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 knowledge 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 with 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 Commission （CAC）1 as well as the Codex Working 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 factors, 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 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 regulatory 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 document does not address nvironmental, ethical, moral and socio-economic aspects of the research, development, production and marketing of these foods 3.
8. The definitions below apply to these Principles:
“Modern Biotechnology” means the application of:
（i） In vitro nucleic acid techniques, including 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.
“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.
SECTION 3 – PRINCIPLES
9. The risk analysis 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 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 other 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 counterpart:
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 case-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 relevant 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 assessment 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 risk 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 measures 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 Commission （CAC）7 as well as the Codex Working 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. 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. Post-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 the purpose of:
A） verifying conclusions about the absence or the possible occurrence, impact and significance of potential consumer health effects; and
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 may 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 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, academia, media and consumers.
FOOTNOTE: 1 These decisions include the Statements of principle concerning the role of science in the Codex decision-making process and 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 Anaplysis for Application in the Framework of the Codex 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 biotechnology.
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.
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 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 Codex Committee on Food Labelling in relation to the Proposed Draft Guidelines for the Labelling of Foods and Food Ingredients obtained through certain techniques of genetic modification/genetic engineering at Step 3 of the procedures.
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.