DAR File No. 40632
This rule was published in the September 1, 2016, issue (Vol. 2016, No. 17) of the Utah State Bulletin.
Health, Disease Control and Prevention, Health Promotion
Electronic-Cigarette Substance Standards
Notice of Proposed Rule
DAR File No.: 40632
Filed: 08/02/2016 08:55:41 AM
Purpose of the rule or reason for the change:
The changes are intended to clarify the rule in light of the FDA's Tobacco Control Act Deeming Rule.
Summary of the rule or change:
The majority of the provisions for labeling have been removed from Rule R384-415, including the manufacturer's name, batch number, ingredients, tamper-evident warning, and the nicotine content. The rule's requirement for a safety warning on the label is amended to coincide with the requirements of the FDA Tobacco Control Act Deeming Rule. A separate safety warning specific to nicotine-free products has been added. The amended rule simplifies the restrictions on the retail sale of products that give the impression of a potential health benefit stimulant or are labeled as having colorants for emissions. The requirements limiting the variation of nicotine in a product have been removed. The provisions requiring products to feature tamper-evident packaging have been removed. The requirement that ingredients of electronic-cigarette substances meet certain manufacturing standards have been removed and replaced by a requirement that, by August 2019, the retailers can only sell products approved for sale by the FDA through their pre-market review or substantial equivalent application process. Record-keeping requirements that relate to deleted sections of the rule have been removed. This includes the requirement that retailers have a batch tracing system.
Statutory or constitutional authorization for this rule:
- Subsection 59-14-803(5)
- Section 26-57-103
Anticipated cost or savings to:
the state budget:
The amendments to the rule will not change the implementation of enforcement by the State Health Department. The same enforcement apparatus and cost that was used for the original rule will accommodate these amendments. As such, the State Health Department expects to experience no additional costs or savings.
Since the State funds these enforcement efforts the amendments to the rule will not change the implementation of enforcement. The same enforcement apparatus and cost that was used for the original rule will accommodate these amendments. As such, no additional costs or savings are anticipated.
The State Health Department anticipates that small businesses will experience reduced costs because of the amendments to the rule. Savings will occur because of amendments that remove the requirement that products must have tamper-evident packaging, leak-resistant packaging, and certain labeling provisions. Also, the retailer will no longer be expected to maintain a batch tracing system. The State Health Department estimates that a Utah e-liquid seller would experience savings of $0 to $73,000 during the first year of enforcement. The Department cannot estimate the savings to the industry as a whole because the number of sellers is unknown. The Department expects that additions to the rule will not increase costs above what was estimated in previous iterations of the rule. It is expected that, because of the rule, a Utah e-liquid seller would experience costs of $10,000 to $450,000 during the first year of enforcement. Costs are most likely to result from lost sales due to non-compliant product. However, the majority of the rule requirements are based on federal regulations that businesses would already be expected to follow. The only exception is that the Utah rule places a restriction on the sale of high nicotine products and those that market themselves as containing healthful additives. The Department cannot estimate the cost to the industry as a whole because the number of sellers is unknown. It is expected that small general retailers will incur little cost through the enforcement of the rule. General retailers typically sell manufacturer-sealed electronic-cigarette substances, which are exempt from the rule. General retailers may experience some cost through educating staff on the rule or through incurring local enforcement fines. However, because the number of small general retailers who sell these products is unknown, the Department cannot estimate the total cost they will incur. The e-liquid seller could also face non-fiscal costs and benefits. The requirement of a safety warning may be perceived as an infringement of free speech. Also, sellers may feel wrongfully deprived of property if a local health department exercises its authority to seize goods it has determined to be a danger to public health. With the amendments to the rule this event is less likely to occur. However, the use of federal regulations in the state rule will decrease any perceived sense of inequality between what is expected in Utah and the regulations of other states.
