Inspections, Compliance, Enforcement, and Criminal Investigations

SUBCHAPTER 6.4 - FIELD EXAMINATION

Table of contents

6.4.1 - GENERAL

A field examination is an on-the-spot examination or field test performed on a product to support a specific decision. It may be conducted on products discharged from vessels on to the wharves (piers), pier sheds, and other locations; products in trucks, trains, freezers, and containers, etc., at border entry points; or on products set aside for FDA examination. Some compliance program guidance manuals do not address field examinations. Nevertheless, field examinations are appropriate for certain problems and/or commodities and should be conducted.

A field examination involves actual physical examination of the product for such things as:

  1. Confirming quantity present corresponds to quantity declared on shipping documents,
  2. In transit or storage damage,
  3. Inadequate storage temperature conditions,
  4. Rodent or insect activity,
  5. Lead in ceramic ware (Quick Color Test – QCT and Rapid Abrasion Test - RAT),
  6. Odors uncharacteristic for the product or of spoilage,
  7. Non-permitted food and/or color additives, and
  8. General label compliance

When conducting a field examination, compare documents provided by filer/importer, to what is physically available during your inspection.

A field examination does not have the same level of confidence as a laboratory examination. Consequently, more rigorous standards of acceptance are applied than those used for formal regulatory levels. For example, if the formal action guideline for whole insects is 10 per 100 gm in product X, you may sample product X when your field examination shows only one or two insects per 100 gm. The decision to sample is, to some degree, left to your discretion. In most instances, it should be based on findings significantly lower than specified by the formal guideline.

A field examination begins when the physical examination is started. Do not include, as reported Field Examination time, the time to locate the lot or travel time. Time spent in locating the lot is reported as import investigation.

See IOM 5.1.4.3 for suggestions on what to do when conducting a field examination and the firm responsible for the products invites individuals who are not directly employed by the firm to observe the examination. See IOM 6.4.10 for instructions on recording Field/Label Examination results in OASIS

Highlighted to denote updated text

6.4.2 - FIELD EXAMINATION SCHEDULE

A Field Examination should include a physical examination of a minimum of five containers (cases, cans, bags, etc.) of a product, or as directed by Compliance Program Guidance Manuals, specific product examination schedules (e.g., LACF), or other guidance.

When you conduct any field examination, in addition to specific items discussed in the following sections, be alert for any over labeling where a product name or identity may have been changed; product without mandatory English labeling; changes in expiration date or lot numbers; product quantity differences; product integrity; country of origin (under CBP authority 19 CFR 134) or similar questionable practices. If you encounter any of these items, document your findings and discuss the appropriate action with your Supervisor.

6.4.3 - FIELD EXAMINATIONS - FOODS

See IOM 5.4.1.4.2 for guidance on performing reconciliation examinations during import field examinations.

6.4.3.1 - Food Sanitation

Microbiological - field examinations cannot be used for suspected microbiological contamination.

Filth and Foreign Objects - field examine only those product/container combinations in which you can physically view and examine the product, e.g., products which can be probed, products in see-through containers, etc. See 5.1.5, et al for some specific guidance on performing field examinations.

Low acid and other Canned Foods - See IOM Chapter 4 SAMPLE SCHEDULE CHART 2.

Decomposition in Non-sealed Foods - This can include organoleptic examination for fish, seafood, frozen eggs, etc.

6.4.3.2 - Pesticides, Industrial Chemicals, Aflatoxins, & Toxic Elements

Field examinations cannot be performed for most of these materials, except for metals in dinnerware and the side seam solders of cans.

NOTE: Districts should use commercial versions of the Quick Color Test (QCT) and the Rapid Abrasion Test for lead, e.g. Lead Check Swabs. While conducting field examination of dinnerware and food cans to determine if follow-up sampling is required. The testing scheme for dinnerware can be found in CPGM 7304.019B. Specific information regarding the techniques of testing dinnerware and can side seam solder can be found in Lab Information Bulletin (LIB) 4127 and LIB 4041, respectively on the Office of Regulatory Science (ORS) intranet site.

6.4.3.3 - Food and Color Additives

Perform a visual examination of the container and a label review for the mandatory labeling requirements. For example, determine if a color additive is declared for a product which appears coloring has been added. Determine if a preservative declaration includes its function; for example, "Sodium Benzoate as a preservative."

The use of a color additive must conform with the requirements stated in the color additive's listing regulation. These requirements are outlined in the "Color Additive Status List" and the "Summary of Color Additives Listed for Use in the United States in Food, Drugs, Cosmetics, and Medical Devices." These lists provide the current status and use limitations of color additives permitted in food, drug, cosmetic, and medical device products.

