U.S. Food & Drug Administration|
Office of Premarket Approval
(Effective June 18, 2001, Office of Premarket Approval is now
Office of Food Additive Safety. See
updated contact information)
COLOR ADDITIVE PETITIONS
FDA RECOMMENDATIONS FOR SUBMISSION OF
CHEMICAL AND TECHNOLOGICAL DATA ON COLOR ADDITIVES FOR FOOD, DRUGS
(1) Prepared by
Food and Drug Administration
Center for Food Safety and Applied Nutrition
Office of Cosmetics and Colors
Division of Science and Applied Technology
Color Technology Branch, HFS-126
(2) Addendum prepared by
Food and Drug Administration
Center for Food Safety and Applied Nutrition
Office of Premarket Approval
Division of Product Manufacture and Use
These recommendations are not to be construed as a color additive
regulation or a guideline under 21 CFR 10.90(b).
This document provides guidance for the submission of the chemical and
technological data that the Food and Drug Administration's Office of
Cosmetics and Colors considers appropriate for its evaluation of petitions
requesting the listing of color additives for use in food, drugs, or cosmetics.
These recommendations are provided to assist petitioners who propose to
impart color to a food, drug, or cosmetic that is subject to federal regulation
by use of a substance (color additive) that is currently not permitted for that
use. These informal recommendations are not substitutes for the Federal
Food, Drug, and Cosmetic Act or the Code of Federal Regulations (CFR),
sections of which are cited herein.
As prescribed by law, a color additive must be shown to be safe and be
listed in the CFR before it may be used to color foods, drugs, cosmetics or
certain medical devices. An interested person may petition the Food and Drug
Administration (FDA) for the use of a proposed color additive and submit
data demonstrating its safety and suitability as described in 21 CFR Part 71.
The FDA will, upon written request, advise on the adequacy of experiments
planned to yield these data (21 CFR 70.42(c)). If, upon evaluation of the
data in the petition, additional data, and public comments, the Agency finds
that the proposed color additive is safe and suitable for the intended use,
then a regulation may be issued or an existing regulation altered, thereby
listing the color additive for such use. The color additive will be listed in
21 CFR Part 73 if it is exempt from batch certification, or in 21 CFR
Part 74 if it is subject to batch certification.
The data that are appropriate for approval of a color additive petition depend
on the level and type of use, and the amount of color additive and its
impurities that may enter body tissues. A petition for use of a color additive
in externally applied cosmetics generally requires much less data than a
petition for use of a color additive in food if it is shown that the color
additive, including its impurities, does not penetrate the skin or if the
amount used is negligible.
The data and information in a color additive petition that are or are not
available for public disclosure are described in 21 CFR 71.15.
Questions on the confidentiality of the data and information should
be referred to the Office
of Premarket Approval, Division of Petition Control.
Authority: Statutory and Regulatory Requirements
Subsection 201(t) of the Federal Food, Drug, and Cosmetic Act defines
color additive to mean:
"a material which ... is a dye, pigment, or other substance made by a process
of synthesis or similar artifice, or extracted, isolated, or otherwise derived,
with or without intermediate or final change of identity, from a vegetable,
animal, mineral, or other source, and ... [that] when added or applied to a
food, drug, or cosmetic, or to the human body or any part thereof, is capable
(alone or through reaction with [an]other substance) of imparting color
thereto ... The term 'color' includes black, white, and intermediate grays..."
Food (subsection 402(c)), drugs and devices (subsection 501(a)(4)), and
cosmetics (subsection 601(e)) are deemed to be adulterated if they contain a
color additive that is unsafe within the meaning of subsection 721(a).
Subsection 721(a) defines conditions under which a color additive is deemed
unsafe. Briefly, a color additive used in or on a food, drug, cosmetic or
medical device shall be deemed unsafe unless (1) there is a regulation listing
such color additive, (2) the regulation allows that particular use, and (3) the
color additive and its use conform to the regulation. A color additive for
use in or on a device shall be subject to this section only if the color
additive comes in direct contact with the body of man or other animal for a
significant period of time.
