21 C.F.R. Subpart F—Availability of Specific Categories of Records
Title 21 - Food and Drugs
(a) The provisions set forth in this subpart or cross-referenced in paragraph (c) of this section state the way in which specific categories of Food and Drug Administration records are handled upon a request for public disclosure. The exemptions established in subpart D of this part and the limitations on exemptions established in subpart E of this part shall be applicable to all Food and Drug Administration records, as provided in §§20.60 and 20.80. Accordingly, a record that is ordinarily available for public disclosure in accordance with this part or under other regulations is not available for such disclosure to the extent that it falls within an exemption contained in subpart D of this part except as provided by the limitations on exemptions specified in subpart E of this part. (b) The Commissioner, on his own initiative or on the petition of any interested person, may amend this subpart or promulgate and cross-reference additional regulations to state the status of additional categories of documents to settle pending questions or to reflect court decisions. (c) In addition to the provisions of this part, rules on the availability of the following specific categories of Food and Drug Administration records are established by regulations in this chapter: (1) Section 305 hearing records, in §7.87(c) of this chapter. (2) Flavor ingredient records and notes, in §101.22(i)(4)(iv) of this chapter. (3) Environmental assessments; finding of no significant impact, in §25.51 of this chapter, or draft and final environmental impact statements, in §25.52 of this chapter. (4) Color additive petitions, in §71.15 of this chapter. (5) Food standard temporary permits, in §130.17(k) of this chapter. (6) Information on thermal processing of low-acid foods packaged in hermetically sealed containers, in §108.35(l) of this chapter. (7) Food additive petitions, in §§171.1(h) and 571.1(h) of this chapter. (8) Action levels for natural and unavoidable defects in food for human use, in §110.110(e) of this chapter. (9) Drug establishment registrations and drug listings, in §207.37 of this chapter. (10) Investigational new animal drug notices, in §514.12 of this chapter. (11) New animal drug application files, in §514.11 of this chapter. (12) Investigational new animal drug notice and a new animal drug application file for an antibiotic drug, in §514.10 of this chapter. (13) Methadone patient records, in §291.505(g) of this chapter. (14) Investigational new drug notice, in §312.130 of this chapter. (15) Labeling for and lists of approved new drug applications, in §314.430 of this chapter. (16) Master file for a new drug application, in §312.420 of this chapter. (17) New drug application file, in §314.430 of this chapter. (18) Data and information submitted for in vitro diagnostic products, in §809.4 of this chapter. (19) Data and information submitted for OTC drug review, in §330.10(a)(2) of this chapter. (20) Investigational new drug notice for an antibiotic drug, in §431.70 of this chapter. (21) Antibiotic drug file, in §314.430 of this chapter. (22) Data and information submitted for biologics review, in §601.25(b)(2) of this chapter. (23) Investigational new drug notice for a biological product, in §601.50 of this chapter. (24) Applications for biologics licenses for biological products, in §601.51 of this chapter. (25) Cosmetic establishment registrations, in §710.7 of this chapter. (26) Cosmetic product ingredient and cosmetic raw material composition statements, §720.8 of this chapter. (27) Cosmetic product experience reports, in §730.7 of this chapter. (28) Device premarket notification submissions, in §807.95 of this chapter. (29) Electronic product information, in §§1002.4 and 1002.42 of this chapter. (30) Data and information submitted to the Commissioner or to classification panels in connection with the classification or reclassification of devices intended for human use, in §860.5 of this chapter. (31) Data and information submitted in offers to develop a proposed performance standard for medical devices, in §861.26 of this chapter. (32) Investigational device exemptions in §812.38 of this chapter. (33) Health claims petitions, in §101.70 of this chapter. (34) Premarket approval application, in §814.9 of this chapter. (35) Report of certain adverse experiences with a medical device, in §803.9 of this chapter. (36) Disqualification determination of an institutional review board, in §56.122 of this chapter. (37) Disqualification determination of a nonclinical laboratory, in §58.213 of this chapter. (38) Minutes or records regarding a public advisory committee, in §14.65(c) of this chapter. (39) Data submitted regarding persons receiving an implanted pacemaker device or lead, in §805.25 of this chapter. (40) Humanitarian device exemption application, in §814.122 of this chapter. (41) Premarket notifications for food contact substances, in §170.102 of this chapter. (42) Registration of food facilities, in §1.243 of this chapter. [42 FR 15616, Mar. 22, 1977, as amended at 42 FR 19989, Apr. 15, 1977; 42 FR 42526, Aug. 28, 1977; 42 FR 58889, Nov. 11, 1977; 43 FR 32993, July 28, 1978; 51 FR 22475, June 19, 1986; 54 FR 9038, Mar. 3, 1989; 58 FR 2533, Jan. 6, 1993; 59 FR 536, Jan. 5, 1994; 61 FR 33244, June 26, 1996; 62 FR 40592, July 29, 1997; 64 FR 56448, Oct. 20, 1999; 67 FR 13717, Mar. 26, 2002; 67 FR 35729, May 21, 2002; 68 FR 58965, Oct. 10, 2003] (a) All Food and Drug Administration records relating to administrative enforcement action disclosed to any member of the public, including the person who is the subject of such action, are available for public disclosure at the time such disclosure is first made. Such records include correspondence with