80_FR_27650 80 FR 27557 - HACCP Systems Validation

80 FR 27557 - HACCP Systems Validation

DEPARTMENT OF AGRICULTURE
Food Safety and Inspection Service

Federal Register Volume 80, Issue 93 (May 14, 2015)

Page Range27557-27563
FR Document2015-11581

The Food Safety and Inspection Service (FSIS) is announcing the availability of the final revision of the Compliance Guideline for Hazard Analysis Critical Control Point (HACCP) systems validation and responding to comments received on the draft guide that FSIS published in May 2013 in the Federal Register. In addition, FSIS is announcing its plans to verify that establishments meet all validation requirements.

Federal Register, Volume 80 Issue 93 (Thursday, May 14, 2015)
[Federal Register Volume 80, Number 93 (Thursday, May 14, 2015)]
[Rules and Regulations]
[Pages 27557-27563]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2015-11581]



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Federal Register / Vol. 80, No. 93 / Thursday, May 14, 2015 / Rules 
and Regulations

[[Page 27557]]



DEPARTMENT OF AGRICULTURE

Food Safety and Inspection Service

9 CFR part 417

[Docket No. FSIS-2009-0019]


HACCP Systems Validation

AGENCY: Food Safety and Inspection Service, USDA.

ACTION: Notice of availability.

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SUMMARY: The Food Safety and Inspection Service (FSIS) is announcing 
the availability of the final revision of the Compliance Guideline for 
Hazard Analysis Critical Control Point (HACCP) systems validation and 
responding to comments received on the draft guide that FSIS published 
in May 2013 in the Federal Register. In addition, FSIS is announcing 
its plans to verify that establishments meet all validation 
requirements.

DATES: Establishments may start using the new guidance now. FSIS will 
begin verifying that large establishments meet all validation 
requirements on January 4, 2016. FSIS will begin verifying that small 
and very small establishments meet all verification requirements on 
April 4, 2016.

FOR FURTHER INFORMATION CONTACT: William K. Shaw, Jr., Ph.D., Office of 
Policy and Program Development, FSIS, USDA, 1400 Independence Avenue 
SW., Patriots Plaza 3, Mailstop 3782, Room 8-142, Washington, DC 20250. 
Telephone: (301) 504-0852 Fax: (202) 245-4792. Email: 
[email protected].

Background

    FSIS administers the Federal Meat Inspection Act (FMIA) (21 U.S.C. 
601 et seq.) and the Poultry Products Inspection Act (PPIA) (21 U.S.C. 
451 et seq.) to protect the health and welfare of consumers by 
preventing the distribution in commerce of meat or poultry products 
that are unwholesome, adulterated, or misbranded. To reduce the risk of 
foodborne illness from meat or poultry products, FSIS issued 
regulations on July 25, 1996, that require that federally inspected 
establishments adopt HACCP systems (61 FR 38806). These regulations 
require that federally inspected establishments adopt measures to 
prevent or control the occurrence of food safety hazards at each stage 
of the production process where such hazards are reasonably likely to 
occur.
    The HACCP regulations in 9 CFR part 417 require that establishments 
validate the HACCP plan's adequacy to control the food safety hazards 
identified by the hazard analysis (9 CFR 417.4(a)). These regulations 
prescribe requirements for the initial validation of an establishment's 
HACCP plan and require that establishments ``conduct activities 
designed to determine that the HACCP plan is functioning as intended.'' 
During this initial validation period, establishments are to 
``repeatedly test the adequacy of the CCPs, critical limits, monitoring 
and recordkeeping procedures, and corrective actions'' prescribed in 
their HACCP plans (9 CFR 417.4(a)(1)). Validation under 9 CFR 
417.4(a)(1) requires that establishments assemble two types of data: 
(1) The scientific or technical support for the judgments made in 
designing the HACCP system, and (2) evidence derived from the HACCP 
plan in operation to demonstrate that the establishment is able to 
implement the critical operational parameters necessary to achieve the 
results documented in the scientific or technical support. The 
establishment is to maintain the initial validation records for the 
life of the HACCP system to meet the requirements of 9 CFR 417.5(a)(1) 
and 9 CFR 417.5(a)(2).
    The regulations also provide that ``[v]alidation . . . encompasses 
reviews of the records themselves, routinely generated by the HACCP 
system, in the context of other validation activities'' (9 CFR 
417.4(a)(1)). Because the results obtained under prerequisite programs 
could affect decisions made in the hazard analysis, an establishment is 
required to maintain records associated with these programs as 
supporting documentation for its hazard analysis (9 CFR 417.5(a)). 
Thus, validation of the HACCP system involves validation of the 
critical control points in the HACCP plan, as well as of any 
interventions or processes used to support decisions in the hazard 
analysis.

History of Validation Guidance

    In March 2010, FSIS posted on its Web site an initial draft 
guidance document to assist the industry, particularly small and very 
small establishments, in complying with the requirements for HACCP 
systems, pursuant to 9 CFR 417.4.
    On June 14, 2010, FSIS held a public meeting to discuss the initial 
draft HACCP validation guidance and received input from stakeholders. 
The transcript of the June 2010 public meeting is available on the FSIS 
Web site at: http://www.fsis.usda.gov/wps/wcm/connect/2708ef10-4996-4324-a2e2-3b6501ac81b1/Transcripts_HACCP_Validation_061410.pdf?MOD=AJPERES.
    FSIS received over 2,000 comments on the initial draft guidance, 
particularly with respect to the use of microbiological testing to 
validate the effectiveness of HACCP systems in controlling biological 
hazards. The Agency considered the issues raised by the comments 
received in response to the May 2010 Federal Register notice and at the 
June 2010 public meeting and developed an updated second draft of the 
compliance guidance.
    On September 22-23, 2011, FSIS shared the second draft of the HACCP 
validation guidance with the National Advisory Committee on Meat and 
Poultry Inspection (NACMPI). NACMPI reviewed the draft and provided 
comments and suggestions to FSIS on how to improve the guidance. The 
NACMPI report is available on the FSIS Web site at: http://www.fsis.usda.gov/wps/wcm/connect/c87523dc-44d4-446e-be03-a3e60b2f8e8f/Validation_Issue_Paper_Final.pdf?MOD=AJPERES. The Agency made 
additional revisions to the draft guidance in response to the input 
from NACMPI.
    In a May 9, 2012, Federal Register notice (77 FR 27135), FSIS 
announced the availability of, and requested comments on, the revised 
draft guidance document (http://www.fsis.usda.gov/wps/wcm/connect/d000cb67-23bc-4303-8f7b-71dcba5e7cd7/2009-0019.pdf?MOD=AJPERES). In the 
May 2012 Federal Register notice, the Agency also clarified its 
requirements

[[Page 27558]]

for HACCP system validation and responded to the comments that it had 
received on the initial draft guidance. FSIS received fifty-one (51) 
comments on its May 2012 revised draft guidance.
    FSIS carefully considered the comments and, in a May 2013 Federal 
Register notice (78 FR 32186; May 29, 2013), announced a further 
revised draft guidance document. In addition to responding to comments 
and publishing the newly revised draft, FSIS also announced a final 
public meeting, which was held on June 25, 2013. The transcript of the 
June 2013 public meeting is available on the FSIS Web site at: http://www.fsis.usda.gov/wps/wcm/connect/d618094d-20f2-40a3-9103-a587b2fd8a01/Transcript-HACCP-Validation-062513.pdf?MOD=AJPERES.

Final Guidance

    The final guidance is posted at: http://www.fsis.usda.gov/wps/portal/fsis/topics/regulatory-compliance/compliance-guides-index. FSIS 
encourages establishments to use the guidance to assist them in 
complying with validation requirements. This guide represents FSIS's 
thinking and has been updated based on the most recent comments 
discussed below. FSIS will update it as necessary in the future.
    In response to the comments discussed below, the Agency made 
several improvements to the final guidance to clarify scientific 
support and in-plant data requirements. In addition to adding a 
description of expert advice from a processing authority as an example 
of an acceptable type of scientific support, the guidance now also 
provides information on how to design challenge studies and on types of 
microbiological data that should be included in the scientific support. 
FSIS has also included a new section in the guidance on the types of 
scientific support that could be used to validate prerequisite programs 
and a description of best practice guidelines that may be used as 
scientific or technical support. FSIS has provided additional 
information on how establishments should address situations where their 
scientific support does not include measurements of all critical 
operational parameters. The guidance also clarifies the type of in-
plant data that establishments should collect to validate that a new 
technology addresses hazards as intended. In addition, FSIS has added 
information on how establishments should validate that a prerequisite 
program works across multiple points or steps in the process. Finally, 
the guidance now contains an additional example of scientific support 
and in-plant data that can be used to validate storage temperature 
prerequisite programs.
    Response to Comments:
    FSIS received twenty-one (21) comments on its May 2013 revised 
draft guidance on HACCP validation from small and very small meat or 
poultry processors, trade associations, corporations, a consumer 
advocacy organization, a professional organization, and an individual. 
The following summarizes and responds to the major issues raised in the 
comments to the most recent draft guidance document.