Coal-tar hair dyes are cosmetic products that have a limited exemption,
under subsection 601(e), from the color additive regulation requirements
(subsection 721(a)). Under this exemption, color additives that are used in
hair dyes, but are not derived from coal tar, are subject to the color additive
regulation requirements (see 38 FR 2996, January 31, 1973). Coal-tar hair
dyes also have a limited exemption from the adulteration provisions
(subsection 601(a)) of the Act. Eyelash and eyebrow dyes are not included
in the term "hair dye" and are not exempt.
Subsection 721(b) describes the statutory requirements for the listing of
color additives. Briefly, when the FDA evaluates safety data, there are four
general areas of consideration, one of which is most pertinent to these
721(b)(5)(A) "(iv) the availability of any needed practicable methods of
analysis for determining the identity and quantity of (I) the pure dye and all
intermediates and other impurities contained in such color additive, (II) such
additive in or on any article of food, drug, device, or cosmetic, and (III) any
substance formed in or on such article because of the use of such additive."
Parts 70 and 71 of Title 21 of the Code of Federal Regulations, which were
promulgated under the authority of subsection 706(b), describe in greater
detail the format, the administrative requirements, and the information and
data required for color additive petitions.
The information and scientific data included in a color additive petition must
be submitted under headings A - J as described in 21 CFR 71.1(c) and (f).
The chemical and technological data that are appropriate for evaluation of
color additive petitions are covered under 21 CFR 71.1(c)A, B, C, F, and G
as discussed below, and under 21 CFR 71.1(c)E as discussed in an
addendum. Sections D, H, I, and J are not covered by these
A 21 CFR 71.1(c)A
"The name and all pertinent information concerning the color additive,
including chemical identity and composition ...: a description of the
chemical and physical tests relied upon to identify the color additive..."
Information identifying the color additive should be as complete as possible
and generally includes (as appropriate):
- Common or usual name of the color additive.
- Formal names, such as Chemical Abstracts or IUPAC names, of the
components that significantly contribute to the color imparted by the color
additive. Colored substances that are not included in the identity may be
considered impurities for which specifications may be proposed as described
in A III.
- Synonyms, other common names, or trade names for the color additive.
- Chemical formulae, structures, and molecular weights for all color
components included in the identity.
- Chemical Abstracts Service Registry Numbers of the color additive and of
color components included in the identity, if available. CAS Registry
Numbers for new compounds may be obtained from the
Service upon written request.
- For a color additive derived from plant or animal sources, a complete
description of its source -- i.e., segment of plant or animal, common name,
genus, and species, and any subclassification.
- Descriptions of chemical, physical, and biological tests and the resulting data
that establish the identity of the color additive (for example, NMR and mass
spectra, elemental analysis, photograph of biological source).
- If the petition includes the use of lakes of a color additive, then a
description of the color additive lakes should be included (see 21 CFR
74.340(a)(3), 74.1340(a)(3), and 74.2340(a)(2) for examples). The
description should include the identity (including composition) of the
substrata and the precipitant, as well as the anticipated range of total color
incorporated in the lakes. This would allow FDA to ensure that proposed
methods for analyzing the lake are reasonable (21 CFR 71.1(c)C.1) and to
allow an estimation of probable human exposure (21 CFR 71.1(c)E).
On March 4, 1996,
FDA proposed to permanently list lakes in 21 CFR 74 and also to
delete calcium as a cation for food lakes (61 FR 8372). Under
current listings, (1) lakes that are certified for use in coloring drugs and
cosmetics or externally applied drugs and cosmetics may contain only those
substrata and lake cations specified in 21 CFR 82.1051 or 82.2051,
respectively; (2) lakes that are certified for use in coloring food, drugs,
and cosmetics may contain only alumina as a substratum and only aluminum
or calcium as lake cations (21 CFR 82.51).
II Physical, Chemical, and Biological Properties
"...the color additive('s) ... physical, chemical and biological properties..."
The properties of representative batches of the proposed color additive and,
if available, of the main color component(s) generally include (as
- Physical properties -- A complete physical description such as physical
appearance, melting and boiling range (where applicable), solubility in
various common solvents, odor, etc.