companies following factory inspection, recall or detention requests, notice of refusal of admission of an imported product, regulatory letters, information letters, Forms FD–483 and FD–2275 furnished to companies after factory inspection, and similar records. (b) To the extent that any of such records fall within the exemption for investigatory records established in §20.64, the Commissioner determines that they are subject to discretionary release pursuant to §20.82. (c) Records relating to administrative enforcement action that are not disclosed to any member of the public constitute investigatory records that are subject to the rules for disclosure established in §20.64. For example, an establishment inspection report is an investigatory record and thus subject to §20.64 except insofar as the Commissioner exercises his discretion to release it pursuant to §20.82. (a) All records and documents filed in the courts are available for public disclosure unless the court orders otherwise. The Food and Drug Administration will make available for public disclosure such records or documents if the agency can determine that it has an accurate copy of the actual record or document filed in the court. If the Food and Drug Administration cannot determine whether it has an accurate copy of such a record or document, the person requesting a copy shall be referred to the court involved. (b) After a recommendation for court action has been finally refused by a United States attorney, the correspondence with the United States attorney and the Department of Justice with respect to that recommendation, including the pleadings recommended for filing with the court, is available for public disclosure. Prior to disclosure of any record specifically reflecting consideration of possible criminal prosecution of any individual, all names and other information that would identify an individual who was considered for criminal prosecution but who was not prosecuted shall be deleted unless the Commissioner concludes that there is a compelling public interest in the disclosure of such names. (a) All correspondence to and from members of the public, members of Congress, organization or company officials, or other persons, except members of the Executive Branch of the Federal Government and special government employees, is available for public disclosure. (b) Any such correspondence is available for public disclosure at the time that it is sent or received by the Food and Drug Administration unless a different time for such disclosure is specified in other rules established or cross-referenced in this part, e.g., correspondence relating to an IND notice or an NDA in §314.430 of this chapter. [42 FR 15616, Mar. 22, 1977, as amended at 54 FR 9038, Mar. 3, 1989] (a) All written summaries of oral discussions, whether in person or by telephone, with members of the public, members of Congress, organization or company officials, or other persons, except members of the Executive Branch of the Federal government or special government employees, are available for public disclosure. (b) Any such summary is available for public disclosure at the time that it is prepared by the Food and Drug Administration unless a different time for such disclosure is specified in other rules established or cross-referenced in this part, e.g., summaries of oral discussions relating to a food additive petition in §171.1(h)(3) of this chapter. (c) If more than one summary of an oral discussion exists in a Food and Drug Administration file, all such summaries shall be disclosed in response to any request for such summary. (a) Any list that may be prepared by the Food and Drug Administration of testing and research being conducted by or with funds provided by the Food and Drug Administration is available for public disclosure. (b) Any contract relating to agency testing and research, and any progress report relating thereto, is available for public disclosure. (c) The results of all testing or research conducted by or with funds provided by the Food and Drug Administration, such as toxicological testing, compliance assays, methodology studies, and product testing, are available for public disclosure when the final report is complete and accepted by the responsible Food and Drug Administration official, after deletion of any information that would reveal confidential investigative techniques and procedures, e.g., the use of “markers” to document adulteration of a product. If such results are disclosed in an authorized manner to any member of the public before the final report is available, they are immediately available for public disclosure to any member of the public who requests them. (d) Access to all raw data, slides, worksheets, and other similar working materials shall be provided at the same time that the final report is disclosed. (a) The following types of reports and studies prepared by or with funds provided by the Food and Drug Administration are available for public disclosure upon their acceptance by the responsible agency official: (1) Quarterly and annual reports of the agency. (2) External investigations or review of agency needs and performance. (3) Surveys, compilations, and summaries of data and information. (4) Consumer surveys. (5) Compliance surveys. (6) Compliance programs, except that names of specific firms, the location of specific activities, and details about sampling numbers or sizes shall be deleted until implementation of the program is completed. (7) Work plans prepared by Food and Drug Administration centers, field offices, and other components, except that names of specific firms, the location of specific activities, and details about sampling numbers or sizes shall be deleted until implementation of the plan is completed. (b) The following types of reports