31 May 2006
ISBN: -662-42971-0 (0-662-42972-9)
Cat. No.: H113-3/2006-2E (H113-3/2006-2E-PDF)
(DIR2006-02)
Help on accessing alternative formats, such as Portable Document Format (PDF), Microsoft Word and PowerPoint (PPT) files, can be obtained in the alternate format help section.
This Regulatory Directive outlines Health Canada's Pest Management Regulatory Agency (PMRA) policy on the regulation of formulants contained in pest control products (Part I). It also provides practical guidance to applicants and registrants on implementation of the Formulants Policy (Part II). The Formulants Policy applies to registration decisions in relation to formulants in manufacturing concentrates and registered end-use products, applications for research permits and in relation to the re-evaluation of products.
This document replaces Regulatory Directive DIR2004-01, Formulants Program. Revisions to the document pertain mainly to changes in the labelling of List 2 formulants as well as the addition of further guidance on the implementation of the Policy.
Health Canada's Pest Management Regulatory Agency (PMRA) is implementing a policy on the regulation of formulants. A formulant is any substance, other than an active ingredient, intentionally added to a pest control product. The policy is based on the approach followed by the United States Environmental Protection Agency (USEPA)1 and represents another step leading towards harmonization of pesticide regulation. Formulants have been assigned to several lists. List 1 includes formulants of toxicological concern (as on current and previous USEPA Inert List 12,3,4), those meeting criteria of the federal Toxic Substances Management Policy (TSMP) and those subject to the Montreal Protocol on Substances that Deplete the Ozone Layer. List 2 contains formulants considered to be potentially toxic. List 3 contains formulants that do not meet criteria for the other lists. List 4A formulants are of minimal toxicologic concern. List 4B contains formulants of minimal concern under specific conditions of use. As a starting point, most formulants have been categorized using the USEPA lists. Where the list number assigned for a particular formulant in Canada differs from that assigned by the USEPA, regulatory action as outlined in this Regulatory Directive is based on the PMRA list number. Formulants unique to products registered in Canada will be assigned to the various lists as information is received. For a consolidated listing of all formulants found in Canadian registered pest control products and categorized according to the five lists, refer to Regulatory Note REG2005-01, PMRA List of Formulants, or the latest version.
To update available information, statement of product specification forms (SPSFs) of control products are required to be submitted with each submission to register, to amend, to renew or to conduct research with a control product.
List 1 formulants have been virtually eliminated from pest control products. For the few remaining products containing List 1 formulants, safety data, which have been submitted to support the continued use of the particular List 1 formulants, are currently being reviewed.
Labelling will be required for formulation preservatives and for allergens known to cause anaphylactic-type reactions. The policy also sets forth acceptability criteria for dyes, colourants and fragrances as well as criteria for notifiable changes to product labels and formulations. New requirements established under this policy are being phased in over a three-year period, which began 9 January 2005.
Part II of this document provides guidance to applicants and registrants on how to comply with the Formulants Policy and the resulting new requirements.
This policy outlines how formulants in pest control products are regulated. The Pest Management Regulatory Agency (PMRA) is taking action to ensure that information on formulations and identification of formulants are accurate and meet current standards. The Agency requires either elimination of certain toxic formulants from products or appropriate data to support the safety of their continued use. The PMRA also encourages the use of the least toxic formulants available that are appropriate to the formulation. As per current policy, in addition to data/information required for an individual formulant, data (e.g., acute toxicity, efficacy, etc.) may also be required on the end-use formulation containing the formulant for applications submitted to register new products or for product amendments.
The high degree of concordance between formulants used in Canadian pest control products and those used in products in the United States has allowed the Canadian policy to be based on and to be directed towards harmonization with the United States Environmental Protection Agency (USEPA) policy on inerts (also referred to as other ingredients).
By implementing this directive, the PMRA will have a formulants policy that is similar to the USEPA policy. Further steps towards harmonization will take place under the North American Free Trade Agreement Technical Working Group on Pesticides. The PMRA recognizes that a step-wise process is required for the implementation of the formulants policy. To optimize efficiency and reduce resource requirements, the Agency will use USEPA reviews for decisions on Canadian formulants whenever possible.
This Formulants Policy:
Active ingredient: the ingredient(s) of a pest control product to which the effects of the product are attributed, including any synergist, not including a solvent, diluent, emulsifier or ingredient that by itself is not primarily responsible for the effect of the product.
Adjuvant: a formulant used by the end user for in-tank mixing with a control product. Adjuvants whose intended use is to directly improve the efficacy or enhance the biological performance of the control product are registered under the authority of the Pest Control Products Act (PCPA) and Regulations.
Formulant: any substance or group of substances other than the active ingredient that is intentionally added to a pest control product to improve its physical characteristics (e.g., sprayability, solubility, spreadability and stability).
Formulant mixture: a formulant composed of more than one substance. Inert (other) ingredient: the USEPA terminology equivalent to the term formulant.
New formulant: any formulant that is not in a currently Canadian registered pest control product and is not on the USEPA inerts lists.
New use of a formulant: the formulant has not been identified for that purpose in an approved pesticide formulation in Canada or the United States.
Pest control product: any product, device, organism, substance or thing that is manufactured, represented, sold or used as a means for directly or indirectly controlling, preventing, destroying, mitigating, attracting or repelling any pest and includes the following:
Reactant: a component formulated into a pesticide formulation that reacts chemically with an active ingredient to modify its form, e.g., a reactant added to a formulation containing an acid form of an active ingredient to make a corresponding amine form of the same active ingredient. Reactants are generally completely used up in the chemical reaction with the active ingredient. Therefore, they are not normally considered to be formulants and are outside the scope of this policy. Such compounds must be identified as reactants on SPSFs.
Safener: a formulant in some herbicidal pest control products that mitigates the effects of the product on specific economically important crops. Safeners are biologically active; therefore, they are subject to the same data requirements as for an active ingredient.
New requirements established in the Formulants Policy are being phased in over a three-year period that began 9 January 2005. The implications of the Policy on submissions in process and applications received within the pre-implementation period are covered in Part II of this document.
