumstances.(a) If you are a manufacturer/processor, you are not required to implement a preventive control when you identify a hazard requiring a preventive control (identified hazard) and any of the following circumstances apply: e.g.,(1) You determine and document that the type of food ( raw agricultural commodities such as cocoa beans, coffee beans, and grains) could not be consumed without application of an appropriate control. (2) You rely on your customer who is subject to the requirements for hazard analysis and risk-based preventive controls in this subpart to ensure that the identified hazard will be significantly minimized or prevented and you: (i) Disclose in documents accompanying the food, in accordance with the practice of the trade, that the food is “not processed to control [identified hazard]”; and (ii) Annually obtain from your customer written assurance, subject to the requirements of § 117.137, that the customer has established and is following procedures (identified in the written assurance) that will significantly minimize or prevent the identified hazard. (3) You rely on your customer who is not subject to the requirements for hazard analysis and…

A facility that provides a written assurance under § 117.136(a)(2), (3), or (4) must act consistently with the assurance and document its actions taken to satisfy the written assurance.

For food with a hazard requiring a preventive control: (a) You must establish a written recall plan for the food. (b) The written recall plan must include procedures that describe the steps to be taken, and assign responsibility for taking those steps, to perform the following actions as appropriate to the facility: (1) Directly notify the direct consignees of the food being recalled, including how to return or dispose of the affected food; (2) Notify the public about any hazard presented by the food when appropriate to protect public health; (3) Conduct effectiveness checks to verify that the recall is carried out; and e.g.,(4) Appropriately dispose of recalled food— through reprocessing, reworking, diverting to a use that does not present a safety concern, or destroying the food.

(a) Except as provided by paragraphs (b) and (c) of this section, the preventive controls required under § 117.135 are subject to the following preventive control management components as appropriate to ensure the effectiveness of the preventive controls, taking into account the nature of the preventive control and its role in the facility's food safety system: (1) Monitoring in accordance with § 117.145; (2) Corrective actions and corrections in accordance with § 117.150; and (3) Verification in accordance with § 117.155. (b) The supply-chain program established in subpart G of this part is subject to the following preventive control management components as appropriate to ensure the effectiveness of the supply-chain program, taking into account the nature of the hazard controlled before receipt of the raw material or other ingredient: (1) Corrective actions and corrections in accordance with § 117.150, taking into account the nature of any supplier non-conformance; (2) Review of records in accordance with § 117.165(a)(4); and (3) Reanalysis in accordance with § 117.170. (c) The recall plan established in § 117.139 is not subject to the requirements of paragraph (a) of…

As appropriate to the nature of the preventive control and its role in the facility's food safety system: Written procedures.(a) You must establish and implement written procedures, including the frequency with which they are to be performed, for monitoring the preventive control; and Monitoring.(b) You must monitor the preventive controls with adequate frequency to provide assurance that they are consistently performed. Records.Requirement to document monitoring.(c) (1) You must document the monitoring of preventive controls in accordance with this section in records that are subject to verification in accordance with § 117.155(a)(2) and records review in accordance with § 117.165(a)(4)(i). Exception records.(2) (i) Records of refrigeration temperature during storage of food that requires time/temperature control to significantly minimize or prevent the growth of, or toxin production by, pathogens may be affirmative records demonstrating temperature is controlled or exception records demonstrating loss of temperature control. (ii) Exception records may be adequate in circumstances other than monitoring of refrigeration temperature. [80 FR 56145, Sept. 17, 2015, as amended…

Corrective action procedures.(a) As appropriate to the nature of the hazard and the nature of the preventive control, except as provided by paragraph (c) of this section: (1) You must establish and implement written corrective action procedures that must be taken if preventive controls are not properly implemented, including procedures to address, as appropriate: (i) The presence of a pathogen or appropriate indicator organism in a ready-to-eat product detected as a result of product testing conducted in accordance with § 117.165(a)(2); and (ii) The presence of an environmental pathogen or appropriate indicator organism detected through the environmental monitoring conducted in accordance with § 117.165(a)(3). (2) The corrective action procedures must describe the steps to be taken to ensure that: (i) Appropriate action is taken to identify and correct a problem that has occurred with implementation of a preventive control; (ii) Appropriate action is taken, when necessary, to reduce the likelihood that the problem will recur; (iii) All affected food is evaluated for safety; and (iv) All affected food is prevented from entering into commerce, if you cannot ensure that the…

Verification activities.(a) Verification activities must include, as appropriate to the nature of the preventive control and its role in the facility's food safety system: (1) Validation in accordance with § 117.160. (2) Verification that monitoring is being conducted as required by § 117.140 (and in accordance with § 117.145). (3) Verification that appropriate decisions about corrective actions are being made as required by § 117.140 (and in accordance with § 117.150). (4) Verification of implementation and effectiveness in accordance with § 117.165; and (5) Reanalysis in accordance with § 117.170. Documentation.(b) All verification activities conducted in accordance with this section must be documented in records.

