CGMP Regulations for Supplement Marketers (With CGMP Regulations)

Good Manufacturing PracticesFor Supplement MarketersBY THE FDA AND FTC

HOW NOT TO GET TARGETED

PAGE 1 2014 KEVIN D. GRIMES [email protected] (615) 465-6000

Good Manufacturing PracticesFor Supplement Marketers

Wait a minute!!!You are probably thinking, Im just the marketer of dietary supplements, not the

manufacturer. Why in the world do I need to know anything about the FDAs GoodManufacturing Practices?

Im glad you asked.

In June of 2007, the FDA issued its Current Good Manufacturing Practices(cGMPs)1 regulations for dietary supplements. The cGMPs arent merely suggestions orgood ideas. They are federal regulations that require proper controls to be in place fordietary supplements during manufacturing, packaging, labeling, holding, and distributionoperations. Please note that when I use the term you below, it means you, yourmanufacturer, your fulfillment house, or some other third part. Among other things, thecGMPs:

Establish minimum requirements for personnel, including hygienic practicesand qualifications;

Establish minimum requirements for the physical plant and grounds,including (but not limited to) waste removal, grass cutting, maintenance ofroads and parking lots, cleaning and sanitizing agents, pest control, watersupply, plumbing, plant size, ventilation, temperature and humidity controlsand lighting;

Establish minimum requirements for equipment and utensils, includingequipment calibration, utensil and equipment design and sanitation;

Impose certain requirements on automatic, mechanical or electronicequipment used to hold a dietary supplement;

1 Dont ask me why the c (which stands for Current) in cGMPs is not capitalized. I have no earthlyidea. Thats just the way the FDA does it. For your reading enjoyment, the cGMPs are attached as Appendix1. I will tell you that they are 100% guaranteed to cure your insomnia. (Yes, I am making a drug claim.)




Require the establishment and use of written procedures for mostoperations-including those related to quality control and product complaints;

Require implementation of quality control operations to ensure the quality ofa dietary supplement;

Require the establishment of specifications for any point, step, or stage inthe process where control is necessary to ensure the quality of the dietarysupplement (e.g., a person would need to establish a specification for thetemperature at which the product will be held);

Require that you hold reserve samples of each lot of packaged and labeleddietary supplements that you distribute in a manner that protects againstcontamination and deterioration;

Require records associated with holding or distribution of a dietarysupplement to be kept for one year beyond the shelf life dating, or if shelf lifedating is not used, for two years beyond the date of distribution of the lastbatch of dietary supplements associated with those records;

Require identification and quarantine of returned dietary supplements untilquality control personnel conduct a material review and make a dispositiondecision;

Require quality control personnel to conduct a material review and make adisposition decision under certain circumstances;

Require a qualified person to investigate any "product complaint" thatinvolves a possible failure of a dietary supplement to meet any cGMPrequirement, with oversight by quality control personnel.

Establish minimum requirements for personnel, including hygienic practicesand qualifications;

Establish minimum requirements for the physical plant and grounds,including (but not limited to) waste removal, grass cutting, maintenance ofroads and parking lots, cleaning and sanitizing agents, pest control, watersupply, plumbing, plant size, ventilation, temperature and humidity controlsand lighting;




Establish minimum requirements for equipment and utensils, includingequipment calibration, utensil and equipment design and sanitation;

Impose certain requirements on automatic, mechanical or electronicequipment used to hold a dietary supplement;

Require the establishment and use of written procedures for mostoperations-including those related to quality control and product complaints;

Require implementation of quality control operations to ensure the quality ofa dietary supplement;

Require the establishment of specifications for any point, step, or stage inthe process where control is necessary to ensure the quality of the dietarysupplement (e.g., a person would need to establish a specification for thetemperature at which the product will be held);

Require that you hold reserve samples of each lot of packaged and labeleddietary supplements that you distribute in a manner that protects againstcontamination and deterioration;

Require records associated with holding or distribution of a dietarysupplement to be kept for one year beyond the shelf life dating, or if shelf lifedating is not used, for two years beyond the date of distribution of the lastbatch of dietary supplements associated with those records;

Require identification and quarantine of returned dietary supplements untilquality control personnel conduct a material review and make a dispositiondecision;

Require quality control personnel to conduct a material review and make adisposition decision under certain circumstances; and

Require a qualified person to investigate any "product complaint" thatinvolves a possible failure of a dietary supplement to meet any cGMPrequirement, with oversight by quality control personnel.

The cGMPs apply to all U.S. and foreign companies that manufacture, package,label, or hold dietary supplements in the U.S., including both domestic and imported




products.2 A retail store is subject to the regulations only if it warehouses or holds dietarysupplements outside of the products offered on the shelves of the store.3 A warehouse orstorage facility does not qualify as a retail establishment and is subject to the regulations.

However, the cGMPs do not stop there. They also address issues like returnedproducts, product complaints, and the record keeping requirements associated with allrequirements (including returned products and product complaints) under the cGMPs.

You are probably thinking, Hey Kevin, I never touch the products I sell. So how inthe world is any of this stuff even relevant to me?

I am going to assume that you, as a marketer of dietary supplements, do notmanufacture, package, or label the products you sell.

The fact that you dont do any of those activities excludes you from the majority ofthe cGMPs.

However, as you now know, you are subject to the cGMPs if you hold a dietarysupplement for distribution. Holding activities are addressed below at page 12, and alsoin Subpart M of the cGMPs. (See Appendix 1.)

But lets assume that you use a fulfillment house to warehouse and ship yourproducts, and that the dietary supplement or supplements you sell never come into yourpossession.

You are probably jumping up and down, hollering Thats me, thats me! So, thecGMPs dont affect me at all . . . right?

If your products go straight from your manufacturer to your fulfillment house, andnever come under your physical control, it is true that the majority of the cGMPs do notapply to you. Accordingly, the FDA cannot prosecute you civilly or criminally for the failureto comply with those parts of the cGMPs.

2 21 CFR 111.1.

3 21 CFR 111.1(b) provides:

The requirements pertaining to holding dietary supplements do not apply to you if you areholding those dietary supplements at a retail establishment for the sole purpose of directretail sale to individual customers. A retail establishment does not include a warehouse orother storage facility for a retailer or a warehouse or other storage facility that sells directlyto individual customers.




However . . . that doesnt mean that the cGMPs dont affect you.

They do and they will.

Why?

What do you think will happen if the FDA finds that your products are adulterated(e.g., deteriorated or contaminated) while they are in the possession of your fulfillmenthouse?

They will most likely seize them and require them to be destroyed. As everyfulfillment house will tell you Even though the products are in the custody of the fulfillmenthouse, they are your products.

Have you ever heard of the FDAs case against SeaSilver? (I will be happy to sendit to you.) It had $7 million of product seized and destroyed.

1. The Application of the cGMPs to You

The bottom line is that you must comply with the cGMP requirements that apply toyour operations (if any) related to the:

(1) manufacture;(2) packaging;(3) labeling; or(4) holding

of dietary supplements. If you don't do any of those things, the majority of the cGMPs donot apply (at least directly) to you.

In attempting to respond to the issue of whether a distributor of a dietarysupplement has any responsibility for complying with the cGMPs, the FDA wrote:

It is not practical to list all possible contractual relationships that persons mayenter into in the manufacture of a dietary supplement, or to list all businessesor practices that may be subject to the requirements of this final rule in orderfor persons to know whether they are subject to requirements of this finalrule.




However, in its publication of the final dietary supplement cGMPs,4 the FDA specificallyaddressed folks just like you who only distribute dietary supplements. The FDAexplained:

In cases where a distributor contracts with a manufacturer to manufacture adietary supplement that the distributor then distributes under its own label,the distributor has an obligation to know what and how manufacturingactivities are performed so that the distributor can make decisions related towhether the packaged and labeled product conforms to its establishedspecifications and whether to approve and release the product fordistribution.