and studies prepared by or with funds provided by the Food and Drug Administration are not available for public disclosure: (1) Internal audits of agency needs and performance. (2) Records relating to the internal planning and budget process. (3) Legislative proposals or comments prior to submission to Congress. [42 FR FR 15616, Mar. 22, 1977, as amended at 50 FR 8995, Mar. 6, 1985] (a) Food and Drug Administration administrative staff manuals and instructions that affect a member of the public are available for public disclosure. An index of all such manuals is available by writing to the Freedom of Information Staff (HFI–35), Food and Drug Administration, rm. 12A–16, 5600 Fishers Lane, Rockville, MD 20857, or by visiting the Freedom of Information Public Reading Room, located in rm. 12A–30 at the same address. The index and all manuals created by the agency on or after November 1, 1996, will be made available through the Internet at http://www.fda.gov. (b) Manuals relating solely to internal personnel rules and practices are not available for public disclosure except to the extent that the Commissioner determines that they should be disclosed pursuant to §20.82. (c) All Food and Drug Administration action levels which are used to determine when the agency will take regulatory action against a violative product, limits of sensitivity and variability of analytical methods which are used in determining whether a product violates the law, and direct reference levels above which Food and Drug Administration field offices may request legal action directly to the office of the General Counsel, are available for public disclosure. [42 FR 15616, Mar. 22, 1977, as amended at 46 FR 8457, Jan. 27, 1981; 46 FR 14340, Feb. 27, 1981; 68 FR 25287, May 12, 2003] (a) All written agreements and understandings signed by the Food and Drug Administration and other departments, agencies, and organizations are available for public disclosure. (b) A permanent file of all such agreements and understandings is available for public review during working hours in the Food and Drug Administration's Freedom of Information Public Room. (c) All such agreements and understandings shall be published in the (d) Agreements and understandings signed by officials of FDA with respect to activities of the Office of Criminal Investigations are exempt from the requirements set forth in paragraphs (b) and (c) of this section. Although such agreements and understandings will not be put on display in FDA's Freedom of Information Public Room or published in the [42 FR 15616, Mar. 22, 1977, as amended at 46 FR 8457, Jan. 27, 1981; 58 FR 48794, 48796, Sept. 20, 1993] (a) All data and information obtained by the Food and Drug Administration by contract, including all progress reports pursuant to a contract, are available for public disclosure when accepted by the responsible agency official except to the extent that they remain subject to an exemption established in subpart D of this part, e.g., they relate to law enforcement matters as provided in §20.88(b). (b) Upon the awarding of a contract by the Food and Drug Administration, the technical proposal submitted by the successful offeror will be available for public disclosure. All cost proposals and the technical proposals of unsuccessful offerors submitted in response to a request for proposals are exempt from disclosure as confidential commercial or financial information pursuant to §20.61. (a) The name, title, grade, position description, salary, work address, and work telephone number for every Food and Drug Administration employee are available for public disclosure. The home address and home telephone number of any such employee are not available for public disclosure. (b) Statistics on the prior employment experience of present agency employees, and subsequent employment of past agency employees, are available for public disclosure. (a) The provisions of this section shall apply only to data and information submitted voluntarily to the Food and Drug Administration, whether in the course of a factory inspection or at any other time, and not as a part of any petition, application, master file, or other required submission or request for action. Data and information that may be required to be submitted to the Food and Drug Administration but that are submitted voluntarily instead are not subject to the provisions of this section and will be handled as if they had been required to be submitted. (b) A determination that data or information submitted voluntarily will be held in confidence and will not be available for public disclosure shall be made only in the form of a regulation published or cross-referenced in this part. (c) The following data and information submitted voluntarily to the Food and Drug Administration are available for public disclosure unless extraordinary circumstances are shown: (1) All safety, effectiveness, and functionality data and information for a marketed ingredient or product, except as provided in §330.10(a)(2) of this chapter for OTC drugs. (2) A protocol for a test or study, unless it is shown to fall within the exemption established in §20.61 for trade secrets and confidential commercial or financial information. (3) Adverse reaction reports, product experience reports, consumer complaints, and other similar data and information shall be disclosed as follows: (i) If submitted by a consumer or user of the product, the record is available for public disclosure after deletion of names and other information that would identify the person submitting the information. (ii) If submitted by the manufacturer of the product, the record is available for public disclosure after deletion of: (a) Names and any information that would identify the person using the product. (b) Names and any information that