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Update Project Chapter 9: Special Considerations Draft May 2008 1 PRINCIPLES AND METHODS FOR THE RISK ASSESSMENT OF CHEMICALS IN FOOD 1 2 CHAPTER 9: SPECIAL CONSIDERATIONS 3 4 CHAPTER 9: SPECIAL CONSIDERATIONS ........................................................................ 1 5 9.1 SPECIAL CONSIDERATIONS FOR SUBSTANCES CONSUMED IN SMALL AMOUNTS .................. 1 6 9.1.1 Threshold of toxicological concern ........................................................................... 2 7 9.1.2 Flavouring substances ............................................................................................... 5 8 9.1.3 Food contact materials/packaging migrants ............................................................. 9 9 9.1.4 Processing aids .......................................................................................................... 9 10 9.1.4.1 Solvents ............................................................................................................... 9 11 9.1.4.2 Enzymes ............................................................................................................ 10 12 9.1.4.3 Immobilizing agents.......................................................................................... 12 13 9.2 SPECIAL CONSIDERATIONS FOR SUBSTANCES CONSUMED IN LARGE AMOUNTS ................ 12 14 9.2.1 Introduction ............................................................................................................. 12 15 9.2.1.1 Chemical composition, specifications and impurities ...................................... 13 16 9.2.1.2 Nutritional studies ............................................................................................. 13 17 9.2.1.3 Toxicity studies ................................................................................................. 14 18 9.2.2 Nutrients and related substances............................................................................. 15 19 9.2.2.1 Adverse health effects of nutrients and related substances—general concepts 17 20 9.2.2.2 Deriving the UL ................................................................................................ 19 21 9.2.3 Novel foods .............................................................................................................. 21 22 9.2.3.1 Chemical composition ...................................................................................... 22 23 9.2.3.2 Nutritional considerations ................................................................................. 23 24 9.2.3.3 Toxicological evaluations ................................................................................. 23 25 9.2.3.4 Human data ....................................................................................................... 23 26 9.2.3.5 History of safe use ............................................................................................ 23 27 9.2.3.6 Exposure assessment ......................................................................................... 24 28 9.2.3.7 Risk characterization......................................................................................... 25 29 9.3 SCIENTIFIC CRITERIA FOR PERIODIC REVIEWS AND RE-EVALUATIONS OF CHEMICALS IN 30 FOOD ..................................................................................................................................... 25 31 9.3.1 The need for periodic reviews and specific re-evaluations ..................................... 25 32 9.3.2 Periodic reviews of the risk assessments for pesticide residues .............................. 26 33 9.3.3 Mechanisms of periodic reviews and re-evaluations .............................................. 27 34 9.4 REFERENCES.................................................................................................................... 28 35 36 37 9.1 Special considerations for substances consumed in small amounts 38 Many of the substances evaluated by JECFA are present in food at low concentrations. 39 Examples include flavouring substances, which are added to food to enhance organoleptic 40 appeal, processing aids, extraction solvents and enzymes used in food production. Also 41 included are residues migrating into food from packaging materials, environmental 42 contaminants, such as lead, cadmium, mercury and chlorinated organic chemicals, as well as 43 residual amounts of pesticides and drugs used in livestock production. Residues in food from 44 pesticides and veterinary drug use are not considered further here, as they have been 45 discussed in detail in chapter 8. 46 For processing aids, extraction solvents, enzymes and residues of packaging 47 materials, JECFA has developed guidelines (Annex III of IPCS, 1987) for evaluation, which 48
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PRINCIPLES AND METHODS FOR THE RISK ASSESSMENT OF CHEMICALS IN FOOD 1 2

CHAPTER 9: SPECIAL CONSIDERATIONS 3 4

CHAPTER 9: SPECIAL CONSIDERATIONS ........................................................................1 5

9.1 SPECIAL CONSIDERATIONS FOR SUBSTANCES CONSUMED IN SMALL AMOUNTS..................1 6 9.1.1 Threshold of toxicological concern ...........................................................................2 7 9.1.2 Flavouring substances...............................................................................................5 8 9.1.3 Food contact materials/packaging migrants.............................................................9 9 9.1.4 Processing aids..........................................................................................................9 10

9.1.4.1 Solvents...............................................................................................................9 11 9.1.4.2 Enzymes............................................................................................................10 12 9.1.4.3 Immobilizing agents..........................................................................................12 13

9.2 SPECIAL CONSIDERATIONS FOR SUBSTANCES CONSUMED IN LARGE AMOUNTS ................12 14 9.2.1 Introduction .............................................................................................................12 15

9.2.1.1 Chemical composition, specifications and impurities ......................................13 16 9.2.1.2 Nutritional studies.............................................................................................13 17 9.2.1.3 Toxicity studies.................................................................................................14 18

9.2.2 Nutrients and related substances.............................................................................15 19 9.2.2.1 Adverse health effects of nutrients and related substances—general concepts 17 20 9.2.2.2 Deriving the UL ................................................................................................19 21

9.2.3 Novel foods ..............................................................................................................21 22 9.2.3.1 Chemical composition ......................................................................................22 23 9.2.3.2 Nutritional considerations.................................................................................23 24 9.2.3.3 Toxicological evaluations .................................................................................23 25 9.2.3.4 Human data .......................................................................................................23 26 9.2.3.5 History of safe use ............................................................................................23 27 9.2.3.6 Exposure assessment.........................................................................................24 28 9.2.3.7 Risk characterization.........................................................................................25 29

9.3 SCIENTIFIC CRITERIA FOR PERIODIC REVIEWS AND RE-EVALUATIONS OF CHEMICALS IN 30 FOOD .....................................................................................................................................25 31

9.3.1 The need for periodic reviews and specific re-evaluations .....................................25 32 9.3.2 Periodic reviews of the risk assessments for pesticide residues..............................26 33 9.3.3 Mechanisms of periodic reviews and re-evaluations ..............................................27 34

9.4 REFERENCES....................................................................................................................28 35 36

37 9.1 Special considerations for substances consumed in small amounts 38 Many of the substances evaluated by JECFA are present in food at low concentrations. 39 Examples include flavouring substances, which are added to food to enhance organoleptic 40 appeal, processing aids, extraction solvents and enzymes used in food production. Also 41 included are residues migrating into food from packaging materials, environmental 42 contaminants, such as lead, cadmium, mercury and chlorinated organic chemicals, as well as 43 residual amounts of pesticides and drugs used in livestock production. Residues in food from 44 pesticides and veterinary drug use are not considered further here, as they have been 45 discussed in detail in chapter 8. 46 For processing aids, extraction solvents, enzymes and residues of packaging 47 materials, JECFA has developed guidelines (Annex III of IPCS, 1987) for evaluation, which 48