The FDA reiterated this point again:

Many distributors of dietary supplements are private label distributors,meaning that the distributor's name appears on the product label. Under thenew cGMPs, there are additional requirements for those distributorswho are private label distributors. Private label distributors must knowwhat and how manufacturing activities are performed, so they can makedecisions related to whether the packaged and labeled product conforms toits established specifications and whether to approve and release theproduct for distribution. The easiest way for most companies to satisfy thatrequirement will be to obtain certificates of analysis (CoAs) from themanufacturer. However, the regulations include additional requirements forCoAs. Up until now, many companies would just accept CoAs at face value. Now, however, the FDA is requiring that companies (distributors):

(1) first qualify the supplier or manufacturer by establishing thereliability of the CoAs; (2) maintain documentation of how the distributor qualified thesupplier or manufacturer; and (3) periodically re-confirm the manufacturer's CoAs.

Guess what?

You need to have some provisions in your contract with your manufacturerthat addresses these issues.

4 72 Federal Register 34751, June 25, 2007.




Guess what? I'm going to give those contract clauses to you!

I have set forth a few clauses on pages 9 through 11. You will find the full contractin the eBook How Not to Get Targeted by the FDA and FTC at Appendix 16.

Heres something else to think about . . .

If the FDA specifically requires you to check things out relative to yourmanufacturer and cGMP compliance, do you think it is also possible that the same mightbe true regarding your fulfillment house (the holder of your products)?

Accordingly, I submit that it is in your best interests to know a little about what thecGMPs require.

So please dont get your knickers in a knot!

I have not attempted to address all of the cGMPs in this article, but rather, only theportions that are most relevant and directly related to you. This includes:

(1) Subpart M - Holding and Distribution(2) Subpart N - Returned Dietary Supplements(3) Subpart O - Product Complaints(4) Subpart P - Records and Record Keeping

Moreover, I have attempted to keep the discussion of these topics relatively short.

Once again, if you want to know more (and for your reading enjoyment), I haveattached the entire set of dietary supplement cGMPs (Part 111 of Title 21 of the Code ofFederal Regulations) as Appendix 1.

They are only 45 pages long.




TIP! In your contract with you manufacturer, you need to makeABSOLUTELY SURE that it contains:

An agreement to manufacture your product according to a formulaor specification.

A requirement for the manufacturer to give you a certificate ofanalysis (CoA) for each lot you receive.

The right to inspect the products (have them tested to see whetherthey meet the CoA), and reject them if they fail to meet theformula/specification.

Warranties and guarantees that all of your products will be madein complete compliance with the cGMPs.

A provision that if the products fail to meet specifications or thecGMPs, the manufacturer will provide, at your option, either a fullrefund (including shipping), or will expedite the production of a newlot, with all costs borne by the manufacturer.

An agreement to indemnify you for any consequences that flowfrom the manufacturer's failure to comply with the cGMPs;

In addition, you need to ask the manufacturer to see its SOPs (StandardOperating Procedures) for the cGMPs.

If the manufacturer says it does not have any run away!

If the manufacturer is reluctant to let you see them run away!




2. Sample Contract Provisions (You will find the full contract in the eBook HowNot to Get Targeted by the FDA and FTC at Appendix 16.)

Below, you will find a few sample provisions of actual contract clauses you caninsert in your manufacturing agreements.

Manufacturing

A. For the term of this Agreement, Manufacturer shall manufacture the finishedProducts identified on Appendix A in accordance with the specificationsdeveloped by Manufacturer OR provided by Customer pursuant to periodicPurchase Orders prepared by Customer which shall identify, among otherthings, with sufficient commercial specificity the quantity and type of Productsto be produced, the purchase price determined in accordance with AppendixA, and the time, place, method of delivery of such Products. Manufacturershall procure all raw ingredients, packaging materials, and labeling for usein the production of the finished Products, and shall provide for the finalpackaging and complete assembly of the finished Products. Customer mayspecify lot numbers and/or expiration dates. Lot numbers and expirationdates shall be imprinted on the labeling of the Products as designated byCustomer. Absent such designation, the lot numbers and expiration datesshall be imprinted where Manufacturer deems appropriate.

B. Manufacturer shall provide Customer a Certificate of Analysis ("CoA") foreach finished lot or batch of Product it manufacturers for Customer.

Inspection

A. Customer shall inspect the Products within thirty (30) days of delivery. Customer may also, at its expense, take such samples and make such testsas are commercially reasonable or customary, and shall within fourteen (14)working days after the receipt of an inspection or testing report, give writtenor verbal notice to the Manufacturer of any matter or thing by reason whereofit may allege that the Products are not in accordance with this Agreement orCoA. If Customer shall fail to give such notice within the times set forthherein, the Products shall be deemed to be in all respects in accordance withthis Agreement, and Customer shall be bound to accept and pay for thesame in accordance hereof.

B. In the event that any or all of the Products so tested shall fail to comply withthe relevant specifications or formula, Customer shall arrange for a second




test at the cost of Manufacturer to determine if the Product complies in allrespects with the relevant specifications or formula. If the second testconfirms that the Product does not comply in all respects therewith:

i the Customer shall be entitled to:(1) return all of the Product of the lot or batch in question to the

Manufacturer at the Manufacturers cost; or(2) at the direction of Manufacturer, destroy the lot or batch in

question, and(3) Customer shall not be obliged to pay for the same;

ii. Manufacturer shall reimburse Customer for the cost of the first testsset forth in subparagraph (A) immediately above; and

iii Manufacturer shall immediately provide Customer with Products thatcomply with the relevant specifications or formula. The production ofsuch batch or lot shall be placed ahead in priority of all ofManufacturer's other production runs. Manufacturer will ship suchbatch or lot to Customer, at Manufacturer's expense, via the fastestpossible means (overnight).

Representations and Warranties

A. The Manufacturer represents and warrants that it has, and shall maintainthroughout the term of this Agreement, sufficient facilities and skilledpersonnel to fulfill its obligations under this Agreement. The Manufacturerrepresents and warrants that its manufacturing facilities and manufacturingpractices will throughout the term of this Agreement comply with CurrentGood Manufacturing Practices for dietary supplements (21 C.F.R. Part 111)and all other legislation relevant to the manufacture, labeling, packaging, andholding of the Products. The Manufacturer represents and warrants that theexecution of this Agreement shall not conflict with, result in a breach of, orconstitute a default under any Agreement or instrument to which theManufacturer is a party or by which it is bound, and the execution anddelivery of this Agreement shall not violate any provision of any Judgment orAdministrative Order, Award, or Decree applicable to the Manufacturer.

B If the Manufacturer uses any third party to perform any of its obligationshereunder, it shall ensure that all such parties are subject to:

i representations and warranties at least as stringent as the terms setout in Section X(A) (Representations and Warranties) regarding




compliance with the Current Good Manufacturing Practicesregulations (21 C.F.R. Part 111) and all other legislation relevant tothe manufacture, labeling, packaging, or holding of the Products.

ii a covenant in respect of confidential information at least as stringentas the terms set out in Section XVIII (Notice). Manufacturer shall, atthe request of Customer, and at Manufacturers expense, enforce anycovenant as to confidentiality entered into by such third party.

Description of the Products as Express Warranties

Manufacturer agrees to supply to Customer Products according to the followingspecifications (set forth the specifications of the Products to be supplied). TheManufacturer warrants that the Products delivered by it under this contract will berepresentative of the brand or grade specified herein to be sold as described herein.

Express Warranty of Merchantability

The Manufacturer warrants that the Products are merchantable within the meaningof section 2-314 of the (Buyers State) Uniform Commercial Code.

Warranty of Fitness for Particular Purpose

The Manufacturer has been informed that the Customer intends to use the Productssupplied under this contract for (describe particular purpose of Customer) and thatthe Customer is relying on the Manufacturer's skill and judgment to select or furnishProducts suitable for that purpose. The Manufacturer warrants that the Productswhich it supplies will be fit for the particular purpose of the Customer.

Compliance with Government RegulationsManufacturer shall ensure that all Products supplied pursuant to this Contract willcomply with all laws, rules, and regulations relating thereto, including, but not limitedto the Current Good Manufacturing Practices for dietary supplements (21 C.F.R.Part 111). All of the costs of compliance, including testing, record keeping, sampleretention, and inspection activities shall be borne by Manufacturer.