- Chemical and spectrometric properties -- A description of the
(1) chemical properties of the color additive, such as the effects of
air, water, light, acid, base, and temperature and (2) spectrometric
properties of the color additive such as ultraviolet/visible spectra
(in appropriate solvents and pH). The infrared, NMR
or mass spectra of certain color additives may be appropriate.
- Microbial contamination -- A complete description of the
types and levels of microbial contaminants, if specifications
for such contamination are proposed.
III Chemical Specifications
"...specifications prescribing its component(s) and identifying and limiting
the reaction byproducts and other impurities."
Recommendations concerning proposed specifications for petitioned color
additives are as follows:
- The petitioner should propose chemical specifications for the color additive
that, together with the identity, define the article of commerce and reflect
the composition of the proposed color additive. Specifications in the Food
Chemicals Codex, U.S. Pharmacopeia or National Formulary may be
incorporated by reference. Examples of specifications for listed color
additives are available in existing regulations in 21 CFR Parts 73 and
74. The petitioner should unambiguously identify any individually-specified
component (e.g. using common name, IUPAC or Chemical Abstract name,
and CAS Registry number, where possible).
Specifications generally consist of the following aspects of color additive
composition (as appropriate):
Proposed chemical specifications should closely reflect the composition of
the batch(es) of color used in performing the safety tests for the color.
Justification is generally needed if a proposed specification greatly differs
from the amount of that component found in representative batches.
Subsidiary colors are colored substances that are not included in the identity
of the color additive but are structurally similar to the main color
component(s). If the petition includes the use of color additive lake(s), then
the petition should include separate specifications for the lake(s).
- Volatile matter (specify conditions, maximum percentage).
- Soluble, extractable or insoluble matter (specify solvent or conditions,
- Residual salts (identity, maximum percentage).
- Soluble impurity (identity, specify solvent or conditions, maximum ppm).
- Unreacted intermediates and related compounds (identity, maximum
percentage, ppm or ppb).
- Subsidiary colors (identity, maximum percentage).
- Individual components that are included in the identity of the color additive
(identity, minimum or maximum percentage).
- Pesticide residues (maximum ppm).
- Solvent residues (identity, maximum percentage or ppm).
- Ash (maximum percentage).
- Heavy metals (identity, maximum ppm).
- Total color content (assay, minimum percentage). This may include
contributions from the identified color components and subsidiary colors.
- The petitioner should submit analyses for several batches of the proposed
color additive manufactured according the process(es) included in the
petition to demonstrate conformance with and suitability of specifications.
Analyses of five or more batches, including batches used for safety testing,
are recommended unless the petitioner provides a valid justification for a
different sampling scheme. The analytical methods used should be those
provided by the petitioner as discussed below.
- The petitioner should consider that impurities of specific toxicological
concern (e.g. chemical carcinogens) may be present in the proposed color
additive. The petitioner should review the manufacturing process, the
chemical literature on the proposed color additive and related compounds,
and the specifications of listed related color additives. If carcinogens (e.g.
unsulfonated aromatic amines such as 4-aminobiphenyl, aniline, and
benzidine), compounds that may degrade to carcinogens (e.g.
1,3-diphenyltriazene), or compounds that may be metabolized to carcinogens
(e.g. unsulfonated aromatic amines that have been diazotized and coupled)
are likely to be present, then the petitioner should contact FDA for guidance
because further investigations may be needed to provide a basis for
specifications for these putative impurities.
- The petitioner should report all analytical results, both favorable and
unfavorable, in a clear and concise manner. Examples of raw data with the
analytical results, sufficient to allow complete evaluation of the results and
conclusions, should be included. Raw data may include copies of instrument
curves and printouts, and laboratory notebook pages, all properly labeled.
Information should be presented in a manner that allows all results and
calculations to be clearly interpreted and evaluated. Additional raw data
should be available for submission if requested.
IV Manufacturing Process Description
"a full description of the methods used in, and the facilities and controls
used for, the production of the color additive. These shall establish that it is
a substance of reproducible composition. Alternative methods and controls
and variations in methods and controls, within reasonable limits, that do not
affect the characteristics of the substance or the reliability of the controls
may be specified.