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include determination of the level of residues in foods, intake, metabolic fate of residues and 1 the availability of toxicological data. 2 JECFA has placed special emphasis on the safety evaluation of heavy metals and 3 persistent organic contaminants in food because of the ability of many of these substances 4 with very long half-lives to bioaccumulate in tissues. Because of this property, JECFA 5 established the concept of “tolerable weekly or monthly intakes”, which is a departure from 6 the traditional ADI concept. This concept reflects the fact that single or short-term repeated 7 exposures to these materials may not be of toxicological consequence, but that low-level 8 sustained exposure may result in tissue levels that present a risk. 9 For contaminants that do not bioaccumulate, such as tin, arsenic, styrene and 10 aflatoxin, JECFA has established “maximum tolerable daily intakes”. The term tolerable 11 applied to contaminants expresses the concept that exposure to these substances, while 12 generally undesirable, is unavoidable due to their ubiquitous presence in the food supply. In 13 recognition of this fact, JECFA in 1978 introduced the concept of an “irreducible level”, 14 which is defined as “the concentration of a substance which cannot be eliminated from food 15 without discarding that food altogether, or severely compromising availability of major food 16 supplies.” 17 18 9.1.1 Threshold of toxicological concern 19 The objective of the majority of risk assessments is to establish safe intake levels for 20 chemicals. The methodology to accomplish this task, outlined elsewhere in this monograph, 21 essentially involves hazard identification, hazard characterization, exposure assessment and 22 risk characterization (see chapters 4, 5, 6 and 7). The establishment of safe intake levels 23 typically involves the first two steps of this process, in which NOAELS are determined, 24 either from animal studies or from human observations, and translated into acceptable 25 exposure levels or health-based guidance values, such as an ADI (see chapter 5). This 26 traditional approach, which has been in constant use for over 50 years, generally requires that 27 toxicological data are available on each chemical substance to perform a safety assessment. 28 The toxicological potency of the chemicals to which humans are exposed via the diet 29 varies up to 6 or more orders of magnitude. This means that the exposure at which adverse 30 effects are triggered, in terms of the amount of substance ingested per unit body weight, 31 varies considerably between substances. Many factors influence the inherent toxicity of 32 chemicals, including chemical reactivity, metabolism and toxicokinetics, and intrinsic 33 toxicity to biological systems. Among organic chemicals, the principal determinant of 34 toxicity is chemical structure; information accumulated over time indicates that the presence 35 of functional groups on a molecule is a primary determinant of inherent toxicity. For 36 example, for most chemical carcinogens, the structural features leading to DNA reactivity 37 and subsequent carcinogenesis have been elaborated (Ashby & Tennant, 1991). 38 The knowledge that toxicity is a function of chemical structure and of the extent of 39 exposure is the basis of the concept of the TTC, and the TTC approach can be used to 40 facilitate risk assessment of substances present at low levels in the diet for which there are 41 few or no toxicity data. The approach is based on the concept that a human exposure 42 threshold value can be determined for substances, below which there is a very low probability 43 of any appreciable risk to human health (Munro et al., 1996). The TTC concept has been 44 developed and refined over the last two decades. 45 Regulatory agencies have long had an interest in this concept, because humans may 46 be exposed to very small amounts of an enormous number of naturally occurring and human-47 made chemicals from a wide variety of sources. The TTC concept was initially proposed by 48 Rulis (1986, 1989, 1992) as a way for the USFDA to remove unnecessary requirements for 49

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testing of components of packaging materials that could migrate in extremely low amounts 1 into foods. 2 Based on the assumption that carcinogenicity would be the most critical effect at low 3 exposures, Rulis (1986, 1989, 1992) applied a mathematical approach to the development of 4 a threshold of concern for food contact materials. Rulis (1986) transformed the potencies 5 (expressed as TD50 values) of 343 orally administered carcinogens, compiled by Gold et al. 6 (1984), into a distribution of exposures calculated to present a theoretical lifetime cancer risk 7 of 1 in 1 million by simple linear extrapolation. His analysis indicated that it was highly 8 probable that dietary exposures to organic chemicals at levels of 0.05 µg/kg of diet or less 9 would not present a carcinogenic risk to humans, regardless of chemical structure, and 10 therefore it was not necessary to obtain animal toxicity data to evaluate such exposures. 11 Munro (1990) reanalysed the data assessed by Rulis (1986) using the same 12 methodology and also applied a probabilistic approach to three alternative data sets, 13 consisting of 1) carcinogens from the updated database of Gold et al. (1989), 2) the NTP 14 carcinogens as defined by Ashby & Tennant (1988) and Ashby et al. (1989), and 3) 15 carcinogens selected using conservative biological criteria. Overall, the results of the 16 reanalysis indicated that there was low probability that a level of 1 µg/kg of diet of a 17 substance of unknown toxicity would present a greater than 1 in 1 million risk of cancer. 18 On the basis of this work, the USFDA established a “threshold of regulation” for 19 indirect food additives (the term used by the FDA for migrants from food contact materials) 20 of 0.5 µg/kg total diet (USFDA, 1995). This is equivalent to a daily intake of 1.5 µg, 21 assuming consumption of 3 kg food and liquid per day. The USFDA stated that this threshold 22 of regulation would be applied to indirect food additives that are not known to be carcinogens 23 and that do not contain structural alerts indicative of carcinogenicity. Substances meeting 24 these criteria and with intakes less than the TTC would not require toxicological testing. 25 It should be noted that the threshold of regulation adopted by the USFDA was based 26 on a presumption that migrating packaging material components might be carcinogenic. 27 Assuming that 1 in 10 compounds assessed might be a carcinogen, a TTC value of 1.5 28 µg/person per day was derived from the distribution of TD50 values in the Gold et al. (1989) 29 carcinogen database: at this intake, there is a 96% probability that the risk of cancer would be 30 1 in 1 million or less. If carcinogenic potential could be ruled out, presumably higher 31 threshold values could be generated for non-carcinogenic components. To this end, the 32 analyses conducted by the USFDA (1995), Rulis (1986, 1989, 1992) and Munro (1990) were 33 further developed by Munro et al. (1996) through compilation of a database consisting of 34 over 600 reference substances from which distributions of NOELs were derived. The 35 reference database presented the toxicity in terms of NOELs for a wide variety of organic 36 chemicals of diverse structure, similar to the efforts of the previous workers but, in this case, 37 grouped into three general classes based on chemical structure using the decision-tree of 38 Cramer et al. (1978). The use of a structural classification is based on the well accepted tenet 39 that inherent toxicity is related to chemical structure. This reference database was used to 40 derive a threshold of human exposure that would be without safety concern for each of the 41 three structural classes and which can be applied to substances lacking toxicity data. 42 Munro et al. (1996) plotted the distribution of NOELs for 600 chemical substances 43 that included food additives, drugs, industrial chemicals and pesticides, arranged according to 44 the three structural classes of Cramer et al. (1978). The 5th percentile of the distribution of 45 NOEL values was calculated for each of the three structural classes. These 5th percentile 46 NOELs were then transformed into human exposure thresholds values, referred to as TTCs, 47 by dividing the 5th percentile NOEL for each structural class by a 100-fold uncertainty 48 factor. The TTC values for Cramer et al. (1978) structural classes I, II and III were 1800, 540, 49