1. Concerns about Validation, Its Applicability, and Cost

    Comment: A few commenters questioned the need for, and purpose of, 
the HACCP validation guidance, and several others sought additional 
information about what FSIS hopes to achieve by publishing the 
guidance. One commenter requested that, on an ongoing basis, FSIS 
provide examples of inadequate validation.
    Response: As addressed in response to comments in the May, 2013 
Federal Register notice (78 FR 32186), the validation guidance is 
necessary because the Agency has found that establishments have not 
adequately validated their systems. For example, following a 2011 
foodborne illness outbreak involving Lebanon bologna, FSIS found that 
the establishment's scientific support on file did not match the 
process the establishment was using to make the bologna. In 2012, FSIS 
concluded that E. coli (non-O157) positives likely occurred because of 
improperly designed interventions. Similarly, FSIS determined that an 
outbreak involving chicken pot pies in 2007 and a 2011 outbreak from 
turkey burgers may have occurred because of improperly validated 
cooking instructions.
    FSIS developed the guidelines particularly to help small and very 
small establishments comply with the regulatory requirements for 
validation. By periodically updating the guidance document, FSIS will 
continue to share, and explain how to address, examples of inadequate 
validation that are associated with food safety problems.
    Comment: Many commenters stated that cost of validation is high. 
One commenter said that the cost of validation may discourage meat 
establishments from implementing new food safety strategies or 
interventions.
    Response: Validation requirements are not new. FSIS estimates that 
costs associated with any new validation activities will be minimal. As 
addressed previously in response to comments and in previous versions 
of the guidance, microbiological testing is only necessary for in-plant 
data in limited circumstances, and FSIS has provided low cost ways that 
establishments can validate their systems in place of microbiological 
testing. FSIS expects that many establishments will be able to gather 
the necessary in-plant data from HACCP records already routinely being 
generated as part of the HACCP system.
    Comment: A few commenters stated that FSIS is altering the meaning 
of ``validation,'' especially when looking at accepted HACCP validation 
methods from 1996 to today. One commenter asked whether an 
establishment could choose ``conventional'' command and control 
inspection instead of meeting HACCP requirements, including validation 
requirements, if the establishment has a history of producing a safe 
product.
    Response: The final version of the guidance document is consistent 
with the principles of validation as outlined in the 1996 Pathogen 
Reduction; Hazard Analysis and Critical Control Point Systems Final 
Rule (HACCP Final Rule). The HACCP Final Rule stated that data 
assembled to validate a HACCP plan are usually of two types: (1) 
theoretical principles, expert advice from processing authorities, 
scientific data, or other information demonstrating that particular 
process control measures can adequately address specified hazards (such 
as studies establishing the temperatures necessary to kill organisms of 
concern); and (2) in-plant observations, measurements, test results, or 
other information demonstrating that the control measures, as written 
into a HACCP plan, can be implemented within a particular establishment 
to achieve the intended food safety objective. FSIS recognizes that 
there has been misunderstanding related to the principles of 
validation, which is why the Agency has developed this compliance 
guideline and will be issuing instructions to the field once 
establishments have been given the time to assemble the necessary 
documentation.
    As explained in the May 2013 Federal Register notice, the HACCP 
Final Rule has resulted in great improvements in food safety. The 
Agency is not going back to a command and control inspection approach 
because it does not provide establishments with the flexibility to 
design innovative systems and puts the responsibility for ensuring food 
safety on FSIS as opposed to the establishment.
    Comment: One commenter recommended that the guidance clarify

[[Page 27559]]

that establishments need to validate that prerequisite programs work as 
intended in the overall HACCP system to prevent hazards from occurring. 
The commenter said that the guidance should discuss validation of 
prerequisite programs as a complete system, where those controls are 
intended to support a conclusion that a hazard is not reasonably likely 
to occur.
    Response: Validation is the process of demonstrating that the HACCP 
system, as designed, can adequately control identified hazards to 
produce a safe, unadulterated product. Prerequisite programs designed 
to support a decision in the hazard analysis are part of the HACCP 
system. When an establishment determines that a hazard is not 
reasonably likely to occur because the prerequisite program prevents 
the hazard, that prerequisite program becomes part of the HACCP system. 
Therefore, as the commenter recommended, establishments need to 
validate prerequisite programs designed to support decisions in the 
hazard analysis (e.g. Sanitation Standard Operating Procedures, 
purchase specifications, antimicrobial interventions) to ensure that 
the overall system can operate effectively. FSIS agrees that HACCP 
systems are generally designed to provide multiple hurdles of control. 
However, establishments should be able to support that each hurdle 
provides some level of prevention or control for the identified 
hazards.
    As explained in the guidance, in order to validate such programs, 
establishments need to provide scientific documentation that supports 
that the programs will work as intended and to collect in-plant data to 
support that the programs can be implemented as designed. FSIS has 
revised the guidance to provide more examples related to validation of 
prerequisite programs.
    Comment: Several commenters stated that some small establishments 
produce products so infrequently that they may not be able to obtain 13 
production days' worth of records within 90 calendar days. One 
commenter said that FSIS should ensure that establishments are afforded 
sufficient flexibility to tailor their HACCP systems to their specific 
circumstances and questioned the need for a mandatory, fixed validation 
period. One commenter asked for additional instruction on the 
information to include with a request to the District Office for 
additional time to collect in-plant data (e.g., longer than 90 days). 
Another commenter requested clarification regarding whether the request 
for an extension to obtain records necessary for validation applies 
only to establishments under a conditional grant, or if it applies to 
all establishments.
    Response: The regulations provide that the initial validation 
period is 90 calendar days (9 CFR 304.3(b) and (c) and 381.22(b) and 
(c)). Ninety days is the period whether a new establishment is 
operating under a conditional grant, or an existing establishment 
begins producing new product. Under either situation, for the first 90 
days, establishments validate that their system is working as intended 
to address hazards. For large establishments, 90 calendar days equates 
to approximately 60 production days. (See FSIS Directive 5220.1 and 78 
FR 32187.) FSIS recognizes that many small and very small 
establishments do not operate daily. Therefore, the guidance also 
states that a minimum level of records from 13 production days within 
those initial 90 calendar days should be used to initially validate a 
small or very small establishment's HACCP system. This number is 
consistent with FSIS Directive 5220.1 related to an establishment's 
initial validation. The Agency is recommending small and very small 
establishments review data from as few as 13 production days because it 
recognizes that collecting 60 production days' worth of records may be 
burdensome to small and very small plants.
    If the establishment infrequently produces several products that 
are each part of a separate HACCP category, there is inherent risk with 
the processes if the establishment does not have experience in 
producing them. Therefore, to determine whether the system is properly 
designed and executed, even though the regulations provide 90 days for 
initial validation, an establishment needing more than 90 days can ask 
the District Office, in writing, for additional time to collect at 
least 13 production days of records when it first starts operating, 
when it begins producing new product, or for a modified HACCP plan if 
the results of a reassessment indicate additional support is needed. In 
the request, an establishment should state why more than 90 days are 
needed to collect the in-plant validation data, and how it plans to 
gather at least 13 production days worth of in-plant validation data 
within the next 30 calendar days. The request will then be evaluated on 
a case by case basis. The establishment should consider focusing 
validation activities on the product produced most frequently within 
each HACCP category. In addition, the establishment may consider 
evaluating data collected for products across multiple HACCP categories 
to determine whether the data together can support its ability to meet 
critical operational parameters.
    Small and very small establishments that do not currently have the 
necessary in-plant demonstration data will have until April 4, 2016 to 
collect the necessary documentation. Infrequent producers should be 
able to collect data from 13 production days over this time-frame.
    Comment: One commenter questioned whether small plants receiving 
boxed beef components will be required to validate how their multiple 
processes will address contamination introduced to the product before 
arriving at the establishment.
    Response: All establishments are required to validate that their 
food safety systems address hazards. There is no one, absolute way in 
which an establishment producing raw non-intact beef components is to 
control or prevent Shiga-toxin producing Escherichia coli (STEC) 
organisms in the product. An establishment may have Critical Control 
Points (CCPs) in its HACCP plan to control the hazard, may use its 
Sanitation Standard Operating Procedures or another prerequisite 
program to prevent the hazard, or may use a combination of these 
mechanisms. Establishments receiving product for grinding may have 
purchase specifications requiring that all their suppliers have one or 
more CCPs validated to eliminate or to reduce STEC organisms below 
detectable levels. Establishments, as part of their purchase 
specifications, may also receive certificates of analysis with each lot 
of raw beef components stating that the product has been tested and is 
negative for STEC organisms. In order to validate such pre-requisite 
programs, establishments need to provide scientific documentation that 
supports that the programs will work as intended and to collect in-
plant data to support that the programs can be implemented as designed. 
In the guidance, the validation worksheets include an example of the 
types of scientific support and in-plant data that can be used to 
validate a prerequisite supplier program that is designed to prevent 
the hazard from E. coli O157:H7 in raw ground beef or beef trim from 
being reasonably likely to occur.
In-Plant Data
    Comment: Two commenters stated that the Agency is trying to mandate 
testing through enforcing validation requirements.

[[Page 27560]]

    Response: As addressed in the May, 2013 Federal Register notice (78 
FR 32189) and previous drafts of the guidance, microbiological testing 
is needed for in-plant data in only limited circumstances where the 
scientific support is inadequate. FSIS will not require establishments 
to gather in-plant data before and after the application of an 
intervention if the establishment has adequate scientific supporting 
documentation, is following the parameters in the scientific support, 
and can demonstrate that it can meet the critical parameters during 
operation.
Scientific Support
    Comment: One commenter stated that an establishment lacking 
experience with a new technology should not have to collect additional 
scientific support for its process and should be able to rely on 
existing scientific support and in-plant data.
    Response: The current version of the guidance clarifies that an 
establishment introducing a new technology not established in the 
literature or applying a standard technology in an unusual way (e.g., 
modifying critical operational parameters from the literature) should 
gather scientific support and in-plant validation for its new or 
modified HACCP system under commercial operating conditions. It also 
clarifies that an establishment that lacks experience with a new 
technology should also gather scientific and in-plant validation data 
with the exception of when the effectiveness of the new technology has 
already been studied, but the establishment lacks experience 
implementing the technology. In this case, the effort to develop such 
information may focus more on the collection on in-plant validation 
data.
    Comment: Many commenters stated that there will always be 
differences between scientific studies and actual establishment 
processes, and that critical operational parameters implemented in 
actual processes may be missing from or different than those in the 
supporting scientific studies. Some commenters were also worried that 
it may be costly to conduct the necessary scientific research on the 
specific process used in the establishment. One commenter also said 
that the fact that the guidance states that ``equipment'' is a critical 
operational parameter may lead some establishment personnel, as well as 
FSIS inspection personnel, to assume that the equipment must be exactly 
the same (e.g., same manufacturer or model number) as that used in the 
scientific study. Another commenter asked whether establishments are 
required to validate each piece of equipment. One commenter also 
requested the Agency define ``process authority'' and state when 
information from a processing authority would be acceptable scientific 
support.
    Response: As explained in the current and previous versions of the 
guideline, critical operational parameters are the specific conditions 
that the intervention must operate under in order for it to be 
effective. Therefore, if the critical operational parameters 
implemented in the actual process are consistent with those in the 
supporting documentation, then establishments can expect to achieve 
similar results as those found in the scientific support. FSIS has 
identified a number of cases where differences in critical operational 
parameters between an establishment's scientific support and those 
implemented in the actual process led to food safety problems. For this 
reason, it is important that the establishment's actual process follow 
the critical operational parameters in its scientific support.
    FSIS recognizes that there may be cases where levels of a critical 
operational parameter in the scientific support may not match the level 
used in the actual process but is still effective. In those cases, as 
stated in the guidance, to document its scientific support the 
establishment should document its scientific rationale for determining 
that a different level would not affect the efficacy of the 
intervention or process. Such a justification can be provided by a 
process authority. However, as recommended in the guideline, the 
justification should include reference to peer-reviewed scientific data 
and should not rely on the processing authority's expert opinion alone 
to ensure that the decision is science based. If the establishment does 
not have a scientifically based rationale for why the different level 
would not affect the efficacy of the intervention or process, then the 
establishment would need to gather additional data.
    When an establishment uses critical operational parameters from 
multiple studies together in the same process, the establishment will 
need to support that the new combination of parameters would be as 
effective as those studied in the individual articles. An establishment 
will also need additional support if its documentation does not contain 
measurement of a critical operational parameter. For example, humidity 
is known to be a critical operational parameter during cooking. If an 
establishment's support for a heat treatment does not address humidity, 
the establishment will need to document why this parameter is not 
critical for that treatment. If no scientific justification can be 
provided, then the establishment will likely need additional data to 
support the undocumented process.
    The guidance continues to state that equipment is a critical 
operational parameter because the correct equipment is necessary to 
achieve other critical operational parameters within the process. Based 
on the comments, FSIS has clarified in the revised guidance that the 
equipment is a critical operational parameter in situations when using 
completely different equipment (e.g., a manual spray pump vs. a spray 
cabinet or a commercial smokehouse vs. a home-style dehydrator) would 
not achieve the critical parameters of the study (such as temperature, 
pressure, duration, volume, relative humidity). In most cases, the same 
equipment produced under a different model number or by a different 
manufacturer (e.g., a spray cabinet or smokehouse produced by a 
different manufacturer than that reported in the scientific support) 
should not affect the establishment's ability to meet other critical 
operational parameters such as temperature or pressure.
    Comment: One commenter asked whether Agency personnel would accept 
many commonly used supporting documents (e.g. Appendix A of the 
Compliance Guidelines For Meeting Lethality Performance Standards For 
Certain Meat And Poultry Products) as scientific support for validating 
the establishment's process.
    Response: Establishments may continue to use Appendix A as 
scientific support to validate that their food safety system 
effectively addresses hazards. FSIS included a Q&A in the previous and 
current versions of the guidance that addresses this concern. 
Specifically, the guidance reads, ``Question: If I use Appendix A as 
the scientific support documentation for a fully cooked RTE process, do 
I need additional scientific information? Answer: No, Appendix A has 
been validated to achieve the performance standards for the reduction 
of Salmonella contained in 9 CFR 318.17(a)(1) and 381.150(a)(1). 
Therefore, provided all critical operational parameters can be met, no 
additional support is needed.'' FSIS has and will continue to instruct 
inspection program personnel (IPP) and Enforcement, Investigation, and 
Analysis Officers (EIAOs) that FSIS guidance documents are a type of 
scientific support that may be used by