persons other than small businesses, businesses, or local governmental entities:
These amendments will decrease the cost of compliance to businesses in the state. Those savings can be passed on to consumers in the price of electronic cigarette products. The Department cannot estimate the total savings to the consumer due to varying circumstances of the individual retailers. However, the amendment to loosen the requirements on labeling and packaging may impose costs on other members of the public. Provisions have been removed from the rule that may have prevented nicotine poisonings. As such, the public may experience medical costs they would not have had if certain labeling and packaging requirements had not been removed. It is difficult to estimate what this cost would be due to a wide range of potential medical circumstances. General retailers may experience some cost through educating staff on the rule or through incurring local enforcement fines. However, because the number of general retailers who sell these products is unknown, the Department cannot estimate the total cost they will incur.
Compliance costs for affected persons:
The department expects that additions to the rule will not increase costs above what was estimated in previous iterations of the rule. Amendments to the rule are based on federal regulations that businesses are expected to follow. The only change in the rule that would cause a business to change its practices would be the amended requirements to the safety warning. Not only is this based on a federal standard, but also the amendment will not cost more than what has been estimated in previous iterations of this rule. The rule retains the restrictions on the sale of high nicotine products and those that market themselves as containing healthful additives. These provisions were present in previous iterations of the rule and will not add a cost to business above what has been estimated before. The majority of amendments remove requirements and thus will reduce the cost to business. As such, the department estimates that a Utah e-liquid seller would experience costs of $10,000 to $450,000 during the first year of compliance. Again, rule amendments have not added to compliance costs. Provisions that already existed in the rule contribute to the provided cost estimate and largely result from lost sales from non-compliance product. It is expected that general retailers will incur little compliance cost because the majority of the products they sell are exempt from the rule. The small portion of general retailers that will come under regulation may experience: 1) a negligible loss in sales; 2) some cost through educating staff; and 3) potential fines through local enforcement.
Comments by the department head on the fiscal impact the rule may have on businesses:
The purpose of the amendment is to bring the rule into conformance with the FDA's Tobacco Control Act Deeming Rule. The majority of the provisions for labeling have been removed since they are now superceded by the Deeming Rule. The amendment simplifies retail sale restrictions and removes any limits addressing variations of nicotine in a product. It also removes the requirements addressing tamper-evident packaging and requirements addressing ingredients of electronic-cigarette substances. It also removes any related record keeping requirements. The amendment will fiscally impact business by decreasing the cost of compliance with the deleted rule requirements.
Joseph Miner, MD, Executive Director
The full text of this rule may be inspected, during regular business hours, at the Office of Administrative Rules, or at:Health
Disease Control and Prevention, Health Promotion
CANNON HEALTH BLDG
288 N 1460 W
SALT LAKE CITY, UT 84116-3231
Direct questions regarding this rule to:
- Luke Chalmers, Tobacco Policy Analyst by phone at 801-538-538-6260 or by Internet E-mail at email@example.com
Interested persons may present their views on this rule by submitting written comments to the address below no later than 5:00 p.m. on 10/03/2016:
Attn: Luke Chalmers, Tobacco Policy Analyst
Tobacco Prevention and Control Program
P.O. Box 142106
Salt Lake City, UT 84114-2106
This rule may become effective on:
Joseph Miner, Executive Director
R384. Disease Control and Prevention, Health Promotion.
R384-415. Electronic-Cigarette Substance Standards.
R384-415-1. Authority and Purpose.
(1) This rule is authorized by Section 26-57-103 and Subsection 59-14-803(5).
(2) This rule establishes standards for labeling, nicotine content, packaging, and product quality for electronic-cigarette substances for the regulation of electronic-cigarettes.
(3) This rule does not apply to a manufacturer-sealed electronic-cigarette substance.
(4) A product in compliance with this rule is not endorsed as safe.