The PMRA regulates all pest control products that are used, sold or imported into Canada. The Canadian federal legislative authority for the regulation of pest control products, including their formulants, is derived from the PCPA and Regulations as well as the Food and Drugs Act and Regulations.
Appropriate regulatory action may need to be undertaken in order to manage/eliminate the use of formulants identified as being of concern with respect to human health or the environment under other federal legislation or policies. For example, the PMRA is applying its Regulatory Directive DIR99-03, The Pest Management Regulatory Agency's Strategy for Implementing the Toxic Substances Management Policy, to formulants. The TSMP was developed to provide a common approach for developing and implementing measures to minimize or reduce the use and release of substances added to Schedule 1 of the Canadian Environmental Protection Act, 1999 (CEPA 1999). The PMRA is coordinating these activities for the pesticide sector. Formulants that meet TSMP Track 1 criteria are included in List 1.
In 1980, the Canadian federal government established regulations under the Environmental Contaminants Act to prohibit the use of chlorofluorocarbons (CFCs) in aerosols for certain personal products. In 1987, Canada became a signatory to the Montreal Protocol, which sets out a schedule to control ozone-depleting substances.
In keeping with the goals of the Protocol, as of April 1989, CFCs -11, -12, -113, -114 and -115 were no longer permitted for use in pest control products (see Regulatory Directive DIR93-11, Chlorofluorocarbons in Pesticide Products).
A subsequent amendment to the Protocol incorporated other ozone-depleting chemicals, including CFCs, carbon tetrachloride, 1,1,1-trichloroethane (TCE), hydrochlorofluorocarbons (HCFCs) and methyl bromide. The PMRA no longer supports the use of ozone-depleting chemicals as formulants, and no new registrations or renewals will be issued for products containing them. Registrants with products that currently contain these chemicals as formulants are required to reformulate or discontinue the product. A list of possible alternatives or substitutes is found at
Environment Canada's website.
Existing formulants contained in registered pest control products in Canada have been assigned to one of the following five lists ranked in descending order of concern to establish priorities for regulatory activities. The regulatory actions proposed for formulants on each list are described in detail in Section 4. For a complete listing of formulants found in Canadian registered pest control products and their associated list numbers, refer to Regulatory Note REG2005-01, PMRA List of Formulants, or the latest version. The most recent USEPA inerts lists are available on the
USEPA website.
List 1 consists of formulants identified as being of significant concern with respect to their potential adverse effects on health and the environment. As a starting basis, List 1 includes all formulants presently or previously listed on the USEPA List 1 and any additional formulant in Canadian products that meet any criterion for any one of the following categories.
Carcinogenicity
Neurotoxicity and Chronic Effects
Adverse Reproductive Effects
Ecological Effects
Formulants That Meet the Track 1 Criteria of the TSMP
See Section 2.1 above.
Formulants That Meet the Criteria of the Montreal Protocol
See Section 2.2 above.
The goal of the PMRA is to have List 1 formulants removed from products or supported with data to demonstrate no unacceptable risk. Registrants with List 1 formulants in their product are subject to the regulatory actions outlined for List 1 in Section 4.3.
List 2 contains formulants that are considered to be potentially toxic, based on either structural similarity to List 1 formulants or data suggestive of toxicity. Most of the chemicals on the USEPA List 2 were designated for testing through the United States National Toxicology Program, the USEPA Office of Toxic Substances and other American regulatory or government bodies. Reassessment of List 2 chemicals is underway in the United States. Formulants in Canadian products that are subject to reassessment and possible data call-in by the USEPA will also be subject to appropriate regulatory action in Canada. Regulatory action for List 2 formulants is described in Section 4.4.
List 3 contains the formulants in use in registered pest control products that do not meet the criteria of any of the other lists. Regulatory action for List 3 formulants is described in Section 4.5.
List 4A contains formulants that appear on the United States Minimum Risk Inerts List that are generally regarded to be of minimal toxicological concern as well as substances commonly consumed as foods.6,7 Based on their known properties, formulants on List 4A are considered acceptable in pest control products for both food and non-food uses with no further data necessary for the formulant alone. Regulatory action planned for List 4A formulants is described in Section 4.6.
List 4B includes formulants, some of which may be toxic, but for which there are sufficient data to reasonably conclude that the specific use pattern of the pest control product (as listed in the United States Code of Federal Regulations, 40 CFR Protection of Environment, Subpart D, Sections 180.910, 180.920 and 180.930) will not adversely affect public health or the environment. List 4B includes formulants that meet the following criteria:
Regulatory action proposed for List 4B formulants is described in Section 4.6. If the use pattern or proposed use pattern of a 4B formulant is beyond that approved by the USEPA, the PMRA will require an independent review.
Formulants are unique to Canada if they:
Regulatory action proposed for formulants unique to Canada is described in Section 4.7.
Previously listed chemicals that are determined to no longer be used in pest control products will be removed from the lists of formulants8. If a registrant wishes to reactivate their use, these formulants will be considered "new" and will be subject to the appropriate requirements in order for the PMRA to determine that the use would not pose an unacceptable risk to human health or the environment.
Irrespective of the initial placement of a formulant on a specific list, if information becomes available to indicate a significant concern, the formulant is immediately subject to regulatory action that may include removal, substitution or data call-in to allow a risk assessment.
To ensure that information on formulations and identification of formulants is accurate and meets current standards, the Agency requires registrants to provide an updated SPSF for each submission to register, to amend, to renew or to conduct research with a control product or as outlined in the following sections, using a new SPSF (available electronically on the PMRA's website). This requirement became effective on 5 January 2005. The information on the new SPSFs must:
If registrants are already aware that changes have been made to their product formulations that are not reflected on the SPSF currently on file with the Agency, a formal application for amendment should be submitted along with the updated SPSF, appropriate data and fees.
To harmonize with the USEPA, the Agency is working with registrants to convert guarantees from minimum to nominal values. Although the focus of this policy is to update information on formulations and to eliminate certain formulants from products, it also provides opportunity for the simultaneous conversion of product specifications from minimum to nominal values.
If the information to make the conversion from minimum to nominal is not immediately available, the new SPSF for formulant policy purposes should be submitted with a minimum guarantee.