3. Subpart M Holding and Distribution5

If you are holding (warehousing or storing) dietary supplements, you MUST complywith Subpart M. In its publication of the final version of the cGMPs, the FDA stated:

In another example, a distributor who purchases a packaged and labeleddietary supplement and who then holds the product in a warehouse fordistribution to another physical location is subject to the requirements relatedto its operations. The codified uses the word hold since it is a broad termwhich encompasses the activities of a distributor. Thus, the distributor wouldbe responsible for complying with requirements in subpart M, Holding andDistributing, in addition to other requirements related to its operations (e.g.,Personnel, Physical Plant and Grounds).

The final provisions for holding and distributing operations require, among otherthings, that companies hold dietary supplements (as well as establish and follow writtenprocedures (SOPs) for holding and distribution) under appropriate conditions oftemperature, humidity, and light so that the identity, purity, strength, and composition of thecomponents and dietary supplements are not affected. In addition, they must hold dietarysupplements under conditions that do not lead to the contam ination or deterioration of

5 The actual cGMPs include the questions articulated below. Its definitely a different format forfederal regulations.

Sec. 111.453 What are the requirements under this subpart for M written procedures?

You must establish and follow written procedures for holding and distributing operations.

Sec. 111.455 What requirements apply to holding components, dietary supplements, packaging, andlabels?

(a) You must hold components and dietary supplements under appropriate conditions of temperature,humidity, and light so that the identity, purity, strength, and composition of the components and dietarysupplements are not affected.

(b) You must hold packaging and labels under appropriate conditions so that the packaging and labelsare not adversely affected.

(c) You must hold components, dietary supplements, packaging, and labels under conditions that donot lead to the mixup, contamination, or deterioration of components, dietary supplements, packaging, and labels.

Sec. 111.470 What requirements apply to distributing dietary supplements?

You must distribute dietary supplements under conditions that will protect the dietary supplementsagainst contamination and deterioration.




dietary supplements. Finally, holders must distribute dietary supplements underconditions that will protect them against contamination and deterioration.

Our good friends at the FDA write:

These holding and distributing operations must be conducted in a consistentmanner, regardless of who conducts the operation or when it is conducted.Failure to follow these requirements for holding and distributing in aconsistent manner could lead to a failure to ensure the quality of the dietarysupplement product. For example, if employees do not know how to storean in-process batch of a botanical dietary supplement to control humidity, thegrowth of mold could be promoted. Furthermore, if a distributor does notrefrigerate a dietary supplement that requires refrigeration to ensure itsstrength, the dietary supplement may not meet its specification for strength.

4. Subpart M Product Complaints

Lets spend a moment chatting about product complaints, shall we?

In addition to the new adverse event reporting (AER) requirements for dietarysupplements), which went into effect on December 22, 2007, the cGMPs add additionalrequirements related to complaints. For example, the regulations require that holders ofdietary supplements review and investigate all product complaints they receive todetermine whether the complaint relates to a failure of the processes under theholder/distributors control that could affect the identity, purity, strength or composition ofthe supplement. Thus, for example, holders/distributors of dietary supplements mustinvestigate the conditions of temperature, humidity and light in which the supplement washeld. If the distributor concludes that the problem is unrelated to any process under controlof the distributor, the distributor should contact the manufacturer.




SUMMARY Holding and Distribution Your fulfillment house must hold, establish, and follow writtenprocedures for the holding and distribution of your products to complywith the cGMPs.

This means that it must hold them under conditions that do not leadto the contamination or deterioration of the products.

This means that it must distribute them under conditions that willprotect them against contamination and deterioration.

Your fulfillment house must review and investigate all productcomplaints it receives to determine whether the complaint relates toa failure of the processes under its control.

If it concludes that the problem is unrelated to any process underits control, it should contact the manufacturer.




TIP! I know this will come as a complete surprise, but in yourcontract with your fulfillment house, you need to make ABSOLUTELYSURE that it contains:

An agreement to hold and distribute your product in compliancewith the applicable cGMPs (Subpart M).

An agreement to review and investigate product complaints.

A provision that provides if fulfillment house fails to comply with thecGMPs, it will replace all adulterated products at its expense.

An agreement to indemnify you for any consequences that flowfrom the fulfillment houses failure to comply with the cGMPs;

In addition, you need to ask the fulfillment house to see its SOPs(Standard Operating Procedures) for Subparts M, N, O, P of the cGMPs.

If the it says it does not have any run away!

If the it is reluctant to let you see them run away!




5. Subpart N Returned Dietary Supplements

When a customer wants to return a dietary supplement she purchased from you,to where does she send it? Does it go to you, your fulfillment house, or the manufacturer?6

6 As I have mentioned before, the actual cGMPs include the questions below.

Subpart N--Returned Dietary Supplements

Sec. 111.503 What are the requirements under this subpart N for written procedures?You must establish and follow written procedures to fulfill the requirements of this subpart.

Sec. 111.510 What requirements apply when a returned dietary supplement is received?You must identify and quarantine returned dietary supplements until quality control personnel conduct

a material review and make a disposition decision.

Sec. 111.515 When must a returned dietary supplement be destroyed, or otherwise suitablydisposed of?You must destroy, or otherwise suitably dispose of, any returned dietary supplement unless the

outcome of a material review and disposition decision is that quality control personnel do the following:

(a) Approve the salvage of the returned dietary supplement for redistribution or(b) Approve the returned dietary supplement for reprocessing.

Sec. 111.520 When may a returned dietary supplement be salvaged?You may salvage a returned dietary supplement only if quality control personnel conduct a material

review and make a disposition decision to allow the salvage.

Sec. 111.525 What requirements apply to a returned dietary supplement that quality controlpersonnel approve for reprocessing?(a) You must ensure that any returned dietary supplements that are reprocessed meet all product

specifications established in accordance with Sec. 111.70(e); and(b) Quality control personnel must approve or reject the release for distribution of any returned dietary

supplement that is reprocessed.

Sec. 111.530 When must an investigation be conducted of your manufacturing processes and otherbatches?If the reason for a dietary supplement being returned implicates other batches, you must conduct an

investigation of your manufacturing processes and each of those other batches to determine compliance withspecifications.

Sec. 111.535 Under this subpart N, what records must you make and keep?(a) You must make and keep records required under this subpart N in accordance with subpart P of

this part.(b) You must make and keep the following records:

(1) Written procedures for fulfilling the requirements of this subpart N.(2) Any material review and disposition decision on a returned dietary supplement;

(3) The results of any testing or examination conducted to determine compliance with product




You (and most likely your warehouse or fulfillment house) must establish and followwritten procedures (Standard Operating Procedures or SOPs) for complying with thispart.

Returned dietary supplements must be identified and quarantined until qualitycontrol personnel conduct a material review and reach a disposition decision.

You must destroy or otherwise suitably dispose of any returned dietary supplementunless the outcome of a material review and disposition decision by quality controlpersonnel approves the salvaging or reprocessing of a returned dietary supplement forredistribution.

Returned dietary supplements that are approved for reprocessing must meet allproduct specifications and be approved (or rejected) for release for distribution by qualitycontrol personnel.

Of course, the easiest way to deal with returned products is simply to destroy them.

If, for any reason, a returned dietary supplement implicates other batches (such asan apparent process failure), the manufacturer must conduct an investigation of itsmanufacturing process and each of those other batches to determine compliance withspecifications. Quality control personnel must review the results of this investigation aspart of a material review.

6. Subpart O Product Complaints

The cGMPs require that a qualified person review all product complaints todetermine whether the product complaint involves a possible failure of a dietarysupplement to meet any of its specifications or other cGMP requirements, and if so, toinvestigate that complaint.7 Quality control personnel must review and approve decisionsabout whether to investigate a product complaint and review and approve the findings andfollow-up action of any investigation performed. This is especially true for any specification

specifications established under Sec. 111.70(e); and,(4) Documentation of the reevaluation by quality control personnel of any dietary supplementthat is reprocessed and the determination by quality control personnel of whether thereprocessed dietary supplement meets product specifications established in accordance withSec. 111.70(e).