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and 90 µg/person per day respectively. Since the TTC approach compares human exposure 1 threshold values with exposure data, it requires sound estimates of human exposure. 2 Subsequent work conducted by Kroes et al. (2000, 2004) attempted to evaluate further 3 the appropriateness of the thresholds proposed by Munro et al. (1996) to the distributions of 4 NOELs for various specific forms of toxicity, such as developmental toxicity, neurotoxicity 5 and immunotoxicity. With the exception of neurotoxicity induced by organophosphorus 6 compounds, none of the end-points examined produced TTC values less than the TTC for 7 Cramer et al. (1978) structural class III of 90 µg/person per day, and all classes of substances 8 examined (including endocrine disrupting chemicals) would be accommodated within the 9 TTC based on the carcinogen database of 1.5 µg/person per day. 10 Kroes et al. (2004) developed a decision-tree for the application of the TTC concept 11 for substances in structural classes I, II and III. The decision-tree also includes a TTC for 12 potential genotoxic carcinogens, based on the carcinogenic potencies associated with 730 13 compounds, mostly drawn from in the Gold et al. (1989) carcinogen database (Gold & 14 Zeiger, 1997). Analyses by Cheeseman et al. (1999) had indicated that the TD50 values for 15 different structural alerts could be used to identify the most potent genotoxic carcinogens. 16 Kroes et al. (2004) incorporated into their decision-tree (Figure 9.1) a TTC value of 0.15 17 µg/person per day for those compounds that contained certain structural alerts for 18 genotoxicity. They excluded substances with aflatoxin-like, azoxy- and nitrosamine groups, 19 because such substances would give a high probability of a theoretical lifetime cancer risk 20 greater than 1 in 1 million at such an intake, whereas other substances with structural alerts 21 for genotoxicity would present a 95% probability of less than 1 in 1 million risk. They also 22 excluded metals and metal-containing compounds and proteins, because the database from 23 which the TTC values were derived did not include these types of substances. 24 Polyhalogenated dibenzodioxins, dibenzofurans or biphenyls were also excluded because of 25 their long half-lives and wide species differences in toxicokinetics; in addition, such 26 substances would be evaluated by the TEF approac,h so that the TTC concept would not be 27 appropriate. The rationale for the TTC value of 0.15 µg/person per day is similar to the TTC 28 value of 1.5 µg/person per day (discussed above), except that it was assumed that all 29 compounds with such structures could be potential DNA-reactive carcinogens, rather than 1 30 in 10 as used in the derivation of the higher value. The TTC of 0.15 µg/person per day is 31 designed to allow the formulation of timely advice to risk managers about the possible risk 32 due to very low levels of a compound with a structural alert for genotoxicity or with positive 33 evidence of genotoxicity and is not intended to provide a rationale for the deliberate addition 34 of such a compound to the food supply. 35 A major advantage of the TTC concept is that it presents a method for focusing 36 resources on public health problems of greatest significance. Substances having exposures 37 below the relevant TTC have low potential for human harm and low priority for testing. The 38 procedure provides confidence that substances consumed in very small amounts present only 39 a minimal potential for risk. Moreover, the TTC provides a reasonable and science-based 40 alternative to animal testing of substances with innocuous structures and minimal exposure. 41

At its sixty-fifth meeting in 2006 (WHO, 2006), JECFA considered the application of 42 approaches involving the TTC, not only for the risk characterisation of flavourings, for which 43 the TTC concept had been used by JECFA for a decade (see section 9.1.2 below), but also for 44 other substances present in the diet in small amounts. The Committee noted that the 45 following considerations should be taken into account for further application of TTC 46 approaches: 47 48 • The approaches should be used in conjunction with conservative estimates of dietary 49

exposure. 50

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• Additional data on the toxicity of structurally related substances might be required. 1 2 3

Figure 9.1. Decision-tree of Kroes et al. (2004) for application of the TTC approach 4 5

It further recommended that guidance be drawn up on application of the approach 6 with regard to substances present in the diet in small amounts, such as certain residues of 7 processing aids, packaging materials and contaminants, to provide advice on the risk 8 assessment of substances for which full toxicological data sets are not available or are 9 unnecessary. 10

The TTC concept was introduced to allow risk assessors to provide science-based 11 advice when there is a high probability of negligible harm based on intake and chemical 12 structure alone. It is not intended to replace established risk assessment procedures used by 13 JECFA and JMPR for substances such as food additives and pesticides, which undergo prior 14 approval based on the generation of a comprehensive database. Also, the TTC approach 15 would not replace the established procedures for dioxin-like compounds or certain heavy 16 metals or where there are sufficient data to allow the establishment of a health-based 17 guidance value. 18 19 9.1.2 Flavouring substances 20 9.1.2.1 The JECFA procedure for safety evaluation 21 For flavouring agents, JECFA has noted that in most cases intake of these substances is low 22 and self-limiting, and that while a few flavouring substances may pose toxicological risks 23 (e.g. safrole, which is carcinogenic and now no longer in use), the vast majority of flavours 24 are metabolized rapidly to innocuous end-products (IPCS, 1987). This fact limits the need for 25 toxicological testing of many flavouring substances, and therefore metabolic data (e.g. 26 hydrolysis of esters) and structure–activity relationships can play a key role in their safety 27 evaluation. 28

Flavouring substances are composed of divergent groups of materials, including: 29 30 • artificial substances unlikely to occur naturally in food; 31 • natural materials not normally consumed as food, their derived products and the 32

equivalent nature-identical flavourings; 33 • herbs and spices, their derived products, and the equivalent nature-identical flavourings; 34

and 35 • natural flavouring substances obtained from vegetable and animal products and normally 36

consumed as food whether processed or not, and their synthetic equivalents (IPCS, 1987). 37 38

The safety evaluation of flavouring substances presents a special challenge. 39 Flavouring substances are generally consumed in low amounts, and there are over 2500 40 individual flavouring substances in use worldwide. All of the existing individual flavouring 41 substances can be arranged into about 40 groups comprising substances with related chemical 42 structures and similar known or predicted metabolic fates. Testing all these substances for 43 toxicity using classical toxicological approaches would present a formidable challenge and a 44 massive use of resources. The safety evaluation of flavours presents an opportunity to 45 combine data on intake, metabolic fate and toxicity, including the application of the TTC 46 concept (see section 9.1.1 above), to perform assessments of flavourings in related structural 47 groups. 48

In 1995, JECFA considered a procedure, based on work subsequently published by 49 Munro et al. (1999), that incorporated these principles into a safety evaluation procedure for 50

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flavouring substances (WHO, 1995). The procedure was adopted by JECFA for the 1 evaluation of flavourings at its forty-sixth meeting in 1997 and was modified by JECFA at its 2 forty-ninth meeting (WHO, 1999). Between 1999 and 2006, it has been used to evaluate 3 approximately 1800 flavouring substances. At the sixty-fifth JECFA meeting in 2006 (WHO, 4 2006), the Committee reaffirmed use of the TTC approach in the evaluation procedure for 5 flavouring agents. The procedure is outlined in Figure 9.2. 6 7 8 Figure 9.2. Procedure for the safety evaluation of flavouring agents adopted by the Committee 9 at its forty-ninth meeting 10 11

The approach incorporates a series of criteria designed to provide a method to 12 evaluate flavouring substances in a consistent and timely manner. The criteria take account of 13 available information on intake from current uses, structure–activity relationships, and known 14 or predicted metabolism, plus any available toxicity data on the compound or related 15 compounds. The use of these criteria provides a means of sorting flavouring substances in 16 terms of the presence or absence of safety concerns and provides guidance on the nature and 17 extent of the data required to perform a safety evaluation. 18 The criteria take advantage of the fact that some flavouring agents occur as normal 19 constituents of mammalian tissues or are metabolized to form such constituents and are then 20 completely metabolized to innocuous end-products, such as carbon dioxide and water. 21 Flavouring agents with these characteristics are considered to be safe for consumption if 22 human intake is below the threshold of concern for the structural class, but are evaluated on 23 the basis of toxicity data if human intake is above the threshold of concern for the structural 24 class. The safety evaluation may involve the use of toxicity data on the individual substance 25 concerned or may rely, at least in part, on toxicity data on substances of closely related 26 structure. 27 For flavouring agents that are not known to be or predicted to be metabolized to 28 innocuous end-products, the safety evaluation must be based on toxicity data, even if intake is 29 low. In such cases, there must be an adequate margin of safety between human intake of the 30 flavouring agent and the NOEL for the substance or the NOEL for a substance of closely 31 related structure on which the safety evaluation relies. Flavouring agents currently in use for 32 which no toxicity or metabolic data exist, and for which intake is extremely low, less than 1.5 33 µg/day, could be considered not to present a safety concern provided they do not contain 34 structural alerts for genotoxicity. 35 It has been noted that the safety evaluation procedure is not intended to be applied to 36 flavouring agents with existing unresolved problems of toxicity. As with any scheme, its 37 application calls for judgement, and it should not replace expert opinion; JECFA therefore 38 reserved the right to use alternative approaches when data on specific flavouring agents 39 warranted such action. 40 It was noted that a key element of the procedure involves determining whether a 41 flavouring agent and the products of its metabolism are innocuous and/or endogenous 42 substances. The Committee considered that these terms require definition. It recommended 43 that “innocuous metabolic products” should be defined as products that are known or readily 44 predicted to be harmless to humans at the estimated intakes of the flavouring agent, whereas 45 “endogenous substances” are intermediary metabolites normally present in human tissues and 46 fluids, whether free or conjugated; hormones and other substances with biochemical or 47 physiological regulatory functions are not included. The estimated intake of a flavouring 48 agent that is, or is metabolized to, an endogenous substance should be judged not to give rise 49 to perturbations outside the physiological range. 50