would identify any third party involved with the report, such as a physician or hospital or other institution. (c) Names and any other information that would identify the manufacturer or the brand designation of the product, but not the type of product or its ingredients. (iii) If submitted by a third party, such as a physician or hospital or other institution, the record is available for public disclosure after deletion of: (a) Names and any information that would identify the person using the product. (b) Names and any information that would identify any third party involved with the report, such as a physician or hospital or other institution. (iv) If obtained through a Food and Drug Administration investigation, the record shall have the same status as the initial report which led to the investigation, i.e., it shall be disclosed in accordance with paragraph (c)(3)(i) through (iii) of this section. (v) Any compilation of data, information, and reports prepared in a way that does not reveal data or information which is not available for public disclosure under this section is available for public disclosure. (vi) If a person requests a copy of any such record relating to a specific individual or a specific incident, such request will be denied unless accompanied by the written consent to such disclosure of the person who submitted the report to the Food and Drug Administration and the individual who is the subject of the report. The record will be disclosed to the individual who is the subject of the report upon request. (4) A list of all ingredients contained in a food or cosmetic, whether or not it is in descending order of predominance, or a list of all active ingredients and any inactive ingredients previously disclosed to the public as defined in §20.81 contained in a drug, or a list of all ingredients or components in a device. (5) An assay method or other analytical method, unless it serves no regulatory or compliance purpose and is shown to fall within the exemption established in §20.61. (d) The following data and information submitted voluntarily to the Food and Drug Administration are not available for public disclosure unless they have been previously disclosed to the public as defined in §20.81 or they relate to a product or ingredient that has been abandoned and they no longer represent a trade secret or confidential commercial or financial information as defined in §20.61: (1) All safety, effectiveness, and functionality data and information for a developmental ingredient or product that has not previously been disclosed to the public as defined in §20.81. (2) Manufacturing methods or processes, including quality control procedures. (3) Production, sales, distribution, and similar data and information, except that any compilation of such data and information aggregated and prepared in a way that does not reveal data or information which is not available for public disclosure under this provision is available for public disclosure. (4) Quantitative or semiquantitative formulas. (e) For purposes of this regulation, safety, effectiveness, and functionality data include all studies and tests of an ingredient or a product on animals and humans and all studies and tests on the ingredient or product for identity, stability, purity, potency, bioavailability, performance, and usefulness. [42 FR 15616, Mar. 22, 1977, as amended at 68 FR 25287, May 12, 2003] (a) A voluntary drug experience report to the Food and Drug Administration on FDA Form 3500 shall be handled in accordance with the rules established in §20.111(c)(3)(iii). (b) If a person requests a copy of any such record relating to a specific individual or a specific incident, such request will be denied unless accompanied by the written consent to such disclosure of the person who submitted the report to the Food and Drug Administration and the individual who is the subject of the report. [42 FR 15616, Mar. 22, 1977, as amended at 54 FR 9038, Mar. 3, 1989; 62 FR 52249, Oct. 7, 1997] Voluntary reports of defects in products subject to the jurisdiction of the Food and Drug Administration are available for public disclosure: (a) If the report is submitted by the manufacturer, after deletion of data and information falling within the exemptions established in §20.61 for trade secrets and confidential commercial or financial information and in §20.63 for personal privacy. (b) If the report is submitted by any person other than the manufacturer, after deletion of names and other information that would identify the person submitting the report and any data or information falling within the exemption established in §20.63 for personal privacy. Data and information submitted to the Food and Drug Administration pursuant to a cooperative quality assurance agreement shall be handled in accordance with the rules established in §20.111. Data or information in Food and Drug Administration files which provide a means for deciphering or decoding a manufacturing date or sales date or use date contained on the label or in labeling or otherwise used in connection with a product subject to the jurisdiction of the Food and Drug Administration are available for public disclosure. Information submitted to the Food and Drug Administration pursuant to section 510 (a)–(j) of the act shall be subject only to the special disclosure provisions established in §§207.37 and 807.37 of this chapter. [42 FR 42526, Aug. 23, 1977] (a) The following computer printouts are available for public inspection in the Food and Drug Administration's Freedom of Information Public Room: (1) A numerical listing of all new drug applications and abbreviated new drug applications approved since 1938, showing the NDA number, the trade name, the applicant, the approval date, and, where applicable, the date the approval