7 21 CFR 111.3.




which, if not met, could increase the risk of illness or injury. These reviews andinvestigations must extend to all relevant batches and records. Product complaints thatrepresent adverse events, covered by the Dietary Supplement and Non-Prescription DrugCustomer Protection Act, need to be analyzed, recorded, preserved, and made availablefor inspection in accordance with the provisions of that Act.8

Under the procedures that are set forth in subpart O (Product Complaints), a holder(fulfillment house) and a manufacturer are both subject to the requirements related to thereview and investigation of a product complaint that they receive.

In most cases, the person who receives a product complaint from a customerwill be the manufacturer, packager, or distributor of the dietary supplement. A distributor (also a holder under this regulation) who receives a productcomplaint must review and investigate that complaint to determine whetherthe complaint relates to a failure of the processes under the control of thedistributor, such as conditions of temperature, humidity, and light that couldaffect the identity, purity, strength, or composition of the dietary supplement.If the distributor concludes the problem is unrelated to any process under thecontrol of the distributor, the distributor should contact the manufacturer. Under the cGMPs, any person in the manufacturing chain who receives aproduct complaint--regardless of the source--must comply with therequirements in this subpart O.

The FDA wants everyone who is involved in the chain of distribution (manufacturers,packagers, labelers, holders, and distributors) who receives a product complaint to notifythose in a dietary supplement's manufacturing chain about product complaints they receiveor they, themselves, generate that may relate to operations outside the manufacturers,packagers', labelers', holders or distributors' control.

8 The Dietary Supplement and Non-Prescription Drug Customer Protection Act (Public Law 109-462)requires mandatory reporting to the FDA of serious adverse events associated with the use of a dietarysupplement in the U.S., effective December 22, 2007. See Chapter 25 - Adverse Event Reporting.




7. Subpart P Records and Record Keeping9

The cGMPs require companies to keep written records required by the regulations for one year past the shelf life date (if used), or if there is no shelf life date, two yearsbeyond the date of distribution of the last batch of dietary supplements associated withthose records. Shelf life dating includes best if used by dating as well as expirationdating. Records may be kept as original records, true copies, or as electronic records ifthey are compliant with 21 CFR Part 11. All records required by the cGMPs must bereadily available during the retention period for inspection and copying by FDA whenrequested.10 If example, if you use reduction techniques, such as microfilming, you mustmake a suitable reader and photocopying equipment available to FDA.

TIP! In light of what the cGMPs require regarding productcomplaints, namely that a qualified person review and investigate theproduct in question to determine whether it failed to meet anyrequirement of the cGMPs, you must make sure that both your fulfillmenthouse and manufacturer

(1) have the personnel who can investigate and make appropriatedeterminations; and(2) agree to handle this responsibility.

9 Sec. 111.475 Under this subpart M, what records must you make and keep?

(a) You must make and keep records required under this subpart M in accordance with subpart P ofthis part.

(b) You must make and keep the following records:(1) Written procedures for holding and distributing operations; and(2) Records of product distribution.

10 21 CFR 111.610.

CURRENT GOOD MANUFACTURING PRACTICE IN MANUFACTURING, PACKAGING,

LABELING, OR HOLDING OPERATIONS FOR DIETARY SUPPLEMENTS

21 C.F.R. PART 111

PART 111CURRENT GOOD MANUFACTURING PRACTICE IN MANUFACTURING, PACKAGING, LABELING, OR HOLDING OPERATIONS FOR DIETARY SUPPLEMENTS

Subpart A - General Provisions Sec. 111.1 - Who is subject to this part? Sec. 111.3 - What definitions apply to this part? Sec. 111.5 - Do other statutory provisions and regulations apply? Subpart B - Personnel Sec. 111.8 - What are the requirements under this subpart B for written procedures? Sec. 111.10 - What requirements apply for preventing microbial contamination from sick

or infected personnel and for hygienic practices? Sec. 111.12 - What personnel qualification requirements apply? Sec. 111.13 - What supervisor requirements apply? Sec. 111.14 - Under this subpart B, what records must you make and keep? Subpart C - Physical Plant and Grounds Sec. 111.15 - What sanitation requirements apply to your physical plant and grounds? Sec. 111.16 - What are the requirements under this subpart C for written procedures? Sec. 111.20 - What design and construction requirements apply to your physical plant? Sec. 111.23 - Under this subpart C, what records must you make and keep? Subpart D - Equipment and Utensils Sec. 111.25 - What are the requirements under this subpart D for written procedures? Sec. 111.27 - What requirements apply to the equipment and utensils that you use? Sec. 111.30 - What requirements apply to automated, mechanical, or electronic equipment? Sec. 111.35 - Under this subpart D, what records must you make and keep? Subpart E - Requirement to Establish a Production and Process Control System Sec. 111.55 - What are the requirements to implement a production and process control

system? Sec. 111.60 - What are the design requirements for the production and process control

system?

1

Sec. 111.65 - What are the requirements for quality control operations? Sec. 111.70 - What specifications must you establish? Sec. 111.73 - What is your responsibility for determining whether established

specifications are met? Sec. 111.75 - What must you do to determine whether specifications are met? Sec. 111.77 - What must you do if established specifications are not met? Sec. 111.80 - What representative samples must you collect? Sec. 111.83 - What are the requirements for reserve samples? Sec. 111.87 - Who conducts a material review and makes a disposition decision? Sec. 111.90 - What requirements apply to treatments, in-process adjustments, and

reprocessing when there is a deviation or unanticipated occurrence or when a specification established in accordance with 111.70 is not met?

Sec. 111.95 - Under this subpart E, what records must you make and keep? Subpart F - Production and Process Control System: Requirements for Quality Control Sec. 111.103 - What are the requirements under this subpart F for written procedures? Sec. 111.105 - What must quality control personnel do? Sec. 111.110 - What quality control operations are required for laboratory operations

associated with the production and process control system? Sec. 111.113 - What quality control operations are required for a material review and

disposition decision? Sec. 111.117 - What quality control operations are required for equipment, instruments,

and controls? Sec. 111.120 - What quality control operations are required for components, packaging,

and labels before use in the manufacture of a dietary supplement? Sec. 111.123 - What quality control operations are required for the master manufacturing

record, the batch production record, and manufacturing operations? Sec. 111.127 - What quality control operations are required for packaging and labeling

operations? Sec. 111.130 - What quality control operations are required for returned dietary

supplements? Sec. 111.135 - What quality control operations are required for product complaints? Sec. 111.140 - Under this subpart F, what records must you make and keep? Subpart G - Production and Process Control System: Requirements for Components, Packaging, and Labels and for Product That You Receive for Packaging or Labeling as a Dietary Supplement Sec. 111.153 - What are the requirements under this subpart G for written procedures? Sec. 111.155 - What requirements apply to components of dietary supplements? Sec. 111.160 - What requirements apply to packaging and labels received? Sec. 111.165 - What requirements apply to a product received for packaging or labeling as

a dietary supplement (and for distribution rather than for return to the supplier)? Sec. 111.170 - What requirements apply to rejected components, packaging, and labels,

and to rejected products that are received for packaging or labeling as a dietary supplement?

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Sec. 111.180 - Under this subpart G, what records must you make and keep? Subpart H - Production and Process Control System: Requirements for the Master Manufacturing Record Sec. 111.205 - What is the requirement to establish a master manufacturing record? Sec. 111.210 - What must the master manufacturing record include? Subpart I - Production and Process Control System: Requirements for the Batch Production Record Sec. 111.255 - What is the requirement to establish a batch production record? Sec. 111.260 - What must the batch record include? Subpart J - Production and Process Control System: Requirements for Laboratory Operations Sec. 111.303 - What are the requirements under this subpart J for written procedures? Sec. 111.310 - What are the requirements for the laboratory facilities that you use? Sec. 111.315 - What are the requirements for laboratory control processes? Sec. 111.320 - What requirements apply to laboratory methods for testing and

examination? Sec. 111.325 - Under this subpart J, what records must you make and keep? Subpart K -Production and Process Control System: Requirements for Manufacturing Operations Sec. 111.353 - What are the requirements under this subpart K for written procedures? Sec. 111.355 - What are the design requirements for manufacturing operations? Sec. 111.360 - What are the requirements for sanitation? Sec. 111.365 - What precautions must you take to prevent contamination? Sec. 111.370 - What requirements apply to rejected dietary supplements? Sec. 111.375 - Under this subpart K, what records must you make and keep? Subpart L -Production and Process Control System: Requirements for Packaging and Labeling Operations Sec. 111.403 - What are the requirements under this subpart L for written procedures? Sec. 111.410 - What requirements apply to packaging and labels? Sec. 111.415 - What requirements apply to filling, assembling, packaging, labeling, and

related operations? Sec. 111.420 - What requirements apply to repackaging and relabeling? Sec. 111.425 - What requirements apply to a packaged and labeled dietary supplement that

is rejected for distribution? Sec. 111.430 - Under this subpart L, what records must you make and keep? Subpart M - Holding and Distributing Sec. 111.453 - What are the requirements under this subpart M for written procedures? Sec. 111.455 - What requirements apply to holding components, dietary supplements,

packaging, and labels?