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JECFA has noted that ADIs had previously been established for some flavouring 1 agents or groups of flavouring agents and recommended that these should be retained, since 2 the information on which they are based is relevant to an evaluation of their safety and, in 3 addition, they may have uses other than as flavouring agents (e.g. as food additives). 4 5 10.1.2.2 Consideration of intake estimates 6 When the procedure for evaluation of flavouring agents was first adopted at its forty-sixth 7 meeting in 1996 (WHO, 1997), JECFA decided that, in view of the availability from industry 8 of data on annual production volumes (poundage data) for several thousand flavouring 9 ingredients, a method for calculating per capita exposure, the maximum survey-derived daily 10 intake (MSDI), could be readily used for assessing exposure as part of the procedure for 11 safety evaluation (see section 6.4.3.1). The estimation of dietary exposures for consumers of 12 flavouring agents based on annual production volume data was considered to be a practical 13 and realistic approach for the average (mean) consumer. The assessments of exposure used in 14 the procedure are derived from figures for the total annual production of flavouring agents 15 used in food in Europe and the United States. Estimates of intake are based on the assumption 16 that 60% or 80% of the total amount used is reported for Europe and the USA, respectively, 17 and that the total amount used is consumed by only 10% of the population. JECFA has noted 18 that information on intake should be periodically updated to ensure the validity of safety 19 evaluations. 20

While the Committee re-endorsed the MSDI approach at subsequent meetings, it has 21 also discussed limitations to the use of the MSDI for estimating dietary exposure. The 22 specific concern of the Committee was that the distribution of use levels for some flavouring 23 agents may be uneven across different food categories and within food categories, and that an 24 uneven distribution cannot be taken into account in the MSDI. At its fifty-fifth meeting 25 (WHO, 2001), the Committee noted that use of the MSDI might result in underestimates of 26 the dietary exposure of persons with high levels of consumption of certain foods. At its sixty-27 third meeting in 2004 (WHO, 2005), the Committee recognized that the MSDI estimates of 28 dietary exposure are difficult to reconcile with reported maximum use levels of some 29 flavouring agents in foods. 30

At its sixty-fifth meeting in 2005 (WHO, 2006), the Committee considered how better 31 to identify and deal with flavouring agents for which the MSDI estimates, as used in the 32 procedure, are substantially lower than the dietary exposures estimated from model diets and 33 the levels of use. The Committee anticipated that, in most cases, the existing data would 34 provide assurance about safety at levels of exposure higher than the MSDI, particularly for 35 flavouring agents that are not used in a wide range of food products. Nevertheless, this 36 assumption would need to be confirmed on a case-by-case basis. In cases where estimates of 37 exposure based on levels of use are higher than MSDI estimates, it was likely that the 38 exposure would exceed threshold values at steps A3 and B3 of the decision-tree (Figure 9.2). 39 The Committee therefore explored alternative approaches for estimating dietary exposure on 40 the basis of use levels,. Use level data allow conservative estimates of dietary exposure to be 41 made by several methods, including a model diet. In an exercise carried out in 2006 (WHO, 42 2006), dietary exposure estimates for many of the flavouring agents were above the relevant 43 threshold of concern when estimated by methods based on use levels, but for only a few 44 compounds when exposure was estimated as the MSDI. A preliminary comparison of the 45 dietary exposure estimates with the NOEL values for selected agents indicated, however, that 46 additional, more conservative estimates of dietary exposure would suggest a safety concern in 47 only a few cases. The Committee therefore recommended that there should be further 48 consideration of the most appropriate approach for evaluating the safety of flavouring agents 49 on the basis of conservative methods for estimating dietary exposure. 50

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At its sixty-seventh meeting in 2006 (WHO, 2007a), the Committee considered the 1 findings of an ad hoc working group that had examined data for over 800 flavouring agents. 2 It was noted that MSDI values could be up to 4 orders of magnitude lower than dietary 3 exposures derived using anticipated average use levels in foods. Analysis of the safety 4 implications showed that in the majority of cases, the differences between estimates would 5 not have affected the conclusions reached by the Committee on those flavours, because of the 6 increasing margin of safety at low poundages (and low MSDI estimates) compared with the 7 relevant TTC values used in the Procedure. The ad hoc working group had explored various 8 options and proposed an additional method of dietary exposure assessment to address the 9 questions raised by previous Committees. The Committee recommended that an additional 10 method to assess dietary exposure should be tested at the next meeting in 2008 and the 11 ramifications of any differences between the MSDI and the dietary exposure estimated by the 12 additional method would be examined. 13

At the sixty-eighth meeting in 2007 (WHO, 2007b), JECFA considered further 14 findings from the ad hoc Working Group, based on information on recommended use levels 15 supplied by industry on 57 of the 168 flavouring agents evaluated at the meeting. In 16 recognition that models for dietary exposure estimation that assume daily consumption of 17 large portions of several food categories containing the same flavouring agent (possible 18 average daily intake [PADI], theoretical added maximum daily intake [TAMDI], modified 19 theoretical added maximum daily intake [mTAMDI]) were overly conservative, an additional 20 new method of dietary exposure assessment, termed the single-portion exposure technique 21 (SPET), was explored. This method assumes a daily consumption of only a single portion of 22 food containing the flavouring agent. The SPET provides a dietary exposure estimate based 23 on use levels recommended by the industry and aims to represent the chronic dietary 24 exposure for a regular consumer who consumes daily a specific food product containing the 25 flavouring agent of interest. The SPET identifies the single food category containing the 26 flavouring agent of interest that is likely to contribute the highest dietary exposure based on a 27 “standard portion” size. The standard portion is taken to represent the mean food 28 consumption amount for consumers of that food category, assuming daily consumption over 29 a long period of time. The standard portion does not reflect high food consumption amounts 30 reported in national dietary surveys for the food category and is therefore a more realistic 31 prediction of long-term consumption patterns. 32

The SPET was used to estimate dietary exposure for the 57 flavouring agents. In 33 general, the estimated dietary exposures using SPET were up to several orders of magnitude 34 higher than those calculated by the MSDI for any of the three geographic regions for which 35 production volume data were available (Europe, Japan and the United States). On the basis of 36 the analysis undertaken (WHO, 2007a), the Committee concluded that the MSDI and SPET 37 dietary exposure estimates provide different and complementary information. The SPET 38 takes account of food consumption patterns and use levels of flavouring agents and is 39 considered to provide an estimate of dietary exposure for a regular daily consumer of a 40 specific food product containing the flavouring agent. The MSDI is considered to provide an 41 estimate of the dietary exposure of the flavouring agent for an average consumer; because it 42 is based on the reported annual production volume, it cannot take use patterns into account. 43 The Committee noted that the addition of the SPET dietary exposure estimate to the relevant 44 step in the Procedure would be likely to lead to a more extended evaluation in only a limited 45 number of cases. The Committee also noted that this analysis indicated that it would not be 46 necessary to re-evaluate flavouring agents that have already been assessed using the 47 Procedure. 48

Prior to a final decision on the addition of the SPET dietary exposure estimate to the 49 Procedure, the Committee agreed at the sixty-eighth meeting (WHO, 2007b) to repeat the 50

