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Today’s Presenters
Gary Nowacki
CEO
TraceGains
Jim Lassiter
COO
Ingredient Identity
#tgwebinar
Founder, President & COO - Jim Lassiter, M.Sc. MBA©2015 INGREDIENT IDENTITY
GUIDANCE  DEVELOPMENT  COMPLIANCE©
GRAS vs. New Dietary Ingredient Notifications
Strategies and Approaches
F.A. vs. D.I.
FOOD ADDITIVES vs. DIETARY INGREDIENTS
Food Additives
Substances Added to Foods
Controlled by Regulations
All substances whose use results in their becoming a component of a food or otherwise
affecting the characteristics of a food [21CFR §170.3(e)(1)]
Must have premarket review and approval
GRAS
This is the “unless” portion of the Food Additive Regulations
Generally recognized among qualified experts as having been adequately shown to be
safe Under The Conditions of Its Intended Use
Dietary Ingredients
Exempt from Food Additive Regulations
Separate notification process
Old versus New Dietary Ingredients
Dietary Supplements remain a Class of Food
NDI vs. GRAS
THE FIRST DETERMINATION
What is the substance?
Mixture?
Extract?
Synthetic?
Something Completely Different?
Where is it to be Used?
Dietary Supplements Exclusively?
Foods Exclusively?
Both?
Mixture
Extracted Group of compounds
Blend of compounds
Extract
An article in food?
An article from other than food?
The Substance - I
Synthetic
“Nature Identical”
Carry over from the flavor industry
Applicable to “natural flavors”
Does NOT work for Other Substances
Something Completely Different
Chemical modification of a substance
Physical modification of a substance
The Substance - II
Where Is Important
Dietary Ingredients are Exempt
Until July 2011(?)
What Other Foods?
Inclusion in Foods Exclusively
GRAS is the Determined Approach
Inclusion in Dietary Supplements Exclusively
GRAS appears available
NDI Notification
To Be Included In…
THE NEXT DETERMINATIONS
Characterization
Source
Identification
Method of Manufacture
Processing as a Food Item
Use of Unacceptable Materials
Equipment Employed
How Much?
Next Determinations
The GRAS Proposal
April, 1997 Proposed Rule
December, 2010 Extension of the Comment Period
June, 2012 Electronic Submission Procedures
It is a Voluntary Process
Three Responses
The agency does not question the basis for the
determination
The agency concludes the notice does NOT establish a
basis
The agency states the notifier has withdrawn the notice
The Process - GRAS
Two Paths
Scientific Procedures
Experience
Scientific Procedures
Same as required to obtain food additive approval
Experience
A substantial history of consumption
The Paths - GRAS
Actually a Notice of GRAS exemption
Components
Declaration of Exemption
Basis (Scientific Procedures or Experience)
Agree to allow review (regardless of whether it is
notified)
Details of the identity of the substance
(characterization)
Information on self-limiting levels of use
How To - GRAS
Comprehensive discussion of the cumulative effect
and probable consumption
Comprehensive discussion of inconsistent
information
The basis for the conclusion
Scientific Basis - GRAS
Comprehensive discussion of the substantial
history of consumption
Comprehensive discussion of any inconsistent
information
Consensus statement
The voluntary submission goes to the Office of
Food Safety
Experience Basis - GRAS
General Study Time frame: 4-6 months
Within 30 Days – Acknowledgement
Within 90 Days
Available for public viewing
Ongoing Review
Questions and Answers
Amendments
GRAS Timing
FIRST Determine if it’s Old or New
SECOND Determine if it Requires Notification
Must be an An Article of Food
Food from anywhere in the world
Not just sticks and twigs or special dirt
NOT voluntary
Notification – NOT Approval
Either rejected or silence
The Process - NDI
Letter of the Law
Submission
Basis of belief that material is safe
Interpretation of the Law
Submission
Strong Demonstration of Safety Data
July, 2011 Guidance
Law vs. Guidance - NDI
MUST Be Notified BEFORE Marketing
Components
Characterization
Demonstration of “Article of Food”
Maximum Level of Consumption
Basis for Belief that material is safe
How To – NDI
Comprehensive characterization of the material
Demonstration that it is an article of food – real
documentation
Maximum level is YOUR call – focus on safety data
Basis for belief:
Read this now as short and long-term tox studies
The Particulars – NDI
At LEAST 75 Days PRIOR to Introduction
Within 30 Days – Acknowledgement
Within 90 Days
Available for public viewing
Within 90 Days
No objection
Rejection
NDIN Timing
Recognize Where You Want the Material
Placed
Determine HOW MUCH you want to deliver
GRAS is cumulative through all foods
NDIN is Specific for Dietary Supplements
Determine What Your Characterization Data Are
Determine What Your Safety Data Are
GRAS vs. NDIN Determinations
Original Law Exempted NDIs from Food Additive Regs
Could Come Back
Was removed in the July, 2011 Draft Guidance
Determine Article of Food Status
GRAS if synthetic may be more promising
NDIN if a simple extract
How Much?