(a) You must validate that the preventive controls identified and implemented in accordance with § 117.135 are adequate to control the hazard as appropriate to the nature of the preventive control and its role in the facility's food safety system. (b) The validation of the preventive controls: (1) Must be performed (or overseen) by a preventive controls qualified individual: (i)(A) Prior to implementation of the food safety plan; or (B) When necessary to demonstrate the control measures can be implemented as designed: 1() Within 90 calendar days after production of the applicable food first begins; or 2() Within a reasonable timeframe, provided that the preventive controls qualified individual prepares (or oversees the preparation of) a written justification for a timeframe that exceeds 90 calendar days after production of the applicable food first begins; (ii) Whenever a change to a control measure or combination of control measures could impact whether the control measure or combination of control measures, when properly implemented, will effectively control the hazards; and (iii) Whenever a reanalysis of the food safety plan reveals the need to do so; (2) Must include…

Verification activities.(a) You must verify that the preventive controls are consistently implemented and are effectively and significantly minimizing or preventing the hazards. To do so you must conduct activities that include the following, as appropriate to the facility, the food, and the nature of the preventive control and its role in the facility's food safety system: (1) Calibration of process monitoring instruments and verification instruments (or checking them for accuracy); (2) Product testing, for a pathogen (or appropriate indicator organism) or other hazard; (3) Environmental monitoring, for an environmental pathogen or for an appropriate indicator organism, if contamination of a ready-to-eat food with an environmental pathogen is a hazard requiring a preventive control, by collecting and testing environmental samples; and (4) Review of the following records within the specified timeframes, by (or under the oversight of) a preventive controls qualified individual, to ensure that the records are complete, the activities reflected in the records occurred in accordance with the food safety plan, the preventive controls are effective, and appropriate decisions were…

(a) You must conduct a reanalysis of the food safety plan as a whole at least once every 3 years; (b) You must conduct a reanalysis of the food safety plan as a whole, or the applicable portion of the food safety plan: (1) Whenever a significant change in the activities conducted at your facility creates a reasonable potential for a new hazard or creates a significant increase in a previously identified hazard; (2) Whenever you become aware of new information about potential hazards associated with the food; (3) Whenever appropriate after an unanticipated food safety problem in accordance with § 117.150(b); and (4) Whenever you find that a preventive control, combination of preventive controls, or the food safety plan as a whole is ineffective. (c) You must complete the reanalysis required by paragraphs (a) and (b) of this section and validate, as appropriate to the nature of the preventive control and its role in the facility's food safety system, any additional preventive controls needed to address the hazard identified: (1) Before any change in activities (including any change in preventive control) at the facility is operative; or (2) When necessary to demonstrate the…

(a) One or more preventive controls qualified individuals must do or oversee the following: (1) Preparation of the food safety plan (§ 117.126(a)(2)); (2) Validation of the preventive controls (§ 117.160(b)(1)); (3) Written justification for validation to be performed in a timeframe that exceeds the first 90 calendar days of production of the applicable food; (4) Determination that validation is not required (§ 117.160(c)(5)); (5) Review of records (§ 117.165(a)(4)); (6) Written justification for review of records of monitoring and corrective actions within a timeframe that exceeds 7 working days; (7) Reanalysis of the food safety plan (§ 117.170(d)); and (8) Determination that reanalysis can be completed, and additional preventive controls validated, as appropriate to the nature of the preventive control and its role in the facility's food safety system, in a timeframe that exceeds the first 90 calendar days of production of the applicable food. (b) A qualified auditor must conduct an onsite audit (§ 117.435(a)). (c)(1) To be a preventive controls qualified individual, the individual must have successfully completed training in the development and application of…

(a) You must establish and maintain the following records documenting implementation of the food safety plan: (1) Documentation, as required by § 117.136(b), of the basis for not establishing a preventive control in accordance with § 117.136(a); (2) Records that document the monitoring of preventive controls; (3) Records that document corrective actions; (4) Records that document verification, including, as applicable, those related to: (i) Validation; (ii) Verification of monitoring; (iii) Verification of corrective actions; (iv) Calibration of process monitoring and verification instruments; (v) Product testing; (vi) Environmental monitoring; (vii) Records review; and (viii) Reanalysis; (5) Records that document the supply-chain program; and (6) Records that document applicable training for the preventive controls qualified individual and the qualified auditor. (b) The records that you must establish and maintain are subject to the requirements of subpart F of this part.