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Sec. 111.460 - What requirements apply to holding in-process material? Sec. 111.465 - What requirements apply to holding reserve samples of dietary

supplements? Sec. 111.470 - What requirements apply to distributing dietary supplements? Sec. 111.475 - Under this subpart M, what records must you make and keep? Subpart N -Returned Dietary Supplements Sec. 111.503 - What are the requirements under this subpart N for written procedures? Sec. 111.510 - What requirements apply when a returned dietary supplement is received? Sec. 111.515 - When must a returned dietary supplement be destroyed, or otherwise

suitably disposed of? Sec. 111.520 - When may a returned dietary supplement be salvaged? Sec. 111.525 - What requirements apply to a returned dietary supplement that quality

control personnel approve for reprocessing? Sec. 111.530 - When must an investigation be conducted of your manufacturing processes

and other batches? Sec. 111.535 - Under this subpart N, what records must you make and keep? Subpart O -Product Complaints Sec. 111.553 - What are the requirements under this subpart O for written procedures? Sec. 111.560 - What requirements apply to the review and investigation of a product

complaint? Sec. 111.570 - Under this subpart O, what records must you make and keep? Subpart P -Records and Recordkeeping Sec. 111.605 - What requirements apply to the records that you make and keep? Sec. 111.610 - What records must be made available to FDA?

Authority: 21 U.S.C. 321, 342, 343, 371, 374, 381, 393; 42 U.S.C. 264.

Source: 72 FR 34942, June 25, 2007, unless otherwise noted.

Subpart A - General Provisions

111.1 - Who is subject to this part?

(a) Except as provided by paragraph (b) of this section, you are subject to this part if you manufacture, package, label, or hold a dietary supplement, including:

(1) A dietary supplement you manufacture but that is packaged or labeled by another person; and (2) A dietary supplement imported or offered for import in any State or territory of the United States, the District of Columbia, or the Commonwealth of Puerto Rico.

(b) The requirements pertaining to holding dietary supplements do not apply to you if you are holding those dietary supplements at a retail establishment for the sole

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purpose of direct retail sale to individual consumers. A retail establishment does not include a warehouse or other storage facility for a retailer or a warehouse or other storage facility that sells directly to individual consumers.

111.3 - What definitions apply to this part?

The definitions and interpretations of terms in section 201 of the Federal Food, Drug, and Cosmetic Act (the act) apply to such terms when used in this part. For the purpose of this part, the following definitions also apply: Actual yield means the quantity that is actually produced at any appropriate step of manufacture or packaging of a particular dietary supplement. Batch means a specific quantity of a dietary supplement that is uniform, that is intended to meet specifications for identity, purity, strength, and composition, and that is produced during a specified time period according to a single manufacturing record during the same cycle of manufacture. Batch number, lot number, or control number means any distinctive group of letters, numbers, or symbols, or any combination of them, from which the complete history of the manufacturing, packaging, labeling, and/or holding of a batch or lot of dietary supplements can be determined. Component means any substance intended for use in the manufacture of a dietary supplement, including those that may not appear in the finished batch of the dietary supplement. Component includes dietary ingredients (as described in section 201(ff) of the act) and other ingredients. Contact surface means any surface that contacts a component or dietary supplement, and those surfaces from which drainage onto the component or dietary supplement, or onto surfaces that contact the component or dietary supplement, occurs during the normal course of operations. Examples of contact surfaces include containers, utensils, tables, contact surfaces of equipment, and packaging. Ingredient means any substance that is used in the manufacture of a dietary supplement and that is intended to be present in the finished batch of the dietary supplement. An ingredient includes, but is not necessarily limited to, a dietary ingredient as defined in section 201(ff) of the act.

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In-process material means any material that is fabricated, compounded, blended, ground, extracted, sifted, sterilized, derived by chemical reaction, or processed in any other way for use in the manufacture of a dietary supplement. Lot means a batch, or a specific identified portion of a batch, that is uniform and that is intended to meet specifications for identity, purity, strength, and composition; or, in the case of a dietary supplement produced by continuous process, a specific identified amount produced in a specified unit of time or quantity in a manner that is uniform and that is intended to meet specifications for identity, purity, strength, and composition. Microorganisms means yeasts, molds, bacteria, viruses, and other similar microscopic organisms having public health or sanitary concern. This definition includes species that:

(1) May have public health significance; (2) May cause a component or dietary supplement to decompose; (3) Indicate that the component or dietary supplement is contaminated with filth; or (4) Otherwise may cause the component or dietary supplement to be adulterated.

Must is used to state a requirement. Pest means any objectionable insect or other animal including birds, rodents, flies, mites, and larvae. Physical plant means all or any part of a building or facility used for or in connection with manufacturing, packaging, labeling, or holding a dietary supplement. Product complaint means any communication that contains any allegation, written, electronic, or oral, expressing concern, for any reason, with the quality of a dietary supplement, that could be related to current good manufacturing practice. Examples of product complaints are: Foul odor, off taste, illness or injury, disintegration time, color variation, tablet size or size variation, under-filled container, foreign material in a dietary supplement container, improper packaging, mislabeling, or dietary supplements that are superpotent, subpotent, or contain the wrong ingredient, or contain a drug or other contaminant (e.g., bacteria, pesticide, mycotoxin, glass, lead).

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Quality means that the dietary supplement consistently meets the established specifications for identity, purity, strength, and composition, and limits on contaminants, and has been manufactured, packaged, labeled, and held under conditions to prevent adulteration under section 402(a)(1), (a)(2), (a)(3), and (a)(4) of the act. Quality control means a planned and systematic operation or procedure for ensuring the quality of a dietary supplement. Quality control personnel means any person, persons, or group, within or outside of your organization, who you designate to be responsible for your quality control operations. Representative sample means a sample that consists of an adequate number of units that are drawn based on rational criteria, such as random sampling, and that are intended to ensure that the sample accurately portrays the material being sampled. Reprocessing means using, in the manufacture of a dietary supplement, clean, uncontaminated components or dietary supplements that have been previously removed from manufacturing and that have been made suitable for use in the manufacture of a dietary supplement. Reserve sample means a representative sample of product that is held for a designated period of time. Sanitize means to adequately treat cleaned equipment, containers, utensils, or any other cleaned contact surface by a process that is effective in destroying vegetative cells of microorganisms of public health significance, and in substantially reducing numbers of other microorganisms, but without adversely affecting the product or its safety for the consumer. Theoretical yield means the quantity that would be produced at any appropriate step of manufacture or packaging of a particular dietary supplement, based upon the quantity of components or packaging to be used, in the absence of any loss or error in actual production. Water activity (aw) is a measure of the free moisture in a component or dietary supplement and is the quotient of the water vapor pressure of the substance divided by the vapor pressure of pure water at the same temperature.

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We means the U.S. Food and Drug Administration (FDA). You means a person who manufactures, packages, labels, or holds dietary supplements.

111.5 - Do other statutory provisions and regulations apply?

In addition to this part, you must comply with other applicable statutory provisions and regulations under the act related to dietary supplements.

Subpart BPersonnel

111.8 - What are the requirements under this subpart B for written procedures?

You must establish and follow written procedures for fulfilling the requirements of this subpart.

111.10 - What requirements apply for preventing microbial contamination from sick or infected personnel and for hygienic practices?