Requirements for declaring color additives on food labels are given in 21 CFR 101.22(k). Color additives subject to certification may be declared by the names listed in 21 CFR parts 74 and 82 or by abbreviated names that omit "FD&C" and "No." The term "Lake" must be included in the names of color additive lakes. FD&C Yellow No. 5 is specifically required to be declared on food labels under 21 CFR 101.22(k) and 21 CFR 74.705. Color additives not subject to certification may be declared by the names listed in 21 CFR part 73 or in general terms such as "Artificial Color," "Artificial Color Added," or "Color Added."

NOTE: Label examinations of products to determine whether there is a declaration of certain food and/or color additives are reported as import investigations.

6.4.3.4 - Nutrition and Food Allergen Labeling and Consumer Protection Act (FALCPA)

The only valid field examination which can be performed for this type of problem is a label examination for the mandatory labeling requirements. See the "Guide to Nutritional Labeling and Education Act (NLEA) Requirements" document. Also see the Office of Nutrition, Labeling and Dietary Supplements (ONLDS), website (http://www.fda.gov/Food/IngredientsPackagingLabeling/LabelingNutrition/ucm2006873.htm) for the most up-to-date information regarding claims in labeling. Also, see CPGM 7321.005 to determine enforcement priorities for food labeling violations.

6.4.3.5 - Food Economics (On Consumer Size Containers only)

Label Examination - Review labels for all aspects of the labeling requirements.

Net weight - See IOM 4.3.8.1

Food Standards - The only valid field examination which can be performed for Food Standards is a label examination for the mandatory labeling requirements of a particular Food Standard.

NOTE: Label examinations of products to determine if the labeling meets the mandatory labeling requirements for a particular Food Standard must be reported as an Import Investigation.

6.4.3.6 - Cosmetics

Valid cosmetic field examinations include a reconciliation examination for security purposes and/or a label examination for the mandatory labeling requirements. The most important labeling considerations are:

  1. Ingredient Labeling (21 CFR 701.3),
  2. Prohibited ingredients (21 CFR 700.11 through 700.27 and 250.250),
  3. Non-permitted color additives (see Color Additives Status Lists)
  4. Warning Statements (21 CFR 740.11, 740.12, 740.17, and 740.19),
  5. Cautionary/Other Required Statements (Coal tar hair dyes not displaying the caution statement can be considered adulterated - FD&C Act sec. 601(a), caution statement for the color additive lead acetate - 21 CFR 73.2396, required label information for the color additive bismuth citrate - 73.2110, and required label information for the color additive henna - 73.2190)
  6. Tamper Resistant Packaging Requirements (21 CFR 700.25)

For further questions contact the Office of Cosmetics and Colors, (240) 402-1130.

NOTE: Label examinations of products to determine whether their labeling declares certain ingredients must be reported as an Import Investigation.

6.4.4 - FIELD EXAMINATION - DRUGS

When you conduct field examinations of drugs (bulk drugs and finished dosage forms) ensure you check:

  1. Labeling compliance (e.g., Reye Syndrome warning)
  2. Probable contamination
  3. Tamper Resistant Packaging Requirements

6.4.4.1 - Labeling

Bulk drugs and finished dosage forms should be evaluated for compliance with the Drug Listing Act, 21 CFR 207.40. Refer to the Drug Listing Compliance Program Guidance Manual.

6.4.4.2 - Contamination

Drugs should be examined for container integrity, e.g.: cracked vials, ampoules, bottles, etc.

6.4.4.3 - Samples

A decision to collect samples for Drug Listing Act compliance evaluation should be made in accordance with the drug listing 7356.014A CPGM. The nature of samples to be taken from lots where the drug substance or finished product has been subjected to actual or suspected contamination should be decided on a case-by-case basis.

6.4.4.4 - Special Instructions

Field examinations may be made of drug lots to obtain information in determining the new drug status of a given shipment. Districts should contact the CDER Office of Drug Security, Integrity and Recalls, Division of Import Operations and Recalls, Imports/Exports Compliance Branch for guidance.

6.4.5 - FIELD EXAMINATIONS - DEVICES

Medical device field exams involve mostly label or labeling review. The label should include the name and business of the manufacturer, packer or distributor and product identity. Be aware of misdeclared devices, for example, TENS (transcutaneous electrical nerve stimulation) devices are often declared as therapeutic massagers but in fact should be declared as neurological therapeutic device. Products declared as destined for “veterinary use only” must include such a statement on the packaging and product. CAUTION: If the sealed packaging, such as an outer crate, of a medical device indicates that the manufacturer’s warranty will be violated should it be opened by someone other than a factory representative, DO NOT open the packaging. Consult with your supervisor regarding any further action. For further guidance for labeling provisions refer to 21 CFR Part 801.