Grounds.(a) The grounds about a food plant under the control of the operator must be kept in a condition that will protect against the contamination of food. The methods for adequate maintenance of grounds must include: (1) Properly storing equipment, removing litter and waste, and cutting weeds or grass within the immediate vicinity of the plant that may constitute an attractant, breeding place, or harborage for pests. (2) Maintaining roads, yards, and parking lots so that they do not constitute a source of contamination in areas where food is exposed. (3) Adequately draining areas that may contribute contamination to food by seepage, foot-borne filth, or providing a breeding place for pests. (4) Operating systems for waste treatment and disposal in an adequate manner so that they do not constitute a source of contamination in areas where food is exposed. (5) If the plant grounds are bordered by grounds not under the operator's control and not maintained in the manner described in paragraphs (a)(1) through (4) of this section, care must be exercised in the plant by inspection, extermination, or other means to exclude pests, dirt, and filth that may be a source of food…

Attestations to be submitted.(a) A qualified facility must submit the following attestations to FDA: (1) An attestation that the facility is a qualified facility as defined in § 117.3. For the purpose of determining whether a facility satisfies the definition of qualified facility, the baseline year for calculating the adjustment for inflation is 2011; and (2)(i) An attestation that you have identified the potential hazards associated with the food being produced, are implementing preventive controls to address the hazards, and are monitoring the performance of the preventive controls to ensure that such controls are effective; or (ii) An attestation that the facility is in compliance with State, local, county, tribal, or other applicable non-Federal food safety law, including relevant laws and regulations of foreign countries, including an attestation based on licenses, inspection reports, certificates, permits, credentials, certification by an appropriate agency (such as a State department of agriculture), or other evidence of oversight. Procedure for submission.(b) The attestations required by paragraph (a) of this section must be submitted to FDA by one of the following…

(a) If a facility that is solely engaged in the storage of unexposed packaged food stores any such refrigerated packaged food that requires time/temperature control to significantly minimize or prevent the growth of, or toxin production by pathogens, the facility must conduct the following activities as appropriate to ensure the effectiveness of the temperature controls: (1) Establish and implement temperature controls adequate to significantly minimize or prevent the growth of, or toxin production by, pathogens; (2) Monitor the temperature controls with adequate frequency to provide assurance that the temperature controls are consistently performed; (3) If there is a loss of temperature control that may impact the safety of such refrigerated packaged food, take appropriate corrective actions to: (i) Correct the problem and reduce the likelihood that the problem will recur; (ii) Evaluate all affected food for safety; and (iii) Prevent the food from entering commerce, if you cannot ensure the affected food is not adulterated under section 402 of the Federal Food, Drug, and Cosmetic Act; (4) Verify that temperature controls are consistently implemented by: (i) Calibrating…

(a) FDA may withdraw a qualified facility exemption under § 117.5(a): (1) In the event of an active investigation of a foodborne illness outbreak that is directly linked to the qualified facility; or (2) If FDA determines that it is necessary to protect the public health and prevent or mitigate a foodborne illness outbreak based on conditions or conduct associated with the qualified facility that are material to the safety of the food manufactured, processed, packed, or held at such facility. (b) Before FDA issues an order to withdraw a qualified facility exemption, FDA: (1) May consider one or more other actions to protect the public health or mitigate a foodborne illness outbreak, including a warning letter, recall, administrative detention, suspension of registration, refusal of food offered for import, seizure, and injunction; (2) Must notify the owner, operator, or agent in charge of the facility, in writing, of circumstances that may lead FDA to withdraw the exemption, and provide an opportunity for the owner, operator, or agent in charge of the facility to respond in writing, within 15 calendar days of the date of receipt of the notification, to FDA's notification; and…

(a) An FDA Division Director in whose division the qualified facility is located (or, in the case of a foreign facility, the Director of the Office of Compliance in the Center for Food Safety and Applied Nutrition), or an FDA official senior to either such Director, must approve an order to withdraw the exemption before the order is issued. (b) Any officer or qualified employee of FDA may issue an order to withdraw the exemption after it has been approved in accordance with paragraph (a) of this section. (c) FDA must issue an order to withdraw the exemption to the owner, operator, or agent in charge of the facility. (d) FDA must issue an order to withdraw the exemption in writing, signed and dated by the officer or qualified employee of FDA who is issuing the order. [80 FR 56145, Sept. 17, 2015, as amended at 85 FR 16553, Mar. 24, 2020]

An order to withdraw a qualified facility exemption under § 117.5(a) must include the following information: (a) The date of the order; (b) The name, address, and location of the qualified facility; (c) A brief, general statement of the reasons for the order, including information relevant to one or both of the following circumstances that leads FDA to issue the order: (1) An active investigation of a foodborne illness outbreak that is directly linked to the facility; or (2) Conditions or conduct associated with a qualified facility that are material to the safety of the food manufactured, processed, packed, or held at such facility. (d) A statement that the facility must either: (1) Comply with subparts C and G of this part on the date that is 120 calendar days after the date of receipt of the order, or within a reasonable timeframe, agreed to by FDA, based on a written justification, submitted to FDA, for a timeframe that exceeds 120 calendar days from the date of receipt of the order; or (2) Appeal the order within 15 calendar days of the date of receipt of the order in accordance with the requirements of § 117.264. (e) A statement that a facility may request that FDA…