(a) Preventing microbial contamination You must take measures to exclude from any operations any person who might be a source of microbial contamination, due to a health condition, where such contamination may occur, of any material, including components, dietary supplements, and contact surfaces used in the manufacture, packaging, labeling, or holding of a dietary supplement. Such measures include the following:

(1) Excluding from working in any operations that may result in contamination any person who, by medical examination, the person's acknowledgement, or supervisory observation, is shown to have, or appears to have, an illness, infection, open lesion, or any other abnormal source of microbial contamination, that could result in microbial contamination of components, dietary supplements, or contact surfaces, until the health condition no longer exists; and (2) Instructing your employees to notify their supervisor(s) if they have or if there is a reasonable possibility that they have a health condition described in paragraph (a)(1) of this section that could result in microbial contamination of any components, dietary supplements, or any contact surface.

(b) Hygienic practices If you work in an operation during which adulteration of the component, dietary supplement, or contact surface could occur, you must use hygienic practices to the extent necessary to protect against such contamination of components, dietary supplements, or contact surfaces. These hygienic practices include the following:

(1) Wearing outer garments in a manner that protects against the contamination of components, dietary supplements, or any contact surface; (2) Maintaining adequate personal cleanliness;

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(3) Washing hands thoroughly (and sanitizing if necessary to protect against contamination with microorganisms) in an adequate hand-washing facility:

(i) Before starting work; and (ii) At any time when the hands may have become soiled or contaminated;

(4) Removing all unsecured jewelry and other objects that might fall into components, dietary supplements, equipment, or packaging, and removing hand jewelry that cannot be adequately sanitized during periods in which components or dietary supplements are manipulated by hand. If hand jewelry cannot be removed, it must be covered by material that is maintained in an intact, clean, and sanitary condition and that effectively protects against contamination of components, dietary supplements, or contact surfaces; (5) Maintaining gloves used in handling components or dietary supplements in an intact, clean, and sanitary condition. The gloves must be of an impermeable material; (6) Wearing, where appropriate, in an effective manner, hair nets, caps, beard covers, or other effective hair restraints; (7) Not storing clothing or other personal belongings in areas where components, dietary supplements, or any contact surfaces are exposed or where contact surfaces are washed; (8) Not eating food, chewing gum, drinking beverages, or using tobacco products in areas where components, dietary supplements, or any contact surfaces are exposed, or where contact surfaces are washed; and (9) Taking any other precautions necessary to protect against the contamination of components, dietary supplements, or contact surfaces with microorganisms, filth, or any other extraneous materials, including perspiration, hair, cosmetics, tobacco, chemicals, and medicines applied to the skin.

111.12 - What personnel qualification requirements apply?

(a) You must have qualified employees who manufacture, package, label, or hold dietary supplements. (b) You must identify who is responsible for your quality control operations. Each person who is identified to perform quality control operations must be qualified to do so and have distinct and separate responsibilities related to performing such operations from those responsibilities that the person otherwise has when not performing such operations. (c) Each person engaged in manufacturing, packaging, labeling, or holding, or in performing any quality control operations, must have the education, training, or experience to perform the person's assigned functions.

111.13 - What supervisor requirements apply?

(a) You must assign qualified personnel to supervise the manufacturing, packaging, labeling, or holding of dietary supplements.

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(b) Each supervisor whom you use must be qualified by education, training, or experience to supervise.

111.14 - Under this subpart B, what records must you make and keep?

(a) You must make and keep records required under this subpart B in accordance with subpart P of this part. (b) You must make and keep the following records:

(1) Written procedures for fulfilling the requirements of this subpart B; and (2) Documentation of training, including the date of the training, the type of training, and the person(s) trained.

Subpart C - Physical Plant and Grounds

111.15 - What sanitation requirements apply to your physical plant and grounds?

(a) Grounds You must keep the grounds of your physical plant in a condition that protects against the contamination of components, dietary supplements, or contact surfaces. The methods for adequate ground maintenance include:

(1) Properly storing equipment, removing litter and waste, and cutting weeds or grass within the immediate vicinity of the physical plant so that it does not attract pests, harbor pests, or provide pests a place for breeding; (2) Maintaining roads, yards, and parking lots so that they do not constitute a source of contamination in areas where components, dietary supplements, or contact surfaces are exposed; (3) Adequately draining areas that may contribute to the contamination of components, dietary supplements, or contact surfaces by seepage, filth or any other extraneous materials, or by providing a breeding place for pests; (4) Adequately operating systems for waste treatment and disposal so that they do not constitute a source of contamination in areas where components, dietary supplements, or contact surfaces are exposed; and (5) If your plant grounds are bordered by grounds not under your control, and if those other grounds are not maintained in the manner described in this section, you must exercise care in the plant by inspection, extermination, or other means to exclude pests, dirt, and filth or any other extraneous materials that may be a source of contamination.

(b) Physical plant facilities (1) You must maintain your physical plant in a clean and sanitary condition; and (2) You must maintain your physical plant in repair sufficient to prevent components, dietary supplements, or contact surfaces from becoming contaminated.

(c) Cleaning compounds, sanitizing agents, pesticides, and other toxic materials (1) You must use cleaning compounds and sanitizing agents that are free from microorganisms of public health significance and that are safe and adequate under the conditions of use.

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(2) You must not use or hold toxic materials in a physical plant in which components, dietary supplements, or contact surfaces are manufactured or exposed, unless those materials are necessary as follows:

(i) To maintain clean and sanitary conditions; (ii) For use in laboratory testing procedures; (iii) For maintaining or operating the physical plant or equipment; or (iv) For use in the plant's operations.

(3) You must identify and hold cleaning compounds, sanitizing agents, pesticides, pesticide chemicals, and other toxic materials in a manner that protects against contamination of components, dietary supplements, or contact surfaces.

(d) Pest control (1) You must not allow animals or pests in any area of your physical plant. Guard or guide dogs are allowed in some areas of your physical plant if the presence of the dogs will not result in contamination of components, dietary supplements, or contact surfaces; (2) You must take effective measures to exclude pests from the physical plant and to protect against contamination of components, dietary supplements, and contact surfaces on the premises by pests; and (3) You must not use insecticides, fumigants, fungicides, or rodenticides, unless you take precautions to protect against the contamination of components, dietary supplements, or contact surfaces.

(e) Water supply (1) You must provide water that is safe and sanitary, at suitable temperatures, and under pressure as needed, for all uses where water does not become a component of the dietary supplement. (2) Water that is used in a manner such that the water may become a component of the dietary supplement, e.g., when such water contacts components, dietary supplements, or any contact surface, must, at a minimum, comply with applicable Federal, State, and local requirements and not contaminate the dietary supplement.

(f) Plumbing The plumbing in your physical plant must be of an adequate size and design and be adequately installed and maintained to:

(1) Carry sufficient amounts of water to required locations throughout the physical plant; (2) Properly convey sewage and liquid disposable waste from your physical plant; (3) Avoid being a source of contamination to components, dietary supplements, water supplies, or any contact surface, 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; and

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(5) Not allow backflow from, or cross connection between, piping systems that discharge waste water or sewage and piping systems that carry water used for manufacturing dietary supplements, for cleaning contact surfaces, or for use in bathrooms or hand-washing facilities.

(g) Sewage disposal You must dispose of sewage into an adequate sewage system or through other adequate means. (h) Bathrooms You must provide your employees with adequate, readily accessible bathrooms. The bathrooms must be kept clean and must not be a potential source of contamination to components, dietary supplements, or contact surfaces. (i) Hand-washing facilities You must provide hand-washing facilities that are designed to ensure that an employee's hands are not a source of contamination of components, dietary supplements, or any contact surface, by providing facilities that are adequate, convenient, and furnish running water at a suitable temperature. (j) Trash disposal You must convey, store, and dispose of trash to:

(1) Minimize the development of odors; (2) Minimize the potential for the trash to attract, harbor, or become a breeding place for pests; (3) Protect against contamination of components, dietary supplements, any contact surface, water supplies, and grounds surrounding your physical plant; and (4) Control hazardous waste to prevent contamination of components, dietary supplements, and contact surfaces.

(k) Sanitation supervisors You must assign one or more employees to supervise overall sanitation. Each of these supervisors must be qualified by education, training, or experience to develop and supervise sanitation procedures.