As used in this rule:
(1) "Artificial coloring" means the same as the
term is defined in 21 C.F.R. 101.22(a)(4) (April 1, 2015) and as
the term "color additive" is defined in 21 C.F.R 70.3(f)
(April 1, 2015). (2) "Artificial flavoring" means the same as
the term is defined in 21 C.F.R 101.22(a)(1) (April 1,
2015). (3) "Batch number" means the same as the term
"lot number, control number, or batch number" is defined
in 21 C.F.R. 210.3(b)(11) (April 1, 2015).]
4]) "Business" means any sole proprietorship,
partnership, joint venture, corporation, association, or other
entity formed for profit or non-profit purposes.
5]) "Child resistant" means the same as the term
"special packaging" is defined in 16 C.F.R 1700.1(a)(4)
(January 1, 2015) and is tested in accordance with the method
described in 16 C.F.R. 1700.20 (January 1, 2015).
6]) "Department" means the Utah Department of
7]) "Electronic-cigarette" means the same as the
term is defined in Subsections 26-38-2(1) and 59-14-802(2).
8]) "Electronic-cigarette Product" means the same
as the term is defined in Subsection 59-14-802(3).
9]) "Electronic-cigarette substance" means the same
as the term is defined in Subsection 59-14-802(4).
(10) "EP standards" means the standards
established for medicines by the European Pharmacopeia, the
European equivalent of the United States Pharmacopeia. The EP
standards define requirements for the qualitative and quantitative
composition of medicines, and the tests that are to be used on
medicines, substances, and materials used in their
production. (11) "Generally Recognized As Safe" means an
United States Food and Drug Administration designation that a
substance added to food is generally recognized, by qualified
experts, as having been adequately shown to be safe under the
conditions of its intended use, as found in 21 C.F.R. 170.30 (April
1, 2015). Such a substance is exempted from the usual Federal Food,
Drug, and Cosmetic Act, 21 U.S.C. Sec. 301 et sq.
12]) "Local health department" means the same as the
term is defined in Subsection 26A-1-102(5).
13]) "Manufacture" means the same as the term is
defined in Subsection 26-57-102(5).
14]) "Manufacturer" means the same as the term is
defined in Subsection 26-57-102(6).
15]) "Mg/mL" means milligrams per milliliter, a
ratio for measuring an ingredient, in liquid form, where accuracy
is measured in milligrams per milliliter, or a percentage
(16) "Natural flavoring" means the same as the
term is defined in 21 C.F.R 101.22(a)(3) (April 1,
17]) "Nicotine" means the same as the term is
defined in the Federal Food, Drug, and Cosmetic Act, 21 U.S.C. Sec.
18]) "Manufacturer-sealed electronic-cigarette
substance" means the same as the term defined is in Subsection
(19) "Pharmaceutical" means a compound
manufactured for use as a medicinal drug.]
20]) "Retailer" means any person who sells, offers
for sale, or offers to exchange for any form of consideration, an
electronic-cigarette substance to a consumer. This definition is
without regard to the quantity of an electronic-cigarette substance
sold, offered for sale, exchanged, or offered for exchange.
21]) "Retailing" means involvement in any of the
activities listed in Subsection R384-415-2([ 20]). This definition is without regard to the quantity of an
electronic-cigarette substance sold, offered for sale, exchanged,
or offered for exchange.
(22) "Straight color" means a color additive
approved for human consumption in food and drugs as listed in 21
C.F.R. 73.1 through 21 C.F.R. 73.1991 (April 1, 2015), 21 C.F.R.
74.101 through 21 C.F.R. 74.1711 (April 1, 2015), and 21 C.F.R.
81.1 (April 1, 2015), and includes substances as are permitted by
the specifications for such color. (23) "Tamper-evident" means the packaging uses an
indicator or barrier to entry that is distinctive by design, or
must employ an identifying characteristic.]
24]) "Transaction statement" means a statement, in
paper or electronic form, which the manufacturer transferring
ownership of the product certifies that the electronic-cigarette
substance is in compliance with the standards in this rule.