(a) If you receive an order under § 117.254 to withdraw a qualified facility exemption, you must either: (1) Comply with applicable requirements of this part within 120 calendar days of the date of receipt of the order, or within a reasonable timeframe, agreed to by FDA, based on a written justification, submitted to FDA, for a timeframe that exceeds 120 calendar days from the date of receipt of the order; or (2) Appeal the order within 15 calendar days of the date of receipt of the order in accordance with the requirements of § 117.264. (b) Submission of an appeal, including submission of a request for an informal hearing, will not operate to delay or stay any administrative action, including enforcement action by FDA, unless the Commissioner of Food and Drugs, as a matter of discretion, determines that delay or a stay is in the public interest. (c) If you appeal the order, and FDA confirms the order: (1) You must comply with applicable requirements of this part within 120 calendar days of the date of receipt of the order, or within a reasonable timeframe, agreed to by FDA, based on a written justification, submitted to FDA, for a timeframe that exceeds 120 calendar days…

(a) To appeal an order to withdraw a qualified facility exemption, you must: (1) Submit the appeal in writing to the FDA Division Director in whose division the facility is located (or, in the case of a foreign facility, the Director of the Office of Compliance in the Center for Food Safety and Applied Nutrition), at the mailing address, email address, or fax number identified in the order within 15 calendar days of the date of receipt of confirmation of the order; and (2) Respond with particularity to the facts and issues contained in the order, including any supporting documentation upon which you rely. (b) In a written appeal of the order withdrawing an exemption provided under § 117.5(a), you may include a written request for an informal hearing as provided in § 117.267. [80 FR 56145, Sept. 17, 2015, as amended at 81 FR 3716, Jan. 22, 2016; 85 FR 16553, Mar. 24, 2020]

(a) If you appeal the order, you: (1) May request an informal hearing; and (2) Must submit any request for an informal hearing together with your written appeal submitted in accordance with § 117.264 within 15 calendar days of the date of receipt of the order. (b) A request for an informal hearing may be denied, in whole or in part, if the presiding officer determines that no genuine and substantial issue of material fact has been raised by the material submitted. If the presiding officer determines that a hearing is not justified, written notice of the determination will be given to you explaining the reason for the denial.

If you request an informal hearing, and FDA grants the request: (a) The hearing will be held within 15 calendar days after the date the appeal is filed or, if applicable, within a timeframe agreed upon in writing by you and FDA. (b) The presiding officer may require that a hearing conducted under this subpart be completed within 1-calendar day, as appropriate. (c) FDA must conduct the hearing in accordance with part 16 of this chapter, except that: (1) The order withdrawing an exemption under §§ 117.254 and 117.257, rather than the notice under § 16.22(a) of this chapter, provides notice of opportunity for a hearing under this section and is part of the administrative record of the regulatory hearing under § 16.80(a) of this chapter. (2) A request for a hearing under this subpart must be addressed to the FDA Division Director (or, in the case of a foreign facility, the Director of the Office of Compliance in the Center for Food Safety and Applied Nutrition) as provided in the order withdrawing an exemption. (3) Section 117.274, rather than § 16.42(a) of this chapter, describes the FDA employees who preside at hearings under this subpart. (4) Section 16.60(e) and (f) of this…

The presiding officer for an appeal, and for an informal hearing, must be an Office of Regulatory Affairs Program Director or another FDA official senior to an FDA Division Director. [85 FR 16553, Mar. 24, 2020]

(a) If you appeal the order without requesting a hearing, the presiding officer must issue a written report that includes a final decision confirming or revoking the withdrawal by the 10th calendar day after the appeal is filed. (b) If you appeal the order and request an informal hearing: (1) If FDA grants the request for a hearing and the hearing is held, the presiding officer must provide a 2-calendar day opportunity for the hearing participants to review and submit comments on the report of the hearing under § 117.270(c)(4), and must issue a final decision within 10-calendar days after the hearing is held; or (2) If FDA denies the request for a hearing, the presiding officer must issue a final decision on the appeal confirming or revoking the withdrawal within 10 calendar days after the date the appeal is filed.

An order to withdraw a qualified facility exemption is revoked if: (a) You appeal the order and request an informal hearing, FDA grants the request for an informal hearing, and the presiding officer does not confirm the order within the 10-calendar days after the hearing, or issues a decision revoking the order within that time; or (b) You appeal the order and request an informal hearing, FDA denies the request for an informal hearing, and FDA does not confirm the order within the 10-calendar days after the appeal is filed, or issues a decision revoking the order within that time; or (c) You appeal the order without requesting an informal hearing, and FDA does not confirm the order within the 10-calendar days after the appeal is filed, or issues a decision revoking the order within that time.

