Final Rule for

Preventive Controls for

Human Food

http://www.fda.gov/fsma

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Produce Industry

October 2, 2015

Background

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Current Good Manufacturing Practice,

Hazard Analysis, and Risk-Based

Preventive Controls for Human Food

• Originally proposed: January 16, 2013

• Supplemental proposal: September 29, 2014

• Public comments: More than 8,000 for the

original proposal; more than 1,300 for the

supplemental proposal

• Final rule: September 17, 2015

What does PCHF do?

• Revises the farm definition

• Modernizes longstanding current good

manufacturing practice (CGMP)

requirements

• Establishes new requirements for hazard

analysis and risk-based preventive

controls

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Who is Covered by PCHF?

• Facilities that manufacture, process, pack

or hold human food

• In general, facilities required to register

with FDA under sec. 415 of the FD&C Act

– Not farms or retail food establishments

• Applies to domestic and imported food

• Some exemptions and modified

requirements apply

Farms

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• A farm is exempt from FDA’s food facility

registration requirement.

• Facilities that do not have to register with

FDA are not subject to the preventive

controls requirements. − Depending on certain factors, farms may be

subject to the forthcoming Produce Safety

rule.

• PCHF revises the farm definition to

reflect modern farming practices.

Evolution of Farm Definition

• First defined as part of Implementation of the

Bioterrorism Act of 2002, for registration and

recordkeeping regulations (21 CFR Part 1,

subparts H and J)

• Regulatory significance of facility/farm distinction

has increased in subsequent years (e.g.,

reportable food registry, mandatory recall

authority, preventive controls)

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Evolution of Farm Definition

• In September 2014, in response to

stakeholder input, FDA proposed a revised

farm definition for public comment.

– A farm would no longer be required to register

as a food facility if it packs or holds RACs

grown on another farm under different

ownership.

– In general, on-farm packing or holding of

produce would fall under produce safety rule.

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Evolution of Farm Definition

• The final Preventive Controls for Human

Food rule clarifies the definition and

expands it further to cover two kinds of

farming operations:

− Primary production farm

− Secondary activities farm

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Primary Production Farm

• An operation under one management in

one general, but not necessarily

contiguous, location

• Devoted to the growing of crops, the

harvesting of crops, the raising of animals,

or any combination of these activities

– The definition has been expanded to include

operations that just grow crops and operations

that just harvest crops.

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Primary Production Farm

• In addition to these activities, a primary

production farm can:

– Pack or hold RACs (regardless of who grew

or raised them)

– Manufacture/process, pack, or hold

processed foods so long as:

• all such food is consumed on that farm or another

farm under the same management; or

• the manufacturing/processing falls into limited

categories

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Secondary Activities Farm

• An operation not located on a primary

production farm that is devoted to

harvesting, packing, and/or holding RACs.

• The primary production farm(s) that grow,

harvest, and/or raise the majority of those

RACs must own or jointly own a majority

interest in the secondary activities farm.

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Secondary Activities Farm

• The definition also allows certain, limited

additional manufacturing/processing,

packing, and holding

– Same as those for a primary production farm

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Activities That Do Not Fall

Under Farm Definition

• Activities that do not fall within the farm

definition include manufacturing/

processing that goes beyond what falls

within the farm definition. As examples:

– Pitting dried plums, chopping herbs

– Making snack chips or flours from legumes

– Roasting peanuts, tree nuts, or seeds (e.g.,

pumpkin, sunflower, or flax seeds)

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Activities that Do Not Fall

Under Farm Definition

• FDA expects to issue guidance on

activities that fall within the farm definition

and activities that do not in the near future.

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Other Exemptions

• Activities subject to Hazard Analysis &

Critical Control Points (HACCP)

regulations (i.e., seafood and juice)

• Manufacturing, processing, packing, and

holding of dietary supplements

• Alcoholic beverages at certain facilities

• Activities subject to low-acid canned food

regulations (microbiological hazards only)

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Other Exemptions

• Certain storage facilities such as grain

elevators and warehouses that store only

raw agricultural commodities (other than

fruits and vegetables) intended for further

distribution or processing

• “Holding” includes activities performed for

the safe or effective storage of RACs (e.g.,

drying, screening, fumigating)

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Other Exemptions

• Farm mixed-type facilities are

establishments that are farms that also

conduct activities outside the farm

definition that require registration.

• Certain low-risk manufacturing/processing,

packing, and holding activities conducted

on specific foods by small/very small

businesses on farms are exempt from PCs

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Updated Current Good

Manufacturing Practices

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• Protection against allergen cross-contact

• Certain provisions containing

recommendations have been deleted

• Previously nonbinding provisions, such as

education and training, are now binding.