If the conversion to nominal results in a change in the guarantee statement, an application for label amendment, new draft labels showing the nominal guarantee and the application fee will be required if this activity is occurring simultaneously with the submission of an updated SPSF. Please note that conversion of guarantee statements from minimum to nominal for end-use products and manufacturing concentrates can only be accommodated at registration renewal if the source of the technical grade active ingredient is registered in nominal. Conversion of guarantee statements from minimum to nominal for technical grade active ingredients cannot be done at registration renewal and requires a separate application for product amendment.
Requirements and time frames for submission of updated specification forms, label amendments and data are described in detail within each of the following sections.
Since 1990, it has been the practice, on receipt of an application to amend a formulation or register a new formulation, to ask the applicant to substitute or remove formulants that were categorized as List 1 or List 2 on the USEPA List of Inert Ingredients (memorandum to Crop Protection Institute of Canada and Canadian Manufacturers of Chemical Specialties Association, 7 August 1990). In the case of List 1 formulants, label disclosure requirements were imposed where no suitable substitute could be found, as recommended in the Canadian Pesticide Registration Review (December 1990, p. 15). Consistent with the intent to progress towards harmonization with the USEPA Inerts Policy, the PMRA undertook an initiative to remove all List 1 formulants from pest control products in September 2001. Registrants of products containing List 1 formulants were given the three following options:
Failure to select and act upon one of the options resulted in cancellation of product registration.
List 1 formulants have been eliminated from almost all pest control products. For the few remaining products containing List 1 formulants, safety data, which have been submitted to support the continued use of the particular List 1 formulants, are currently being reviewed. As formulants are reclassified from other lists to List 1, products containing them will be dealt with in the same manner and within the same time frames, as outlined hereafter:
As previously noted in Section 3.2, List 2 formulants may have structural similarity to List 1 chemicals and are considered to be potentially toxic. Accordingly, the PMRA will be working with the USEPA to gather and review information on potential adverse effects of formulants on the USEPA Inert List 2, and to determine the necessary course of action for these formulants. Should a List 2 formulant be found to meet List 1 criteria, it will be subject to the options and time frames as outlined in Section 4.3(a).
The PMRA will be reassessing List 2 formulants and, where possible, will be coordinating reassessment activities with those of the USEPA, where the same formulant is being reassessed as part of the USEPA's reassessment of List 2 inert ingredients. Registrants with List 2 formulants in their products are strongly encouraged to consider amending formulations by substituting more acceptable alternatives such as those on Lists 3, 4A and 4B (if the use scenario applies) or submitting data/information to support the continued use of List 2 formulants. Registrants have the responsibility to submit information demonstrating that the List 2 formulant they wish to continue to use, or the formulant proposed for substitution, poses no unacceptable health or environmental risks, and that the product is still efficacious with the new formulant.
The USEPA List 3 formulants have been subjected to a quantitative structure activity relationship (Q-SAR) analysis for structural alerts and do not have information available to demonstrate they meet the criteria of any of the other lists.
Registrants should be aware that as additional data become available, formulants on List 3 may meet the criteria of List 1 or List 2 and will be subject to the requirements described for lists 1 and 2, including the submission of data to support continued or new use. In the future, formulants remaining on List 3 will be subject to reassessment and possible data call-in to complete their database once the issues associated with the lists 1 and 2 formulants are approaching resolution. Registrants will be informed of the timing for the data call-in as work is completed on the higher priority, List 1 and List 2 formulants. If new information comes to light on any List 3 formulant that raises concern, the formulant will immediately be subject to the appropriate data requirement to support continued use.
List 4A contains formulants that appear on the United States Minimum Risk Inerts List that are generally regarded to be of minimal toxicological concern as well as substances commonly consumed as foods. Based on their known properties, formulants on List 4A are considered acceptable in pest control products for both food and non-food uses with no further data necessary for the formulant alone. When a formulant is on List 4A, no further regulatory action is anticipated.
List 4B includes formulants, some of which may be toxic, but for which there are sufficient data to reasonably conclude that the specific use pattern of the pest control product (as listed in the United States Code of Federal Regulations, 40 CFR Protection of Environment, Subpart D, Sections 180.910, 180.920, and 180.930 ) will not adversely affect public health and the environment. When a formulant reaches List 4B, no further regulatory action is anticipated unless the use pattern for which it is being considered is beyond that approved, in which case the PMRA will require an independent review.
A number of formulants in Canadian products appear to be unique to Canada, as they do not appear on the USEPA lists or are proprietary mixtures whose individual components may or may not be on the USEPA lists.
As per current practice, all new submissions submitted to register or amend products will continue to require identification of all formulant components prior to review of the submission. It is the responsibility of the applicant to ensure that the identity of components in formulant mixtures be supplied to the PMRA. Applicants can request that formulant manufacturers submit proprietary information to the PMRA Formulant Section under separate cover to support review of the submission as described in Section 4.10. Once all the components of a formulant mixture are identified, the formulant mixture will be assigned a list categorization number and be subject to the regulatory action and requirements for that list. The list number for a mixture is based on the components, i.e., the list number would be the one representing the highest level of concern. The order for formulants of most concern to least concern is 1, 2, 3, 4B, 4A. For example, if a mixture contained components from List 2, 3 and 4A, the mixture would be categorized to List 2. Formulants or formulant components that do not appear on a current PMRA or USEPA list will be subject to the appropriate data/information requirements to support continued use of existing products or any applications for new products.
As a part of the re-evaluation of technical grade active ingredients and their end-use products, registrants have been informed of the proposed direction the Agency will be taking with formulants. Registrants have been advised to take this into consideration when determining the course of action for their products under re-evaluation.
The regulatory requirement for individual formulants will be handled according to the outline in this Regulatory Directive and separately from the re-evaluation of technical grade active ingredients and end-use products.
In the United States, certain polymers are exempt from data requirements when used as formulants in a pest control product formulation. Canada has adopted the same approach, and these polymers will be exempted from data requirements if they:
The terminology adopted and the USEPA policy regarding polymers is available on the Internet at
www.epa.gov/opptintr/newchems/pubs/polyguid.pdf.