Confirmation of a withdrawal order by the presiding officer is considered a final agency action for purposes of 5 U.S.C. 702.

(a) If the FDA Division Director in whose division your facility is located (or, in the case of a foreign facility, the Director of the Office of Compliance in the Center for Food Safety and Applied Nutrition) determines that a facility has adequately resolved any problems with the conditions and conduct that are material to the safety of the food manufactured, processed, packed, or held at the facility and that continued withdrawal of the exemption is not necessary to protect public health and prevent or mitigate a foodborne illness outbreak, the FDA Division Director in whose division your facility is located (or, in the case of a foreign facility, the Director of the Office of Compliance in the Center for Food Safety and Applied Nutrition) will, on his or her own initiative or on the request of a facility, reinstate the exemption. (b) You may ask FDA to reinstate an exemption that has been withdrawn under the procedures of this subpart as follows: (1) Submit a request, in writing, to the FDA Division Director in whose division your facility is located (or, in the case of a foreign facility, the Director of the Office of Compliance in the Center for Food Safety and Applied…

The definitions and interpretations of terms in section 201 of the Federal Food, Drug, and Cosmetic Act apply to such terms when used in this part. The following definitions also apply: Acid foodsacidified foods or means foods that have an equilibrium pH of 4.6 or below. Adequate means that which is needed to accomplish the intended purpose in keeping with good public health practice. Affiliate means any facility that controls, is controlled by, or is under common control with another facility. Allergen cross-contact means the unintentional incorporation of a food allergen into a food. Audit means the systematic, independent, and documented examination (through observation, investigation, records review, discussions with employees of the audited entity, and, as appropriate, sampling and laboratory analysis) to assess an audited entity's food safety processes and procedures. Batter means a semifluid substance, usually composed of flour and other ingredients, into which principal components of food are dipped or with which they are coated, or which may be used directly to form bakery foods. Blanching, except for tree nuts and peanuts, means a prepackaging heat treatment of…

(a) Except as provided by paragraphs (b) and (c) of this section, all records required by this part are subject to all requirements of this subpart. (b) The requirements of § 117.310 apply only to the written food safety plan. (c) The requirements of § 117.305(b), (d), (e), and (f) do not apply to the records required by § 117.201.

Records must: (a) Be kept as original records, true copies (such as photocopies, pictures, scanned copies, microfilm, microfiche, or other accurate reproductions of the original records), or electronic records; (b) Contain the actual values and observations obtained during monitoring and, as appropriate, during verification activities; (c) Be accurate, indelible, and legible; (d) Be created concurrently with performance of the activity documented; (e) Be as detailed as necessary to provide history of work performed; and (f) Include: e.g.,(1) Information adequate to identify the plant or facility ( the name, and when necessary, the location of the plant or facility); (2) The date and, when appropriate, the time of the activity documented; (3) The signature or initials of the person performing the activity; and (4) Where appropriate, the identity of the product and the lot code, if any. (g) Records that are established or maintained to satisfy the requirements of this part and that meet the definition of electronic records in § 11.3(b)(6) of this chapter are exempt from the requirements of part 11 of this chapter. Records that satisfy the requirements of this part, but…

The owner, operator, or agent in charge of the facility must sign and date the food safety plan: (a) Upon initial completion; and (b) Upon any modification.

(a)(1) All records required by this part must be retained at the plant or facility for at least 2 years after the date they were prepared. (2) Records that a facility relies on during the 3-year period preceding the applicable calendar year to support its status as a qualified facility must be retained at the facility as long as necessary to support the status of a facility as a qualified facility during the applicable calendar year. e.g.,(b) Records that relate to the general adequacy of the equipment or processes being used by a facility, including the results of scientific studies and evaluations, must be retained by the facility for at least 2 years after their use is discontinued ( because the facility has updated the written food safety plan (§ 117.126) or records that document validation of the written food safety plan (§ 117.155(b))); (c) Except for the food safety plan, offsite storage of records is permitted if such records can be retrieved and provided onsite within 24 hours of request for official review. The food safety plan must remain onsite. Electronic records are considered to be onsite if they are accessible from an onsite location. (d) If the plant or…

All records required by this part must be made promptly available to a duly authorized representative of the Secretary of Health and Human Services for official review and copying upon oral or written request.

Records obtained by FDA in accordance with this part are subject to the disclosure requirements under part 20 of this chapter.

e.g.,(a) Existing records ( records that are kept to comply with other Federal, State, or local regulations, or for any other reason) do not need to be duplicated if they contain all of the required information and satisfy the requirements of this subpart. Existing records may be supplemented as necessary to include all of the required information and satisfy the requirements of this subpart. (b) The information required by this part does not need to be kept in one set of records. If existing records contain some of the required information, any new information required by this part may be kept either separately or combined with the existing records.