[[Page 27561]]

establishments to meet the first element of validation.
    Comment: One commenter questioned how an establishment could relate 
the effectiveness of a food safety strategy to a specific pathogen and 
adhere to the process that actually occurs in the plant, if pathogens 
cannot be introduced into the establishment. The commenter references a 
2002 guidance document titled ``Guidance for Minimizing the Risk of 
Escherichia coli O157H:7 and Salmonella in Beef Slaughter Operations'' 
(http://www.fsis.usda.gov/wps/wcm/connect/74de2bea-74d6-491b-b2cf-0047650bf0c6/BeefSlauterGuide.pdf?MOD=AJPERES) and a discussion in the 
guidance document regarding indicator testing. Another commenter stated 
that the following statement may prevent innovation when scientific 
support is not readily available: ``[i]n general, establishments should 
not rely on scientific support containing data only from indicator or 
surrogate organisms unless there is sufficient data to establish a 
relationship between the presence or level of a pathogen or toxin and 
the indicator organism.'' The commenter said that indicator or 
surrogate organisms can be used in-plant, provided there is data to 
establish a relationship between the two.
    Response: The previous and current versions of the validation 
guidance document address the use of indicator organisms during in-
plant validation studies (page 14). FSIS agrees that an establishment 
may use an indicator or surrogate organism to validate a process in-
plant, provided there is data to establish a relationship between the 
indicator or surrogate and pathogen. This fact is stated on page 14 and 
is consistent with the discussion on indicator organisms in the 
``Guidance for Minimizing the Risk of Escherichia coli O157H:7 and 
Salmonella in Beef Slaughter Operations.'' FSIS does not agree that the 
guidance will prevent innovation and is unclear why the commenter feels 
it will prevent innovation.
    Comment: Several commenters suggested that a consortium to identify 
critical operational parameters would be useful. Commenters also 
requested that FSIS provide a reference guide, pointing establishments 
to scientific documents and guidance on support for monitoring 
frequencies of CCPs be provided. One commenter asked where small and 
very small plant owners should get assistance with validating their 
HACCP plans and asked whether, and to what extent, the Agency's small 
plant office will give guidance to plant operators.
    Response: FSIS has several resources available to assist 
establishments with identifying critical operational parameters from 
scientific support documents including the askFSIS system and the small 
plant help desk. FSIS has also identified HACCP contacts and 
coordinators on its Web site that provide technical advice, assistance, 
and resources and that conduct activities to support HACCP 
implementation in small and very small plants.
    Comment: Two commenters stated that the guidance that 
establishments validate at least one product per HACCP category was not 
helpful. One of the commenters said that the Agency is instructing the 
meat industry to conduct its own individualized risk assessment of the 
products produced and to make the appropriate determination without any 
guidance from the Agency. The other commenter predicted that Agency 
personnel will not accept in-plant data for one product within each 
HACCP category as sufficient to validate the food safety system.
    Response: The guidance explains how to properly validate by 
identifying at least one product per HACCP category for which the 
establishment collects in-plant data. FSIS has provided food science 
principles that can be used to identify the products using a risk-based 
framework. By using such principles establishments can select a product 
most representative of a worst case scenario and therefore collect in-
plant data most protective of public health. FSIS recognized that 
collecting data for more than one product within each HACCP category 
could be burdensome. Therefore, the Agency requested input from NACMPI, 
and the committee agreed with this approach.
    Comment: A few commenters requested that the Agency include 
examples of processes that may use Appendix A and Appendix B as 
scientific support for validating their food safety system, since these 
Agency documents are commonly utilized as scientific support.
    Response: FSIS added examples of processes that can use Appendix A 
or B as scientific support in the May 2013 guidance. Examples are 
provided on pages 60 and 63 for processes using Appendix A and Appendix 
B as scientific support.
Examples
    Comment: One commenter asked why the roast beef example in the 
validation worksheet (that used Appendix A as the scientific support) 
did not identify dwell time.
    Response: The example using Appendix A on page 63 does include a 
dwell time of 112 minutes.
    Comment: One commenter recommended that the worksheet examples be 
more specific in terms of the type of data that should be collected.
    Response: The guidance provides additional examples of the types of 
scientific support and in-plant data that establishments could maintain 
for different products and processes in Appendix 4. As explained in the 
guidance, if an establishment has a specific question regarding the 
type of data that should be collected for its process and product, it 
can submit a question to the askFSIS system.
    Comment: One commenter said that the ongoing verification 
activities that are listed in the example on page 33 are unreasonable. 
Based on a particular example, the commenter also expressed concern 
that FSIS will require establishments to monitor all parameters on an 
ongoing basis. One commenter recommended that FSIS explain that the 
critical operational parameters are related to initial validation, and 
that not all critical operational parameters need to be monitored on an 
ongoing basis.
    Response: The current and previous versions of the guidance 
recognize that researchers may measure a number of parameters during a 
scientific study. However, not all of these are critical to the 
efficacy of the intervention studied. The establishment should document 
and explain any differences in its production process relative to any 
of the studies it used as supporting documentation. The current and 
previous versions of the guideline also state that establishments may 
only need to verify whether some of the critical operational parameters 
are working as intended during the initial validation period (e.g., 
spatial configuration). The Agency does agree that in the cited example 
in the guidance it was unclear (ongoing verification activities on page 
32), and FSIS has better delineated the activities that are conducted 
as part of monitoring vs. ongoing verification in the current guidance.
Agency Training and Implementation
    Comment: Several commenters asked the Agency to identify who is 
going to train all of the FSIS inspectors. The commenters also said 
FSIS needs to ensure consistency in enforcing verification 
requirements. One commenter requested that FSIS issue formal 
instructions to field personnel on verifying that establishments meet 
validation requirements. The

[[Page 27562]]

commenter also recommended that FSIS provide IPP with on-line training.
    Response: FSIS will provide instructions to IPP and EIAOs on how to 
verify validation requirements through FSIS Notices and Directives. The 
Agency also plans to provide necessary training to IPP and EIAOs.
    Comment: One commenter asked that Agency outreach staff conduct 
regional sessions around the country to explain validation requirements 
to industry.
    Response: FSIS will be holding webinars with the industry to 
communicate the recommendations in the final guidance document, clarify 
the regulations, and explain how FSIS will verify that establishments 
use both scientific support and in-plant data to validate that their 
systems, as designed and implemented, are working to address hazards.
    Comment: One commenter said that large establishments should be 
given more than six months to assemble the necessary in-plant 
validation documentation. The commenter stated that not all 
establishments may produce all products under all HACCP plans during 
the six-month period. Another commenter said that small and very small 
plants should be given more than 3 months longer than large plants to 
assemble the necessary documentation.
    Response: FSIS will implement its new verification activities by 
phasing them in based on establishment size. For large establishments, 
the Agency plans to wait until January 4, 2016, to start verifying that 
establishments meet all validation requirements, including maintaining 
in-plant validation data. Thus, large establishments will have 
approximately seven months to gather all necessary in-plant 
demonstration documents. FSIS believes this timeframe is adequate for 
large establishments to gather the necessary documentation because many 
of these establishments will be able to gather in-plant data from HACCP 
records that are already generated as part of the monitoring of 
critical limits or parameters of prerequisite programs. In addition, 
FSIS's implementation will correspond with establishments' annual 
reassessment. As part of the annual reassessment, establishments will 
review the data gathered during initial validation along with other 
documents gathered as part of the implementation of the HACCP system to 
evaluate the adequacy of the HACCP plan.
    FSIS intends to begin verifying that small and very small 
establishments meet all validation requirements beginning on April 4, 
2016. Therefore, these establishments will have approximately ten 
months to gather all necessary in-plant demonstration documents before 
FSIS will verify and enforce the second element of validation.
    Comment: Two commenters asked for information on who was going to 
verify establishments meet validation requirements. These commenters 
asked whether FSIS would ``approve'' establishments' validation 
documentation. One commenter also asked whether the Public Health 
Information System (PHIS) is programmed to have validation checks 
recorded.
    Response: FSIS does not approve an establishment's validation 
records. FSIS verifies compliance with regulatory requirements. IPP, 
including EIAOs, verify that establishments meet validation 
requirements, and FSIS will be providing instructions for performing 
verification for both types of personnel. Inspectors will verify that 
establishments meet validation requirements during performance of the 
Hazard Analysis Verification (HAV) tasks, and EIAOs will do a more in-
depth verification of establishment records to verify that 
establishments meet the validation requirement during food safety 
assessments. All Agency verification activities are documented in the 
PHIS system. Routine verification of validation occurs during 
performance of the HAV task, and findings related to validation are 
documented in PHIS as part of that task.
    Comment: One commenter expressed concern that the validation 
guidance will unnecessarily increase the number of non-compliance 
reports issued by FSIS inspection personnel.
    Response: As explained in the May 2013 Federal Register notice, the 
guidance is meant for establishments and does not set new requirements. 
FSIS will ensure that IPP understand validation requirements and, as 
stated above, will issue necessary instructions to field personnel so 
that they are aware of the final guidance and share it with 
establishments. FSIS will also issue necessary instructions and 
training to field personnel for them to verify that establishments meet 
all validation requirements.
Next Steps
    FSIS will implement the new verification activities in a phased 
approach based on establishment size. For large establishments, 
verification of the second element of validation will be delayed until 
January 4, 2016. For small and very small establishments, the Agency 
will delay implementation until April 4, 2016. After establishments 
have had time to collect the necessary in-plant validation data, IPP 
will verify that establishments meet validation requirements during HAV 
tasks, and EIAOs will do a more in-depth verification of establishment 
records to verify that establishments meet validation requirements 
during food safety assessments.
    Until FSIS begins enforcing all validation requirements, FSIS 
inspection personnel will continue to issue noncompliance records (NRs) 
if an establishment lacks the required scientific or technical support 
for its HACCP system, if the scientific or technical support is 
inadequate, or if the establishment's control measures (CCPs or 
prerequisite programs) do not incorporate the parameters described in 
the scientific support, and the establishment does not have data to 
support the technical adequacy of the control measures. FSIS will 
continue to issue a Notice of Intended Enforcement if, taken together 
with other relevant findings, an establishment's scientific or 
technical support is inadequate, and the Agency can support a 
determination that the establishment's HACCP system is inadequate for 
any of the reasons provided in 9 CFR 417.6.
    Moreover, if, in conducting a Food Safety Assessment (FSA), an EIAO 
finds that an establishment has not collected in-plant data to 
demonstrate that its HACCP process works as intended, the EIAO will 
note this finding in the FSA and inform the establishment. Until FSIS 
begins enforcing the in-plant data requirements, FSIS will not issue 
NRs or take enforcement actions based solely on a finding that an 
establishment lacks in-plant validation data.