Formulants claiming polymer status that do not conform with the accepted international definition of a polymer described above will be subject to data requirements.
Some formulants are claimed to be proprietary trade secrets, and the manufacturer may not wish to disclose the constituents of such formulants to a registrant or formulator. It is the responsibility of the registrant to arrange for the manufacturer of a proprietary formulant or mixture to disclose the composition of the proprietary formulant or mixture directly to the PMRA Formulants Section. The constituents of a proprietary formulant or mixture are subject to the provisions of the policy on formulants.
The fact that applicants use a proprietary formulant ingredient or mixture whose composition is not known to them does not remove their responsibility for maintaining the composition of each of those formulants within its certified limits and assuring that the composition of the proprietary formulant or mixture will not change over time. The PMRA believes that a contractual arrangement between a formulator and supplier or manufacturer is the best way to ensure that the formulator can rely on the composition of the material received. Registrants or formulant manufacturers are responsible for notifying the PMRA when the composition of a formulant mixture used in a pest control product is altered.
Formulants in products proposed for research are subject to this policy. In the case of a new formulant, the data/information required would depend on the proposed use of the product and the potential exposure. Sufficient data/information to allow for a quantitative risk assessment may be necessary to evaluate the risks posed by the presence of a new formulant in a pest control product for which a research permit is requested.
Adjuvants are formulants that are sold and used separately for in-tank mixing by the end-user. Adjuvants intended to directly improve the efficacy or enhance the biological performance of a pest control product by modifying or enhancing physical or chemical characteristics are subject to the Pest Control Products Regulations as outlined in Regulatory Directive DIR93-15, Registration Requirements for Adjuvant Products.
While such adjuvants are subject to the data requirements described in DIR93-15, all the individual ingredients of these adjuvants are also subject to the conditions laid out in this policy.
Certain registered end-use product formulations contain pesticidal active ingredients previously described as formulants. These active ingredients are generally included in a formulation in small amounts to protect the formulation from being denatured or degraded by pests. Examples include the addition of an insecticide at 0.1% to a rodenticide bait to prevent feeding by insects and the addition of formaldehyde to aqueous formulations to prevent bacterial growth. The past practice has been to consider such active ingredients as formulants and to not list them in the guarantee statements of product labels. Examples of formulation preservatives that are active pesticidal ingredients include, but are not limited to, formaldehyde, paraformaldehyde, malathion, chloropicrin and glutaraldehyde.
Any active ingredient whose function is to preserve or protect the formulation is to be so specified on the SPSF and on the product label with the following statement:
"Contains (insert name of active ingredient) at (insert percent weight/weight) % as a preservative."
This statement must be placed on the label in proximity to, on the same panel as, and in a type and font size comparable to, the guarantee statement.
If the preservative is an active ingredient that is registered in Canada, only a registered source may be used.
Registrants of formulations containing preservative ingredients were required to disclose preservatives on product labels by 9 July 2005. Label disclosure may be carried out through notification. After 9 July 2005, SPSF revisions and submission of letters of confirmation of source of supply from the supplier/registrant of the preservative where the preservative is a registered product will be done through the next amendment application or registration renewal (beginning with renewal 2006, i.e., products expiring 31 December 2006), whichever comes first.
As of 9 July 2005, applications for new products containing formulation preservatives or product amendments involving the addition of formulation preservatives are subject to the same labelling requirements described above as a requirement for obtaining registration/amended registration.
Registrants of products containing the following common allergenic substances known to cause anaphylactic type reactions as formulants must amend their product labels to add the following statement:
"Warning, contains the allergen (insert name of allergen)."
Milk; eggs; fish, crustaceans, shellfish; peanuts, soy, tree nuts or their shells; sesame seeds; wheat; and any protein-containing derivative of these substances (including hydrolyzed plant protein, starch and lecithin); and sulphites.9
This statement must be placed on the label in proximity to, on the same panel as, and in a type and font size comparable to, the guarantee statement.
Products containing the above allergenic formulants must be labelled with this statement by 9 July 2005. Label disclosure changes may be carried out by notification and will apply to all product labels. Labels may be printed to show this statement or may be overstickered.
As of 9 July 2005, applications for new products containing allergenic formulants or product amendments involving the addition of allergenic formulants received after the effective implementation period for the Formulants Policy will be subject to the same labelling requirements described above as a requirement for obtaining registration/amended registration.
Changes to a label or a formulation of a control product generally require an application for amended registration and necessary supporting documentation and data. However, certain changes to products may be done through notification. When changes are made by notification, labels and SPSFs should not be submitted. Specific changes to labels and formulations are outlined in this Regulatory Directive. They will be allowable by notification if they meet the following criteria.
Any formulant proposed for use in a pest control product is considered to be "new" if it is not currently identified as being present in a registered Canadian pest control product or on the USEPA lists. The requirements for new formulants are under consideration. The requirements listed in the Regulatory Proposal PRO2000-04, which at the time the proposal was released were harmonized with the USEPA, are no longer harmonized. The USEPA released a document entitled Methodology for Lower Toxicity Pesticide Chemicals; Notice of Availability, which describes their new method and data requirements for evaluating inert ingredients. It is the PMRA's intention to harmonize as much as possible with the USEPA's new approach, and the PMRA will be releasing a regulatory proposal on new formulant requirements, for comment. In the meantime, applicants should contact the PMRA for guidance if they wish to propose a new formulant for use in pest control products.
This part of the document provides practical guidance to applicants/registrants on the implementation of the Formulants Policy. Included are descriptions of the major changes to the regulation of formulants in Canada and how these will affect currently registered pest control products as well as applications submitted to register, to amend or to renew registrations or to conduct research with pest control products. Guidance on the processes for complying with the new requirements and related regulatory action is also provided.