(25) "USFDA Food Standards" means the United
States Food and Drug Administration's common designation for
standards of identity, standards of quality, and standards of fill
of container promulgated under the Federal Food, Drug and Cosmetics
Act, 21 U.S.C. Sec. 301 et seq. (2013)and as contained in 21 C.F.R.
130 through 21 C.F.R. 169 (April 1, 2015). (26) "USP-NF standards" means the standards for
drug products established by the United States Pharmacopeia and
National Formulary. The USP-NF standards include standards for
chemical and biological drug substances, dosage forms, compounded
preparations, excipients, medical devices, and dietary
R384-415-3. General Labeling.
(1) The retailer shall ensure that a container holding an
electronic-cigarette substance offered for sale to the consumer
conforms to the following labeling standards: (a) the label is smear resistant; and (b) the label clearly displays: (i) the nicotine content in mg/mL or percent by
volume; (ii) the manufacturer name; (iii) the batch number; (iv) the ingredients, as required in Section
R384-415-4; (v) a tamper-evident warning, which meets the
requirements of Section R384-415-5; and (vi) a safety warning, which meets the requirements of
R384-415-4. Labeling of Ingredients.
(1) The retailer shall ensure that: (a) an ingredient of an electronic-cigarette substance is
listed on the label of the container holding an
electronic-cigarette substance, except as provided for in
Subsection R384-415-4(1)(c)(i). (b) An artificial coloring ingredient is listed on the
label using the classification system that best applies.
Classification systems include: (i) Food, Drug, and Cosmetic color designation and
number; (ii) Drug and Cosmetic color designation and number;
or (iii) the generic straight color name, if the artificial
color is not classified under the systems found in Subsection
R384-415-4(1)(b)(i) or Subsection R384-415-4(1)(b)(ii). (c)(i) An ingredient included in the manufacturer's
proprietary mixture of flavorings is exempt from being listed on
the label by name. (ii) An ingredient included in the manufacturer's
proprietary mixture of flavorings is listed on the label under
the generic term of artificial flavoring, natural flavoring, or
R384-415-5. Labeling of Tamper-Evident Warning.
(1) The retailer shall ensure that the label of an
electronic-cigarette substance displays a tamper-evident warning
alerting the consumer to the tamper-evident feature of the
packaging (2) The retailer shall ensure that the tamper-evident
warning: (a) is prominently displayed to consumers; (b) is placed on the label so that it would be unaffected
if the tamper-evidence feature is removed; and (c) lists the type of tamper-evident feature used with the
. Labeling[ of Safety Warning].
(1) The retailer shall ensure that [
an] electronic-cigarette substance offered
for sale to the consumer features
[ a] safety warning stating [ "nicotine is addictive and poisonous. Keep away from
children and pets".]
2]) The retailer shall ensure that the
occupies at least 20 percent of the largest panel of the
container and any additional immediate packaging];
(b) is [
in ]capitalized [ letters];
has a font size that occupies the maximum amount of the
area described in Subsection R384-415-6(2)(a)];
(d) uses [
the] Helvetica, Arial, or [ Univers] font;[ and]
(e) uses either a black font on a white
background or a white font on a black background[
. Nicotine Content.
(1) ]The retailer shall [ comply with the following nicotine content standards
regarding an] electronic-cigarette substance [ sold ]to the consumer[ : (a) The nicotine content for an electronic-cigarette
substance is] limited to 360 mg
per container, and does not exceed a 24mg/mL
(b) The nicotine level for an electronic-cigarette
substance is limited to a 10% variation in mg/mL above the content
level indicated on the label. (c) An electronic-cigarette substance labeled 0 mg/mL or 0%
by volume contains no nicotine.]
(1) ]The retailer shall ensure that the packaging
of an electronic-cigarette substance intended for sale to a
consumer[ ; (a) ] is certified as child resistant, and
compliant with federal standards and law concerning child nicotine
poisoning prevention[ ;]
(b) does not leak at the time of sale; and (c) utilizes a tamper-evident feature by means of one or
more of the following: (i) a bubble pack; (ii) a heat shrink band; (iii) a breakable cap; or (iv) an inner-seal.]