USDA Non-Discrimination Statement

    No agency, officer, or employee of the USDA shall, on the grounds 
of race, color, national origin, religion, sex, gender identity, sexual 
orientation, disability, age, marital status, family/parental status, 
income derived from a public assistance program, or political beliefs, 
exclude from participation in, deny the benefits of, or subject to 
discrimination any person in the United States under any program or 
activity conducted by the USDA.
How To File a Complaint of Discrimination
    To file a complaint of discrimination, complete the USDA Program 
Discrimination Complaint Form, which may be accessed online at http://www.ocio.usda.gov/sites/default/files/docs/2012/Complain_combined_6_8_12.pdf, or write a letter signed by you or your 
authorized representative.

[[Page 27563]]

    Send your completed complaint form or letter to USDA by mail, fax, 
or email:
    Mail: U.S. Department of Agriculture, Director, Office of 
Adjudication, 1400 Independence Avenue SW., Washington, DC 20250-9410, 
Fax: (202) 690-7442, Email: [email protected].

Persons with disabilities who require alternative means for 
communication (Braille, large print, audiotape, etc.), should contact 
USDA's TARGET Center at (202) 720-2600 (voice and TDD).
Additional Public Notification
    Public awareness of all segments of rulemaking and policy 
development is important. Consequently, FSIS will announce this Federal 
Register publication on-line through the FSIS Web page located at: 
http://www.fsis.usda.gov/federal-register.
    FSIS also will make copies of this publication available through 
the FSIS Constituent Update, which is used to provide information 
regarding FSIS policies, procedures, regulations, Federal Register 
notices, FSIS public meetings, and other types of information that 
could affect or would be of interest to our constituents and 
stakeholders. The Update is available on the FSIS Web page. Through the 
Web page, FSIS is able to provide information to a much broader, more 
diverse audience. In addition, FSIS offers an email subscription 
service which provides automatic and customized access to selected food 
safety news and information. This service is available at: http://www.fsis.usda.gov/subscribe. Options range from recalls to export 
information, regulations, directives, and notices. Customers can add or 
delete subscriptions themselves, and have the option to password 
protect their accounts.

    Done at Washington, DC on: May 8, 2015.
Alfred V. Almanza,
Acting Administrator.
[FR Doc. 2015-11581 Filed 5-13-15; 8:45 am]
BILLING CODE 3410-DM-P



                                                                                                                                                                                           27557

                                            Rules and Regulations                                                                                         Federal Register
                                                                                                                                                          Vol. 80, No. 93

                                                                                                                                                          Thursday, May 14, 2015



                                            This section of the FEDERAL REGISTER                    distribution in commerce of meat or                   CFR 417.5(a)). Thus, validation of the
                                            contains regulatory documents having general            poultry products that are unwholesome,                HACCP system involves validation of
                                            applicability and legal effect, most of which           adulterated, or misbranded. To reduce                 the critical control points in the HACCP
                                            are keyed to and codified in the Code of                the risk of foodborne illness from meat               plan, as well as of any interventions or
                                            Federal Regulations, which is published under           or poultry products, FSIS issued                      processes used to support decisions in
                                            50 titles pursuant to 44 U.S.C. 1510.
                                                                                                    regulations on July 25, 1996, that                    the hazard analysis.
                                            The Code of Federal Regulations is sold by              require that federally inspected                      History of Validation Guidance
                                            the Superintendent of Documents. Prices of              establishments adopt HACCP systems
                                            new books are listed in the first FEDERAL               (61 FR 38806). These regulations require                 In March 2010, FSIS posted on its
                                            REGISTER issue of each week.                            that federally inspected establishments               Web site an initial draft guidance
                                                                                                    adopt measures to prevent or control the              document to assist the industry,
                                                                                                    occurrence of food safety hazards at                  particularly small and very small
                                            DEPARTMENT OF AGRICULTURE                               each stage of the production process                  establishments, in complying with the
                                                                                                    where such hazards are reasonably                     requirements for HACCP systems,
                                            Food Safety and Inspection Service                      likely to occur.                                      pursuant to 9 CFR 417.4.
                                                                                                       The HACCP regulations in 9 CFR part                   On June 14, 2010, FSIS held a public
                                            9 CFR part 417                                          417 require that establishments validate              meeting to discuss the initial draft
                                                                                                    the HACCP plan’s adequacy to control                  HACCP validation guidance and
                                            [Docket No. FSIS–2009–0019]
                                                                                                    the food safety hazards identified by the             received input from stakeholders. The
                                            HACCP Systems Validation                                hazard analysis (9 CFR 417.4(a)). These               transcript of the June 2010 public
                                                                                                    regulations prescribe requirements for                meeting is available on the FSIS Web
                                            AGENCY:  Food Safety and Inspection                                                                           site at: http://www.fsis.usda.gov/wps/
                                                                                                    the initial validation of an
                                            Service, USDA.                                                                                                wcm/connect/2708ef10-4996-4324-a2e2-
                                                                                                    establishment’s HACCP plan and
                                            ACTION: Notice of availability.                                                                               3b6501ac81b1/Transcripts_HACCP_
                                                                                                    require that establishments ‘‘conduct
                                                                                                                                                          Validation_061410.pdf?MOD=AJPERES.
                                                                                                    activities designed to determine that the                FSIS received over 2,000 comments
                                            SUMMARY:   The Food Safety and
                                                                                                    HACCP plan is functioning as                          on the initial draft guidance,
                                            Inspection Service (FSIS) is announcing
                                                                                                    intended.’’ During this initial validation            particularly with respect to the use of
                                            the availability of the final revision of
                                                                                                    period, establishments are to                         microbiological testing to validate the
                                            the Compliance Guideline for Hazard
                                                                                                    ‘‘repeatedly test the adequacy of the                 effectiveness of HACCP systems in
                                            Analysis Critical Control Point (HACCP)
                                                                                                    CCPs, critical limits, monitoring and                 controlling biological hazards. The
                                            systems validation and responding to
                                                                                                    recordkeeping procedures, and                         Agency considered the issues raised by
                                            comments received on the draft guide
                                                                                                    corrective actions’’ prescribed in their              the comments received in response to
                                            that FSIS published in May 2013 in the
                                                                                                    HACCP plans (9 CFR 417.4(a)(1)).                      the May 2010 Federal Register notice
                                            Federal Register. In addition, FSIS is
                                                                                                    Validation under 9 CFR 417.4(a)(1)                    and at the June 2010 public meeting and
                                            announcing its plans to verify that
                                                                                                    requires that establishments assemble                 developed an updated second draft of
                                            establishments meet all validation
                                                                                                    two types of data: (1) The scientific or              the compliance guidance.
                                            requirements.
                                                                                                    technical support for the judgments                      On September 22–23, 2011, FSIS
                                            DATES:  Establishments may start using                  made in designing the HACCP system,                   shared the second draft of the HACCP
                                            the new guidance now. FSIS will begin                   and (2) evidence derived from the                     validation guidance with the National
                                            verifying that large establishments meet                HACCP plan in operation to                            Advisory Committee on Meat and
                                            all validation requirements on January                  demonstrate that the establishment is                 Poultry Inspection (NACMPI). NACMPI
                                            4, 2016. FSIS will begin verifying that                 able to implement the critical                        reviewed the draft and provided
                                            small and very small establishments                     operational parameters necessary to                   comments and suggestions to FSIS on
                                            meet all verification requirements on                   achieve the results documented in the                 how to improve the guidance. The
                                            April 4, 2016.                                          scientific or technical support. The                  NACMPI report is available on the FSIS
                                            FOR FURTHER INFORMATION CONTACT:                        establishment is to maintain the initial              Web site at: http://www.fsis.usda.gov/
                                            William K. Shaw, Jr., Ph.D., Office of                  validation records for the life of the                wps/wcm/connect/c87523dc-44d4-446e-
                                            Policy and Program Development, FSIS,                   HACCP system to meet the requirements                 be03-a3e60b2f8e8f/Validation_Issue_
                                            USDA, 1400 Independence Avenue                          of 9 CFR 417.5(a)(1) and 9 CFR                        Paper_Final.pdf?MOD=AJPERES. The
                                            SW., Patriots Plaza 3, Mailstop 3782,                   417.5(a)(2).                                          Agency made additional revisions to the
                                            Room 8–142, Washington, DC 20250.                          The regulations also provide that                  draft guidance in response to the input
                                            Telephone: (301) 504–0852 Fax: (202)                    ‘‘[v]alidation . . . encompasses reviews              from NACMPI.
                                            245–4792. Email: william.shaw@                          of the records themselves, routinely                     In a May 9, 2012, Federal Register
                                            fsis.usda.gov.                                          generated by the HACCP system, in the                 notice (77 FR 27135), FSIS announced
                                                                                                    context of other validation activities’’ (9           the availability of, and requested
                                            Background                                              CFR 417.4(a)(1)). Because the results                 comments on, the revised draft guidance
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                                              FSIS administers the Federal Meat                     obtained under prerequisite programs                  document (http://www.fsis.usda.gov/
                                            Inspection Act (FMIA) (21 U.S.C. 601 et                 could affect decisions made in the                    wps/wcm/connect/d000cb67-23bc-4303-
                                            seq.) and the Poultry Products                          hazard analysis, an establishment is                  8f7b-71dcba5e7cd7/2009-
                                            Inspection Act (PPIA) (21 U.S.C. 451 et                 required to maintain records associated               0019.pdf?MOD=AJPERES). In the May
                                            seq.) to protect the health and welfare of              with these programs as supporting                     2012 Federal Register notice, the
                                            consumers by preventing the                             documentation for its hazard analysis (9              Agency also clarified its requirements