The PMRA List of Formulants contains all formulants found in currently registered Canadian pest control products. This list is published as a regulatory note and is also available on the PMRA website. As of the date of publication of this policy, the current version is REG2005-01. This list provides a guidance tool for industry in the selection of formulants and will be updated regularly and published under a new version number. Revisions to the list may result from the following:
The list has been sorted in two ways, by CAS number and by list categorization number (i.e., List 1, List 2, List 3, List 4A, List 4B). The list includes the formulant names, their associated CAS number and their corresponding list categorization numbers. Allergens requiring disclosure labelling are flagged on the list. The sorted lists are ordered numerically by CAS number, and where no CAS number exists, that portion of the list is ordered alphabetically according to the formulant name. The same naming convention for formulants (inert/other ingredients) used by the USEPA for their List of Inert Ingredients has been used for the PMRA List of Formulants.
Applicants/registrants should also refer to the
USEPA List of Inert Ingredients for additional formulants that may be acceptable (i.e., List 3, 4A, 4B), with some exceptions, for use in pest control product formulations without the requirement for additional data/information on the formulants alone. Where the list category number assigned to a particular formulant in Canada differs from that assigned by the USEPA, regulatory action, as outlined in Part I of this document, is based on the PMRA list category number.
Formulants may at any time be reclassified by the PMRA to another list category number (e.g., List 2 formulant reclassified to List 1) based on new information/data or as a result of reassessment. When a formulant is reclassified to another list category number, any product containing that formulant is subject to the regulatory action prescribed for that list category number. When a formulant is proposed for reclassification to List 1, registrants will be advised and given an opportunity to comment through a regulatory proposal document.
The Formulants Policy Regulatory Directive contains new requirements and requirements that are already in effect. New requirements prescribed in the Formulants Policy Regulatory Directive are being phased-in over three years, with the first requirement effective 9 January 2005. The phased implementation is designed to minimize the immediate impact on registrants/applicants and the PMRA as well as to allow adequate preparation time. The new requirements, implementation deadlines and impact on registered products and applications are described in the following sections and summarized in Appendix II. Compliance with these requirements is a condition of registration.
The implementation deadline date (9 July 2005), listed in this Regulatory Directive for disclosure labelling of allergens and formulation preservatives, applies to the label text version of the product label. Registrants of products containing allergens and/or formulation preservatives were required to take action to amend the label text version of the product labels by 9 July 2005, using the options described in this Regulatory Directive. A four-month grace period will be given to registrants before the PMRA considers taking any action for failure to meet this deadline. In order to provide registrants with additional time to prepare for marketplace label implementation, pest control product containers labelled after 9 July 2006, i.e., 12 months after the implementation deadline date, are required to have the appropriate disclosure statements on the marketplace labels.
As per current practice, the following requirements are already in effect and will continue to be required.
When a formulant is unknown to the PMRA, the following information must be provided to support an application to register, to amend, to renew or to conduct research with pest control products:
It is understood that a pesticide formulator or registrant is not necessarily privy to the proprietary information on the components of a mixture; therefore, an applicant can request the supplier/manufacturer of the formulant to send this information directly to the PMRA. Please ensure that when formulant information is submitted, the submission number is referenced. This information will be held in confidence by the PMRA and will be used only by the screening and reviewing sections when assessing pesticide submissions or during the re-evaluation of formulated end-use products.
Failure to submit the required formulant information with an application to register, to amend, to renew or to conduct research with a pest control product will be treated as a screening deficiency. The review of the submission cannot be completed in the absence of the required formulant information. As a result, if the required information is not provided within the deficiency response time, the submission will be rejected. A new application may be made when the formulant information becomes available.
If the information is provided within the required time frame and it allows the PMRA to determine the formulant's acceptability, processing of the application will continue.
If the formulant or the component of a formulant (where the formulant is a mixture) is determined to be new to the PMRA and USEPA, information will be required in order to assess the acceptability of the formulant.
Any formulant proposed for use in a pest control product is considered to be "new" if it is not currently identified as being present in a registered Canadian pest control product or on the USEPA lists of inert ingredients. The data/information requirements for new formulants are under consideration. It is the PMRA's intention to harmonize as much as possible with the USEPA's new approach for assessing inert ingredients as outlined in their document Methodology for Lower Toxicity Pesticide Chemicals. The PMRA will soon be releasing a regulatory proposal on the requirements for new formulants. In the meantime, applicants should contact the PMRA for guidance if they wish to propose a new formulant for use in pest control products. In general, the PMRA will require sufficient data/information to assess the potential risk of the formulant. Initially applicants will be asked to submit available information (e.g., information obtained through a literature search) to address potential areas of concern.
As of the date of publication, the only registered products still containing List 1 formulants are those for which an application has been made to replace the List 1 formulant or to support the continued use of the List 1 formulant in that product.
These products containing List 1 formulants are currently subject to label disclosure of the identity and amount of the List 1 formulant contained in the product. The following statement must appear on the labels for those products containing a List 1 formulant:
"This product contains the toxic formulant (insert name of chemical) at (insert percent weight/weight) %."
This statement must be placed in close proximity to, on the same panel as, and in a type and font size comparable to, the guarantee statement.
The following are new requirements arising from the Regulatory Directive DIR2004-01, Formulants Program.
As of 9 January 2005, all applications submitted to register, to amend, to renew or to conduct research with, a pest control product must be accompanied by a SPSF. Exceptions to this requirement are applications for private label products and devices where a SPSF is not required. Please note the following when completing SPSFs:
Applications received before 9 January 2005, for which a SPSF was not required at the time of filing (e.g., label amendment only), will be processed without a SPSF.
To determine which modifications are allowable through notification refer to Section 4.16 of Part I of this document.
As indicated in Part I of this document, all List 2 formulants will be scheduled for reassessment. Should the reassessment, or an evaluation of data submitted with an application to support the continued use of a List 2 formulant, determine that the formulant does not pose an unacceptable level of risk to human health and the environment under the specific conditions of use, the formulant will be reclassified to List 4B. Should the data provided indicate an unacceptable risk, the List 2 formulant will be reclassified to List 1, and the product will be subject to the appropriate List 1 regulatory action as outlined in this Regulatory Directive. If the data submitted are insufficient to perform a risk assessment, registrants will be so advised and provided with options for dealing with the formulant. Options will include discontinuation of products containing the formulant, replacement/removal of the formulant and submission of data to allow for a complete risk assessment of the formulant under specific conditions of use.