Medical device field exams include electrode lead wires, patient cables, labeling, and physical damage. Lead wires and patient cable exams should conform to applicable standards set forth in 21CFR Part 898.

Field examination guidance documents issued by CDRH are found at the Division of Import Operations' intranet site.

During any field exam you may conduct of "sterile" devices offered for entry, which are destined for sterilization at a sterilizer, per 21 CFR 801.150: each pallet, carton, or other designated unit is conspicuously marked to show its non-sterile nature when it is introduced into and moving in interstate commerce, and while it is being held prior to sterilization. Following sterilization, and until such time as it is established that the device is sterile and can be released from quarantine, each pallet, carton, or other designated unit is conspicuously marked to show that it has not been released from quarantine, e.g., "sterilized--awaiting test results" or an equivalent designation. It is a common industry practice to manufacture and/or assemble, package, and fully label a device as sterile at one establishment and then ship such device in interstate commerce to another establishment or to a contract sterilizer for sterilization. FDA will not initiate regulatory action against the device as misbranded or adulterated when the non-sterile device is labeled sterile if the lot is marked appropriately as noted previously. This cite also requires a written agreement between the foreign firm and the importer of record. Specifically, there is in effect a written agreement which: (i) Contains the names and post office addresses of the firms involved and is signed by the person authorizing such shipment and the operator or person in charge of the establishment receiving the devices for sterilization.(ii) Provides instructions for maintaining proper records or otherwise accounting for the number of units in each shipment to insure that the number of units shipped is the same as the number received and sterilized.(iii) Acknowledges that the device is nonsterile and is being shipped for further processing, and(iv) States in detail the sterilization process, the gaseous mixture or other media, the equipment, and the testing method or quality controls to be used by the contract sterilizer to assure that the device will be brought into full compliance with the Federal Food, Drug, and Cosmetic Act.

6.4.6 - FIELD EXAMINATIONS - BIOLOGICS

Review RPM Chapter 9-3 "Importation of Biologics" and the Import Alert regarding biologics prior to conducting any field examinations of biological products.

In general, products controlled by Center for Biologics Evaluation and Research (CBER) do not require field examination, because they are licensed under Section 351 of the PHS Act. In addition, lot release procedures pursuant to 21 CFR 610.2 applies to many products, such as vaccines.

Products imported under Investigational New Drug (IND) Applications are also monitored, but due to the small volumes involved, no specific guidance is necessary.

Shipments of biologics which are not licensed, or are not directly related to an active IND should be examined for:

  1. Labeling
  2. Consignee
  3. Manufacturer
  4. Intended use

Any questions should be sent to CBER Import Inquiry<CBERImportInquiry@fda.hhs.gov>.

6.4.7 - FIELD EXAMINATIONS - VETERINARY PRODUCTS

Contact the CVM Import Complaint Emergency Recall Team (ICERT) at the CVM mailbox CVMImportRequests@fda.hhs.gov with general questions on the importation of veterinary products. You should be aware of various Import Alerts, Compliance Policy Guides or Guidance Documents as they affect individual import situations. See the CVM website for additional information or notifications on current import situations

6.4.7.1 - Veterinary Drugs

Field examinations of veterinary drugs are visual examinations to determine potential misbranding or adulteration. This may include examination for:

  1. Container Integrity
  2. Labeling Compliance
  3. Product adulteration

Dosage form drugs must be examined to determine if they are new animal drugs. If the products are new animal drugs, you need to determine if an approved NADA/ANADA exists or if there is a valid INAD exemption in place. You should consult with CVM's Division of Compliance (HFV-230) regarding the status of imported veterinary products (240-276-9200).

Bulk New Animal Drug substances and Active Pharmaceutical Ingredients (APIs) may be legally imported only if destined to the holder of an approved NADA or INAD exemption. You will need to consult with the Center for the status of particular drugs.

Entries of prescription animal drugs for use by the consumers (laymen) must be examined for labeling content, consignee (name and address) and to determine if a valid prescription/order exists from an appropriately licensed veterinarian. CVM (240-276-9200) should have records of any exemptions or permission granted for personal imports.

6.4.7.2 - Devices

Devices intended for animals do not require premarket approval. However, they are still subject to examinations for misbranding violations. Animal devices must bear adequate directions for use and label claims must not be false or misleading. You should consult with CVM for guidance (240-276-9200).

