• Decrease font size
  • Return font size to normal
  • Increase font size
U.S. Department of Health and Human Services

Food

  • Print
  • Share
  • E-mail

Regulatory Submissions - Part VI: GRAS Notices

Return to main Table of Contents and Introduction (Part I)

Information for all regulatory submissions

Regulatory submissions for program areas

All parts [Printable PDF Version]

 


Guidance for Industry
Providing Regulatory Submissions in Electronic or Paper Format to the Office of Food Additive Safety
Part VI: GRAS Notices

Contains Nonbinding Recommendations

March 2010

Draft Guidance

Return to main Table of Contents and Introduction (Part I)


Draft — Not for Implementation

VI. Information Specific to Generally Recognized as Safe Notice Submissions

Section VI of this document addresses submission of GRAS notices.  The GRAS notification procedure[2] is a voluntary procedure in which you inform us of your view that a particular use of a substance is exempt from the premarket approval requirements of the Act based on your determination that such use is GRAS in accordance with 21 CFR 170.30.  We assign a file number (GRAS Notice No. (GRN)) to your submission and respond to you by letter.

  1. General Information about Generally Recognized as Safe Notice Submissions
  2. Generally Recognized as Safe Notice Submissions in Electronic Format
  3. Electronic Amendments and Supplements to GRAS Notice Submissions

A. General Information about Generally Recognized as Safe Notice Submissions

  1. How do the parts on Form FDA 3667 relate to the elements of a GRAS notice?

    Table VI-1 shows the elements of a GRAS notice and links each element to the applicable part of Form FDA 3667. 

    Table VI-1
    Elements of a GRAS Notice as Shown on Form FDA 3667
    Element of a GRAS NoticeApplicable Part on Form FDA 3667
    Introductory information about the submissionI
    Information about the notifier (and any attorney or agent acting on behalf of the notifier)II
    General administrative informationIII
    Intended useIV
    IdentityV and VI
    Method of manufactureVI
    SpecificationsVI
    Dietary exposureVI
    Self-limiting levels of useVI
    Common use in food before 1958 (if applicable)VI
    Comprehensive discussion of the basis for the GRAS determinationVI
    BibliographyVI
    SignatureVII
    N/AVIII (List of Attachments)
  2. How should I organize a new GRAS notice submission?

    You should organize a new GRAS notice as a document presenting the elements of a GRAS notice in an order corresponding to that of the elements listed on Form FDA 3667.  A summary of these elements is listed in Table VI-1 of this document and described in the instructions for Form FDA 3667 (see Appendix 5). If you include any data or information not identified on Form FDA 3667, you should place these data or information in a logical place in your submission based on the type of information. 

B. Generally Recognized as Safe Notice Submissions in Electronic Format

  1. How should I organize an electronic GRAS notice submission?

    You should organize an electronic GRAS notice submission using the foldering structure available in a downloadable GRAS Notice Submission Roadmap (see instructions in Appendix 5 and the roadmap in Appendix 15). The entire GRAS Notice Submission Roadmap is organized under the folder entitled “Main directory.”  The “Main directory” includes three first-level folders, entitled “Administrative,” “GRAS Notice,” and “Incoming Correspondence.”  The “Incoming Correspondence” folder includes three second-level subfolders entitled “Submission Form,” “Amendment” and “Supplement.” We show these folders and subfolders, using an outline format, in Figure VI-1, below.

    Figure VI-1

    Outline Representing the Folders and Subfolders in the “Main directory” of a GRAS Notice Submission Roadmap

    • ·Main directory
      • Administrative
      • GRAS Notice
      • Incoming Correspondence
        • Submission Form
        • Amendment
        • Supplement
  2. When should I use the specific folders and subfolders in the GRAS Notice Submission Roadmap?

    You should use these folders and subfolders as shown in Table VI-2. You should not place any specific files directly in “Main directory.” “Main directory” only contains folders. 