The petitioner must describe the manufacturing processes intended to be
used in the production of the color additive. Additional recommendations
relating to manufacturing process descriptions for petitioned color additives
are as follows:
"The petition shall supply a list of all substances used in the synthesis,
extraction or other method of preparation of any straight color, regardless of
whether they undergo chemical change in the process. Each substance
should be identified by its common or usual name, and its complete
chemical name, using structural formulas when necessary for specific
identification. If any proprietary preparation is used as a component, the
proprietary name should be followed by a complete quantitative statement of
composition. Reasonable alternatives for any listed substance may be
"If the petitioner does not himself perform all the manufacturing, processing,
and packing operations for a color additive, the petitioner shall identify each
person who will perform a part of such operations and designate the part."
- A description of the manufacturing process generally includes (as
appropriate) conditions for reactions (reagents and how they are combined
and mixed, temperature, time, solvent, pH, atmosphere), and for
concentration, isolation, and purification of intermediate and final products.
The production controls that are employed to assure purity, conformance
with specifications, and uniformity of product (such as specifications, source,
and purity of reagents; assay, analyses, chromatography, spectra, and other
tests of reagents, reaction mixtures, and products) should be described. If
the color additive is manufactured by extraction from plant or animal
sources, a complete description of all conditions including solvents
employed, processing aids, and processes for removing residual solvents
should be submitted. If the color additive is produced by tissue, bacterial or
yeast culture, or fermentation, an analogous description of the manufacturing
process and controls should be submitted. These descriptions should show
that the manufacturing process and controls yield a product of specific
identity. Alternative manufacturing methods not employed by the petitioner
but known to the petitioner should also be identified. If the petition includes
the use of color additive lake(s), then the petition should include a
description of the process used to manufacture the lake(s).
- Any other information which identifies or describes the substance or its
preparation in accordance with good manufacturing practice, or which
permits control of its composition, identity, or properties should be included.
V Stability Data
"...The petition shall include stability data, and, if the data indicate
that it is needed to insure the identity, strength, quality, or purity
of the color
additive, the expiration period that will be employed as well as any
packaging and labeling precautions needed to preserve stability."
Recommendations concerning the stability data for petitioned color additives
are as follows:
- The petition should include data which establish the stability of the color
additive per se. If the color additive is clearly stable or was previously
shown to be stable, a statement to this effect with appropriate references and
discussion may be sufficient. The stability data should reflect actual
conditions of use and exposure. For example, if it is customary that the
color additive will be stored in containers that are opened frequently for use
in products, then the stability study should include periods of exposure to
atmospheric air and humidity. If the color is likely to be exposed to
sunlight or other illumination, then the study should include these elements.
The study period should be of sufficient duration to allow an accurate
assessment of stability over the anticipated lifetime that the additive will
have in the hands of the user. Usually, a two-year study is sufficient
- If the proposed color additive exhibits excessive instability, then the
petitioner may propose that the color be listed, but with an expiration date
beyond which its use in products would result in the product being
adulterated within the meaning of the Act. The petitioner may propose to
use the color additive only as a stabilized color additive mixture with or
without an expiration date depending on the stability of the mixture.
However, the petitioner should clearly demonstrate that the color additive
can be manufactured and used in a manner that ensures safe use.
- If the proposed color additive exhibits excessive instability, then the
petitioner should provide a method for identification of and data identifying
the principal decomposition products. If such data are unavailable, the
petitioner may, as an alternative, provide an explanation of why the data are
unavailable together with a description, in terms of chemical mechanism, of
the likely products of decomposition. This description should be based on
sound chemical theory and be supported by available scientific literature.
B 21 CFR 71.1(c)B
I Uses and restrictions
"The amount of the color additive proposed for use and the color effect
intended to be achieved, together with all directions, recommendations, and
suggestions regarding the proposed use ... If the color effect results or may
reasonably be expected to result from use of the color additive in packaging
material, the petitioner shall show how this may occur and what residues
may reasonably be anticipated. ..."
Recommendations concerning information on uses and restrictions for a
petitioned color additive are as follows:
"If the color additive is one for which a tolerance limitation is required to
assure its safety, the level of use proposed should be no higher than the
amount reasonably required to accomplish the intended physical or other
technical effect, even though the safety data may support a higher tolerance.