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assessment of a selected number of flavouring agents using both the MSDI and SPET dietary 1 exposure estimate for evaluation at the next meeting in 2008. 2 3 9.1.3 Food contact materials/packaging migrants 4 Many food contact materials are made from polymers that are usually inert biologically due 5 to their high molecular weight. However, constituents of these polymers, such as monomers, 6 additives, catalysts and other substances used in their manufacture, are low molecular weight 7 substances, which theoretically could migrate from the food contact material into foods. The 8 same can be said for other constituents of the food contact materials, such as inks used in 9 labelling. Migration may occur during storage and be enhanced during food preparation, such 10 as heating, microwave cooking or processing with ionizing radiation. Also, the food matrix 11 may affect the degree of migration, such that fat-soluble substances will migrate more readily 12 into fatty foods, whereas water-soluble substances will migrate more readily into aqueous 13 foods. 14 The safety evaluation of food packaging materials presents special problems because 15 of the very large number of them in use and the anticipated low level of migration of 16 substances from food contact materials and consequent low intake. JECFA (IPCS, 1987) has 17 previously set out criteria for the evaluation of these substances, noting that the following 18 information is required: 19 20 • the chemical identity and toxicological status of the substances that enter food; 21 • the possible exposure, details of which can be derived from migration studies using 22

suitable extraction procedures, and/or the analysis of food samples; and 23 • the nature and amount of food contact with the packaging materials, and the intake of 24

such food. 25 26

These criteria define the fundamental data required to identify those substances that migrate, 27 the amounts that may be present in food and consequent exposures. 28 In principle, two alternatives exist to perform safety evaluations on food contact 29 materials. One is to require toxicological data regardless of the level of intake so that a safety 30 evaluation can be performed. A second option is to apply the TTC concept, similar to that 31 used by JECFA for the safety evaluation of flavouring substances. As discussed previously 32 (see section 9.1.1), in 1995, the USFDA adopted a “threshold of regulation” for food 33 packaging migrants such that the substance would be exempt from USFDA regulation if 34 exposures were less than 1.5 µg/person per day, provided the migrant was not carcinogenic or 35 contained structural alerts for carcinogenicity (USFDA, 1995). Given the large number of 36 food contact materials in commerce, such an approach provides a reasonable alternative to 37 requiring that all such migrating substances be tested for toxicity. 38 39 9.1.4 Processing aids 40 Processing aids are composed of diverse substances, including, but not limited to, carrier or 41 extraction solvents and enzymes used in food processing. 42 43 9.1.4.1 Solvents 44 Extraction solvents are used inter alia in the extraction of fats and oils, defatting fish and 45 other meals, and decaffeinating coffee and tea. They are chosen mainly for their ability to 46 dissolve the desired food constituents selectively and for their volatility, which enables them 47 to be separated easily from the extracted material with minimum damage. The points raised 48 by their use relate to: 49 50

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• toxicity of their residues; 1 • toxicity of any impurities in them; 2 • toxicity of substances such as solvent stabilizers and additives that may be left behind 3

after the solvent is removed; and 4 • toxicity of any substances produced as a result of a reaction between the solvent and food 5

ingredients. 6 7

Before any extraction solvent can be evaluated, information is required on: 8 9 • identity and amount of impurities in the solvent (including those that are formed, acquired 10

or concentrated owing to continuous reuse of the solvent); 11 • identity and amount of stabilizers and other additives; and 12 • toxicity of residues of solvents, additives and impurities. 13 14 Impurities are particularly important, because there are wide differences in the purities 15 of food-grade and industrial-grade solvents. The food use of extraction solvents is frequently 16 much less than the industrial use, and considerable problems may arise in their evaluation if 17 toxicological data exist only on the industrial grade of the solvent, which contains potentially 18 toxic impurities that may not be present in the food-grade material. For example, when 19 evaluating the solvents 1,1,1-trichloroethane, trichloroethylene and tetrachloroethylene, it 20 was noted that the toxicological data indicated the presence of certain known toxic and 21 carcinogenic substances. The interpretation of these data became extremely difficult because 22 industrial-grade material had been used in the studies. Only food-grade material should be 23 used in toxicological studies, and the impurities in the material should be fully identified. 24 Carrier solvents raise somewhat different issues. They are used for dissolving and 25 dispersing nutrients, flavours, antioxidants, emulsifiers and a wide variety of other food 26 ingredients and additives. With the exception of carrier solvents for flavours, they tend to 27 occur at higher levels in food than extraction solvents, mainly because some of them are 28 relatively non-volatile. Since carrier solvents are intentional additives and are often not 29 removed from the processed food, it is important to evaluate their safety together with the 30 safety of any additives or stabilizers in them. 31 32 9.1.4.2 Enzymes 33 Enzymes used in food processing are derived from animal tissues, plants and 34 microorganisms. Enzymes isolated from these sources are blended with formulation 35 ingredients, such as diluents, stabilizing agents and preserving agents. The formulation 36 ingredients may include water, salt, sucrose, sorbitol, dextrin, cellulose or other suitable 37 compounds. The formulated enzymes are referred to as enzyme preparations. Depending on 38 the application, an enzyme preparation may be formulated as a liquid, semiliquid or dried 39 product. Enzyme preparations contain either one major active enzyme that catalyses a 40 specific reaction during food processing or two or more active enzymes that catalyse different 41 reactions. Enzyme preparations often contain constituents of the source organism and 42 compounds derived from the manufacturing process—for example, the residues of the 43 fermentation broth. 44

JECFA has elaborated and periodically updated principles and procedures for the 45 safety assessment of enzyme preparations. An enzyme preparation evaluated by JECFA must 46 comply with the “General Specifications and Considerations for Enzyme Preparations Used 47 in Food Processing” (FAO, 2006a). This document was last updated at the sixty-seventh 48 meeting of JECFA in 2006 (WHO, 2007a). The document addresses certain aspects of safety 49 evaluation that apply to all enzyme preparations, such as safety evaluation of the production 50

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organism, the enzyme component, side activities, the manufacturing process and the 1 consideration of dietary exposure. The document states that evaluation of the enzyme 2 component should include considerations of its potential to cause an allergic reaction. The 3 document also addresses certain safety concerns that pertain to enzyme preparations derived 4 from genetically modified microorganisms and includes recommendations for safety 5 assessment of the genetic material inserted into the genome of the production microorganism 6 and for providing evidence that the enzyme preparation contains neither antibiotic 7 inactivating proteins at concentrations that would interfere with antibiotic treatment nor 8 transformable DNA that could potentially contribute to the spread of antibiotic resistance. For 9 further details, the online document should be consulted (FAO, 2006a). 10

An enzyme preparation must also comply with the identity and purity specifications, 11 which are established for each enzyme preparation on a case-by-case basis (FAO, 2006b). 12 Dietary exposure is calculated on the basis of the total organic solids (TOS) content in the 13 final (commercial) enzyme preparation and is usually expressed in milligrams or micrograms 14 TOS per kilogram body weight per day. TOS encompasses the enzyme component(s) and 15 other organic material derived from the enzyme source and manufacturing process while 16 excluding intentionally added formulation ingredients. Toxicological studies are usually 17 performed using the concentrated enzyme prior to the addition of the formulation ingredients. 18 The TOS content of the toxicology batch is provided to enable the derivation of the NOAEL 19 expressed in milligrams or micrograms TOS per kilogram body weight per day, from which 20 JECFA allocates an ADI. JECFA then considers dietary exposure to an enzyme preparation 21 in relation to the ADI. 22

For the purpose of toxicological evaluation, enzyme preparations used in food 23 processing can be grouped into five major classes: 24

