CAC/GL 44-2003 Page1 of 4
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 (. 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:
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.
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“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
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).
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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.
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.
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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 of 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 processes
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 manage 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 provided in characterising and managing
the risks associated with foods derived from modern biotechnology. This should include consistency of
data requirements, assessment frameworks, acceptable level of risk, communication and consultation
mechanisms and timely decision processes.
CAPACITY BUILDING AND 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 undertaken 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 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 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 derived 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 and, if necessary, risk management measures adapted accordingly.
10 Reference is made to technical assistance of provisions in Article 9 of the SPS Agreement and Article 11 of the TBT
Agreement.