6.4.7.3 - Animal Feed

Animal feeds and feed components, including pet foods should be examined for conformance with all applicable and appropriate food labeling requirements, drug claims, food additive violations and use of banned or objectionable ingredients as well as filth and foreign objects. You should consult with CVM on individual issues and to determine specific requirements (240-276-9200).

6.4.7.4 - Animal Grooming Aids

'Cosmetics' for animals are referred to as "animal grooming aids". While CVM does not actively pursue enforcement actions with animal grooming aids, the products are expected to be safe, effective and properly labeled. The labels and labeling of any incoming animal grooming aids are subject to examination and review for potential instances of misbranding. Consult with CVM for appropriate guidance. The Division of Compliance (240-276-9200) can answer regulatory and enforcement questions.

6.4.7.5 - Biologicals

CVM does regulate animal biologic products. They are considered as drugs. However, CVM does not regulate animal vaccines. The vaccines are regulated by USDA/APHIS.

6.4.8 - FIELD EXAMINATIONS RADIOLOGICAL HEALTH

Field Examinations for imported electronic products consist of reviewing the Entry Documents and FDA-2877, Declaration for Products Subject to Radiation Control Standards, to determine if they are properly completed and accurate. This applies to each shipment of electronic products for which performance standards exist. Performance standards, covering ionizing, optical, microwave and acoustic radiation-emitting products, are specified in 21 CFR 1020 through 1050.

For electronic products, physical samples may only be collected on specific assignment. DTR/DER recommendations are to be submitted when the Field Examination indicates the product may not be in compliance and detention is recommended.

Import coverage for radiation emitting products is provided for in a CDRH Compliance Program Guidance Manual. Do not collect physical samples except on specific assignment, or with concurrence of CDRH.

6.4.9 - FIELD EXAMINATIONS - TOBACCO PRODUCTS

Contact the CTP Office of Compliance and Enforcement, Enforcement and Manufacturing Group, with general questions on the importation of tobacco products. See the CTP website for additional guidance, compliance, and regulatory information for tobacco products.

6.4.10 – FIELD/LABEL EXAMINATION RESULTS

Highlighted to denote updated text

Examination results should be reported for those lines which have been physically examined. Results should reflect the findings within the limitations of an Examination for the specified problem area. An Examination should not be reported on lines that were not physically examined. Highlighted to denote updated text

If adverse findings are encountered, Examination work type(s) should be added to the line, if needed, to record the adverse findings under the appropriate problem area. Highlighted to denote updated text

OASIS completes the following fields for you: Entry number, Investigator Initials, Product Code, Product Code Description, Importers Corrected Description, and PAF/Reference.

Highlighted to denote updated text

Enter data in the following fields:

6.4.10.1 – Date completed

Highlighted to denote updated text

Enter the date the Examination was performed.

6.4.10.2 – Location of goods

Highlighted to denote updated text

Enter the location where the Examination was conducted if availability and location of goods have not been entered prior to performance of the exam or if the exam location has changed.Include location name and address or Resident Post location.

Highlighted to denote updated text

6.4.10.3 – Remarks Field

Highlighted to denote updated text

Enter the type of Examination performed, describe how the Examination was performed, and note any samples collected or photos taken. If the Examination was performed due to an Assignment, Import Bulletin, or Import Alert, then enter pertinent information as instructed.
Highlighted to denote updated text

Example Remarks text: “Conducted food filth exam under CP03819A. Viewed outer cases under a black light. Opened 5 of 10 ten cases and viewed contents through transparent packaging. Collected a sample for micro under CP03819C.”Highlighted to denote updated text

Note – Text entered in the Remarks Field does not appear on the FDA Notice of Action.

6.4.10.4 – Summary Field

Enter the findings of the Examination. Be as specific as possible in the allowed space. If the Examination will be reported as Class 2 provide specific remarks detailing why Class 2 was chosen. Highlighted to denote updated text

Example Summary text: “All cartons are accounted for. No macro filth observed during examination. Exam Class 2 as this line to be held for analysis of line 1/4.” Highlighted to denote updated text

Or,

Highlighted to denote updated text “Observations include no ingredients statement, no serving size and incomplete nutrition info. Label submitted to CB for review.”

Highlighted to denote updated text

Note – Text entered in the Summary Field does not appear on the FDA Notice of Action.