25 1) Enzymes obtained from edible tissues of animals commonly used as foods. These are 26

regarded as foods and, consequently, considered acceptable, provided that satisfactory 27 chemical and microbiological specifications can be established. 28

2) Enzymes obtained from edible portions of plants. These are regarded as foods and, 29 consequently, considered acceptable, provided that satisfactory chemical and 30 microbiological specifications can be established. 31

3) Enzymes derived from microorganisms that are traditionally accepted as constituents of 32 foods or are normally used in preparation of foods. These products are regarded as foods 33 and, consequently, considered acceptable, provided that satisfactory chemical and 34 microbiological specifications can be established. 35

4) Enzymes derived from non-pathogenic microorganisms commonly found as contaminants 36 of foods. These materials are not considered as foods. It is necessary to establish chemical 37 and microbiological specifications and to conduct short-term toxicity studies to ensure the 38 absence of toxicity. Each preparation must be evaluated individually, and an ADI must be 39 established. 40

5) Enzymes derived from microorganisms that are less well known. These materials also 41 require chemical and microbiological specifications and more extensive toxicological 42 studies, including long-term study in a rodent species. 43

44 Safety assessments for enzymes belonging to classes 1–3 will be the same regardless 45

of whether the enzyme is added directly to food or is used in an immobilized form. Separate 46 situations should be considered with respect to the enzymes described in classes 4–5, 47 dependent on whether they are: 48

49 a) Enzyme preparations added directly to food but not removed; 50

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b) Enzyme preparations added to food but removed from the final product according to 1 GMP; and 2

c) immobilized enzyme preparations that are in contact with food only during processing. 3 4

For a) above, an ADI should be established to ensure that levels of the enzyme 5 product present in food are safe. The studies indicated in these guidelines are appropriate for 6 establishing ADIs (the guidelines were originally drafted for this situation). For b), an ADI 7 “not specified” may be established, provided that a large margin of safety exists between 8 possible residues and their acceptable intake. For c), it may not be necessary to set an ADI for 9 residues that could occur in food as a result of using the immobilized form of the enzyme. It 10 is acceptable to perform the toxicity studies relating to the safety of the enzyme on the 11 immobilized enzyme preparation, provided that information is given on the enzyme content 12 in the preparation. 13 14 9.1.4.3 Immobilizing agents 15 A number of procedures involving different chemical substances are used for immobilizing 16 enzymes (IPCS, 1987). These processes include microencapsulation (e.g. entrapment in 17 gelatine to form an immobilized complex), immobilization by direct addition of 18 glutaraldehyde, immobilization by entrapment in porous ceramic carrier and complexation 19 with agents such as diethylaminoethyl cellulose or polyethylenimine. Several agents may be 20 used in the immobilizing process. Substances derived from the immobilizing material may be 21 in the final product due to either the physical breakdown of the immobilizing system or to 22 impurities contained in the system. 23 The number of data necessary to establish the safety of the immobilizing agent 24 depends on its chemical nature. The levels of residues in the final product are expected to be 25 extremely low. 26 Some of the substances used in the preparation of immobilizing systems are extremely 27 toxic. The levels of these substances or their contaminants permitted in the final product 28 should be at the lowest levels that are technologically feasible, provided that these levels are 29 below those of any toxicological concern. An ADI is not established, but there must be 30 adequate safety for its approved use(s). 31 32 9.2 Special considerations for substances consumed in large amounts 33 9.2.1 Introduction 34 The safety assessment of substances that are consumed in relatively large amounts presents a 35 number of special problems. Such materials include defined chemical substances such as the 36 bulk sweeteners, sorbitol and xylitol, modified food ingredients such as modified starches, 37 nutrients and related substances, and non-traditional whole foods. 38 The safety assessment of such substances should differ from that of other food 39 additives, such as colouring and flavouring agents and antioxidants, for the following 40 reasons: 41 42 • Many will have a high daily intake; thus, minor constituents and processing impurities 43

assume greater-than-usual significance. 44 • Even though they are often structurally similar or even identical to natural products used 45

as food and thus may appear to be of low toxicity, they may require extensive toxicity 46 testing, because of their high daily intake. 47

• Some may be metabolized into normal body constituents. 48 • Some substances, particularly foods from novel sources, may replace traditional foods of 49

nutritional importance in the diet. 50

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• Many are complex mixtures rather than defined chemical substances. 1 • The difference between the maximum quantity that can be fed to animals in feeding tests 2

without impairing the nutritional quality of the diet and the amount consumed by human 3 beings, on a body weight basis, is often relatively small. 4

5 9.2.1.1 Chemical composition, specifications and impurities 6 Thorough chemical analysis should be performed on high-consumption substances to 7 measure potential impurities and to provide information on nutritional adequacy, especially 8 when such substances replace traditional food. It is not possible to provide a checklist of 9 necessary chemical studies to cover all high-consumption compounds. However, the 10 substance should be subjected to a full proximate analysis, and particular attention should be 11 paid to the points discussed in the following paragraphs. 12 Because the intake of undesirable impurities concomitant with the intake of bulk 13 ingredients is potentially high, special effort should be made to identify the impurities. 14 Information on the production process, including the materials and procedures involved, will 15 point to the types of contaminants for which limits may need to be specified. The 16 specifications should be accompanied by details of product variability and of the analytical 17 methods used to check the specifications and details of the sampling protocols. If the 18 substance is so complex that comprehensive product specifications on chemical composition 19 are impractical (as it might be, for example, for a microbial protein), the description of the 20 substance in the specifications may include relevant aspects of its manufacturing process. If 21 manufacturing data are based on production on a pilot scale, the manufacturer should 22 demonstrate that, when produced in a large-scale plant, the substance will meet the 23 specifications established on the basis of pilot data. 24 The permissible limits for impurities may in some cases correspond to the levels 25 accepted for natural foods that have similar structure or function or that are intended to be 26 replaced by the new material. If the substance is prepared by a biological process, special 27 attention should be paid to the possible occurrence of natural toxins (e.g. mycotoxins). 28 The substance should be analysed for the presence of toxic metals. Depending on the 29 intended use, analysis for metals of nutritional significance may also be appropriate. 30 If the nature of the substance or manufacturing process indicates the possible presence 31 of naturally occurring or adventitious antinutritional factors (e.g. phytate, trypsin inhibitors) 32 or toxins (e.g. haemagglutinins, mycotoxins, nicotine), the product should be analysed for 33 them specifically. Biological tests, either as part of the nutritional evaluation in the case of 34 enzyme inhibitors or more specifically as part of a mycotoxin screening programme, will 35 provide useful backup evidence concerning the presence or absence of these contaminants. 36 Finally, if under the intended conditions of use the substance may be unstable or is 37 likely to interact chemically with other food components (e.g. degradation or rearrangement 38 of the substance during heat processing), data should be provided on its stability and 39 reactivity. The various tests should be conducted under conditions relevant to the use of the 40 substance (e.g. at the acidity and temperature of the environment and in the presence of other 41 compounds that may react). 42 43 9.2.1.2 Nutritional studies 44 With some substances, particularly novel foods, nutritional studies may be necessary to 45 predict the likely impact of their introduction on the nutritional status of consumers. In 46 addition to affecting the nutritional content of the diet, such substances may influence the 47 biological availability of nutrients in the diet. The nutritional consequences of the 48 introduction of such a substance in the diet can only be judged in the light of information 49 about its intended use. Therefore, as much information as possible should be obtained about 50