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                                            27558               Federal Register / Vol. 80, No. 93 / Thursday, May 14, 2015 / Rules and Regulations

                                            for HACCP system validation and                         validate storage temperature                          in previous versions of the guidance,
                                            responded to the comments that it had                   prerequisite programs.                                microbiological testing is only necessary
                                            received on the initial draft guidance.                   Response to Comments:                               for in-plant data in limited
                                            FSIS received fifty-one (51) comments                     FSIS received twenty-one (21)                       circumstances, and FSIS has provided
                                            on its May 2012 revised draft guidance.                 comments on its May 2013 revised draft                low cost ways that establishments can
                                               FSIS carefully considered the                        guidance on HACCP validation from                     validate their systems in place of
                                            comments and, in a May 2013 Federal                     small and very small meat or poultry                  microbiological testing. FSIS expects
                                            Register notice (78 FR 32186; May 29,                   processors, trade associations,                       that many establishments will be able to
                                            2013), announced a further revised draft                corporations, a consumer advocacy                     gather the necessary in-plant data from
                                            guidance document. In addition to                       organization, a professional                          HACCP records already routinely being
                                            responding to comments and publishing                   organization, and an individual. The                  generated as part of the HACCP system.
                                            the newly revised draft, FSIS also                      following summarizes and responds to                     Comment: A few commenters stated
                                            announced a final public meeting,                       the major issues raised in the comments               that FSIS is altering the meaning of
                                            which was held on June 25, 2013. The                    to the most recent draft guidance                     ‘‘validation,’’ especially when looking at
                                            transcript of the June 2013 public                      document.                                             accepted HACCP validation methods
                                            meeting is available on the FSIS Web                    1. Concerns about Validation, Its                     from 1996 to today. One commenter
                                            site at: http://www.fsis.usda.gov/wps/                  Applicability, and Cost                               asked whether an establishment could
                                            wcm/connect/d618094d-20f2-40a3-                                                                               choose ‘‘conventional’’ command and
                                            9103-a587b2fd8a01/Transcript-HACCP-                        Comment: A few commenters
                                                                                                                                                          control inspection instead of meeting
                                            Validation-062513.pdf?MOD=AJPERES.                      questioned the need for, and purpose of,
                                                                                                                                                          HACCP requirements, including
                                                                                                    the HACCP validation guidance, and
                                            Final Guidance                                                                                                validation requirements, if the
                                                                                                    several others sought additional
                                                                                                                                                          establishment has a history of producing
                                               The final guidance is posted at:                     information about what FSIS hopes to
                                                                                                                                                          a safe product.
                                            http://www.fsis.usda.gov/wps/portal/                    achieve by publishing the guidance.
                                            fsis/topics/regulatory-compliance/                      One commenter requested that, on an                      Response: The final version of the
                                            compliance-guides-index. FSIS                           ongoing basis, FSIS provide examples of               guidance document is consistent with
                                            encourages establishments to use the                    inadequate validation.                                the principles of validation as outlined
                                            guidance to assist them in complying                       Response: As addressed in response                 in the 1996 Pathogen Reduction; Hazard
                                            with validation requirements. This                      to comments in the May, 2013 Federal                  Analysis and Critical Control Point
                                            guide represents FSIS’s thinking and                    Register notice (78 FR 32186), the                    Systems Final Rule (HACCP Final Rule).
                                            has been updated based on the most                      validation guidance is necessary                      The HACCP Final Rule stated that data
                                            recent comments discussed below. FSIS                   because the Agency has found that                     assembled to validate a HACCP plan are
                                            will update it as necessary in the future.              establishments have not adequately                    usually of two types: (1) theoretical
                                               In response to the comments                          validated their systems. For example,                 principles, expert advice from
                                            discussed below, the Agency made                        following a 2011 foodborne illness                    processing authorities, scientific data, or
                                            several improvements to the final                       outbreak involving Lebanon bologna,                   other information demonstrating that
                                            guidance to clarify scientific support                  FSIS found that the establishment’s                   particular process control measures can
                                            and in-plant data requirements. In                      scientific support on file did not match              adequately address specified hazards
                                            addition to adding a description of                     the process the establishment was using               (such as studies establishing the
                                            expert advice from a processing                         to make the bologna. In 2012, FSIS                    temperatures necessary to kill organisms
                                            authority as an example of an acceptable                concluded that E. coli (non-O157)                     of concern); and (2) in-plant
                                            type of scientific support, the guidance                positives likely occurred because of                  observations, measurements, test
                                            now also provides information on how                    improperly designed interventions.                    results, or other information
                                            to design challenge studies and on types                Similarly, FSIS determined that an                    demonstrating that the control
                                            of microbiological data that should be                  outbreak involving chicken pot pies in                measures, as written into a HACCP plan,
                                            included in the scientific support. FSIS                2007 and a 2011 outbreak from turkey                  can be implemented within a particular
                                            has also included a new section in the                  burgers may have occurred because of                  establishment to achieve the intended
                                            guidance on the types of scientific                     improperly validated cooking                          food safety objective. FSIS recognizes
                                            support that could be used to validate                  instructions.                                         that there has been misunderstanding
                                            prerequisite programs and a description                    FSIS developed the guidelines                      related to the principles of validation,
                                            of best practice guidelines that may be                 particularly to help small and very                   which is why the Agency has developed
                                            used as scientific or technical support.                small establishments comply with the                  this compliance guideline and will be
                                            FSIS has provided additional                            regulatory requirements for validation.               issuing instructions to the field once
                                            information on how establishments                       By periodically updating the guidance                 establishments have been given the time
                                            should address situations where their                   document, FSIS will continue to share,                to assemble the necessary
                                            scientific support does not include                     and explain how to address, examples                  documentation.
                                            measurements of all critical operational                of inadequate validation that are                        As explained in the May 2013 Federal
                                            parameters. The guidance also clarifies                 associated with food safety problems.                 Register notice, the HACCP Final Rule
                                            the type of in-plant data that                             Comment: Many commenters stated                    has resulted in great improvements in
                                            establishments should collect to                        that cost of validation is high. One                  food safety. The Agency is not going
                                            validate that a new technology                          commenter said that the cost of                       back to a command and control
                                            addresses hazards as intended. In                       validation may discourage meat                        inspection approach because it does not
                                            addition, FSIS has added information                    establishments from implementing new                  provide establishments with the
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                                            on how establishments should validate                   food safety strategies or interventions.              flexibility to design innovative systems
                                            that a prerequisite program works across                   Response: Validation requirements                  and puts the responsibility for ensuring
                                            multiple points or steps in the process.                are not new. FSIS estimates that costs                food safety on FSIS as opposed to the
                                            Finally, the guidance now contains an                   associated with any new validation                    establishment.
                                            additional example of scientific support                activities will be minimal. As addressed                 Comment: One commenter
                                            and in-plant data that can be used to                   previously in response to comments and                recommended that the guidance clarify


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                                                                Federal Register / Vol. 80, No. 93 / Thursday, May 14, 2015 / Rules and Regulations                                        27559