GRAS limits apply to the Dietary Ingredient Use
How Well Characterized is it?
Single entity – relatively straightforward
Complex extract – must address 100% of the composition for GRAS
Why Not Just GRAS?
Either submission
Critical Factors
Safety Data – Referential Data consider GRAS
Composition – More complex may lean toward NDIN
Manufacturing Processes – The more in line with Food GMPs, the
more you should consider GRAS
Strategic Approach
GRAS tends to be more forgiving
NDIN tends to be faster to market
Amendments to GRAS more common
Q&A on submission more common with GRAS
Determination based on the nature of the data being
presented
Timings
Greater Rate of Success with GRAS
Potentially owed to accounting
Potentially a result of the voluntary nature of the filings
Potentially owed to different parts of the Agency reviewing
Potentially owed to the determinations being made by
Experts
Success in Approach
GRAS Notifications Take Longer to Prepare
Food Consumption Data Analysis
Characterization of 100% of substance
Convening of Expert Panel
Review
Edits
Dossier Finalization
The Prejudice against NDIN’s
Co-Determinant Factors
Level of Controversy of the Material
Source of the Material
What the Data looks like i.e. the Quality
Can you proceed without notification?
Can you achieve the level you wish?
Do you want to outsource based on expertise and
what can you expect?
What To Look Out For
Heavily Reliant on the Initial Determinations
Understanding and applying a defined Strategic
Approach
Preparation of the Dossier
Early discussions with FDA
Answering ALL the questions without being asked
Taking a Phased Approach to reduce risk and
mitigate costs/delays
Keys to Success
Approach the Project in Phases
Evaluation Up Front to identify/save costs
Determine NOT to prepare too soon
Fill in All the Blanks First
Dialog with the Agency
Let them know what’s coming
Let them know it’s complete
DATA – DATA – DATA
Critical Takeaways
Jim Lassiter
Headquarters:
208 N. Bush St.
Santa Ana, CA 92701
Main: (949) 485-2112
Email: jim@ingredientidentity.com
The Regulatory Management Consultancy
Best
Practices
in Supplier
and
Ingredient
Data
Management
Turning Data Into Information
Typical
24/7 Detection
& Compliance
TraceGains
Automatic
Score-carding / Risk
Difficult to search,
analyze, and
take action
Instant eNotification
Alerts
No More Spreadsheets: Documents to Data
Static Data
COAsSupplier
Documents
Finished
Goods
Quality
Machine
Maint.
Receiving
Receiving
Inspections Lab Results
Auto. P.O.
Acknowl.
Plant Floor
Feedback
Finished
Goods QA
COA
ActionForm™
TraceGains Automation Solves Many Problems
GFSI
Labeling
FSMA
Audits
#tgwebinar
TraceGains Products #tgwebinar
Specification
Publishing
Create, maintain,
and publish your
company’s unique
specifications to
ensure compliance
on incoming items.
Supplier
Compliance
Automate lot-by-lot
compliance across
purchasing, COAs,
receiving, testing,
and plant floor.
Finished Goods
COAs
Generate finished
goods COAs, manage
customer-specific
formats, and send to
customers on
demand.
Supplier
Management
Automatically
manage supplier
qualification,
documents, and
relationships.