    Table VI-2
    When to Use Specific Folders and Subfolders
    in the “Main Directory” of a GRAS Notice Submission Roadmap*
    Folder/SubfolderWhen to Use it
    AdministrativeAny time you transmit a new GRAS notice or a redacted electronic file(s)
    GRASNoticeOnly when you transmit a new GRAS notice
    IncomingCorrespondenceYou should not place any specific files directly in the Incoming Correspondence folder. The Incoming Correspondence folder only contains subfolders.
    Incoming Correspondence/Submission FormAny time you transmit information while we are reviewing your GRAS notice or after we have responded to your GRAS notice
    IncomingCorrespondence/ AmendmentAny time you transmit information while we are reviewing your GRAS notice
    IncomingCorrespondence/ SupplementAny time you transmit information after we have responded to your GRAS notice

    * If you are transmitting an amendment or supplement to your GRAS notice, you should re-name “Main directory”to reflect the file number we assigned to your notice.

  3. How should I name files in an electronic GRAS notice submission?

    You should name each file using both generic and specific elements as described in Section III.C and Appendix 12 of this document.  Generic elements in the file names specific to GRAS notice submissions are included in the examples in Table VI-3 (below). 

  4. What files should I place in each folder and subfolder?

    Table VI-3 shows the files you should place in each folder and subfolder.

    Table VI-3
    Placement of Files in the GRAS Notice Submission Roadmap
    Folder/SubfolderFile NameInformation in File
    AdministrativeForm3667_..._YYYY-MM-DD.pdfForm FDA 3667 with responsive material completed
    AdministrativeCoverLetter_..._YYYY-MM-DD.pdfLetter accompanying the submission if you choose to send a letter in addition to Form FDA 3667
    AdministrativeDesignationOfConfidential Information_..._YYYY-MM-DD.pdfA description of the data or information in your submission that you designated as nondisclosable information (21CFR 20 Subpart D)
    AdministrativeRedactedBySubmitter_…_YYYY-MM-DD.pdfCopy(ies) of one or more files in your submission modified by deletion of data or information you designated as nondisclosable information
    GRASNoticeGRASNotice_..._YYYY-MM-DD.pdfFile containing the following information not placed on the form:
    • Table of Contents
    • Any additional information about identity not covered in Part IV of Form FDA 3667
    • Method of manufacture
    • Specifications for food-grade material
    • Dietary exposure
    • Self-limiting levels of use
    • Common use in food before 1958 (if applicable)
    • Comprehensive discussion of the basis for the determination of GRAS status
    • Bibliography
    • Other Information
    GRASNotice[Miscellaneous]_..._YYYY-MM-DD.pdfOne or more files containing miscellaneous information you ask FDA to consider in evaluating your GRAS notice (e.g., technical bulletins)
    IncomingCorrespondence/ Submission FormYYYY-MM-DD- Form3667_..._.pdfForm FDA 3667 with responsive material completed
    IncomingCorrespondence/ AmendmentYYYY-MM-DD_Amendment_....pdf  When applicable, file(s) containing the information you submit to us during our review of your GRAS notice. An amendment addressing more than one topic should include a Table of Contents.
    IncomingCorrespondence/ SupplementYYYY-MM-DD_Supplement_....pdf  When applicable, file containing the information you submit to us after we respond to your GRAS notice. A supplement addressing more than one topic should include a Table of Contents.

 

C. Electronic Amendments and Supplements to GRAS Notice Submissions

  1. What recommendations apply to amendments and supplements to GRAS notice submissions?

    You should refer to Section III.F of this document for general recommendations applying to amendments and supplements in electronic format. 

    When transmitting any amendment or supplement to a GRAS notice, you should organize your submission as a single file.  If an amendment or supplement addresses more than one topic, the file should include a Table of Contents with bookmarks to aid in navigating through the submission.  You then should place this file in the Incoming Correspondence/Amendment or Incoming Correspondence/Supplement subfolder in the GRAS Notice Submission.


[2] We have issued a proposed rule that would establish this procedure in 21 CFR 170.36 (Federal Register of April 17, 1997; 62 FR 18938).  As of the date of this guidance publication we have not yet issued a final rule based on that proposed rule.