                                            that establishments need to validate that               records necessary for validation applies              data collected for products across
                                            prerequisite programs work as intended                  only to establishments under a                        multiple HACCP categories to determine
                                            in the overall HACCP system to prevent                  conditional grant, or if it applies to all            whether the data together can support
                                            hazards from occurring. The commenter                   establishments.                                       its ability to meet critical operational
                                            said that the guidance should discuss                      Response: The regulations provide                  parameters.
                                            validation of prerequisite programs as a                that the initial validation period is 90                 Small and very small establishments
                                            complete system, where those controls                   calendar days (9 CFR 304.3(b) and (c)                 that do not currently have the necessary
                                            are intended to support a conclusion                    and 381.22(b) and (c)). Ninety days is                in-plant demonstration data will have
                                            that a hazard is not reasonably likely to               the period whether a new establishment                until April 4, 2016 to collect the
                                            occur.                                                  is operating under a conditional grant,               necessary documentation. Infrequent
                                               Response: Validation is the process of               or an existing establishment begins                   producers should be able to collect data
                                            demonstrating that the HACCP system,                    producing new product. Under either                   from 13 production days over this time-
                                            as designed, can adequately control                     situation, for the first 90 days,                     frame.
                                            identified hazards to produce a safe,                   establishments validate that their                       Comment: One commenter questioned
                                            unadulterated product. Prerequisite                     system is working as intended to                      whether small plants receiving boxed
                                            programs designed to support a decision                 address hazards. For large                            beef components will be required to
                                            in the hazard analysis are part of the                  establishments, 90 calendar days                      validate how their multiple processes
                                            HACCP system. When an establishment                     equates to approximately 60 production                will address contamination introduced
                                            determines that a hazard is not                         days. (See FSIS Directive 5220.1 and 78               to the product before arriving at the
                                            reasonably likely to occur because the                  FR 32187.) FSIS recognizes that many                  establishment.
                                            prerequisite program prevents the                       small and very small establishments do
                                                                                                                                                             Response: All establishments are
                                            hazard, that prerequisite program                       not operate daily. Therefore, the
                                                                                                                                                          required to validate that their food
                                            becomes part of the HACCP system.                       guidance also states that a minimum
                                                                                                                                                          safety systems address hazards. There is
                                            Therefore, as the commenter                             level of records from 13 production days
                                                                                                                                                          no one, absolute way in which an
                                            recommended, establishments need to                     within those initial 90 calendar days
                                                                                                                                                          establishment producing raw non-intact
                                            validate prerequisite programs designed                 should be used to initially validate a
                                            to support decisions in the hazard                      small or very small establishment’s                   beef components is to control or prevent
                                            analysis (e.g. Sanitation Standard                      HACCP system. This number is                          Shiga-toxin producing Escherichia coli
                                            Operating Procedures, purchase                          consistent with FSIS Directive 5220.1                 (STEC) organisms in the product. An
                                            specifications, antimicrobial                           related to an establishment’s initial                 establishment may have Critical Control
                                            interventions) to ensure that the overall               validation. The Agency is                             Points (CCPs) in its HACCP plan to
                                            system can operate effectively. FSIS                    recommending small and very small                     control the hazard, may use its
                                            agrees that HACCP systems are                           establishments review data from as few                Sanitation Standard Operating
                                            generally designed to provide multiple                  as 13 production days because it                      Procedures or another prerequisite
                                            hurdles of control. However,                            recognizes that collecting 60 production              program to prevent the hazard, or may
                                            establishments should be able to                        days’ worth of records may be                         use a combination of these mechanisms.
                                            support that each hurdle provides some                  burdensome to small and very small                    Establishments receiving product for
                                            level of prevention or control for the                  plants.                                               grinding may have purchase
                                            identified hazards.                                        If the establishment infrequently                  specifications requiring that all their
                                               As explained in the guidance, in order               produces several products that are each               suppliers have one or more CCPs
                                            to validate such programs,                              part of a separate HACCP category, there              validated to eliminate or to reduce STEC
                                            establishments need to provide                          is inherent risk with the processes if the            organisms below detectable levels.
                                            scientific documentation that supports                  establishment does not have experience                Establishments, as part of their purchase
                                            that the programs will work as intended                 in producing them. Therefore, to                      specifications, may also receive
                                            and to collect in-plant data to support                 determine whether the system is                       certificates of analysis with each lot of
                                            that the programs can be implemented                    properly designed and executed, even                  raw beef components stating that the
                                            as designed. FSIS has revised the                       though the regulations provide 90 days                product has been tested and is negative
                                            guidance to provide more examples                       for initial validation, an establishment              for STEC organisms. In order to validate
                                            related to validation of prerequisite                   needing more than 90 days can ask the                 such pre-requisite programs,
                                            programs.                                               District Office, in writing, for additional           establishments need to provide
                                               Comment: Several commenters stated                   time to collect at least 13 production                scientific documentation that supports
                                            that some small establishments produce                  days of records when it first starts                  that the programs will work as intended
                                            products so infrequently that they may                  operating, when it begins producing                   and to collect in-plant data to support
                                            not be able to obtain 13 production                     new product, or for a modified HACCP                  that the programs can be implemented
                                            days’ worth of records within 90                        plan if the results of a reassessment                 as designed. In the guidance, the
                                            calendar days. One commenter said that                  indicate additional support is needed.                validation worksheets include an
                                            FSIS should ensure that establishments                  In the request, an establishment should               example of the types of scientific
                                            are afforded sufficient flexibility to                  state why more than 90 days are needed                support and in-plant data that can be
                                            tailor their HACCP systems to their                     to collect the in-plant validation data,              used to validate a prerequisite supplier
                                            specific circumstances and questioned                   and how it plans to gather at least 13                program that is designed to prevent the
                                            the need for a mandatory, fixed                         production days worth of in-plant                     hazard from E. coli O157:H7 in raw
                                            validation period. One commenter                        validation data within the next 30                    ground beef or beef trim from being
                                            asked for additional instruction on the                 calendar days. The request will then be               reasonably likely to occur.
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                                            information to include with a request to                evaluated on a case by case basis. The
                                                                                                                                                          In-Plant Data
                                            the District Office for additional time to              establishment should consider focusing
                                            collect in-plant data (e.g., longer than 90             validation activities on the product                    Comment: Two commenters stated
                                            days). Another commenter requested                      produced most frequently within each                  that the Agency is trying to mandate
                                            clarification regarding whether the                     HACCP category. In addition, the                      testing through enforcing validation
                                            request for an extension to obtain                      establishment may consider evaluating                 requirements.


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                                            27560               Federal Register / Vol. 80, No. 93 / Thursday, May 14, 2015 / Rules and Regulations

                                              Response: As addressed in the May,                    each piece of equipment. One                          document why this parameter is not
                                            2013 Federal Register notice (78 FR                     commenter also requested the Agency                   critical for that treatment. If no scientific
                                            32189) and previous drafts of the                       define ‘‘process authority’’ and state                justification can be provided, then the
                                            guidance, microbiological testing is                    when information from a processing                    establishment will likely need
                                            needed for in-plant data in only limited                authority would be acceptable scientific              additional data to support the
                                            circumstances where the scientific                      support.                                              undocumented process.
                                            support is inadequate. FSIS will not                       Response: As explained in the current                 The guidance continues to state that
                                            require establishments to gather in-plant               and previous versions of the guideline,               equipment is a critical operational
                                            data before and after the application of                critical operational parameters are the               parameter because the correct
                                            an intervention if the establishment has                specific conditions that the intervention             equipment is necessary to achieve other
                                            adequate scientific supporting                          must operate under in order for it to be              critical operational parameters within
                                            documentation, is following the                         effective. Therefore, if the critical                 the process. Based on the comments,
                                            parameters in the scientific support, and               operational parameters implemented in                 FSIS has clarified in the revised
                                            can demonstrate that it can meet the                    the actual process are consistent with                guidance that the equipment is a critical
                                            critical parameters during operation.                   those in the supporting documentation,                operational parameter in situations
                                                                                                    then establishments can expect to                     when using completely different
                                            Scientific Support                                      achieve similar results as those found in             equipment (e.g., a manual spray pump
                                               Comment: One commenter stated that                   the scientific support. FSIS has                      vs. a spray cabinet or a commercial
                                            an establishment lacking experience                     identified a number of cases where                    smokehouse vs. a home-style
                                            with a new technology should not have                   differences in critical operational                   dehydrator) would not achieve the
                                            to collect additional scientific support                parameters between an establishment’s                 critical parameters of the study (such as
                                            for its process and should be able to rely              scientific support and those                          temperature, pressure, duration,
                                            on existing scientific support and in-                  implemented in the actual process led                 volume, relative humidity). In most
                                            plant data.                                             to food safety problems. For this reason,             cases, the same equipment produced
                                               Response: The current version of the                 it is important that the establishment’s
                                            guidance clarifies that an establishment                                                                      under a different model number or by a
                                                                                                    actual process follow the critical                    different manufacturer (e.g., a spray
                                            introducing a new technology not                        operational parameters in its scientific
                                            established in the literature or applying                                                                     cabinet or smokehouse produced by a
                                                                                                    support.                                              different manufacturer than that
                                            a standard technology in an unusual                        FSIS recognizes that there may be
                                            way (e.g., modifying critical operational                                                                     reported in the scientific support)
                                                                                                    cases where levels of a critical
                                            parameters from the literature) should                                                                        should not affect the establishment’s
                                                                                                    operational parameter in the scientific
                                            gather scientific support and in-plant                                                                        ability to meet other critical operational
                                                                                                    support may not match the level used in
                                            validation for its new or modified                                                                            parameters such as temperature or
                                                                                                    the actual process but is still effective.
                                            HACCP system under commercial                                                                                 pressure.
                                                                                                    In those cases, as stated in the guidance,
                                            operating conditions. It also clarifies                 to document its scientific support the                   Comment: One commenter asked
                                            that an establishment that lacks                        establishment should document its                     whether Agency personnel would
                                            experience with a new technology                        scientific rationale for determining that             accept many commonly used supporting
                                            should also gather scientific and in-                   a different level would not affect the                documents (e.g. Appendix A of the
                                            plant validation data with the exception                efficacy of the intervention or process.              Compliance Guidelines For Meeting
                                            of when the effectiveness of the new                    Such a justification can be provided by               Lethality Performance Standards For
                                            technology has already been studied,                    a process authority. However, as                      Certain Meat And Poultry Products) as
                                            but the establishment lacks experience                  recommended in the guideline, the                     scientific support for validating the
                                            implementing the technology. In this                    justification should include reference to             establishment’s process.
                                            case, the effort to develop such                        peer-reviewed scientific data and                        Response: Establishments may
                                            information may focus more on the                       should not rely on the processing                     continue to use Appendix A as
                                            collection on in-plant validation data.                 authority’s expert opinion alone to                   scientific support to validate that their
                                               Comment: Many commenters stated                      ensure that the decision is science                   food safety system effectively addresses
                                            that there will always be differences                   based. If the establishment does not                  hazards. FSIS included a Q&A in the
                                            between scientific studies and actual                   have a scientifically based rationale for             previous and current versions of the
                                            establishment processes, and that                       why the different level would not affect              guidance that addresses this concern.
                                            critical operational parameters                         the efficacy of the intervention or                   Specifically, the guidance reads,
                                            implemented in actual processes may be                  process, then the establishment would                 ‘‘Question: If I use Appendix A as the
                                            missing from or different than those in                 need to gather additional data.                       scientific support documentation for a
                                            the supporting scientific studies. Some                    When an establishment uses critical                fully cooked RTE process, do I need
                                            commenters were also worried that it                    operational parameters from multiple                  additional scientific information?
                                            may be costly to conduct the necessary                  studies together in the same process, the             Answer: No, Appendix A has been
                                            scientific research on the specific                     establishment will need to support that               validated to achieve the performance
                                            process used in the establishment. One                  the new combination of parameters                     standards for the reduction of
                                            commenter also said that the fact that                  would be as effective as those studied in             Salmonella contained in 9 CFR
                                            the guidance states that ‘‘equipment’’ is               the individual articles. An                           318.17(a)(1) and 381.150(a)(1).
                                            a critical operational parameter may                    establishment will also need additional               Therefore, provided all critical
                                            lead some establishment personnel, as                   support if its documentation does not                 operational parameters can be met, no
                                            well as FSIS inspection personnel, to                   contain measurement of a critical                     additional support is needed.’’ FSIS has
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                                            assume that the equipment must be                       operational parameter. For example,                   and will continue to instruct inspection
                                            exactly the same (e.g., same                            humidity is known to be a critical                    program personnel (IPP) and
                                            manufacturer or model number) as that                   operational parameter during cooking. If              Enforcement, Investigation, and
                                            used in the scientific study. Another                   an establishment’s support for a heat                 Analysis Officers (EIAOs) that FSIS
                                            commenter asked whether                                 treatment does not address humidity,                  guidance documents are a type of
                                            establishments are required to validate                 the establishment will need to                        scientific support that may be used by


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                                                                Federal Register / Vol. 80, No. 93 / Thursday, May 14, 2015 / Rules and Regulations                                         27561