A formulation preservative added to a pest control product to protect the formulation from degradation or denaturation by pests is itself by definition a pest control product active ingredient under the PCPA. Since formulation preservatives are by definition active ingredients, they will no longer be described as formulants.
Formulation preservatives do not contribute to the intended effect of the control product to which they are added. For example, insecticides added to rodenticide baits to prevent feeding by insects are considered formulation preservatives, and antimicrobial and antifungal agents added in small amounts to pesticide formulations to prevent bacterial and fungal growth within the container are also considered formulation preservatives.
Formulation preservatives are added to pest control products either directly as a single ingredient or by way of a formulated product that itself contains formulants in addition to the formulation preservative active ingredient. Formulation preservative labelling requirements pertain to the formulation preservative active ingredient(s). Where the formulation preservative itself is a formulated product, both the formulation preservative product and its active ingredient(s) must be declared on the SPSF. For example, in the case of XYZ Preservative, both XYZ Preservative and its active ingredient, e.g., formaldehyde, would be listed on the SPSF.
Please note that substances used in pest control product formulations whose function does not make them active ingredients according to the PCPA definition (e.g., antioxidants), would not be subject to formulation preservative requirements as described in this Regulatory Directive regardless of whether they are regulated under the Canadian Food and Drugs Act as food additive preservatives. They would be classified as formulants and not formulation preservatives. For example, in the case of antioxidants their purpose in the formulation would be listed on the SPSF as "antioxidant". In other words, only substances whose function makes them active ingredients according to the PCPA definition (e.g., mould inhibitors) would be subject to the formulation preservative requirements and disclosed on the SPSF as "formulation preservatives".
Any formulation preservative active ingredient as described above must be identified as a formulation preservative on the SPSF under purpose in the formulation and on the pest control product label. The following statement must be placed on the label in proximity to, on the same panel as, and in a type and font size comparable to, the guarantee statement:
Contains (insert name of formulation preservative active ingredient) at (insert percent weight/weight) % as a preservative."
This labelling requirement applies to all formulation preservatives used in pest control products including those containing active ingredients that are registered and those containing formulation preservative active ingredients that are not registered. Please note that it is the name of the formulation preservative active ingredient (common or chemical) and not the tradename of the preservative product that is to appear in the disclosure statement.
An exception to the preservative labelling requirement is being made for microbial products. For these products, label identification of the formulation preservative(s) will not be required. The addition of formulation preservatives, often a complex system of multiple preservatives, is critical to protecting the viability of the active ingredient (microorganism) itself rather than to preserving the formulation.
Products (containing formulation preservatives) Registered Before 9 July 2005
The Formulants Program Regulatory Directive (DIR2004-01) indicated that registrants of products containing formulation preservatives were required to submit applications to amend product labels and SPSFs as well as to provide letters of confirmation of source of supply (LOCs) by 9 July 2005 to address the formulation preservative requirements. In order to reduce the burden associated with this approach to addressing the preservative requirements, registrants may instead choose to address the formulation preservative requirements in two phases as outlined in the following:
Phase 1-Label Disclosure
In the first phase, formulation preservative active ingredients must be disclosed on product labels (label text version). Label disclosure may be documented through notification, and the letter of notification must have been submitted by 9 July 2005. The letter must include the exact statement that is being added to the label text as well as specifying the location of the statement as it will appear on the marketplace label.
Where the formulation preservative(s) has been added to a pest control product (e.g., XYZ Insecticide) by way of a formulated product (e.g., ABC Microbiocide), the name and guarantee of the formulation preservative active ingredient must be listed on the label of the pest control product (XYZ Insecticide). The identity and concentrations of the formulants found in the preservative product (ABC Microbiocide) are not to be disclosed on the label for XYZ Insecticide. In the case of ABC Microbiocide, the active ingredients, e.g., 5-chloro-2-methyl-4-isothiazolin-3-one and 2-methyl-4-isothiazolin-3-one, as well as their guarantees in XYZ Insecticide would be listed on the XYZ Insecticide label.
Phase 2-SPSF Disclosure
In the second phase, revision of SPSFs, if necessary, and submission of letters of confirmation of source of supply, where applicable, will be done after 9 July 2005 through the next amendment application or at registration renewal (beginning with Renewal 2006, i.e., products expiring 31 December 2006), whichever comes first. A revised SPSF is required if the formulation preservative active ingredient is not currently disclosed on the SPSF as a formulation preservative and/or the guarantee of the preservative active ingredient is not disclosed appropriately.
Where the formulation preservative(s) has been added to a pest control product (e.g., XYZ Insecticide) by way of a formulated product (e.g., ABC Microbiocide), the name and guarantee of the formulation preservative active ingredient(s) must be listed on the SPSF for the pest control product (XYZ Insecticide) in addition to the name and amount (%w/w) of the formulation preservative product (ABC Microbiocide). The guarantee of the formulation preservative should be expressed in terms of nominal or minimum concentration as appropriate. The identity and concentrations of the formulants found in the preservative product (ABC Microbiocide) are not to be disclosed on the SPSF for XYZ Insecticide. In the case of ABC Microbiocide, the active ingredients, 5-chloro-2-methyl-4-isothiazolin-3-one and 2-methyl-4-isothiazolin-3-one, and their guarantees in XYZ Insecticide would be listed on the SPSF for XYZ Insecticide. ABC Microbiocide and its %w/w in the pest control product would also be listed on the SPSF for XYZ Insecticide.
A Letter of Confirmation of Source of Supply from the supplier/registrant of the formulation preservative must be included with the application when the formulation preservative is registered in Canada as a pest control product. This applies to cases where the formulation preservative is added directly as a single ingredient that is registered (e.g., malathion; Reg. No. XXXX) and where it is added by way of a formulated product that is registered (e.g., ABC Microbiocide; Reg. No. YYYY).
Applications Received Before 9 July 2005
Applications received before 9 July 2005 for which the certificate of registration/amended registration is issued after this date will require label disclosure, i.e., the preservative statement must be on the approved text label before the certificate is issued. Revised SPSFs and LOCs will not be required to be submitted in order to complete registration. However, if applicants wish to use such applications to incorporate all formulation preservative requirements, they should first contact the Pest Management Information Service.