111.16 - What are the requirements under this subpart C for written procedures?

You must establish and follow written procedures for cleaning the physical plant and for pest control.

111.20 - What design and construction requirements apply to your physical plant?

Any physical plant you use in the manufacture, packaging, labeling, or holding of dietary supplements must: (a) Be suitable in size, construction, and design to facilitate maintenance, cleaning, and sanitizing operations; (b) Have adequate space for the orderly placement of equipment and holding of materials as is necessary for maintenance, cleaning, and sanitizing operations and to prevent contamination and mix-ups of components and dietary supplements during manufacturing, packaging, labeling, or holding; (c) Permit the use of proper precautions to reduce the potential for mix-ups or contamination of components, dietary supplements, or contact surfaces, with

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microorganisms, chemicals, filth, or other extraneous material. Your physical plant must have, and you must use, separate or defined areas of adequate size or other control systems, such as computerized inventory controls or automated systems of separation, to prevent contamination and mix-ups of components and dietary supplements during the following operations:

(1) Receiving, identifying, holding, and withholding from use, components, dietary supplements, packaging, and labels that will be used in or during the manufacturing, packaging, labeling, or holding of dietary supplements; (2) Separating, as necessary, components, dietary supplements, packaging, and labels that are to be used in manufacturing from components, dietary supplements, packaging, or labels that are awaiting material review and disposition decision, reprocessing, or are awaiting disposal after rejection; (3) Separating the manufacturing, packaging, labeling, and holding of different product types including different types of dietary supplements and other foods, cosmetics, and pharmaceutical products; (4) Performing laboratory analyses and holding laboratory supplies and samples; (5) Cleaning and sanitizing contact surfaces; (6) Packaging and label operations; and (7) Holding components or dietary supplements.

(d) Be designed and constructed in a manner that prevents contamination of components, dietary supplements, or contact surfaces.

(1) The design and construction must include: (i) Floors, walls, and ceilings that can be adequately cleaned and kept clean and in good repair; (ii) Fixtures, ducts, and pipes that do not contaminate components, dietary supplements, or contact surfaces by dripping or other leakage, or condensate; (iii) Adequate ventilation or environmental control equipment such as airflow systems, including filters, fans, and other air-blowing equipment, that minimize odors and vapors (including steam and noxious fumes) in areas where they may contaminate components, dietary supplements, or contact surfaces; (iv) Equipment that controls temperature and humidity, when such equipment is necessary to ensure the quality of the dietary supplement; and (v) Aisles or working spaces between equipment and walls that are adequately unobstructed and of adequate width to permit all persons to perform their duties and to protect against contamination of components, dietary supplements, or contact surfaces with clothing or personal contact.

(2) When fans and other air-blowing equipment are used, such fans and equipment must be located and operated in a manner that minimizes the potential for microorganisms and particulate matter to contaminate components, dietary supplements, or contact surfaces;

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(e) Provide adequate light in: (1) All areas where components or dietary supplements are examined, processed, or held; (2) All areas where contact surfaces are cleaned; and (3) Hand-washing areas, dressing and locker rooms, and bathrooms.

(f) Use safety-type light bulbs, fixtures, skylights, or other glass or glass-like materials when the light bulbs, fixtures, skylights or other glass or glass-like materials are suspended over exposed components or dietary supplements in any step of preparation, unless your physical plant is otherwise constructed in a manner that will protect against contamination of components or dietary supplements in case of breakage of glass or glass-like materials. (g) Provide effective protection against contamination of components and dietary supplements in bulk fermentation vessels, by, for example:

(1) Use of protective coverings; (2) Placement in areas where you can eliminate harborages for pests over and around the vessels; (3) Placement in areas where you can check regularly for pests, pest infestation, filth or any other extraneous materials; and (4) Use of skimming equipment.

(h) Use adequate screening or other protection against pests, where necessary. 111.23 - Under this subpart C, what records must you make and keep?

(a) You must make and keep records required under this subpart C in accordance with subpart P of this part. (b) You must make and keep records of the written procedures for cleaning the physical plant and for pest control. (c) You must make and keep records that show that water, when used in a manner such that the water may become a component of the dietary supplement, meets the requirements of 111.15(e)(2).

Subpart D - Equipment and Utensils

111.25 - What are the requirements under this subpart D for written procedures?

You must establish and follow written procedures for fulfilling the requirements of this subpart D, including written procedures for: (a) Calibrating instruments and controls that you use in manufacturing or testing a component or dietary supplement; (b) Calibrating, inspecting, and checking automated, mechanical, and electronic equipment; and (c) Maintaining, cleaning, and sanitizing, as necessary, all equipment, utensils, and any other contact surfaces that are used to manufacture, package, label, or hold components or dietary supplements.

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111.27 - What requirements apply to the equipment and utensils that you use? (a) You must use equipment and utensils that are of appropriate design, construction, and workmanship to enable them to be suitable for their intended use and to be adequately cleaned and properly maintained.

(1) Equipment and utensils include the following: (i) Equipment used to hold or convey; (ii) Equipment used to measure; (iii) Equipment using compressed air or gas; (iv) Equipment used to carry out processes in closed pipes and vessels; and (v) Equipment used in automated, mechanical, or electronic systems.

(2) You must use equipment and utensils of appropriate design and construction so that use will not result in the contamination of components or dietary supplements with:

(i) Lubricants; (ii) Fuel; (iii) Coolants; (iv) Metal or glass fragments; (v) Filth or any other extraneous material; (vi) Contaminated water; or (vii) Any other contaminants.

(3) All equipment and utensils you use must be: (i) Installed and maintained to facilitate cleaning the equipment, utensils, and all adjacent spaces; (ii) Corrosion-resistant if the equipment or utensils contact components or dietary supplements; (iii) Made of nontoxic materials; (iv) Designed and constructed to withstand the environment in which they are used, the action of components or dietary supplements, and, if applicable, cleaning compounds and sanitizing agents; and (v) Maintained to protect components and dietary supplements from being contaminated by any source.

(4) Equipment and utensils you use must have seams that are smoothly bonded or maintained to minimize accumulation of dirt, filth, organic material, particles of components or dietary supplements, or any other extraneous materials or contaminants. (5) Each freezer, refrigerator, and other cold storage compartment you use to hold components or dietary supplements:

(i) Must be fitted with an indicating thermometer, temperature-measuring device, or temperature-recording device that indicates and records, or allows for recording by hand, the temperature accurately within the compartment; and

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(ii) Must have an automated device for regulating temperature or an automated alarm system to indicate a significant temperature change in a manual operation.

(6) Instruments or controls used in the manufacturing, packaging, labeling, or holding of a dietary supplement, and instruments or controls that you use to measure, regulate, or record temperatures, hydrogen-ion concentration (pH), water activity, or other conditions, to control or prevent the growth of microorganisms or other contamination must be:

(i) Accurate and precise; (ii) Adequately maintained; and (iii) Adequate in number for their designated uses.

(7) Compressed air or other gases you introduce mechanically into or onto a component, dietary supplement, or contact surface or that you use to clean any contact surface must be treated in such a way that the component, dietary supplement, or contact surface is not contaminated.

(b) You must calibrate instruments and controls you use in manufacturing or testing a component or dietary supplement. You must calibrate:

(1) Before first use; and (2) At the frequency specified in writing by the manufacturer of the instrument and control; or (3) At routine intervals or as otherwise necessary to ensure the accuracy and precision of the instrument and control.

(c) You must repair or replace instruments or controls that cannot be adjusted to agree with the reference standard. (d) You must maintain, clean, and sanitize, as necessary, all equipment, utensils, and any other contact surfaces used to manufacture, package, label, or hold components or dietary supplements.

(1) Equipment and utensils must be taken apart as necessary for thorough maintenance, cleaning, and sanitizing. (2) You must ensure that all contact surfaces, used for manufacturing or holding low-moisture components or dietary supplements, are in a dry and sanitary condition when in use. When the surfaces are wet-cleaned, they must be sanitized, when necessary, and thoroughly dried before subsequent use. (3) If you use wet processing during manufacturing, you must clean and sanitize all contact surfaces, as necessary, to protect against the introduction of microorganisms into components or dietary supplements. When cleaning and sanitizing is necessary, you must clean and sanitize all contact surfaces before use and after any interruption during which the contact surface may have become contaminated. If you use contact surfaces in a continuous production operation or in consecutive operations involving different batches of the same dietary supplement, you must adequately clean and sanitize the contact surfaces, as necessary.