If the safety data will not support the use of the amount of the color
reasonably needed to accomplish the desired color effect, the requested
tolerance will not be established. Petitioners are expected to propose
the use of color additives in accordance with sound color chemistry."
- Information should be furnished which describes the products that will be
colored and the amount of the color additive that is necessary to achieve the
desired effect. This information should be clearly stated and supported so as
to allow FDA to ensure that proposed methods for determining the color in
products are reasonable (21 CFR 71.1(c)C.2) and to allow estimation of
probable human exposure (21 CFR 71.1(c)E).
- These uses and restrictions should be in accord with the proposed safety
tolerances and limitations required in 21 CFR 71.1(c)F. The general
restrictions for articles intended for use in the area of the eye (21 CFR
70.5(a)), in injections (21 CFR 70.5(b)), for surgical sutures (21 CFR
70.5(c)), and for coloring standardized foods (21 CFR 70.10(a)(3)) require a
specific listing or authorization for these uses (i.e., a color additive
does not allow these uses unless specifically requested in the petition and
allowed by the regulation).
"...as well as specimens of the labeling proposed for the color additive."
"Typewritten or other draft-labeling copy will be accepted for consideration
of the petition provided final printed labeling identical in content to
copy is submitted as soon as available, and prior to the marketing of the
color additive. The printed labeling shall conform in prominence and
conspicuousness with the requirements of the act."
- The petitioner should include an example(s) of the labeling to be used for
bulk containers of the color additive. The petitioner is referred to 21 CFR
70.25 for the labeling requirements for color additives (other than hair dyes),
and to 71 CFR 73.30(d) and 73.295(d) for examples of individual labeling
requirements. The label must also show precautions needed to preserve
stability as required in 21 CFR 71.1(c)A -- Stability Data.
- If there is a special requirement for labeling of a product that
color additive, the petitioner may include examples of a product label(s) for
review. The petitioner is referred to 21 CFR 101.22, 201.20, 501.22 and
Part 701 for labeling requirements for products containing color additives,
and to 21 CFR 74.705(d)(2) for an example of an individual labeling
C.1 21 CFR 71.1(c)C.1
Analytical Methods for Enforcing Chemical Specifications
"A description of practical methods to determine the pure color and all
intermediates, subsidiary colors, and other components of the color additive."
The petitioner should provide validated analytical methods for determining
all substances that are specified for the color additive. If the petition
includes the use of the color additive lake(s), then the petition should include
methods for determining all substances that are specified for the lake(s) and
the substrata used to prepare the lake(s). Copies (English translations where
appropriate) of published methods that are incorporated by reference should
also be submitted. Some modification of these recommendations may be
made if the proposed specification for an analyte is much greater than the
amount of analyte normally found. The following general format is
suggested for analytical methods to be used for the enforcement of chemical
- Description--Provide a brief summary of the method stating
scope, and limitations. Include information on the types of matrices to
which the method is applicable (especially color additive lakes and
mixtures), the types of substances that would interfere with the method, and
the range of analytical capability including quantitative limits.
- List of equipment and reagents (other than common
laboratory items) necessary to perform the analysis.
- Standards for analytes--Describe source and provide method
and proof of purity, assay and method of analysis, stability, and conditions
- Procedure--Furnish a detailed procedure that a properly trained and
equipped analyst, not necessarily familiar with the procedure, could follow
and obtain accurate and reproducible results. Describe all aspects of the
procedure from sample preparation, through analytical determination, to the
calculations necessary to obtain the final results. Note any special
techniques, precautions, interpretation, and other useful or necessary
- Calibration--Use at least five evenly-spaced analyte concentrations
representing 0 to ca 125 - 200% of the specification levels
or other level of
interest. Include blank(s) and control(s). If matrix effects are insignificant,
calibration may be performed in the absence of the color additive matrix.
Calibration and analysis by the method of standard additions may be
requested to confirm lack of matrix effects. If the calibration curve is
non-linear, more calibration points will be needed.