Applications Received After 9 July 2005
All applications to register products containing formulation preservatives and amendments involving the addition of formulation preservatives, received after 9 July 2005 must comply with the formulation preservative requirements.
Registration Renewal-SPSF Amendments Involving Identification of Formulation Preservatives
Amendments to the SPSF, which involve only identification of formulation preservatives already contained in pest control products and/or the submission of LOCs for registered formulation preservative products, will be accepted as part of the renewal process as noted in the section describing Phase 2 above.
In general, formulation preservatives used to control, prevent, destroy or mitigate a pest, as defined in the PCPA, are subject to registration under the PCPA. Consideration will be given to waiving the requirement for registration of preservatives that are already regulated as food additives under the Canadian Food and Drugs Act where the levels of exposure from pest control products are consistent with the levels of exposure as food additives. Many formulation preservatives are already registered in Canada. If the formulation preservative is already registered in Canada as an active ingredient, only a registered source may be used for preservation purposes in a pesticide formulation. Registrants currently using unregistered sources of formulation preservatives must apply to substitute with a registered source or register the source of the formulation preservative by 9 January 2008.
Within five years of the date of this Regulatory Directive, registrants of pest control products containing formulation preservatives that are not registered in Canada (i.e., the formulation preservative or formulated product providing the formulation preservative active ingredient is not currently registered) and have not been exempted from registration must submit the following:
The Formulants Policy requires that labels of products containing formulants that are common allergenic substances known to cause anaphylactic type reactions, (i.e., milk, eggs, fish, crustaceans [naming the crustacean], shellfish [naming the shellfish], peanuts, soy, tree nuts [naming the tree nut] or their shells, sesame seeds, wheat, or any protein-containing derivative of these substances [including hydrolyzed plant protein, starch and lecithin] and sulphites) carry the following statement:
"Warning, contains the allergen (insert name of allergen)."
This statement must be placed in proximity to, on the same label panel as, and in a type and font size comparable to, the guarantee statement.
Allergens found in currently registered pest control products are flagged on the PMRA List of Formulants. When the allergenic formulant is a derivative, it is acceptable to include only the name of the allergen source (e.g., in the case of soya lecithin, it would be sufficient to indicate "contains the allergen soy" on the product label). If the derivative's name does not indicate the allergen source and a registrant wishes to disclose the derivative, the allergen source must also be included in brackets after the name of the derivative (e.g., "contains the allergen casein (milk)").
Products Registered Before 9 July 2005
By 9 July 2005, the label text version of the product label for all registered productscontaining allergens must have been revised to include the required disclosure statement.Addition of this label statement must be documented via the following ways:
Applications Received Before 9 July 2005
Applications received before 9 July 2005 for which the certificate of registration/amended registration is issued after this date will require label disclosure, i.e., the allergen statement must be on the approved text label before the certificate is issued.
Applications Received After 9 July 2005
All applications to register products containing allergens or amendments involving the addition of allergens received after 9 July 2005 must comply with the allergen label disclosure requirement.
As indicated in Part I of this document, the acceptability criteria for dyes used in pesticide products are the following:
Fragrances or fragrance ingredients to be used in pesticide products must meet the following criteria:
By 31 December 2007, dyes and fragrances contained in pest control products that do not meet the criteria for acceptability must be replaced by acceptable dyes and fragrances.
Products Containing Dyes and Fragrances Registered Before 31 December 2007
By 31 December 2007, the appropriate documentation must have been received by the PMRA to address the acceptability requirement through these two means:
Applications Received Before 31 December 2007
Amendment applications completed before 31 December 2007 for which the purpose is to make an amendment other than those required under this Section will not be required to replace dyes and fragrances that do not meet the criteria for acceptability in order to obtain the certificate of registration. However, if applicants wish to use such applications to incorporate the required dye/fragrance changes, they should first contact the Pest Management Information Service.
Applications to register new products for which the certificate of registration is issued after 31 December 2007 will not be required to replace dyes and fragrances which do not meet the criteria for acceptability in order to obtain the certificate of registration. However, if applicants wish to use such applications to incorporate the required dye/fragrance changes, they should first contact the Pest Management Information Service.
If the dye/fragrance requirements are not addressed through the new product application, an application to amend the product registration or letter of notification if applicable to comply with the dye/fragrance requirements must be submitted within 90 days of the initial registration.
Applications Received After 31 December 2007
All applications to register products containing dyes or fragrances received after 31 December 2007 must comply with the dye/fragrance acceptability criteria requirements.
Multiple formulations are defined as more than one formulation acceptable under the same registration number when the formulations differ with respect to the proportions and/or identity and composition of formulation ingredients. Certain types of multiple formulations can be represented on the same SPSF, while others must be represented on separate SPSFs, as outlined in Section 6.6.2.
More than one formulation under the same registration number is allowed, provided the PMRA assesses each formulation and determines that:
Formulations That Should Be Represented on the Same SPSF
The following type of multiple formulations should be represented on the same SPSF. These involve the use of alternate ingredients in the same amount such that the amounts of the other ingredients in the formulation are not affected.
The formulations involve the use of alternate formulants as described above in the same amount (%w/w), e.g., in Formulation 1, Formulant A is used at X%; in Formulation 2, Formulant A has been replaced with Formulant B at the same amount (X%).
Formulations That must Be Listed on Separate SPSFs
The following types of multiple formulations must be listed on separate SPSFs as they involve the use of alternate ingredients in a manner that affects the proportions of other ingredients.
Identification of SPSFs
In order to simplify and standardize the identification and tracking of multiple formulations under one registration number, the assignment of a unique identifier corresponding to each formulation will replace the current system of "basic" and "alternate" designations.
When a product with multiple formulations requiring separate SPSFs is registered, each SPSF must be identified with a different formulation number and a version number that are assigned sequentially, beginning with 1, i.e., Formulation 1, Version 1; Formulation 2, Version 1; Formulation 3, Version 1; and so forth. Each time a formulation is revised through an amendment application, a new version number is assigned. (A new version number is not required when only notifiable changes are made to a SPSF.) For example, if Formulation 2, Version 1 is amended or replaced, it would become Formulation 2, Version 2. The addition of a new formulation would result in a new formulation number, e.g., Formulation 4, Version 1.