                                            establishments to meet the first element                   Response: FSIS has several resources                 Response: The example using
                                            of validation.                                          available to assist establishments with               Appendix A on page 63 does include a
                                               Comment: One commenter questioned                    identifying critical operational                      dwell time of 112 minutes.
                                            how an establishment could relate the                   parameters from scientific support                      Comment: One commenter
                                            effectiveness of a food safety strategy to              documents including the askFSIS                       recommended that the worksheet
                                            a specific pathogen and adhere to the                   system and the small plant help desk.                 examples be more specific in terms of
                                            process that actually occurs in the plant,              FSIS has also identified HACCP                        the type of data that should be collected.
                                            if pathogens cannot be introduced into                  contacts and coordinators on its Web                    Response: The guidance provides
                                            the establishment. The commenter                        site that provide technical advice,                   additional examples of the types of
                                            references a 2002 guidance document                     assistance, and resources and that                    scientific support and in-plant data that
                                            titled ‘‘Guidance for Minimizing the                    conduct activities to support HACCP                   establishments could maintain for
                                            Risk of Escherichia coli O157H:7 and                    implementation in small and very small                different products and processes in
                                            Salmonella in Beef Slaughter                            plants.                                               Appendix 4. As explained in the
                                            Operations’’ (http://www.fsis.usda.gov/                    Comment: Two commenters stated                     guidance, if an establishment has a
                                            wps/wcm/connect/74de2bea-74d6-491b-                     that the guidance that establishments                 specific question regarding the type of
                                            b2cf-0047650bf0c6/                                      validate at least one product per HACCP               data that should be collected for its
                                            BeefSlauterGuide.pdf?MOD=AJPERES)                       category was not helpful. One of the                  process and product, it can submit a
                                            and a discussion in the guidance                        commenters said that the Agency is                    question to the askFSIS system.
                                            document regarding indicator testing.                   instructing the meat industry to conduct                Comment: One commenter said that
                                            Another commenter stated that the                       its own individualized risk assessment                the ongoing verification activities that
                                            following statement may prevent                         of the products produced and to make                  are listed in the example on page 33 are
                                            innovation when scientific support is                   the appropriate determination without                 unreasonable. Based on a particular
                                            not readily available: ‘‘[i]n general,                  any guidance from the Agency. The                     example, the commenter also expressed
                                            establishments should not rely on                       other commenter predicted that Agency                 concern that FSIS will require
                                            scientific support containing data only                 personnel will not accept in-plant data               establishments to monitor all
                                            from indicator or surrogate organisms                   for one product within each HACCP                     parameters on an ongoing basis. One
                                            unless there is sufficient data to                      category as sufficient to validate the                commenter recommended that FSIS
                                            establish a relationship between the                    food safety system.                                   explain that the critical operational
                                            presence or level of a pathogen or toxin                   Response: The guidance explains how                parameters are related to initial
                                            and the indicator organism.’’ The                       to properly validate by identifying at                validation, and that not all critical
                                            commenter said that indicator or                        least one product per HACCP category                  operational parameters need to be
                                            surrogate organisms can be used in-                     for which the establishment collects in-              monitored on an ongoing basis.
                                            plant, provided there is data to establish              plant data. FSIS has provided food                      Response: The current and previous
                                            a relationship between the two.                         science principles that can be used to                versions of the guidance recognize that
                                               Response: The previous and current                   identify the products using a risk-based              researchers may measure a number of
                                            versions of the validation guidance                     framework. By using such principles                   parameters during a scientific study.
                                            document address the use of indicator                   establishments can select a product                   However, not all of these are critical to
                                            organisms during in-plant validation                    most representative of a worst case                   the efficacy of the intervention studied.
                                            studies (page 14). FSIS agrees that an                  scenario and therefore collect in-plant               The establishment should document
                                            establishment may use an indicator or                   data most protective of public health.                and explain any differences in its
                                            surrogate organism to validate a process                FSIS recognized that collecting data for              production process relative to any of the
                                            in-plant, provided there is data to                     more than one product within each                     studies it used as supporting
                                            establish a relationship between the                    HACCP category could be burdensome.                   documentation. The current and
                                            indicator or surrogate and pathogen.                    Therefore, the Agency requested input                 previous versions of the guideline also
                                            This fact is stated on page 14 and is                   from NACMPI, and the committee                        state that establishments may only need
                                            consistent with the discussion on                       agreed with this approach.                            to verify whether some of the critical
                                            indicator organisms in the ‘‘Guidance                      Comment: A few commenters                          operational parameters are working as
                                            for Minimizing the Risk of Escherichia                  requested that the Agency include                     intended during the initial validation
                                            coli O157H:7 and Salmonella in Beef                     examples of processes that may use                    period (e.g., spatial configuration). The
                                            Slaughter Operations.’’ FSIS does not                   Appendix A and Appendix B as                          Agency does agree that in the cited
                                            agree that the guidance will prevent                    scientific support for validating their               example in the guidance it was unclear
                                            innovation and is unclear why the                       food safety system, since these Agency                (ongoing verification activities on page
                                            commenter feels it will prevent                         documents are commonly utilized as                    32), and FSIS has better delineated the
                                            innovation.                                             scientific support.                                   activities that are conducted as part of
                                               Comment: Several commenters                             Response: FSIS added examples of                   monitoring vs. ongoing verification in
                                            suggested that a consortium to identify                 processes that can use Appendix A or B                the current guidance.
                                            critical operational parameters would be                as scientific support in the May 2013
                                                                                                                                                          Agency Training and Implementation
                                            useful. Commenters also requested that                  guidance. Examples are provided on
                                            FSIS provide a reference guide, pointing                pages 60 and 63 for processes using                      Comment: Several commenters asked
                                            establishments to scientific documents                  Appendix A and Appendix B as                          the Agency to identify who is going to
                                            and guidance on support for monitoring                  scientific support.                                   train all of the FSIS inspectors. The
                                            frequencies of CCPs be provided. One                                                                          commenters also said FSIS needs to
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                                                                                                    Examples
                                            commenter asked where small and very                                                                          ensure consistency in enforcing
                                            small plant owners should get                             Comment: One commenter asked why                    verification requirements. One
                                            assistance with validating their HACCP                  the roast beef example in the validation              commenter requested that FSIS issue
                                            plans and asked whether, and to what                    worksheet (that used Appendix A as the                formal instructions to field personnel on
                                            extent, the Agency’s small plant office                 scientific support) did not identify                  verifying that establishments meet
                                            will give guidance to plant operators.                  dwell time.                                           validation requirements. The


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                                            27562               Federal Register / Vol. 80, No. 93 / Thursday, May 14, 2015 / Rules and Regulations

                                            commenter also recommended that FSIS                    necessary in-plant demonstration                      plant validation data, IPP will verify
                                            provide IPP with on-line training.                      documents before FSIS will verify and                 that establishments meet validation
                                               Response: FSIS will provide                          enforce the second element of                         requirements during HAV tasks, and
                                            instructions to IPP and EIAOs on how                    validation.                                           EIAOs will do a more in-depth
                                            to verify validation requirements                          Comment: Two commenters asked for                  verification of establishment records to
                                            through FSIS Notices and Directives.                    information on who was going to verify                verify that establishments meet
                                            The Agency also plans to provide                        establishments meet validation                        validation requirements during food
                                            necessary training to IPP and EIAOs.                    requirements. These commenters asked                  safety assessments.
                                               Comment: One commenter asked that                    whether FSIS would ‘‘approve’’                           Until FSIS begins enforcing all
                                            Agency outreach staff conduct regional                  establishments’ validation                            validation requirements, FSIS
                                            sessions around the country to explain                  documentation. One commenter also                     inspection personnel will continue to
                                            validation requirements to industry.                    asked whether the Public Health                       issue noncompliance records (NRs) if an
                                               Response: FSIS will be holding                       Information System (PHIS) is                          establishment lacks the required
                                            webinars with the industry to                           programmed to have validation checks                  scientific or technical support for its
                                            communicate the recommendations in                      recorded.                                             HACCP system, if the scientific or
                                            the final guidance document, clarify the                   Response: FSIS does not approve an                 technical support is inadequate, or if the
                                            regulations, and explain how FSIS will                  establishment’s validation records. FSIS              establishment’s control measures (CCPs
                                            verify that establishments use both                     verifies compliance with regulatory                   or prerequisite programs) do not
                                            scientific support and in-plant data to                 requirements. IPP, including EIAOs,                   incorporate the parameters described in
                                            validate that their systems, as designed                verify that establishments meet                       the scientific support, and the
                                            and implemented, are working to                         validation requirements, and FSIS will                establishment does not have data to
                                            address hazards.                                        be providing instructions for performing
                                               Comment: One commenter said that                                                                           support the technical adequacy of the
                                                                                                    verification for both types of personnel.
                                            large establishments should be given                                                                          control measures. FSIS will continue to
                                                                                                    Inspectors will verify that
                                            more than six months to assemble the                                                                          issue a Notice of Intended Enforcement
                                                                                                    establishments meet validation
                                            necessary in-plant validation                                                                                 if, taken together with other relevant
                                                                                                    requirements during performance of the
                                            documentation. The commenter stated                                                                           findings, an establishment’s scientific or
                                                                                                    Hazard Analysis Verification (HAV)
                                            that not all establishments may produce                                                                       technical support is inadequate, and the
                                                                                                    tasks, and EIAOs will do a more in-
                                            all products under all HACCP plans                                                                            Agency can support a determination
                                                                                                    depth verification of establishment
                                            during the six-month period. Another                                                                          that the establishment’s HACCP system
                                                                                                    records to verify that establishments
                                            commenter said that small and very                                                                            is inadequate for any of the reasons
                                                                                                    meet the validation requirement during
                                            small plants should be given more than                                                                        provided in 9 CFR 417.6.
                                                                                                    food safety assessments. All Agency
                                            3 months longer than large plants to                    verification activities are documented in                Moreover, if, in conducting a Food
                                            assemble the necessary documentation.                   the PHIS system. Routine verification of              Safety Assessment (FSA), an EIAO finds
                                               Response: FSIS will implement its                    validation occurs during performance of               that an establishment has not collected
                                            new verification activities by phasing                  the HAV task, and findings related to                 in-plant data to demonstrate that its
                                            them in based on establishment size.                    validation are documented in PHIS as                  HACCP process works as intended, the
                                            For large establishments, the Agency                    part of that task.                                    EIAO will note this finding in the FSA
                                            plans to wait until January 4, 2016, to                    Comment: One commenter expressed                   and inform the establishment. Until
                                            start verifying that establishments meet                concern that the validation guidance                  FSIS begins enforcing the in-plant data
                                            all validation requirements, including                  will unnecessarily increase the number                requirements, FSIS will not issue NRs or
                                            maintaining in-plant validation data.                   of non-compliance reports issued by                   take enforcement actions based solely
                                            Thus, large establishments will have                    FSIS inspection personnel.                            on a finding that an establishment lacks
                                            approximately seven months to gather                       Response: As explained in the May                  in-plant validation data.
                                            all necessary in-plant demonstration                    2013 Federal Register notice, the                     USDA Non-Discrimination Statement
                                            documents. FSIS believes this                           guidance is meant for establishments
                                            timeframe is adequate for large                         and does not set new requirements.                      No agency, officer, or employee of the
                                            establishments to gather the necessary                  FSIS will ensure that IPP understand                  USDA shall, on the grounds of race,
                                            documentation because many of these                     validation requirements and, as stated                color, national origin, religion, sex,
                                            establishments will be able to gather in-               above, will issue necessary instructions              gender identity, sexual orientation,
                                            plant data from HACCP records that are                  to field personnel so that they are aware             disability, age, marital status, family/
                                            already generated as part of the                        of the final guidance and share it with               parental status, income derived from a
                                            monitoring of critical limits or                        establishments. FSIS will also issue                  public assistance program, or political
                                            parameters of prerequisite programs. In                 necessary instructions and training to                beliefs, exclude from participation in,
                                            addition, FSIS’s implementation will                    field personnel for them to verify that               deny the benefits of, or subject to
                                            correspond with establishments’ annual                  establishments meet all validation                    discrimination any person in the United
                                            reassessment. As part of the annual                     requirements.                                         States under any program or activity
                                            reassessment, establishments will                                                                             conducted by the USDA.
                                            review the data gathered during initial                 Next Steps
                                                                                                                                                          How To File a Complaint of
                                            validation along with other documents                     FSIS will implement the new
                                                                                                                                                          Discrimination
                                            gathered as part of the implementation                  verification activities in a phased
                                            of the HACCP system to evaluate the                     approach based on establishment size.                   To file a complaint of discrimination,
                                            adequacy of the HACCP plan.                             For large establishments, verification of             complete the USDA Program
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                                               FSIS intends to begin verifying that                 the second element of validation will be              Discrimination Complaint Form, which
                                            small and very small establishments                     delayed until January 4, 2016. For small              may be accessed online at http://
                                            meet all validation requirements                        and very small establishments, the                    www.ocio.usda.gov/sites/default/files/
                                            beginning on April 4, 2016. Therefore,                  Agency will delay implementation until                docs/2012/Complain_combined_6_8_
                                            these establishments will have                          April 4, 2016. After establishments have              12.pdf, or write a letter signed by you
                                            approximately ten months to gather all                  had time to collect the necessary in-                 or your authorized representative.


