Hazard analysis and risk-based preventive controls
In general
Hazard analysis
The owner, operator, or agent in charge of a facility shall—
identify and evaluate known or reasonably foreseeable hazards that may be associated with the facility, including—
biological, chemical, physical, and radiological hazards, natural toxins, pesticides, drug residues, decomposition, parasites, allergens, and unapproved food and color additives; and
hazards that occur naturally, or may be unintentionally introduced; and
identify and evaluate hazards that may be intentionally introduced, including by acts of terrorism; and
develop a written analysis of the hazards.
Preventive controls
The owner, operator, or agent in charge of a facility shall identify and implement preventive controls, including at critical control points, if any, to provide assurances that—
hazards identified in the hazard analysis conducted under subsection (b)(1) will be significantly minimized or prevented;
any hazards identified in the hazard analysis conducted under subsection (b)(2) will be significantly minimized or prevented and addressed, consistent with section 350i of this title, as applicable; and
the food manufactured, processed, packed, or held by such facility will not be adulterated under section 342 of this title or misbranded under section 343(w) of this title.
Monitoring of effectiveness
Corrective actions
The owner, operator, or agent in charge of a facility shall establish procedures to ensure that, if the preventive controls implemented under subsection (c) are not properly implemented or are found to be ineffective—
appropriate action is taken to reduce the likelihood of recurrence of the implementation failure;
all affected food is evaluated for safety; and
all affected food is prevented from entering into commerce if the owner, operator or agent in charge of such facility cannot ensure that the affected food is not adulterated under section 342 of this title or misbranded under section 343(w) of this title.
Verification
The owner, operator, or agent in charge of a facility shall verify that—
the preventive controls implemented under subsection (c) are adequate to control the hazards identified under subsection (b);
the owner, operator, or agent is conducting monitoring in accordance with subsection (d);
the owner, operator, or agent is making appropriate decisions about corrective actions taken under subsection (e);
the preventive controls implemented under subsection (c) are effectively and significantly minimizing or preventing the occurrence of identified hazards, including through the use of environmental and product testing programs and other appropriate means; and
there is documented, periodic reanalysis of the plan under subsection (i) to ensure that the plan is still relevant to the raw materials, conditions and processes in the facility, and new and emerging threats.
Recordkeeping
Written plan and documentation
Requirement to reanalyze
Exemption for seafood, juice, and low-acid canned food facilities subject to HACCP
In general
This section shall not apply to a facility if the owner, operator, or agent in charge of such facility is required to comply with, and is in compliance with, 1 of the following standards and regulations with respect to such facility:
The Seafood Hazard Analysis Critical Control Points Program of the Food and Drug Administration.
The Juice Hazard Analysis Critical Control Points Program of the Food and Drug Administration.
The Thermally Processed Low-Acid Foods Packaged in Hermetically Sealed Containers standards of the Food and Drug Administration (or any successor standards).
Applicability
Exception for activities of facilities subject to section 350h of this title
Modified requirements for qualified facilities
Qualified facilities
In general
Very small business
A facility is a qualified facility under this subparagraph—
if the facility, including any subsidiary or affiliate of the facility, is, collectively, a very small business (as defined in the regulations promulgated under subsection (n)); and
in the case where the facility is a subsidiary or affiliate of an entity, if such subsidiaries or affiliates, are, collectively, a very small business (as so defined).
Limited annual monetary value of sales
In general
A facility is a qualified facility under this subparagraph if clause (ii) applies—
to the facility, including any subsidiary or affiliate of the facility, collectively; and
to the subsidiaries or affiliates, collectively, of any entity of which the facility is a subsidiary or affiliate.
Average annual monetary value
This clause applies if—
during the 3-year period preceding the applicable calendar year, the average annual monetary value of the food manufactured, processed, packed, or held at such facility (or the collective average annual monetary value of such food at any subsidiary or affiliate, as described in clause (i)) that is sold directly to qualified end-users during such period exceeded the average annual monetary value of the food manufactured, processed, packed, or held at such facility (or the collective average annual monetary value of such food at any subsidiary or affiliate, as so described) sold by such facility (or collectively by any such subsidiary or affiliate) to all other purchasers during such period; and
the average annual monetary value of all food sold by such facility (or the collective average annual monetary value of such food sold by any subsidiary or affiliate, as described in clause (i)) during such period was less than $500,000, adjusted for inflation.