(a) Any written assurance required by this part must contain the following elements: (1) Effective date; (2) Printed names and signatures of authorized officials; (3) The applicable assurance under: (i) Section 117.136(a)(2); (ii) Section 117.136(a)(3); (iii) Section 117.136(a)(4); (iv) Section 117.430(c)(2); (v) Section 117.430(d)(2); or (vi) Section 117.430(e)(2); (b) A written assurance required under § 117.136(a)(2), (3), or (4) must include: (1) Acknowledgement that the facility that provides the written assurance assumes legal responsibility to act consistently with the assurance and document its actions taken to satisfy the written assurance; and (2) Provision that if the assurance is terminated in writing by either entity, responsibility for compliance with the applicable provisions of this part reverts to the manufacturer/processor as of the date of termination.

General maintenance.(a) Buildings, fixtures, and other physical facilities of the plant must be maintained in a clean and sanitary condition and must be kept in repair adequate to prevent food from becoming adulterated. Cleaning and sanitizing of utensils and equipment must be conducted in a manner that protects against allergen cross-contact and against contamination of food, food-contact surfaces, or food-packaging materials. Substances used in cleaning and sanitizing; storage of toxic materials.(b) (1) Cleaning compounds and sanitizing agents used in cleaning and sanitizing procedures must be free from undesirable microorganisms and must be safe and adequate under the conditions of use. Compliance with this requirement must be verified by any effective means, including purchase of these substances under a letter of guarantee or certification or examination of these substances for contamination. Only the following toxic materials may be used or stored in a plant where food is processed or exposed: (i) Those required to maintain clean and sanitary conditions; (ii) Those necessary for use in laboratory testing procedures; (iii) Those necessary for plant and equipment…

Each plant must be equipped with adequate sanitary facilities and accommodations including: Water supply.(a) The water supply must be adequate for the operations intended and must be derived from an adequate source. Any water that contacts food, food-contact surfaces, or food-packaging materials must be safe and of adequate sanitary quality. Running water at a suitable temperature, and under pressure as needed, must be provided in all areas where required for the processing of food, for the cleaning of equipment, utensils, and food-packaging materials, or for employee sanitary facilities. Plumbing.(b) Plumbing must be of adequate size and design and adequately installed and maintained to: (1) Carry adequate quantities of water to required locations throughout the plant. (2) Properly convey sewage and liquid disposable waste from the plant. (3) Avoid constituting a source of contamination to food, water supplies, equipment, or utensils or creating an unsanitary condition. (4) Provide adequate floor drainage in all areas where floors are subject to flooding-type cleaning or where normal operations release or discharge water or other liquid waste on the floor. (5) Provide that…

Applicability.(a) (1) The management of an establishment must ensure that all individuals who manufacture, process, pack, or hold food subject to subparts B and F of this part are qualified to perform their assigned duties. (2) The owner, operator, or agent in charge of a facility must ensure that all individuals who manufacture, process, pack, or hold food subject to subpart C, D, E, F, or G of this part are qualified to perform their assigned duties. Qualifications of all individuals engaged in manufacturing, processing, packing, or holding food.(b) Each individual engaged in manufacturing, processing, packing, or holding food (including temporary and seasonal personnel) or in the supervision thereof must: i.e.,(1) Be a qualified individual as that term is defined in § 117.3— have the education, training, or experience (or a combination thereof) necessary to manufacture, process, pack, or hold clean and safe food as appropriate to the individual's assigned duties; and (2) Receive training in the principles of food hygiene and food safety, including the importance of employee health and personal hygiene, as appropriate to the food, the facility and the individual's assigned…

(a)(1) All plant equipment and utensils used in manufacturing, processing, packing, or holding food must be so designed and of such material and workmanship as to be adequately cleanable, and must be adequately maintained to protect against allergen cross-contact and contamination. (2) Equipment and utensils must be designed, constructed, and used appropriately to avoid the adulteration of food with lubricants, fuel, metal fragments, contaminated water, or any other contaminants. (3) Equipment must be installed so as to facilitate the cleaning and maintenance of the equipment and of adjacent spaces. (4) Food-contact surfaces must be corrosion-resistant when in contact with food. (5) Food-contact surfaces must be made of nontoxic materials and designed to withstand the environment of their intended use and the action of food, and, if applicable, cleaning compounds, sanitizing agents, and cleaning procedures. (6) Food-contact surfaces must be maintained to protect food from allergen cross-contact and from being contaminated by any source, including unlawful indirect food additives. (b) Seams on food-contact surfaces must be smoothly bonded or maintained so as to minimize…