Coverage of CGMPs: PCHF

• CGMPs apply to the manufacturing, processing,

packing, and holding of food. But not:

– Farms and activities of farm mixed-type facilities that

fall within the farm definition (one exception)

– Fishing vessels not required to register

– Establishments solely engaged in holding and/or

transportation of one or more RACs

– Establishments solely engaged in hulling, shelling,

drying, packing, and/or holding nuts (without

additional manufacturing/processing)

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Food Safety Plan

• Hazard analysis

• Preventive controls

• Supply-chain program

• Recall plan

• Procedures for monitoring

• Corrective action procedures

• Verification procedures

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Food Safety Plan –

Hazard Analysis

• Hazard identification must consider known

or reasonably foreseeable biological,

chemical and physical hazards.

– These could occur naturally, be

unintentionally introduced, or be intentionally

introduced for economic gain.

• Hazard evaluation must consider severity of

illness/injury and probability of occurrence in

absence of preventive controls

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Food Safety Plan –

Preventive Controls • Measures required to ensure that hazards

are significantly minimized or prevented.

These include:

– Process controls

– Food allergen controls

– Sanitation controls

– Supply-chain controls

– Recall plan

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Food Safety Plan –

Preventive Controls • Include controls at critical control points

(CCPs), if any, and controls other than

those at CCPs that are appropriate for

food safety

• Not required when hazard is controlled by

another entity later in the distribution chain

– Disclose that food is for further processing

– Obtain assurances hazard will be controlled

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Food Safety Plan - Monitoring

• Facility must have written procedures,

including the frequency they are to be

performed, for monitoring the preventive

controls (as appropriate to the nature of

the preventive control)

• Monitoring must be documented in records

subject to verification.

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Food Safety Plan – Corrective

Actions and Corrections • Facility must have written procedures for

steps to be taken when preventive controls

are not properly implemented

– Identify and correct a problem

– Reduce likelihood of occurrence

– Evaluate food for safety

– Prevent adulterated food from entering

commerce

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Food Safety Plan - Verification

• Includes (as appropriate to the facility, food

and nature of the preventive control):

– Validation of preventive controls

– Verification of monitoring and corrective

actions

– Calibration of process monitoring and

verification instruments

– Product testing, environmental monitoring

– Records review

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Reanalysis of Food Safety Plan

• At least every three years

• Whenever there is a significant change

that creates the potential for a new hazard

or a significant increase in one previously

identified

• When there is new information about

potential hazards associated with a food

• When a preventive control is ineffective

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Produce packing houses

• Produce packing houses that fall under the

new farm definition produce safety rule

• Produce packing houses that do not fall

under the new farm definition PCHF

• Specific steps necessary to ensure the

safety of produce would generally be the

same

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Off-farm produce packing house

• CGMP requirements have analogues in

produce safety rule (new PCHF provision

allows packing house to choose)

• We expect off-farm packing houses

subject to PCHF to look to the produce

safety rule in developing food safety plans

and establish preventive control

management components

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Off-farm produce packing house

• Food safety plan would focus on a few key

preventive controls, generally with

counterparts in the produce safety rule

– Maintaining and monitoring water temperature

– Sanitation controls

• PC management components

– Product testing: unlikely

– Environmental monitoring: some facilities

may choose as a verification activity

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Facilities Storing Unexposed

Packaged Food • Exempt from the requirements for hazard

analysis and risk-based preventive

controls

• Modified requirements apply if the food

requires time/temperature control for

safety

– Monitoring, corrective actions, and verification

for temperature controls

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Supply-Chain Program

• Manufacturing/processing facilities must

have a risk-based supply-chain program to

ensure control of hazards in raw materials

and other ingredients when the control is

applied before receipt (“supply-chain

applied control”).

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Supplier

• The establishment that manufactures/ processes

the food, raises the animal, or grows the food

that is provided to a receiving facility without

further manufacturing/processing by another

establishment, except for further

manufacturing/processing that consists solely of

the addition of labeling or similar activity of a de

minimis nature.

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Supply-Chain Program

• Use of approved suppliers

• Determine appropriate supplier verification

activities

• Conduct and document supplier verification

activities

• When applicable, verify a supply-chain-applied

control applied by an entity other than the

facility’s supplier or obtain documentation of

verification by another entity

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Supplier Verification Activities

• Onsite audits

• Sampling and testing

• Review of relevant food safety records

• Other as appropriate

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Activity and frequency based on nature of

hazard, where it is controlled and supplier

performance.