Quality
Management
Automate
compliance to GFSI,
FSMA, safety, and
quality.
Q&A
Gary Nowacki
gary.nowacki@
tracegains.com
Jim Lassiter
jim@
ingredientidentity.com
#tgwebinar

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What Is GRAS?

  • 3. Today’s Presenters Gary Nowacki CEO TraceGains Jim Lassiter COO Ingredient Identity #tgwebinar
  • 4. Founder, President & COO - Jim Lassiter, M.Sc. MBA©2015 INGREDIENT IDENTITY GUIDANCE  DEVELOPMENT  COMPLIANCE© GRAS vs. New Dietary Ingredient Notifications Strategies and Approaches
  • 5. F.A. vs. D.I. FOOD ADDITIVES vs. DIETARY INGREDIENTS Food Additives Substances Added to Foods Controlled by Regulations All substances whose use results in their becoming a component of a food or otherwise affecting the characteristics of a food [21CFR §170.3(e)(1)] Must have premarket review and approval GRAS This is the “unless” portion of the Food Additive Regulations Generally recognized among qualified experts as having been adequately shown to be safe Under The Conditions of Its Intended Use Dietary Ingredients Exempt from Food Additive Regulations Separate notification process Old versus New Dietary Ingredients Dietary Supplements remain a Class of Food
  • 6. NDI vs. GRAS THE FIRST DETERMINATION What is the substance? Mixture? Extract? Synthetic? Something Completely Different? Where is it to be Used? Dietary Supplements Exclusively? Foods Exclusively? Both?
  • 7. Mixture Extracted Group of compounds Blend of compounds Extract An article in food? An article from other than food? The Substance - I
  • 8. Synthetic “Nature Identical” Carry over from the flavor industry Applicable to “natural flavors” Does NOT work for Other Substances Something Completely Different Chemical modification of a substance Physical modification of a substance The Substance - II
  • 9. Where Is Important Dietary Ingredients are Exempt Until July 2011(?) What Other Foods? Inclusion in Foods Exclusively GRAS is the Determined Approach Inclusion in Dietary Supplements Exclusively GRAS appears available NDI Notification To Be Included In…
  • 10. THE NEXT DETERMINATIONS Characterization Source Identification Method of Manufacture Processing as a Food Item Use of Unacceptable Materials Equipment Employed How Much? Next Determinations
  • 11. The GRAS Proposal April, 1997 Proposed Rule December, 2010 Extension of the Comment Period June, 2012 Electronic Submission Procedures It is a Voluntary Process Three Responses The agency does not question the basis for the determination The agency concludes the notice does NOT establish a basis The agency states the notifier has withdrawn the notice The Process - GRAS
  • 12. Two Paths Scientific Procedures Experience Scientific Procedures Same as required to obtain food additive approval Experience A substantial history of consumption The Paths - GRAS
  • 13. Actually a Notice of GRAS exemption Components Declaration of Exemption Basis (Scientific Procedures or Experience) Agree to allow review (regardless of whether it is notified) Details of the identity of the substance (characterization) Information on self-limiting levels of use How To - GRAS
  • 14. Comprehensive discussion of the cumulative effect and probable consumption Comprehensive discussion of inconsistent information The basis for the conclusion Scientific Basis - GRAS
  • 15. Comprehensive discussion of the substantial history of consumption Comprehensive discussion of any inconsistent information Consensus statement The voluntary submission goes to the Office of Food Safety Experience Basis - GRAS
  • 16. General Study Time frame: 4-6 months Within 30 Days – Acknowledgement Within 90 Days Available for public viewing Ongoing Review Questions and Answers Amendments GRAS Timing
  • 17. FIRST Determine if it’s Old or New SECOND Determine if it Requires Notification Must be an An Article of Food Food from anywhere in the world Not just sticks and twigs or special dirt NOT voluntary Notification – NOT Approval Either rejected or silence The Process - NDI
  • 18. Letter of the Law Submission Basis of belief that material is safe Interpretation of the Law Submission Strong Demonstration of Safety Data July, 2011 Guidance Law vs. Guidance - NDI