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potential markets and uses, and the likely maximum consumption by particular 1 subpopulations should be estimated. It is also possible to check the accuracy or premarketing 2 predictions by use of post-marketing monitoring studies (see, for example, Allgood et al., 3 2001; Hlywka et al., 2003; Amanor-Boadu, 2004; Lea & Hepburn, 2006; Hepburn et al., 4 2008; and section 4.3.3). 5 6 9.2.1.3 Toxicity studies 7 When testing high-consumption additives, animals should generally be fed the highest levels 8 that are consistent with palatability and nutritional status. Therefore, before beginning such 9 studies, it is desirable to investigate the palatability of the test diet in the test animals. If a 10 palatability problem is encountered, it may be necessary to increase the amount of the test 11 substance to the required level gradually. Paired-feeding techniques should be used if the 12 problem cannot be overcome. It should always be borne in mind that there are practical limits 13 to the amounts of certain foods that can be added to animal diets without adversely affecting 14 the animals’ nutrition and health. 15 To ensure that the nutritional status of the test animal is not distorted, the test and 16 control diets should have the same nutritive value in terms of both macronutrients (e.g. 17 protein, fat, carbohydrate and total calories) and micronutrients (e.g. vitamins and minerals). 18 When feeding substances at high levels, it is usually advisable to formulate diets from 19 individual ingredients (rather than adding the test material to a standard laboratory diet) to 20 provide the same nutrient levels in the control and test diets. Comprehensive nutrient analyses 21 of the test and control diets should be performed to ensure that they are comparable. 22 Sometimes nutritional studies are advisable before toxicological studies are performed to 23 ensure that test diets are correctly balanced. Without due regard to nutritional balance, 24 excessive exposure may mean that a study investigates the adverse effects of long-term 25 dietary imbalance rather than the toxic effects of the substance. 26 Metabolic studies are useful and necessary for assessing the safety of high-27 consumption additives. With complex mixtures, studies on the metabolic fate of every 28 constituent would be impractical. However, if contaminants or minor components are 29 suspected as the cause of toxicity, their metabolism should be investigated. If the material, or 30 a major component of it, consists of a new chemical compound that does not normally occur 31 in the diet (e.g. a novel carbohydrate), studies of the metabolic fate of the new compound 32 would be appropriate. 33 If biochemical and metabolic studies show that the test material is completely broken 34 down in the food or in the gastrointestinal tract to substances that are common dietary or 35 body constituents, then other toxicity studies may not be necessary. The results of metabolic 36 studies can stand on their own if it is shown that breakdown into these common constituents 37 occurs under the conditions of normal consumption of the material, that the material 38 contributes only a small proportion of these common constituents in the daily diet, and that 39 side reactions giving rise to toxic products do not occur. 40 Analysis of urine and faeces may provide important information relating to changes in 41 normal excretory functions caused by the test substance. For example, the gut flora may be 42 altered or preferential loss of a mineral or vitamin may occur, resulting in detrimental effects 43 on the health of the test animals. If the substance is incompletely or not degraded by the 44 digestive enzymes of the stomach or the small intestine, appreciable concentrations may be 45 found in the faeces or in the distal gut compartments. Such substances may also induce 46 laxation. As a result, changes in the absorption of dietary constituents or changes in the 47 composition and metabolic activity of the intestinal flora may be observed. Because of 48 anatomical differences in the digestive tract and because of considerable differences in the 49 composition of the basal diet, such effects may occur only in humans but not in rodents, or 50

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vice versa. Therefore, short-term studies should be performed in animals and humans (if 1 possible; see section 4.11) in which variables likely to be affected by the test compound are 2 examined in detail. It is especially important to investigate questions relating to whether the 3 eventual effects are progressive or transient and whether they occur in subjects exposed to the 4 compound for the first time and/or in subjects adapted to a daily intake of the substance. 5 Clearly, no standard design for such studies can be devised. Only a thorough knowledge of 6 the nutritional and biochemical literature can serve as a guideline. 7 Separate toxicological tests should be performed on toxicologically suspect impurities 8 or minor components present in the test material. If any observed toxicity can be attributed to 9 one of the impurities or minor components, its maximum level should be established in the 10 specification. 11 Because of the relative non-toxicity of high-consumption additives, toxicity tests in 12 animals may not show any adverse effects even at the highest dose tested. When establishing 13 an ADI, the traditional concept of utilizing a 100-fold safety factor is often not possible if the 14 human consumption level is high and feeding studies do not produce adverse effects. In such 15 cases, new approaches are indicated. It may be possible, for example, to establish a large 16 safety margin between the highest dose tested and the expected consumption of such 17 substances by humans. Or the ADI may be set on the basis of a smaller safety factor, which 18 may be permissible when aspects such as similarity to traditional foods, metabolism into 19 normal body constituents, lack of overt toxicity, etc., are considered. For a compound, such 20 as a bulking agent, that may influence the nutritional balance or the digestive physiology by 21 its mere bulk and which may be absorbed from the gut only incompletely or not at all, it may 22 be more appropriate to consider the dose level in terms of the percentage inclusion in the diet. 23 If several similar types of compounds are likely to be consumed, a group ADI (limiting the 24 cumulative intake) should be allocated. 25 The results of human studies, which are discussed in relation to novel foods in section 26 9.2.3, may allow the use of a lower safety factor than that obtained from animal studies. 27 28 9.2.2 Nutrients and related substances 29 The increased use of fortified foods, dietary/food supplements, specially formulated foods 30 and so-called “functional foods” has increased the intake of nutrient substances around the 31 world. In turn, there has been growing interest in an international basis for determining the 32 levels of intake that may pose risk. JECFA has evaluated the safety of several substances that 33 were claimed to have nutritional or health benefits. The sixty-third JECFA noted that whether 34 such products meet appropriate definitions as nutrients or are worthy of health, nutrient or 35 other claims was outside its remit (WHO, 2005). Therefore, JECFA reiterated that it would 36 evaluate only the safety of these ingredients and expressed the view that its evaluation of the 37 safety of these ingredients should not be interpreted to mean that the Committee endorses the 38 use of these substances for their claimed nutritional or health benefits. 39 JECFA has assigned ADIs for several nutrients or determined “no safety concern” 40 under the proposed conditions of use (e.g. L-5-methyltetrahydrofolic acid; WHO, 2006). 41 In the risk assessment for non-nutrients, it is assumed that: 42 43 • the substance has no desirable or essential physiological roles; 44 • homeostatic mechanisms for the specific substance do not exist and/or detoxification 45

pathways are not likely to be chemical specific; and 46 • there are no health risks if the intake is zero. 47 48 Unlike non-nutrients, nutrient substances are biologically essential or have a 49 demonstrated favourable impact on health at specified levels of intake. This consideration 50