Exemption
A qualified facility—
shall not be subject to the requirements under subsections (a) through (i) and subsection (n) in an applicable calendar year; and
shall submit to the Secretary—
documentation that demonstrates that the owner, operator, or agent in charge of the facility has identified potential hazards associated with the food being produced, is implementing preventive controls to address the hazards, and is monitoring the preventive controls to ensure that such controls are effective; or
documentation (which may include licenses, inspection reports, certificates, permits, credentials, certification by an appropriate agency (such as a State department of agriculture), or other evidence of oversight), as specified by the Secretary, that the facility is in compliance with State, local, county, or other applicable non-Federal food safety law; and
documentation, as specified by the Secretary in a guidance document issued not later than 1 year after
Withdrawal; rule of construction
In general
Rule of construction
Definitions
In this subsection:
Affiliate
Qualified end-user
The term “qualified end-user”, with respect to a food, means—
the consumer of the food; or
a restaurant or retail food establishment (as those terms are defined by the Secretary for purposes of section 350d of this title) that—
is located—
in the same State as the qualified facility that sold the food to such restaurant or establishment; or
not more than 275 miles from such facility; and
is purchasing the food for sale directly to consumers at such restaurant or retail food establishment.
Consumer
Subsidiary
Study
In general
The Secretary, in consultation with the Secretary of Agriculture, shall conduct a study of the food processing sector regulated by the Secretary to determine—
the distribution of food production by type and size of operation, including monetary value of food sold;
the proportion of food produced by each type and size of operation;
the number and types of food facilities co-located on farms, including the number and proportion by commodity and by manufacturing or processing activity;
the incidence of foodborne illness originating from each size and type of operation and the type of food facilities for which no reported or known hazard exists; and
the effect on foodborne illness risk associated with commingling, processing, transporting, and storing food and raw agricultural commodities, including differences in risk based on the scale and duration of such activities.
Size
Submission of report
No preemption
Notification to consumers
In general
A qualified facility that is exempt from the requirements under subsections (a) through (i) and subsection (n) and does not prepare documentation under paragraph (2)(B)(i)(I) shall—
with respect to a food for which a food packaging label is required by the Secretary under any other provision of this chapter, include prominently and conspicuously on such label the name and business address of the facility where the food was manufactured or processed; or
with respect to a food for which a food packaging label is not required by the Secretary under any other provisions of this chapter, prominently and conspicuously display, at the point of purchase, the name and business address of the facility where the food was manufactured or processed, on a label, poster, sign, placard, or documents delivered contemporaneously with the food in the normal course of business, or, in the case of Internet sales, in an electronic notice.
No additional label
Authority with respect to certain facilities
Regulations
In general
Not later than 18 months after
to establish science-based minimum standards for conducting a hazard analysis, documenting hazards, implementing preventive controls, and documenting the implementation of the preventive controls under this section; and
to define, for purposes of this section, the terms “small business” and “very small business”, taking into consideration the study described in subsection (l)(5).
Coordination
Content
The regulations promulgated under paragraph (1)(A) shall—
provide sufficient flexibility to be practicable for all sizes and types of facilities, including small businesses such as a small food processing facility co-located on a farm;
comply with chapter 35 of title 44 (commonly known as the “Paperwork Reduction Act”), with special attention to minimizing the burden (as defined in section 3502(2) of such title) on the facility, and collection of information (as defined in section 3502(3) of such title), associated with such regulations;
acknowledge differences in risk and minimize, as appropriate, the number of separate standards that apply to separate foods; and
not require a facility to hire a consultant or other third party to identify, implement, certify, or audit preventative controls, except in the case of negotiated enforcement resolutions that may require such a consultant or third party.
Rule of construction
Review
Definitions
For purposes of this section:
Critical control point
Facility
Preventive controls
The term “preventive controls” means those risk-based, reasonably appropriate procedures, practices, and processes that a person knowledgeable about the safe manufacturing, processing, packing, or holding of food would employ to significantly minimize or prevent the hazards identified under the hazard analysis conducted under subsection (b) and that are consistent with the current scientific understanding of safe food manufacturing, processing, packing, or holding at the time of the analysis. Those procedures, practices, and processes may include the following:
Sanitation procedures for food contact surfaces and utensils and food-contact surfaces of equipment.
Supervisor, manager, and employee hygiene training.
An environmental monitoring program to verify the effectiveness of pathogen controls in processes where a food is exposed to a potential contaminant in the environment.
A food allergen control program.
A recall plan.
Current Good Manufacturing Practices (cGMPs) under part 110 of title 21, Code of Federal Regulations (or any successor regulations).
Supplier verification activities that relate to the safety of food.
Source
(June 25, 1938, ch. 675, § 418, as added Pub. L. 111–353, title I, § 103(a),Notes
Effective Date
General rule.—
The amendments made by this section [enacting this section and amending section 331 of this title] shall take effect 18 months after the date of enactment of this Act [
Flexibility for small businesses.—
Notwithstanding paragraph (1)—
the amendments made by this section shall apply to a small business (as defined in the regulations promulgated under section 418(n) of the Federal Food, Drug, and Cosmetic Act [21 U.S.C. 350g(n)] (as added by this section)) beginning on the date that is 6 months after the effective date of such regulations; and
the amendments made by this section shall apply to a very small business (as defined in such regulations) beginning on the date that is 18 months after the effective date of such regulations.”