Some examples of SPSF numbering are as follows:
A registrant currently has a product registered with three formulations, each representedon its own SPSF, i.e., Formulation 1, Version 1; Formulation 2, Version 1;Formulation 3, Version 1.
The SPSF has been revised to facilitate the use of the new numbering system. Therefore, applicants/registrants should start using the new numbering system as soon as possible, i.e., for the next application submitted to the PMRA to register, to amend, to renew or to conduct research with a pest control product.
When a product is registered with multiple formulations that have differing label disclosure requirements, all formulants subject to disclosure as well as formulation preservatives will be required to be declared on the label text version of the label. However, the marketplace labels must only disclose the formulant(s) or formulation preservative(s) found in the particular formulation being labelled for sale in the marketplace. An example would be as follows: A registered product has two formulations. Formulation 1 contains an allergen (wheat) that is required to be disclosed on the product label. Formulation 2 does not contain wheat; however, it does contain a formulation preservative (formaldehyde). On the label text version of the product label, both wheat and formaldehyde would be disclosed. The marketplace label for Formulation 1 would contain only the disclosure statement for wheat and not for formaldehyde. Similarly, the marketplace label for Formulation 2 would contain only the disclosure statement for formaldehyde and not for wheat.
Multiple formulations not meeting the criteria described above will not be allowed under the same registration number; therefore, they would have to be registered under separate registration numbers through a Category C application. Beginning six months from the date of publication of this Regulatory Directive, all applications to register new pest control products or to add formulations to registered products will be subject to the acceptability criteria described in Section 6.6.1. (In the case of addition of new formulations to registered products, the new formulations must comply with the acceptability criteria.) Time frames and processes for handling currently registered products that contain multiple formulations not meeting the acceptability criteria will be developed.
In the interim, in order to comply with these requirements, registrants may delete one or more formulations of a currently registered product through renewal or through an amendment application.
Changes to a label or a formulation of a control product generally require an application for amended registration and necessary supporting documentation and data. However, certain changes to labels and formulations as specified in this Regulatory Directive may be accommodated via the notification process, if they meet the prescribed criteria. (Refer to Part I, Section 4.16) Please note that when notifying the PMRA of these changes, a label or SPSF should not be submitted. A letter attesting to the specific changes made is all that is required.
For notifiable changes involving the addition, deletion or substitution of colourants or fragrances, or change in nominal concentration of a formulant, which result in changes in the amounts of other formulants in a product formulation, a description of these changes (including formulant name and amount) must also be included in the letter of notification. The amounts of formulants subject to disclosure labelling cannot be changed through notification and would require an application for product amendment.
The following common errors/omissions are often made by applicants.
| Item | Requirements and Time Frame | Effect on Applications Received Prior to Implementation Date |
|---|---|---|
| SPSFs Part II, Section 6.1 | As of 9 January 2005, SPSFs must be submitted with all applications to register, to amend, to renew or to conduct research with pest control products. | Refer to Section 6.1 |
| Allergens Part II, Section 6.4 | By 9 July 2005, allergens must be disclosed on all registered product labels (label text version) through notification or an amendment application that is completed by this date10. Beginning 9 July 2005, all applications submitted to register or to conduct research with new pest control products must comply with the allergen disclosure requirement. |
Refer to Section 6.4.1 |
| Formulation Preservatives Part II, Section 6.3 | By 9 July 2005, formulation preservatives must be disclosed on all registered product labels (label text version) through notification or an amendment application that is completed by this date9. Correct disclosure of formulation preservatives on SPSFs and submission of LOCs where applicable are to be done through the next amendment application submitted after this date or at the next registration renewal (beginning with Renewal 2006, i.e., products expiring 31 December 2006), whichever comes first. Beginning 9 July 2005, all applications submitted to register, to amend or to conduct research with pest control products must comply with the formulation preservative disclosure requirement. |
Refer to Section 6.3.1 |
| Multiple formulations Part II, Section 6.6 | Beginning six months from the date of this Regulatory Directive, all applications submitted to register new pest control products or to add formulations to registered pest control products must comply with the criteria for acceptability of multiple formulations under the same registration number. | Not applicable (no effect) |
| Dyes Part II, Section 6.5 | As of 9 January 2004, current practice, applications submitted to register or to amend pest control products containing dyes must comply with the criteria for acceptability. By 31 December 2007, dyes contained in registered pest control products that do not meet the criteria for acceptability must be replaced by acceptable dyes and documented through notification or an application for product amendment as applicable. |
Refer to Section 6.5 |
| Fragrances Part II, Section 6.5 | As of 9 January 2004, current practice, applications submitted to register or to amend pest control products containing fragrances must comply with the criteria for acceptability. By 31 December 2007, fragrances contained in registered pest control products that do not meet the criteria for acceptability must be replaced by acceptable fragrances and documented through notification or an application for product amendment as applicable. |
1 United States 52 Federal Register Notice 13305, 22 April 1987
2 United States 52 Federal Register Notice 13305, 22 April 1987
3 United States Federal Register, 24 June 1998, pp. 34384-34290
4
www.epa.gov/opprd001/inerts/lists.html [Inert (other) Pesticide Ingredients in Pesticide Products Categorized List of Inert (other) Pesticide Ingredients]
5 National Institute for Occupational Safety and Health. 1977. Occupational Diseases, A Guide to Their Recognition. United States Department of Health, Education and Welfare; Public Health Service; Center for Disease Control; National Institute for Occupational Safety and Health. Publication Number No. 77-181.
6 United States Federal Register Document 94-23890, 28 September 1994
7 United States FR December 4, 1998, pp. 66 999-67 001
8 Consistent with United States 52 Federal Register Notice 13305, 22 April 1987
9 Zarkadas, M. et al. 1999. Common Allergenic Foods and Their Labelling in Canada: A Review. Canadian Journal of Allergy and Clinical Immunology, Vol. 4, No. 3, 1999.
10 Pest control products containers labelled after 9 July 2006 are required to have the appropriate allergen and formulation preservative disclosure statements on the marketplace label.