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                                                                Federal Register / Vol. 80, No. 93 / Thursday, May 14, 2015 / Rules and Regulations                                        27563

                                               Send your completed complaint form                   SUMMARY:   This action corrects the                   SUMMARY:   The Coast Guard is removing
                                            or letter to USDA by mail, fax, or email:               effective date of a final rule published              the existing drawbridge operation
                                               Mail: U.S. Department of Agriculture,                in the Federal Register of April 24,                  regulation for the drawbridge across the
                                            Director, Office of Adjudication, 1400                  2015, establishing Class E airspace at                St. Marks River, mile 9.0, at Newport,
                                            Independence Avenue SW.,                                Dry Creek Airport, Cypress, TX.                       Wakulla County, Florida. The
                                            Washington, DC 20250–9410, Fax: (202)                   DATES: Effective date: 0901 UTC, The                  drawbridge was replaced with a fixed
                                            690–7442, Email: program.intake@                        effective date for the final rule                     bridge in 2001 and the operating
                                            usda.gov.                                               published on April 24, 2015, is                       regulation is no longer applicable or
                                            Persons with disabilities who require                   corrected from April 30, 2015, to June                necessary.
                                            alternative means for communication                     25, 2015.                                             DATES: This rule is effective May 14,
                                            (Braille, large print, audiotape, etc.),                FOR FURTHER INFORMATION CONTACT:                      2015.
                                            should contact USDA’s TARGET Center                     Rebecca Shelby, Central Service Center,               ADDRESSES: The docket for this final
                                            at (202) 720–2600 (voice and TDD).                      Operations Support Group, Federal                     rule, [USCG–2015–0120] is available at
                                            Additional Public Notification                          Aviation Administration, Southwest                    http://www.regulations.gov. Type the
                                                                                                    Region, 2601 Meacham Blvd., Fort                      docket number in the ‘‘SEARCH’’ box
                                               Public awareness of all segments of                  Worth, TX 76137; telephone 817–321–
                                            rulemaking and policy development is                                                                          and click ‘‘SEARCH.’’ Click on Open
                                                                                                    7740.                                                 Docket Folder on the line associated
                                            important. Consequently, FSIS will
                                            announce this Federal Register                          SUPPLEMENTARY INFORMATION:                            with this final rule. You may also visit
                                            publication on-line through the FSIS                    History                                               the Docket Management Facility in
                                            Web page located at: http://                                                                                  Room W12–140 on the ground floor of
                                                                                                      The FAA published in the Federal                    the Department of Transportation West
                                            www.fsis.usda.gov/federal-register.
                                               FSIS also will make copies of this                   Register a final rule establishing Class E            Building, 1200 New Jersey Avenue SE.,
                                            publication available through the FSIS                  airspace extending upward from 700                    Washington, DC 20590, between 9 a.m.
                                            Constituent Update, which is used to                    feet above the surface at Dry Creek                   and 5 p.m., Monday through Friday,
                                            provide information regarding FSIS                      Airport, Cypress, TX (79 FR 22894,                    except Federal holidays.
                                            policies, procedures, regulations,                      April 24, 2015). After publication FAA                FOR FURTHER INFORMATION CONTACT: If
                                            Federal Register notices, FSIS public                   found the effective date was incorrectly              you have questions on this rule, call or
                                            meetings, and other types of information                published as April 30, 2015, which does               email Donna Gagliano, Coast Guard;
                                            that could affect or would be of interest               not ensure enough time for publication                telephone 504–671–2128, email
                                            to our constituents and stakeholders.                   in the FAA’s aeronautical database. The               Donna.Gagliano@uscg.mil. If you have
                                            The Update is available on the FSIS                     correct effective date is June 25, 2015.              questions on viewing the docket, call
                                            Web page. Through the Web page, FSIS                    This action corrects the error.                       Cheryl Collins, Program Manager,
                                            is able to provide information to a much                Correction to Final Rule                              Docket Operations, telephone 202–366–
                                            broader, more diverse audience. In                                                                            9826.
                                                                                                      Accordingly, pursuant to the
                                            addition, FSIS offers an email                                                                                SUPPLEMENTARY INFORMATION:
                                                                                                    authority delegated to me, the effective
                                            subscription service which provides
                                                                                                    date listed under DATES heading on                    A. Regulatory History and Information
                                            automatic and customized access to
                                                                                                    Docket No. FAA 2015–0743,                                The Coast Guard is issuing this final
                                            selected food safety news and
                                                                                                    establishing Class E airspace at Dry                  rule without prior notice and
                                            information. This service is available at:
                                                                                                    Creek Airport, Cypress, TX, as                        opportunity to comment pursuant to
                                            http://www.fsis.usda.gov/subscribe.
                                                                                                    published in the Federal Register of                  authority under section 4(a) of the
                                            Options range from recalls to export
                                                                                                    April 24, 2015, (79 FR 22894), FR Doc.                Administrative Procedure Act (APA) (5
                                            information, regulations, directives, and
                                                                                                    2015–09400, is corrected as follows:                  U.S.C. 553(b)). This provision
                                            notices. Customers can add or delete                      On page 22894, column, 2, line 38,
                                            subscriptions themselves, and have the                                                                        authorizes an agency to issue a rule
                                                                                                    remove ‘‘April 30, 2015’’, and add in its             without prior notice and opportunity to
                                            option to password protect their                        place ‘‘June 25, 2015’’.
                                            accounts.                                                                                                     comment when the agency for good
                                                                                                      Issued in Washington, DC, on May 4, 2015.           cause finds that those procedures are
                                              Done at Washington, DC on: May 8, 2015.
                                                                                                    Mark W. Bury,                                         ‘‘impracticable, unnecessary, or contrary
                                            Alfred V. Almanza,
                                                                                                    Assistant Chief Counsel Regulations Division.         to the public interest.’’ Under 5 U.S.C.
                                            Acting Administrator.                                                                                         553(b), the Coast Guard finds that good
                                                                                                    [FR Doc. 2015–11455 Filed 5–13–15; 8:45 am]
                                            [FR Doc. 2015–11581 Filed 5–13–15; 8:45 am]                                                                   cause exists for not publishing a Notice
                                                                                                    BILLING CODE 4910–13–P
                                            BILLING CODE 3410–DM–P                                                                                        of Proposed Rulemaking (NPRM) with
                                                                                                                                                          respect to this rule because the U.S. 98–
                                                                                                    DEPARTMENT OF HOMELAND                                SR 30 bridge, that once required draw
                                            DEPARTMENT OF TRANSPORTATION                            SECURITY                                              operations in 33 CFR 117.327, was
                                                                                                                                                          removed and replaced with a fixed
                                            Federal Aviation Administration                         Coast Guard                                           bridge in 2001. Therefore, the regulation
                                                                                                                                                          is no longer applicable and shall be
                                            14 CFR Part 71                                          33 CFR Part 117                                       removed from publication. It is
                                            [Docket No. FAA–2014–0743; Airspace                                                                           unnecessary to publish an NPRM
                                                                                                    [Docket No. USCG–2015–0120]                           because this regulatory action does not
                                            Docket No. 14–ASW–2]
                                                                                                    RIN 1625–AA09                                         purport to place any restrictions on
tkelley on DSK3SPTVN1PROD with RULES




                                            Establishment of Class E Airspace;                                                                            mariners but rather removes a
                                            Cypress, TX                                             Drawbridge Operation Regulation; St.                  restriction that has no further use or
                                                                                                    Marks River, Newport, FL                              value. Under 5 U.S.C. 553(d)(3), the
                                            AGENCY:  Federal Aviation
                                            Administration (FAA), DOT.                              AGENCY:    Coast Guard, DHS.                          Coast Guard finds that good cause exists
                                                                                                                                                          for making this effective in less than 30
                                            ACTION: Final rule; correction.                         ACTION:   Final rule.
                                                                                                                                                          days after publication in the Federal


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Document Created: 2015-12-15 15:32:36
Document Modified: 2015-12-15 15:32:36
CategoryRegulatory Information
CollectionFederal Register
sudoc ClassAE 2.7:
GS 4.107:
AE 2.106:
PublisherOffice of the Federal Register, National Archives and Records Administration
SectionRules and Regulations
ActionNotice of availability.
DatesEstablishments may start using the new guidance now. FSIS will begin verifying that large establishments meet all validation requirements on January 4, 2016. FSIS will begin verifying that small and very small establishments meet all verification requirements on April 4, 2016.
ContactWilliam K. Shaw, Jr., Ph.D., Office of Policy and Program Development, FSIS, USDA, 1400 Independence Avenue SW., Patriots Plaza 3, Mailstop 3782, Room 8-142, Washington, DC 20250. Telephone: (301) 504-0852 Fax: (202) 245-4792. Email: [email protected]
FR Citation80 FR 27557 

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