- Recovery studies--Perform repeat analyses of a relatively pure or purified
color additive, and of this matrix plus known amounts of standards. The
standards should be added to individual portions of the color additive, not to
extracts of the color additive, and the fortified color should then be
analyzed. For methods that do not fully dissolve the color additive or its
lake, there should be some assurance that a portion of the analyte is not lost
by being trapped in the matrix. At least five analyses of color additive
fortified to the specification level should be made for each analyte to
demonstrate repeatability. Similar analyses of color additive fortified
to one-half and to one-eighth the specification level may
be requested to ensure that
recovery is independent of analyte concentration, and to ascertain limits of
determination. Justification should be provided for recoveries that are less
than 60% at the ppb level, less than 80% at the 0.1 ppm level (W. Horwitz,
Anal. Chem. (1982) 54, 67A-76A), or less than 85% at higher
- Survey--Provide results from analyses of at least five
manufacturing lots of the proposed color additive, with blanks and controls.
Confirm lack of interference by color components and impurities. Triplicate
(or more) analyses of several samples should be made to allow estimation of
- Analysis of results--Design calibration, analysis, and
to allow useful statistical evaluation of the resulting data. Confidence levels
of 95% may be used. From calibration experiments, the upper limit of the
blank, the limit of determination, and the confidence interval at the
specification level can be calculated for each analyte. From recovery studies
at the specification levels, the percent recovery and confidence interval can
be calculated for each analyte. From analyses of representative lots,
confidence intervals for analyte concentrations can be calculated. From
these data, a decision can be made on the merit of the methods for
determining the analytes, and for establishing and enforcing a specification.
- Identification--Submit descriptions of chemical and physical
tests and the
resulting data that confirm the identity of specified impurities that are found
in the proposed color additive.
- Discussion--Provide pertinent discussion of the method or
Conclusions and their significance should be discussed. A scientifically
derived estimate of the uncertainty of the analytical results should be
reported. Statistical treatment of data yields this type of information, when
the experiments are properly designed. Consult appropriate texts or
authorities in this regard, as a discussion of the principles of statistical
design and analysis is beyond the scope of these recommendations.
In general, good intra-laboratory precision is indicated by a coefficient of
variation of less than 10% for analytical values of 1 ppm, with CVs
doubling for each 100 fold decrease in the analytical value.
C.2 21 CFR 71.1(c)C.2
Qualitative and Quantitative Determination of the
Color Additive in Products
"A description of practicable methods to determine the amount of the color
additive in any raw, processed, and/or finished food, drug, or cosmetic in
which use of the color additive is proposed. (The tests proposed shall be
those that can be used for food, drug, or cosmetic control purposes and can
be applied with consistent results by any properly equipped laboratory and
The petitioner should provide a method to identify the color additive in a
product to which it is proposed to be added. Additionally, if a regulatory
tolerance limiting the amount of color that a product may contain is
required, then the petitioner should provide a method to quantitatively
determine the proposed color in the product. A practical analytical method
for this determination that can be performed by properly equipped and
trained laboratory personnel should be furnished by the petitioner. This
method should be specific, precise, accurate, and reliable. It should be able
to withstand the scrutiny of courtroom cross-examination, if necessary;
however, it must also be practicable and able to be performed under a
variety of laboratory conditions. It should not be so complicated or
sophisticated that it could only be performed by certain individuals or with
certain uncommon, highly sophisticated equipment. An analytical method
should be able to be tested by collaborative studies in typical analytical
laboratories. The following general format is suggested for such a method:
- Description--See section C.1, 1 of these recommendations.
- List of equipment and reagents (other than common
laboratory items) necessary to perform the analysis.
- Standard for color additive--Describe source and if a
regulatory tolerance exists or is proposed, also provide assay.
- Procedure--See section C.1, 4 of these recommendations.
- Calibration--If a regulatory tolerance exists or is proposed,
provide calibration data as described in section C.1, 5.
The matrix that applies here is the product.