  • 19. MUST Be Notified BEFORE Marketing Components Characterization Demonstration of “Article of Food” Maximum Level of Consumption Basis for Belief that material is safe How To – NDI
  • 20. Comprehensive characterization of the material Demonstration that it is an article of food – real documentation Maximum level is YOUR call – focus on safety data Basis for belief: Read this now as short and long-term tox studies The Particulars – NDI
  • 21. At LEAST 75 Days PRIOR to Introduction Within 30 Days – Acknowledgement Within 90 Days Available for public viewing Within 90 Days No objection Rejection NDIN Timing
  • 22. Recognize Where You Want the Material Placed Determine HOW MUCH you want to deliver GRAS is cumulative through all foods NDIN is Specific for Dietary Supplements Determine What Your Characterization Data Are Determine What Your Safety Data Are GRAS vs. NDIN Determinations
  • 23. Original Law Exempted NDIs from Food Additive Regs Could Come Back Was removed in the July, 2011 Draft Guidance Determine Article of Food Status GRAS if synthetic may be more promising NDIN if a simple extract How Much? GRAS limits apply to the Dietary Ingredient Use How Well Characterized is it? Single entity – relatively straightforward Complex extract – must address 100% of the composition for GRAS Why Not Just GRAS?
  • 24. Either submission Critical Factors Safety Data – Referential Data consider GRAS Composition – More complex may lean toward NDIN Manufacturing Processes – The more in line with Food GMPs, the more you should consider GRAS Strategic Approach
  • 25. GRAS tends to be more forgiving NDIN tends to be faster to market Amendments to GRAS more common Q&A on submission more common with GRAS Determination based on the nature of the data being presented Timings
  • 26. Greater Rate of Success with GRAS Potentially owed to accounting Potentially a result of the voluntary nature of the filings Potentially owed to different parts of the Agency reviewing Potentially owed to the determinations being made by Experts Success in Approach
  • 27. GRAS Notifications Take Longer to Prepare Food Consumption Data Analysis Characterization of 100% of substance Convening of Expert Panel Review Edits Dossier Finalization The Prejudice against NDIN’s Co-Determinant Factors
  • 28. Level of Controversy of the Material Source of the Material What the Data looks like i.e. the Quality Can you proceed without notification? Can you achieve the level you wish? Do you want to outsource based on expertise and what can you expect? What To Look Out For
  • 29. Heavily Reliant on the Initial Determinations Understanding and applying a defined Strategic Approach Preparation of the Dossier Early discussions with FDA Answering ALL the questions without being asked Taking a Phased Approach to reduce risk and mitigate costs/delays Keys to Success
  • 30. Approach the Project in Phases Evaluation Up Front to identify/save costs Determine NOT to prepare too soon Fill in All the Blanks First Dialog with the Agency Let them know what’s coming Let them know it’s complete DATA – DATA – DATA Critical Takeaways
  • 31. Jim Lassiter Headquarters: 208 N. Bush St. Santa Ana, CA 92701 Main: (949) 485-2112 Email: jim@ingredientidentity.com The Regulatory Management Consultancy
  • 33. Turning Data Into Information Typical 24/7 Detection & Compliance TraceGains Automatic Score-carding / Risk Difficult to search, analyze, and take action Instant eNotification Alerts No More Spreadsheets: Documents to Data Static Data COAsSupplier Documents Finished Goods Quality Machine Maint. Receiving Receiving Inspections Lab Results Auto. P.O. Acknowl. Plant Floor Feedback Finished Goods QA COA ActionForm™
  • 34. TraceGains Automation Solves Many Problems GFSI Labeling FSMA Audits #tgwebinar
  • 35. TraceGains Products #tgwebinar Specification Publishing Create, maintain, and publish your company’s unique specifications to ensure compliance on incoming items. Supplier Compliance Automate lot-by-lot compliance across purchasing, COAs, receiving, testing, and plant floor. Finished Goods COAs Generate finished goods COAs, manage customer-specific formats, and send to customers on demand. Supplier Management Automatically manage supplier qualification, documents, and relationships. Quality Management Automate compliance to GFSI, FSMA, safety, and quality.