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(4) You must clean surfaces that do not come into direct contact with components or dietary supplements as frequently as necessary to protect against contaminating components or dietary supplements. (5) Single-service articles (such as utensils intended for one-time use, paper cups, and paper towels) must be:

(i) Stored in appropriate containers; and (ii) Handled, dispensed, used, and disposed of in a manner that protects against contamination of components, dietary supplements, or any contact surface.

(6) Cleaning compounds and sanitizing agents must be adequate for their intended use and safe under their conditions of use; (7) You must store cleaned and sanitized portable equipment and utensils that have contact surfaces in a location and manner that protects them from contamination.

[72 FR 34942, June 25, 2007, as amended at 73 FR 13124, Mar. 12, 2008]

111.30 - What requirements apply to automated, mechanical, or electronic equipment?

For any automated, mechanical, or electronic equipment that you use to manufacture, package, label, or hold a dietary supplement, you must: (a) Design or select equipment to ensure that dietary supplement specifications are consistently met; (b) Determine the suitability of the equipment by ensuring that your equipment is capable of operating satisfactorily within the operating limits required by the process; (c) Routinely calibrate, inspect, or check the equipment to ensure proper performance. Your quality control personnel must periodically review these calibrations, inspections, or checks; (d) Establish and use appropriate controls for automated, mechanical, and electronic equipment (including software for a computer controlled process) to ensure that any changes to the manufacturing, packaging, labeling, holding, or other operations are approved by quality control personnel and instituted only by authorized personnel; and (e) Establish and use appropriate controls to ensure that the equipment functions in accordance with its intended use. These controls must be approved by quality control personnel.

111.35 - Under this subpart D, what records must you make and keep?

(a) You must make and keep records required under this subpart D in accordance with subpart P of this part. (b) You must make and keep the following records:

(1) Written procedures for fulfilling the requirements of this subpart, including written procedures for:

(i) Calibrating instruments and controls that you use in manufacturing or testing a component or dietary supplement;

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(ii) Calibrating, inspecting, and checking automated, mechanical, and electronic equipment; and (iii) Maintaining, cleaning, and sanitizing, as necessary, all equipment, utensils, and any other contact surfaces that are used to manufacture, package, label, or hold components or dietary supplements;

(2) Documentation, in individual equipment logs, of the date of the use, maintenance, cleaning, and sanitizing of equipment, unless such documentation is kept with the batch record; (3) Documentation of any calibration, each time the calibration is performed, for instruments and controls that you use in manufacturing or testing a component or dietary supplement. In your documentation, you must:

(i) Identify the instrument or control calibrated; (ii) Provide the date of calibration; (iii) Identify the reference standard used including the certification of accuracy of the known reference standard and a history of recertification of accuracy; (iv) Identify the calibration method used, including appropriate limits for accuracy and precision of instruments and controls when calibrating; (v) Provide the calibration reading or readings found; (vi) Identify the recalibration method used, and reading or readings found, if accuracy or precision or both accuracy and precision limits for instruments and controls were not met; and (vii) Include the initials of the person who performed the calibration and any recalibration.

(4) Written records of calibrations, inspections, and checks of automated, mechanical, and electronic equipment; (5) Backup file(s) of current software programs (and of outdated software that is necessary to retrieve records that you are required to keep in accordance with subpart P of this part, when current software is not able to retrieve such records) and of data entered into computer systems that you use to manufacture, package, label, or hold dietary supplements.

(i) Your backup file (e.g., a hard copy of data you have entered, diskettes, tapes, microfilm, or compact disks) must be an exact and complete record of the data you entered. (ii) You must keep your backup software programs and data secure from alterations, inadvertent erasures, or loss; and

(6) Documentation of the controls that you use to ensure that equipment functions in accordance with its intended use.

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Subpart E - Requirement to Establish a Production and Process Control System

111.55 - What are the requirements to implement a production and process control system?

You must implement a system of production and process controls that covers all stages of manufacturing, packaging, labeling, and holding of the dietary supplement to ensure the quality of the dietary supplement and that the dietary supplement is packaged and labeled as specified in the master manufacturing record.

111.60 - What are the design requirements for the production and process control system?

(a) Your production and in-process control system must be designed to ensure that the dietary supplement is manufactured, packaged, labeled, and held in a manner that will ensure the quality of the dietary supplement and that the dietary supplement is packaged and labeled as specified in the master manufacturing record; and (b) The production and in-process control system must include all requirements of subparts E through L of this part and must be reviewed and approved by quality control personnel.

111.65 - What are the requirements for quality control operations?

You must implement quality control operations in your manufacturing, packaging, labeling, and holding operations for producing the dietary supplement to ensure the quality of the dietary supplement and that the dietary supplement is packaged and labeled as specified in the master manufacturing record.

111.70 - What specifications must you establish?

(a) You must establish a specification for any point, step, or stage in the manufacturing process where control is necessary to ensure the quality of the dietary supplement and that the dietary supplement is packaged and labeled as specified in the master manufacturing record. (b) For each component that you use in the manufacture of a dietary supplement, you must establish component specifications as follows:

(1) You must establish an identity specification; (2) You must establish component specifications that are necessary to ensure that specifications for the purity, strength and composition of dietary supplements manufactured using the components are met; and (3) You must establish limits on those types of contamination that may adulterate or may lead to adulteration of the finished batch of the dietary supplement to ensure the quality of the dietary supplement.

(c) For the in-process production: (1) You must establish in-process specifications for any point, step, or stage in the master manufacturing record where control is necessary to help ensure that specifications are met for the identity, purity, strength, and

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composition of the dietary supplements and, as necessary, for limits on those types of contamination that may adulterate or may lead to adulteration of the finished batch of the dietary supplement; (2) You must provide adequate documentation of your basis for why meeting the in-process specifications, in combination with meeting component specifications, will help ensure that the specifications are met for the identity, purity, strength, and composition of the dietary supplements and for limits on those types of contamination that may adulterate or may lead to adulteration of the finished batch of the dietary supplement; and (3) Quality control personnel must review and approve the documentation that you provide under paragraph (c)(2) of this section.

(d) You must establish specifications for dietary supplement labels (label specifications) and for packaging that may come in contact with dietary supplements (packaging specifications). Packaging that may come into contact with dietary supplements must be safe and suitable for its intended use and must not be reactive or absorptive or otherwise affect the safety or quality of the dietary supplement. (e) For each dietary supplement that you manufacture you must establish product specifications for the identity, purity, strength, and composition of the finished batch of the dietary supplement, and for limits on those types of contamination that may adulterate, or that may lead to adulteration of, the finished batch of the dietary supplement to ensure the quality of the dietary supplement. (f) If you receive a product from a supplier for packaging or labeling as a dietary supplement (and for distribution rather than for return to the supplier), you must establish specifications to provide sufficient assurance that the product you receive is adequately identified and is consistent with your purchase order. (g) You must establish specifications for the packaging and labeling of the finished packaged and labeled dietary supplements, including specifications that ensure that you used the specified packaging and that you applied the specified label.

111.73 - What is your responsibility for determining whether established specifications are met?

You must determine whether the specifications you establish under 111.70 are met.

111.75 - What must you do to determine whether specifications are met?

(a) Before you use a component, you must: (1)

(i) Conduct at least one appropriate test or examination to verify the identity of any component that is a dietary ingredient, unless you petition the agency under paragraph (a)(1)(ii) of this section and the agency exempts you from such testing; (ii) You may submit a petition, under 21 CFR 10.30, to request an exemption from the testing requirements in paragraph (a)(1)(i) of this section. The petition must set forth the scientific rationale, and must be accompanied by the supporting data and information, for

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proposed alternative testing that will demonstrate that there is no material diminution of assurance, compared to the assurance provided by 100 percent identity testing, of the identity of the dietary ingredient before use

Documents

CGMP Regulations for Supplement Marketers (With CGMP Regulations)