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1、-1- PRINCIPLES FOR THE RISK ANALYSIS OF FOODS DERIVED FROM MODERN BIOTECHNOLOGY CAC/GL 44-2003 SECTION 1 - INTRODUCTION 1. For many foods, the level of food safety generally accepted by the society reflects the history of their safe consumption by humans. It is recognised that in many cases the know
2、ledge required to manage the risks associated with foods has been acquired in the course of their long history of use. Foods are generally considered safe, provided that care is taken during development, primary production, processing, storage, handling and preparation. 2. The hazards associated wit
3、h foods are subjected to the risk analysis process of the Codex Alimentarius Commission to assess potential risks and, if necessary, to develop approaches to manage these risks. The conduct of risk analysis is guided by general decisions of the Codex Alimentarius Commission1 as well as the Codex Wor
4、king Principles for Risk Analysis2. 3. While risk analysis has been used over a long period of time to address chemical hazards (e.g. residues of pesticides, contaminants, food additives and processing aids), and it is being increasingly used to address microbiological hazards and nutritional factor
5、s, the principles were not elaborated specifically for whole foods. 4. The risk analysis approach can, in general terms, be applied to foods including foods derived from modern biotechnology. However, it is recognised that this approach must be modified when applied to a whole food rather than to a
6、discrete hazard that may be present in food. 5. The principles presented in this document should be read in conjunction with the Codex Working Principles for Risk Analysis to which these principles are supplemental. 6. Where appropriate, the results of a risk assessment undertaken by other regulator
7、y authorities may be used to assist in the risk analysis and avoid duplication of work. SECTION 2 SCOPE AND DEFINITIONS 7. The purpose of these Principles is to provide a framework for undertaking risk analysis on the safety and nutritional aspects of foods derived from modern biotechnology. This do
8、cument does not address environmental, ethical, moral and socio-economic aspects of the research, development, production and marketing of these foods3. 8. The definitions below apply to these Principles: “Modern Biotechnology” means the application of: i) In vitro nucleic acid techniques, including
9、 recombinant deoxyribonucleic acid (DNA) and direct injection of nucleic acid into cells or organelles, or ii) Fusion of cells beyond the taxonomic family, that overcome natural physiological reproductive or recombinant barriers and that are not techniques used in traditional breeding and selection4
10、. “Conventional Counterpart” means a related organism/variety, its components and/or products for which there is experience of establishing safety based on common use as food5. 1 These decisions include the Statements of principle concerning the role of science in the Codex decision-making process a
11、nd the extent to which other factors are taken into account and the Statements of principle relating to the role of food safety risk assessment (Codex Alimentarius Commission Procedural Manual; Thirteenth edition). 2 “Working Principles for Risk Analysis for Application in the Framework of the Codex
12、 Alimentarius”(adopted by the 26th Session of the Codex Alimentarius Commission, 2003; Codex Alimentarius Commission Procedural Manual; Thirteenth edition) 3 This document does not address animal feed and animals fed such feed except insofar as these animals have been developed by using modern biote
13、chnology. 4 This definition is taken from the Cartagena Biosafety Protocol under the Convention on Biological Diversity. 5 It is recognized that for the foreseeable future, foods derived from modern biotechnology will not be used as conventional counterparts. -2- SECTION 3 PRINCIPLES 9. The risk ana
14、lysis process for foods derived from modern biotechnology should be consistent with the Codex Working Principles for Risk Analysis. RISK ASSESSMENT 10. Risk assessment includes a safety assessment, which is designed to identify whether a hazard, nutritional or other safety concern is present, and if
15、 present, to gather information on its nature and severity. The safety assessment should include a comparison between the food derived from modern biotechnology and its conventional counterpart focusing on determination of similarities and differences. If a new or altered hazard, nutritional or othe
16、r safety concern is identified by the safety assessment, the risk associated with it should be characterized to determine its relevance to human health. 11. A safety assessment is characterized by an assessment of a whole food or a component thereof relative to the appropriate conventional counterpa
17、rt: A) taking into account both intended and unintended effects; B) identifying new or altered hazards; C) identifying changes, relevant to human health, in key nutrients. 12. A pre-market safety assessment should be undertaken following a structured and integrated approach and be performed on a cas
18、e-by-case basis. The data and information, based on sound science, obtained using appropriate methods and analysed using appropriate statistical techniques, should be of a quality and, as appropriate, of quantity that would withstand scientific peer review. 13. Risk assessment should apply to all re
19、levant aspects of foods derived from modern biotechnology. The risk assessment approach for these foods is based on a consideration of science-based multidisciplinary data and information taking into account the factors mentioned in the accompanying Guidelines6. 14. Scientific data for risk assessme
20、nt are generally obtained from a variety of sources, such as the developer of the product, scientific literature, general technical information, independent scientists, regulatory agencies, international bodies and other interested parties. Data should be assessed using appropriate science-based ris
21、k assessment methods. 15. Risk assessment should take into account all available scientific data and information derived from different testing procedures, provided that the procedures are scientifically sound and the parameters being measured are comparable. RISK MANAGEMENT 16. Risk management meas
22、ures for foods derived from modern biotechnology should be proportional to the risk, based on the outcome of the risk assessment and, where relevant, taking into account other legitimate factors in accordance with the general decisions of the Codex Alimentarius Commission7 as well as the Codex Worki
23、ng Principles for Risk Analysis. 17. It should be recognised that different risk management measures may be capable of achieving the same level of protection with regard to the management of risks associated with safety and nutritional impacts on human health, and therefore would be equivalent. 18.