- Recovery studies--For identification of the color additive in a product,
analyze product made without the color additive and product made with the lowest
proposed level of the color additive. If a regulatory tolerance exists or is
proposed, make repeat quantitative analyses of the product with and without
addition of known amounts of color additive. The color additive should be
added to individual portions of the product, not to extracts of the product,
and the fortified product should then be analyzed. For methods that do not
fully dissolve the product, there should be some assurance that a portion of
the color is not lost by being trapped in the matrix. At least four or five
analyses of the product fortified to the proposed regulatory tolerance level
should be made. Similar analyses of the product fortified to 0.5 and to 1.5
times the tolerance level should be included to ensure that recovery is
independent of analyte concentration, and to ascertain limits of
- Survey--If a regulatory tolerance exists or is proposed,
provide results from
analyses of representative samples of the proposed colored product, blanks,
and controls. The lack of interference by the matrix should be confirmed.
Triplicate (or more) analyses of several samples should be made to allow
estimation of precision.
- Analysis of results--If a regulatory tolerance exists or is
and perform calibration, analysis, and recovery experiments that allow useful
statistical evaluation of the resulting data. Confidence levels of 95% may be
used. From calibration experiments, the upper limit of the blank, the limit
of determination, and the confidence interval at the tolerance level can be
calculated. From recovery studies at the tolerance level, the percent
recovery and confidence interval can be calculated. From analyses of
colored products, precision and confidence intervals for color concentrations
can be calculated. From these data, a decision can be made on the merit of
the method for determining the color additive, and for establishing and
enforcing a tolerance.
- Identification--Submit descriptions of chemical and physical tests
and the resulting data that confirm the identity of the color found
in the product.
- Discussion--See section C.1, 10 in these recommendations.
C.3 21 CFR 71.1(c)C.3
Identification and Determination of Any Substance Formed in
or on Products Because of the Use of the Color Additive
"A description of methods for identification and determination of any
substance formed in or on such food, drug or cosmetic because of the use of
the color additive. (If it is the petitioner's view that any such method would
not be needed under the terms of 721(b)(5)(A)(iv), a statement shall be
submitted in lieu of methods as to the basis for such view.)"
Generally, the petitioner may submit a statement, with justification, that
these data are not needed to determine whether use of a color is safe. The
agency may, however, require that petitioners supply such information upon
request whenever a safety question arises due to possible chemical
interaction between the color additive and the product.
D 21 CFR 71.1(c)D
Not covered by these recommendations.
E 21 CFR 71.1(c)E
See addendum prepared by Division
of Product Manufacture and Use.
F 21 CFR 71.1(c)F
I. Tolerances and Limitations
"Proposed tolerances and other limitations on the use of the color additive, if
tolerances and limitations are required in order to ensure its safety."
If tolerances or other limitations are required, based on the safety data
included under heading D, they should be proposed.
II. Proposed Regulation
"A petitioner may include a proposed regulation."
Inclusion of a proposed regulation is recommended. The proposed
regulation should be based on the submitted data and contain sections
delineating the identity, specifications, uses and restrictions, labeling, and
certification status of the proposed color additive (see 21 CFR Parts 73 and
74 for examples). The petitioner may also include an abridged description
of the manufacturing method that the agency may incorporate into the
identity section of the color additive regulation. If the petition includes the
use of lakes of a color additive, the proposed regulation should also include
the lakes (see 21 CFR 74.340(a)(3) and (d), 74.1340(a)(3) and (c), and
74.2340(a)(2) for examples).
If a tolerance or limitation is proposed on the use of the color additive, then
the "uses and restrictions" section of the proposed regulation should describe
the specific use, the amount to be used, and other limitations. If no special
tolerance nor limitation is required to ensure safety, then the section may
describe use of the color additive for coloring either food, drugs, or
cosmetics "generally in amounts consistent with good manufacturing
practice." The petitioner is referred to 21 CFR Parts 73 and 74 for examples
of uses and restrictions for currently listed color additives.
G 21 CFR 71.1(c)G
Exemption from Batch Certification
"If exemption from batch certification is requested, the reasons why it is
believed such certification is not necessary (including supporting data to
establish the safety of the intended use)."
A petition for exemption from certification must show why such certification
is not necessary for the protection of public health (21 CFR 71.18). Refer
to 21 CFR Part 73 for examples of color additives for which exemption
from batch certification has been granted. Color additives that are exempt
from batch certification for one use may be subject to batch certification for
H, I & J 21 CFR 71.1(c)H, I and J
Altering an Existing Regulation, Fee and Signature, and
Not covered by these recommendations.