(a)(1) Except as provided by paragraphs (a)(2) and (3) of this section, the receiving facility must establish and implement a risk-based supply-chain program for those raw materials and other ingredients for which the receiving facility has identified a hazard requiring a supply-chain-applied control. (2) A receiving facility that is an importer, is in compliance with the foreign supplier verification program requirements under part 1, subpart L of this chapter, and has documentation of verification activities conducted under § 1.506(e) of this chapter (which provides assurance that the hazards requiring a supply-chain-applied control for the raw material or other ingredient have been significantly minimized or prevented) need not conduct supplier verification activities for that raw material or other ingredient. (3) The requirements in this subpart do not apply to food that is supplied for research or evaluation use, provided that such food: (i) Is not intended for retail sale and is not sold or distributed to the public; (ii) Is labeled with the statement “Food for research or evaluation use”; (iii) Is supplied in a small quantity that is consistent with a research,…

(a) The supply-chain program must include: (1) Using approved suppliers as required by § 117.420; (2) Determining appropriate supplier verification activities (including determining the frequency of conducting the activity) as required by § 117.425; (3) Conducting supplier verification activities as required by §§ 117.430 and 117.435; (4) Documenting supplier verification activities as required by § 117.475; and (5) When applicable, verifying a supply-chain-applied control applied by an entity other than the receiving facility's supplier and documenting that verification as required by § 117.475, or obtaining documentation of an appropriate verification activity from another entity, reviewing and assessing that documentation, and documenting the review and assessment as required by § 117.475. (b) The following are appropriate supplier verification activities for raw materials and other ingredients: (1) Onsite audits; (2) Sampling and testing of the raw material or other ingredient; (3) Review of the supplier's relevant food safety records; and (4) Other appropriate supplier verification activities based on supplier performance and the risk associated with the raw…

(a)(1) The receiving facility must approve suppliers. (2) Except as provided by paragraphs (a)(3) and (4) of this section, the receiving facility must determine and conduct appropriate supplier verification activities, and satisfy all documentation requirements of this subpart. (3) An entity other than the receiving facility may do any of the following, provided that the receiving facility reviews and assesses the entity's applicable documentation, and documents that review and assessment: (i) Establish written procedures for receiving raw materials and other ingredients by the entity; (ii) Document that written procedures for receiving raw materials and other ingredients are being followed by the entity; and (iii) Determine, conduct, or both determine and conduct the appropriate supplier verification activities, with appropriate documentation. (4) The supplier may conduct and document sampling and testing of raw materials and other ingredients, for the hazard controlled by the supplier, as a supplier verification activity for a particular lot of product and provide such documentation to the receiving facility, provided that the receiving facility reviews and assesses that…

Approval of suppliers.(a) The receiving facility must approve suppliers in accordance with the requirements of § 117.410(d), and document that approval, before receiving raw materials and other ingredients received from those suppliers; Written procedures for receiving raw materials and other ingredients.(b) (1) Written procedures for receiving raw materials and other ingredients must be established and followed; (2) The written procedures for receiving raw materials and other ingredients must ensure that raw materials and other ingredients are received only from approved suppliers (or, when necessary and appropriate, on a temporary basis from unapproved suppliers whose raw materials or other ingredients are subjected to adequate verification activities before acceptance for use); and (3) Use of the written procedures for receiving raw materials and other ingredients must be documented.

Appropriate supplier verification activities (including the frequency of conducting the activity) must be determined in accordance with the requirements of § 117.410(d).

(a) Except as provided by paragraph (c), (d), or (e) of this section, one or more of the supplier verification activities specified in § 117.410(b), as determined under § 117.410(d), must be conducted for each supplier before using the raw material or other ingredient from that supplier and periodically thereafter. (b)(1) Except as provided by paragraph (b)(2) of this section, when a hazard in a raw material or other ingredient will be controlled by the supplier and is one for which there is a reasonable probability that exposure to the hazard will result in serious adverse health consequences or death to humans: (i) The appropriate supplier verification activity is an onsite audit of the supplier; and (ii) The audit must be conducted before using the raw material or other ingredient from the supplier and at least annually thereafter. (2) The requirements of paragraph (b)(1) of this section do not apply if there is a written determination that other verification activities and/or less frequent onsite auditing of the supplier provide adequate assurance that the hazards are controlled. (c) If a supplier is a qualified facility as defined by § 117.3, the receiving facility does…

(a) An onsite audit of a supplier must be performed by a qualified auditor. e.g.,(b) If the raw material or other ingredient at the supplier is subject to one or more FDA food safety regulations, an onsite audit must consider such regulations and include a review of the supplier's written plan ( Hazard Analysis and Critical Control Point (HACCP) plan or other food safety plan), if any, and its implementation, for the hazard being controlled (or, when applicable, an onsite audit may consider relevant laws and regulations of a country whose food safety system FDA has officially recognized as comparable or has determined to be equivalent to that of the United States). (c)(1) The following may be substituted for an onsite audit, provided that the inspection was conducted within 1 year of the date that the onsite audit would have been required to be conducted: (i) The written results of an appropriate inspection of the supplier for compliance with applicable FDA food safety regulations by FDA, by representatives of other Federal Agencies (such as the United States Department of Agriculture), or by representatives of State, local, tribal, or territorial agencies; or (ii) For a…