24、Risk managers should take into account the uncertainties identified in the risk assessment and implement appropriate measures to manage these uncertainties. 19. Risk management measures may include, as appropriate, food labelling8 conditions for marketing approvals and post-market monitoring. 20. Po
25、st-market monitoring may be an appropriate risk management measure in specific circumstances. Its need and utility should be considered, on a case-by-case basis, during risk assessment and its practicability should be considered during risk management. Post-market monitoring may be undertaken for th
26、e purpose of: A) verifying conclusions about the absence or the possible occurrence, impact and significance of potential consumer health effects; and 6 Reference is made to the Guideline for the Conduct of Food Safety Assessment of Foods Derived from Recombinant-DNA Plants (CAC/GL 45-2003) and the
27、Guideline for the Conduct of Food Safety Assessment of Foods Produced using Recombinant-DNA Microorganisms (CAC/GL 46-2003). 7 See footnote 1. 8 Reference is made to the CCFL in relation to the Proposed Draft Guidelines for the Labelling of Foods and Food Ingredients obtained through certain techniq
28、ues of genetic modification/genetic engineering at Step 3 of the Codex Elaboration Procedure. -3- B) monitoring changes in nutrient intake levels, associated with the introduction of foods likely to significantly alter nutritional status, to determine their human health impact. 21. Specific tools ma
29、y be needed to facilitate the implementation and enforcement of risk management measures. These may include appropriate analytical methods; reference materials; and, the tracing of products9 for the purpose of facilitating withdrawal from the market when a risk to human health has been identified or
30、 to support post-market monitoring in circumstances as indicated in paragraph 20. RISK COMMUNICATION 22. Effective risk communication is essential at all phases of risk assessment and risk management. It is an interactive process involving all interested parties, including government, industry, acad
31、emia, media and consumers. 23. Risk communication should include transparent safety assessment and risk management decision-making processes. These processes should be fully documented at all stages and open to public scrutiny, whilst respecting legitimate concerns to safeguard the confidentiality o
32、f commercial and industrial information. In particular, reports prepared on the safety assessments and other aspects of the decision-making process should be made available to all interested parties. 24. Effective risk communication should include responsive consultation processes. Consultation proc
33、esses should be interactive. The views of all interested parties should be sought and relevant food safety and nutritional issues that are raised during consultation should be addressed during the risk analysis process. CONSISTENCY 25. A consistent approach should be adopted to characterise and mana
34、ge safety and nutritional risks associated with foods derived from modern biotechnology. Unjustified differences in the level of risks presented to consumers between these foods and similar conventional foods should be avoided. 26. A transparent and well-defined regulatory framework should be provid
35、ed in characterising and managing the risks associated with foods derived from modern biotechnology. This should include consistency of data requirements, assessment frameworks, the acceptable level of risk, communication and consultation mechanisms and timely decision processes. CAPACITY BUILDING A
36、ND INFORMATION EXCHANGE 27. Efforts should be made to improve the capability of regulatory authorities, particularly those of developing countries, to assess, manage and communicate risks, including enforcement, associated with foods derived from modern biotechnology or to interpret assessments unde
37、rtaken by other authorities or recognised expert bodies, including access to analytical technology. In addition capacity building for developing countries either through bilateral arrangements or with assistance of international organizations should be directed toward effective application of these
38、principles10. 28. Regulatory authorities, international organisations and expert bodies and industry should facilitate through appropriate contact points including but not limited to Codex Contact Points and other appropriate means, the exchange of information including the information on analytical
39、 methods. REVIEW PROCESSES 29. Risk analysis methodology and its application should be consistent with new scientific knowledge and other information relevant to risk analysis. 30. Recognizing the rapid pace of development in the field of biotechnology, the approach to safety assessments of foods de
40、rived from modern biotechnology should be reviewed when necessary to ensure that emerging scientific information is incorporated into the risk analysis. When new scientific information relevant to a risk assessment becomes available the assessment should be reviewed to incorporate that information a
41、nd, if necessary, risk management measures adapted accordingly. 9 It is recognised that there are other applications of product tracing. These applications should be consistent with the provisions of the SPS and TBT Agreements. The application of product tracing to the areas covered by both Agreements is under consideration within Codex on the basis of decisions of 49th Session of Executive Committee. 10 Reference is made to technical assistance of provisions in Article 9 of the SPS Agreement and Article 11 of the TBT Agreement.