Modified Supplier Verification for

Certain Suppliers

• Qualified facilities

• Produce farm not covered by part 112 “due

to size”

• Shell egg producer not subject to part 118

because less than 3,000 laying hens

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Qualified Facilities

• Very small businesses are qualified

facilities exempt from the requirements for

hazard analysis and risk-based preventive

controls (but have some modified

requirements).

– Average less than $1M per year in sales of

human food plus the market value of human

food manufactured, processed, packed or

held without sale

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Modified Requirements for a

Qualified Facility • Attestation the facility is a qualified facility;

AND

• Attestation that hazards have been

identified and that preventive controls

have been implemented and are being

monitored; OR

• Attestation facility is in compliance with an

applicable non-Federal food safety law

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Compliance Dates for

Businesses

• Very small businesses (less than $1 million in

annual food sales): Three years

• Small businesses (a business with fewer than

500 full-time equivalent employees): Two years

• Businesses subject to the Pasteurized Milk

Ordinance: Three years

• All other businesses: One year

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Compliance Dates –

Supply-Chain Program • Separate compliance dates have been

established for the supply-chain program

provisions to accommodate compliance

dates for suppliers of different sizes and

subject to different rules (e.g., Produce

Safety Standards, Foreign Supplier

Verification Program).

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Planned Guidances

• Hazard analysis and preventive controls

• Environmental monitoring

• Food allergen controls

• Validation of process controls

• A Small Entity Compliance Guide that

explains the actions a small or very small

business must take to comply with the

rule.

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For More Information

• Web site:

http://www.fda.gov/fsma

• Subscription feature available

• To contact FDA about FSMA and find the

new online form for submitting questions: http://www.fda.gov/Food/GuidanceRegulation/

FSMA/ucm459719.htm

42

Final Rule for

Preventive Controls for

Animal Food

http://www.fda.gov/fsma

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THE FUTURE IS NOW

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CGMPs

• FDA Action in Final Rule

– Revised the CGMPs based on comments and

existing industry standards

– Modified the requirements to be less

prescriptive while maintaining a baseline to

protect animal food against contamination that

would be harmful to public health

Good Manufacturing Practices

• Personnel

• Plant and grounds

• Sanitation

• Water supply and plumbing

• Equipment and utensils

• Plant operations

• Holding and distribution

• Holding and distribution of human food by-products

for use as animal food

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Human Food By-products

for Use as Animal Food

• Human food by-products are not subject to

animal food rule (except for provisions for

holding and distribution) if:

– Human food is produced in compliance with

human food CGMPs and all applicable food

safety requirements

– Not further processed

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Holding and Distribution of

Human Food By-Products • Must be held in a manner that protects

against contamination

– Containers cleaned as necessary

– Must be accurately identified during holding

– Labeling that identifies common or usual

name must be affixed to or accompany when

distributed

• Shipping containers examined before use

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Further Processing of Human

Food By-Product • Further processing of by-products requires

compliance with CGMPs

• Firm can choose to follow either the

human food or animal food CGMPs for the

processing

• Requires a hazard analysis

• If hazards identified, would need to

implement a preventive control

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Food Safety Plan

• Hazard analysis

• Preventive controls

• Supply-chain program

• Recall plan

• Procedures for monitoring

• Corrective action procedures

• Verification procedures

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Qualified Facilities • Very small businesses are qualified

facilities exempt from the full requirements

for hazard analysis and risk-based

preventive controls (but still have some

requirements)

– Average less than $2.5M per year in sales of

animal food plus the market value of animal

food manufactured, processed, packed or

held without sale

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Compliance Dates

Business Size CGMP Compliance PC Compliance

Other Businesses 1 year 2 years

Small Business* 2 years 3 years

Very Small Business◊ 3 years 4 years

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*Small Business – business with fewer than 500 full-time equivalent employees

◊ Very Small Business – Average less than $2.5M per year in sales of animal

food plus the market value of animal food manufactured, processed, packed or

held without sale

Planned Guidances

• Current Good Manufacturing Practices

• Human Food By-Products for Use as

Animal Food

• Hazard Analysis and Preventive Controls

• A Small Entity Compliance Guide that

explains the actions a small or very small

business must take to comply with the rule

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For More Information

• Web site:

http://www.fda.gov/fsma

• Subscription feature available

• To contact FDA about FSMA and find the

new online form for submitting questions:

http://www.fda.gov/Food/GuidanceRegulation/

FSMA/ucm459719.htm

53