was withdrawn and the date the Food and Drug Administration was notified that marketing of the product was discontinued. (2) A numerical listing of all new drug applications and abbreviated new drug applications approved since 1938 which are still approved, showing the same information as is specified in paragraph (a)(1) of this section except that it does not show a withdrawal date. (3) A listing of new drug applications, abbreviated new drug applications, which were approved since 1938 and which are still approved, covering marketed prescription drug products except prescription drug products covered by applications deemed approved under the Drug Amendments of 1962 and not yet determined to be effective in the Drug Efficacy Study Implementation program. The listing includes the name of the active ingredient, the type of dosage form, the route of administration, the trade name of the product, the name of the application holder, and the strength or potency of the product. The listing also includes, for each active ingredient in a particular dosage form for which there is more than one approved application, an evaluation of the therapeutic equivalence of the drug products covered by such applications. (b) Other computer printouts containing IND and NDA information are available to the extent that they do not reveal data or information prohibited from disclosure under §§20.61, 312.130, and 314.430 of this chapter. [42 FR 15616, Mar. 22, 1977, as amended at 45 FR 72608, Oct. 31, 1980; 46 FR 8457, Jan. 27, 1981; 54 FR 9038, Mar. 3, 1989; 64 FR 399, Jan. 5, 1999] All advisory committee records shall be handled in accordance with the rules established in parts 10, 12, 13, 14, 15, 16, and 19 of this chapter. Names and addresses of individuals in Food and Drug Administration records shall not be sold or rented. Names and addresses shall not be disclosed if disclosure is prohibited as a clearly unwarranted invasion of personal privacy, e.g., lists of names and home addresses of Food and Drug Administration employees, which shall not be disclosed under §20.110. (a) The Food and Drug Administration operates two public reading rooms. The Freedom of Information Staff's Public Reading Room is located in rm. 12A–30, Parklawn Bldg., 5600 Fishers Lane, Rockville, MD 20857, the phone number is 301–827–6500. The Division of Dockets Management's Public Reading Room is located in rm. 1061, 5630 Fishers Lane, Rockville, MD 20852; the phone number is 301–827–6860. Both public reading rooms are open from 9 a.m. to 4 p.m., Monday through Friday, excluding legal public holidays. (b) The following records are available at the Freedom of Information Staff's Public Reading Room: (1) A guide for making requests for records or information from the Food and Drug Administration; (2) Administrative staff manuals and instructions to staff that affect a member of the public; (3) Food and Drug Administration records which have been released to any person in response to a Freedom of Information request and which the agency has determined have become or are likely to become the subject of subsequent requests for substantially the same records; (4) Indexes of records maintained in the Freedom of Information Staff's Public Reading Room; and (5) Such other records and information as the agency determines are appropriate for inclusion in the public reading room. (c) The following records are available in the Division of Dockets Management's Public Reading Room: (1) Final opinions, including concurring and dissenting opinions, as well as orders, made in the adjudication of cases; (2) Statements of policy and interpretation adopted by the agency that are still in force and not published in the (3) Indexes of records maintained in the Division of Dockets Management's Public Reading Room; and (4) Such other records and information as the agency determines are appropriate for inclusion in the public reading room. (d) The agency will make reading room records created by the Food and Drug Administration on or after November 1, 1996, available electronically through the Internet at the agency's World Wide Web site which can be found at http://www.fda.gov. At the agency's discretion, the Food and Drug Administration may also make available through the Internet such additional records and information it believes will be useful to the public. [68 FR 25287, May 12, 2003; 68 FR 65392, Nov. 20, 2003]
Title 21: Food and Drugs
PART 20—PUBLIC INFORMATION
Subpart F—Availability of Specific Categories of Records
§ 20.100 Applicability; cross-reference to other regulations.
§ 20.101 Administrative enforcement records.
§ 20.102 Court enforcement records.
§ 20.103 Correspondence.
§ 20.104 Summaries of oral discussions.
§ 20.105 Testing and research conducted by or with funds provided by the Food and Drug Administration.
§ 20.106 Studies and reports prepared by or with funds provided by the Food and Drug Administration.
§ 20.107 Food and Drug Administration manuals.
§ 20.108 Agreements between the Food and Drug Administration and other departments, agencies, and organizations.
§ 20.109 Data and information obtained by contract.
§ 20.110 Data and information about Food and Drug Administration employees.
§ 20.111 Data and information submitted voluntarily to the Food and Drug Administration.
§ 20.112 Voluntary drug experience reports submitted by physicians and hospitals.
§ 20.113 Voluntary product defect reports.
§ 20.114 Data and information submitted pursuant to cooperative quality assurance agreements.
§ 20.115 Product codes for manufacturing or sales dates.
§ 20.116 Drug and device listing information.
§ 20.117 New drug information.
§ 20.118 Advisory committee records.
§ 20.119 Lists of names and addresses.
§ 20.120 Records available in Food and Drug Administration Public Reading Rooms.