(a) The records documenting the supply-chain program are subject to the requirements of subpart F of this part. (b) The receiving facility must review the records listed in paragraph (c) of this section in accordance with § 117.165(a)(4). (c) The receiving facility must document the following in records as applicable to its supply-chain program: (1) The written supply-chain program; (2) Documentation that a receiving facility that is an importer is in compliance with the foreign supplier verification program requirements under part 1, subpart L of this chapter, including documentation of verification activities conducted under § 1.506(e) of this chapter; (3) Documentation of the approval of a supplier; (4) Written procedures for receiving raw materials and other ingredients; (5) Documentation demonstrating use of the written procedures for receiving raw materials and other ingredients; (6) Documentation of the determination of the appropriate supplier verification activities for raw materials and other ingredients; (7) Documentation of the conduct of an onsite audit. This documentation must include: (i) The name of the supplier subject to the onsite audit; (ii)…

(a) Except as provided by subpart E of this part, subparts C and G of this part do not apply to a qualified facility. Qualified facilities are subject to the modified requirements in § 117.201. (b) Subparts C and G of this part do not apply with respect to activities that are subject to part 123 of this chapter (Fish and Fishery Products) at a facility if you are required to comply with, and are in compliance with, part 123 of this chapter with respect to such activities. (c) Subparts C and G of this part do not apply with respect to activities that are subject to part 120 of this chapter (Hazard Analysis and Critical Control Point (HACCP) Systems) at a facility if you are required to comply with, and are in compliance with, part 120 of this chapter with respect to such activities. (d)(1) Subparts C and G of this part do not apply with respect to activities that are subject to part 113 of this chapter (Thermally Processed Low-Acid Foods Packaged in Hermetically Sealed Containers) at a facility if you are required to comply with, and are in compliance with, part 113 of this chapter with respect to such activities. (2) The exemption in paragraph (d)(1) of this section is…

Applicability of subparts C and G.(a) Subparts C and G of this part do not apply to a facility solely engaged in the storage of unexposed packaged food. Applicability of subpart D.(b) A facility solely engaged in the storage of unexposed packaged food, including unexposed packaged food that requires time/temperature control to significantly minimize or prevent the growth of, or toxin production by, pathogens is subject to the modified requirements in § 117.206 for any unexposed packaged food that requires time/temperature control to significantly minimize or prevent the growth of, or toxin production by, pathogens.

Except as provided by § 117.5(k)(1), subpart B of this part applies to the off-farm packaging, packing, and holding of raw agricultural commodities. Compliance with this requirement for raw agricultural commodities that are produce as defined in part 112 of this chapter may be achieved by complying with subpart B of this part or with the applicable requirements for packing and holding in part 112 of this chapter. [81 FR 3956, Jan. 25, 2016]

General.(a) (1) All operations in the manufacturing, processing, packing, and holding of food (including operations directed to receiving, inspecting, transporting, and segregating) must be conducted in accordance with adequate sanitation principles. (2) Appropriate quality control operations must be employed to ensure that food is suitable for human consumption and that food-packaging materials are safe and suitable. (3) Overall sanitation of the plant must be under the supervision of one or more competent individuals assigned responsibility for this function. (4) Adequate precautions must be taken to ensure that production procedures do not contribute to allergen cross-contact and to contamination from any source. (5) Chemical, microbial, or extraneous-material testing procedures must be used where necessary to identify sanitation failures or possible allergen cross-contact and food contamination. (6) All food that has become contaminated to the extent that it is adulterated must be rejected, or if appropriate, treated or processed to eliminate the contamination. Raw materials and other ingredients.(b) (1) Raw materials and other ingredients must be inspected and…

(a) Records that document training required by § 117.4(b)(2) must be established and maintained. (b) The records that must be established and maintained are subject to the requirements of subpart F of this part.

Storage and transportation of food must be under conditions that will protect against allergen cross-contact and against biological, chemical (including radiological), and physical contamination of food, as well as against deterioration of the food and the container.

(a) Human food by-products held for distribution as animal food without additional manufacturing or processing by the human food processor, as identified in § 507.12 of this chapter, must be held under conditions that will protect against contamination, including the following: (1) Containers and equipment used to convey or hold human food by-products for use as animal food before distribution must be designed, constructed of appropriate material, cleaned as necessary, and maintained to protect against the contamination of human food by-products for use as animal food; (2) Human food by-products for use as animal food held for distribution must be held in a way to protect against contamination from sources such as trash; and (3) During holding, human food by-products for use as animal food must be accurately identified. (b) Labeling that identifies the by-product by the common or usual name must be affixed to or accompany human food by-products for use as animal food when distributed. e.g.,(c) Shipping containers ( totes, drums, and tubs) and bulk vehicles used to distribute human food by-products for use as animal food must be examined prior to use to protect against…