. Product Quality.
(1) The retailer shall ensure that an ingredient in an
electronic-cigarette substance is compliant with either USP-NF
standards, EP standards, USFDA Food Standards, or is Generally
Recognized As Safe at the time of sale. (2) The retailer shall be prohibited from selling an
electronic-cigarette substance that contains: (a) vitamins or other additives that create the
impression that an electronic-cigarette substance has a health
benefit or presents reduced health risks; (b) pharmaceuticals; (c) caffeine or taurine or other additives and stimulant
compounds that are associated with energy and vitality; (d) illegal or controlled substances as identified in
Section 58-37-3; and (e) additives having coloring properties for
. Record Keeping and Testing.
(1) The retailer shall provide the electronic-cigarette substances transaction statement to the Department or the local health department within five working days of a request. The retailer shall ensure that the transaction statement includes manufacturer certifications that:
(a) the nicotine content of an
electronic-cigarette substance is compliant with Section R384-415-[
(b) the packaging of an electronic cigarette-substance is child-resistant; and
(c) an ingredient used in an electronic-cigarette substance
meets the appropriate standard found in Section
(2)(a) The retailer shall have a system in place to trace
production of an electronic-cigarette substance through the labeled
batch number to the ingredients used in manufacturing. (b) The retailer shall provide documents produced from
batch tracing to the enforcing agency within five working days of
a request. (c) The retailer shall ensure that documents produced
through batch tracing provide evidence in support of the
electronic-cigarette substances transaction
(a)] The retailer shall have access to the
documents described in Subsections R384-415-[ 10](1) and R384-415-[ 10](2) for a period of two years after the retailer purchases
the electronic-cigarette substance.
(b) the retailer shall provide the documents described in
Subsections R384-415-10(1) and R384-415-10-(2) to the Department or
the local health department within 5 working days of a
(1) The Department may enforce and seek penalties for the violation of public health rules including, the standards for electronic cigarettes set forth in this rule as prescribed in Sections 26-23-1 through 26-23-10.
(2) A local health department may enforce and seek penalties for the violation of the standards for electronic cigarettes set forth in this rule. A local health department shall have authority to enforce and seek penalties for violations of public health law including this rule as is found in Sections 26-23-1 through 26-23-10, 26A-1-108, 26A-1-114(1) and 26A-1-123.
(3) The Department or local health department is responsible to make a determination as to if a person holding a Utah State Tax Commission license to sell electronic cigarettes has violated the standards of this rule. If the Department or local health department makes such a determination it shall notify the Utah State Tax Commission to revoke the person's license as provided in Subsection 59-14-803(5).
(4) Administrative or civil enforcement of this rule by the Department or local health departments does not preclude criminal enforcement by a law enforcement agency and prosecution of any violation of the standards in this rule that can constitute a criminal offense under state law.
KEY: electronic cigarettes, nicotine, standards, Electronic-Cigarette Regulation Act
Date of Enactment or Last Substantive Amendment: [
Authorizing, and Implemented or Interpreted Law: 26-57-103; 59-14-803(5)
More information about a Notice of Proposed Rule is available online.
The Portable Document Format (PDF) version of the Bulletin is the official version. The PDF version of this issue is available at https://rules.utah.gov/publicat/bull-pdf/2016/b20160901.pdf. The HTML edition of the Bulletin is a convenience copy. Any discrepancy between the PDF version and HTML version is resolved in favor of the PDF version.
Text to be deleted is struck through and surrounded by brackets ([
example]). Text to be added is underlined (). Older browsers may not depict some or any of these attributes on the screen or when the document is printed.
For questions regarding the content or application of this rule, please contact Janae Duncan at the above address, by phone at 801-538-9273, by FAX at , or by Internet E-mail at firstname.lastname@example.org. For questions about the rulemaking process, please contact the Office of Administrative Rules.