Highlighted to denote updated text

6.4.10.5 – Exam Classification Field

Highlighted to denote updated text

Select the appropriate Exam Classification. (Currently the OASIS field and classifications read "Lab Class"; however these classifications are for Examinations. Future system updates will be made to ensure this field and classifications are appropriately named in OASIS.)
Highlighted to denote updated text

Class 1 – No Adverse Findings within Problem Area: No adverse findings were noted within the limitations of an Examination for the specified problem area.  The entry line may be IB Released, sampled for a different problem area, referred to Compliance Branch for a different problem area or have additional work types added to it as appropriate. Additional action should not be taken within the specified problem area that was deemed Class 1.

Highlighted to denote updated text

Class 2 – Other Findings: Class 2 is intended to be used only for those situations that do not meet the definitions of Class 1 or Class 3. Some examples of when to use Class 2 include the following (this list is not intended to be all-inclusive):

Highlighted to denote updated text
  1. Potential adverse findings were observed. Observations lead to the collection of a sample or referral to Compliance Branch in the specified problem area for final admissibility determination.Highlighted to denote updated text
  2. The product appears to be in violation within the limitations of a Field Examination for the specified problem area; however Investigations Branch is using discretionary authority to release the product. If this option is used, describe in detail in the Summary field the reason(s) why this violative product is being released, such as, “This product meets the criteria for release under the Personal Importation Policy (PIP) as stated in the Regulatory Procedures Manual (RPM).”Highlighted to denote updated text
  3. No adverse findings were observed within the limitations of an Examination for the specified problem area; however the line is sampled within the same problem area due to the firm/product having a violative history in that problem area or as directed by an assignment, Import Bulletin or other guidance.Highlighted to denote updated text
  4. No adverse findings were noted within the limitations of an Examination for the specified problem area; however the line is being held and referred to Compliance Branch pending sample analysis of another line. (Note: it is inappropriate to record a Field Examination if no physical examination occurred. The OASIS “Same Action As” function allows for the holding of lines where no examination occurred.)Highlighted to denote updated text

Class 3 – Adverse Findings within Problem Area: The product appears to be in violation within the limitations of an Examination for the specified problem area. Further action must be taken under the specified problem area, i.e. sampled or referred to Compliance Branch for final admissibility determination.Highlighted to denote updated text

Click “OK” to save the Examination Results.

Highlighted to denote updated text

6.4.10.6 – Record Time

Highlighted to denote updated text

The Record Time screen will appear. Click on the “PAC” field to populate the PAC code. Enter your time. If more than one person worked on the examination, click on the “Add” button. A box will come up; enter the person’s initials and hit the “Tab” key. Highlight the person’s name, click “OK”. Enter that person’s time. Repeat for each person that worked on the examination. Click “OK”. Note: time is entered in decimal format (by tenths of an hour) in OASIS.


Highlighted to denote updated text

If other work was set up on the line prior to completion of the examination the system will return you to the Work Details Summary page after entering time to allow you to complete the additional assigned work.

Highlighted to denote updated text

6.4.10.7 – OASIS Message

Highlighted to denote updated text

If no other work was set up on the line, an OASIS Message Box will appear.

If the exam was classified as Class 1 or 2 the following box will appear:

Highlighted to denote updated text

OASIS Message

Highlighted to denote updated text

If there is no other work to be performed on the line and the line will be released, click “IB Release”. You will be prompted to add Remarks. Enter an appropriate summary from the Remarks entered in the Exam Results. Be sure to include a detailed description of why the product was released if Adverse Findings were found. Click “OK”. Note – Text entered in this Remarks Field does not appear on the FDA Notice of Action.
Highlighted to denote updated text

If additional work needs to be added to the line click “Add Work”. The system will prompt you to return to the Possible Actions page to add work as appropriate.

Highlighted to denote updated text

If the exam was classified as Class 2 with No Adverse Findings and there is no other work to be accomplished on the line, but the line is to be held pending sample analysis of another line, follow District procedures for notifying Compliance Branch.
Highlighted to denote updated text

If “No” is chosen. The system will display the message “Performing Hold Designated/Others Go! ”Click “OK”. The line will move to the Compliance Branch Grab Bag. Follow District procedures for notifying Compliance Branch.

If the exam was classified as Class 3 the following box will appear:

Highlighted to denote updated text

Class 3 Message

Highlighted to denote updated text

If “Yes” is chosen, the system will prompt you to return to the Possible Actions page to add work as appropriate.


If “No” is chosen the system will display the message: “Performing Hold Designated/Others Go!” Click “OK”. The line will move to the Compliance Branch Grab Bag. Follow District procedures for notifying Compliance Branch

Back to Top

Highlighted to denote updated text

Table of contents

 

Page Last Updated: 11/07/2014
Note: If you need help accessing information in different file formats, see Instructions for Downloading Viewers and Players.