Additional Information & Recommendations
21 CFR 71.4 "The commissioner may request samples of the color additive,
articles used as components thereof, or of the food, drug or cosmetic in
which the color additive is proposed to be used, or which comprises the
color additive ..."
The petition should be accompanied by samples from five (5) different
production or pilot batches of the proposed color additive, including batches
submitted for toxicological testing, that are manufactured according to the
process described in the petition. Because specifications may be based on
the composition of these samples, the petitioner should expect them to be
representative of future batches of the proposed color additive. In addition,
samples manufactured by any alternative manufacturing processes that may
be proposed in the petition should be provided.
These recommendations do not address all administrative, toxicological,
microbiological, nutritional, environmental assessment, or labeling
requirements that a petitioner may have to satisfy. The Office of
Premarket Approval, Division of Petition
Control, should be consulted for
recommendations for color additive petitions for medical device uses. The
Division of Health Effects Evaluation evaluates the toxicological data
and the Division of Product Manufacture and Use evaluates the
exposure and environmental data in color additive petitions.
Additional information may be obtained by contacting:
Office of Premarket Approval, Center for Food Safety and Applied Nutrition
21 CFR 71.1(c)E
Division of Petition Control, HFS-215
Food & Drug Administration
200 C Street, S.W.
Washington, DC 20204 (See updated contact information)
Estimate of Probable Exposure
"Complete data which will allow the Commissioner to consider, among other
things, the probable consumption of, and/or other relevant exposure from the
additive and of any substance formed in or on food, drugs, or cosmetics
because of such additive; and the cumulative effect, if any, of such additive
in the diet of man or animals, taking into account the same or any
chemically or pharmacologically related substance or substances in the diet
including, but not limited to food additives and pesticide chemicals for
which tolerances or exemptions from tolerances have been established."
An estimate of probable exposure to
the petitioned color additive is critical for its safety evaluation.
The estimated daily exposure helps to determine the type and extent
of animal feeding studies required to establish the safety of the color
additive under the proposed conditions of use. If use of color
additive lakes is proposed, then the anticipated uses of the lake and the
range of total color incorporated into the lake should be appraised, thereby
allowing an estimate of probable exposure to the color per se.
Color Additives Used in Food
A petitioner shall provide information sufficient to permit an estimate of
chronic daily exposure to a color additive. From analyzed or estimated
levels of an additive in food, the concentration of the color additive expected
in the daily diet and the EDI can be calculated. The types of information
that are needed for the exposure analysis include composition of the color
additive, levels of impurities, proposed foods or food categories in which the
additive is intended to be used, and anticipated typical and maximum levels
Color Additives Used in Drugs
A petitioner shall provide information sufficient to permit an estimate of
exposure to the color additive. The composition of the color additive, levels
of impurities, proposed drugs or types of drugs that will contain the color
additive, and the anticipated typical and maximum levels of use should be
provided. The petitioner should note if the drugs in which the color additive
would be used will be prescribed for long-term or chronic use or
for short-term use (i.e., days, weeks).
Color Additives Used in Cosmetics
Migration of color additives from cosmetics to skin will be evaluated on the
basis of 100% migration. Skin penetration studies, if submitted, may be
used to adjust the results of the 100% migration assumption. Information
that is useful for the evaluation includes composition of the color additive,
levels of impurities, and anticipated levels of use.
Color Additives Used in Medical Devices
For color additives intended for use in medical devices (e.g., sutures, contact
lenses), migration of the color additive to tissue is most easily determined by
averaging 100% migration over the lifetime of the article. Actual migration
studies may also be performed. The types of information that are useful for
the exposure analysis include composition of the color additive, levels of
impurities, the maximum and typical lifetimes of the device, and typical and
maximum anticipated levels of color use in the device. Information on the
actual rate of migration of the color additive from the device may also be
used in preparation of the exposure estimate. The petitioner may wish to
consult the Agency for concurrence with any migration studies that are
Food Ingredients and Packaging
Guidance for Submitting Petitions
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