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influences approaches used to adjust for uncertainty associated with the data used to estimate 1 a health-based guidance value, such as an upper level of intake, and also necessitates that the 2 homeostatic mechanisms specific to essential nutrient substances be taken into account. 3 Therefore, modifications to the classic non-nutrient risk assessment approach are needed 4 The relationship between intake and risk for nutrient substances is illustrated in Figure 5 9.3. For most essential nutrients, homeostatic mechanisms are associated with both low and 6 high levels of intake that maintain the amount of nutrient substance in the body within a 7 physiological range. Should intakes increase or decrease, it is assumed that homeostatic 8 responses of some type occur and that the responses may vary by age/sex/life stage. 9 However, homeostatic adaptations have a limited capacity and can be overwhelmed by 10 excessive intake. At the extremes, as the capacity of a homeostatic mechanism is exceeded, 11 the incidence and/or impact of specific adverse health effects is likely to increase. Nutrient 12 substances that are not established as essential may also show dual curves, with the left-hand 13 curve reflecting the failure to optimize health. The distinctions between essentiality and a 14 demonstrated favourable health impact require further elucidation and clarification as data 15 evolve. 16 17 18 Figure 9.3. Dual curves for risk relationship of nutrients: Percentage of (sub)population at risk 19 of “deficiency” and then “adverse health effects” as intakes move from low to high (modified 20 from IPCS, 2002). 21 22 Several international working groups have provided guidance for the risk assessment 23 of nutrients and related substances (IPCS, 2002; Renwick et al., 2003, 2004; FAO/WHO, 24 2006). 25 For the safety evaluation of nutrients and related substances, these groups 26 recommended the use of the guidance value of upper level of intake (UL), which is defined as 27 the maximum level of habitual intake from all sources of a nutrient or related substance 28 judged to be unlikely to lead to adverse health effects in humans. 29 The UL is not a recommended level of intake but an estimate of the highest level of 30 regular intake that carries no appreciable risk of adverse health effects (criteria for setting a 31 UL are discussed in section 9.2.2.2). As with all health-based guidance values, exceeding the 32 UL is not in itself an indication of risk, but the UL does not give any indication of the 33 magnitude of risk that may be associated with intakes in excess of the UL. 34 Where possible, ULs should be established that apply to all groups of the general 35 population, including all life stages. A generally applicable UL can be used with data from 36 intake assessments to identify those individuals or population groups potentially at risk and 37 the circumstances in which harm is likely to occur. However, ULs for nutrients may vary 38 with age or for specific groups (e.g. sex and life stage, including pregnancy) because of 39 different balances between requirements and sensitivities to adverse effects. The WHO 40 review of the principles and methods for the assessment of risk from essential trace elements 41 pointed out age-related factors associated with variable responses to levels of intake (IPCS, 42 2002). The FAO/WHO Technical Workshop (FAO/WHO, 2006) concluded that the most 43 appropriate approach is to develop separate ULs for age/sex/life stage subpopulations. As the 44 data allow, the ULs can be based on different end-points as applicable to the sensitivity of the 45 subpopulation. 46 The appropriateness of a UL established for adequately nourished (sub)populations 47 cannot be assumed to transfer to inadequately nourished (sub)populations. For example, an 48 intake well above the UL may be recommended clinically to correct a deficiency. Although 49 the basic process of nutrient risk assessment decision-making would remain the same 50 regardless of the nutritional status of the (sub)population of interest, it is likely that 51

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inadequately nourished (sub)populations would need a different set of ULs because of 1 important differences in metabolism and the vulnerability that can result from these 2 differences. However, it should be noted that too little is known about the effects of 3 inadequate nutrition on the absorption, distribution, metabolism and elimination of nutrient 4 substances to allow specification of considerations relevant to adjusting ULs to make them 5 appropriate for inadequately nourished (sub)populations. 6 The UL is not meant to apply to individuals receiving the nutrient under medical 7 supervision or to individuals with predisposing conditions that render them especially 8 sensitive to one or more adverse affects of the nutrient (e.g. those with genetic predisposition 9 or certain metabolic disorders or disease states). 10 For some nutrient substances, no credible evidence has demonstrated adverse health 11 effects even at the highest intake used or observed. Vitamin B12 is an example of such a 12 nutrient substance (IOM, 1998). In such cases, the biological threshold for an adverse health 13 effect, if it exists, may be many times higher than the highest intake studied. Lacking data, 14 however, this amount is not known. If no studies have revealed adverse health effects for a 15 nutrient substance but the risk manager needs scientific advice concerning an upper intake, 16 the FAO/WHO Technical Workshop (FAO/WHO, 2006) recommended that the highest 17 observed intake (HOI) be used to give guidance. The HOI is defined as the highest level of 18 intake observed or administered as reported within a study of acceptable quality. It is derived 19 only when no adverse health effects have been identified. 20 There are some special considerations for the risk characterization of micronutrients 21 and macronutrients (Renwick et al., 2003). Micronutrients are vitamins and minerals that are 22 essential for normal growth and physiological and biochemical functioning. Macronutrients 23 include dietary lipids, proteins and carbohydrates, as well as their subcomponents and 24 substitutes. In addition to those substances currently considered as macronutrients, these 25 considerations can also be appropriate for the risk characterization of new substances, 26 including dietary supplements and functional foods. Decision-trees for the risk 27 characterization of micronutrients and macronutrients are given in Figures 9.4 and 9.5, 28 respectively. These are not intended to cover all eventualities but indicate some matters of 29 particular concern. 30 31 32 Figure 9.4. Decision-tree outlining the special considerations for the risk characterization of 33 micronutrients (Renwick et al., 2003) 34 35 36 37 Figure 9.5. Decision-tree outlining the special considerations for the risk characterization of 38 macronutrients (Renwick et al., 2003) 39 40 9.2.2.1 Adverse health effects of nutrients and related substances—general 41 concepts 42 The general concepts concerning adverse health effects of nutrients have been described by 43 Renwick et al. (2004). An adverse health effect has been defined as any impairment of a 44 physiologically important function that could lead to an adverse health effect in humans 45 (IOM, 1998) and as any change in morphology, physiology, growth, development or life span 46 of an organism that results in impairment of functional capacity or impairment of capacity to 47 compensate for additional stress or increase in susceptibility to the harmful effects of other 48 environmental influences (IPCS, 2004). Indicators of adverse health effects, which may be 49 used for the derivation of the UL, range from biochemical changes without adverse health 50 effects through to irreversible pathological changes in the functioning of the organism (Figure 51

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9.6). In practice, because of limited availability of data on adverse effects in humans, and 1 since biochemical indicators of adverse effects are often not available, adverse effects 2 selected for establishing ULs may cover the full range indicated in Figure 9.6, including 3 clinical outcomes. 4

There is an established paradigm for determining safe intakes of foreign compounds, 5 such as food additives, based on the dose–response relationship for adverse effects in animals 6 or humans (see Edler et al., 2002 and chapter 5). For most types of toxicity, from either 7 foreign compounds or nutrients, there is believed to be a threshold dose (or intake) below 8 which adverse health effects are not produced. Thresholds for any given adverse effect vary 9 among members of the population. In general, there are insufficient data to establish the 10 distribution of thresholds within the population for individual adverse effects, and uncertainty 11 factors are used to allow for human variability (and for species differences when necessary) 12 (Edler et al., 2002). 13 14

1. Biochemical changes within the homeostatic range and without indication of adverse 15 sequelae 16

↓ 17 2. Biochemical changes outside the homeostatic range without known sequelae 18

↓ 19 3. Biochemical changes outside the homeostatic range that represent a biomarker of potential 20

adverse effects due to excess 21 ↓ 22

4. Clinical features indicative of a minor but reversible change 23 ↓ 24

5. Clinical features of significant but reversible effects 25 ↓ 26

6. Clinical features indicative of significant but reversible organ damage 27 ↓ 28

7. Clinical features indicative of irreversible organ damage. 29 30 Figure 9.6. Identifying adverse health effects: Sequence of “effects” in increasing order of 31 severity (adapted from Renwick et al., 2004; “features” includes signs and symptoms) 32 33 Steps 4 through 7 represent adverse health effects manifesting specific clinical 34 features such signs and symptoms, and for this reason they can be used readily for risk 35 assessment in the usual manner. However, some of the effects that occur prior to step 4 could 36 constitute appropriate “biomarkers”. Because such effects can reflect “critical events”, they 37 could serve as surrogates or biomarkers for adverse health effects. However, it should be 38 noted that biochemical effects without functional significance should not be regarded as 39 adverse health effects (IPCS, 2002). 40 The following criteria have been proposed for the use of these indicators of adverse 41 health effects (FAO/WHO, 2006): 42 43 • The optimal end-point for use in setting a UL would be an effect at step 3 and possibly 44

step 2, with steps 4–7 reflective of clinical features such as signs or symptoms. Step 2 45 may be applicable in some cases in which sufficient information is available to suggest 46 that changes outside a homeostatic range that occur without known sequelae would be 47 relevant as a surrogate for an adverse health effect. 48

• The increased use of valid, causally associated biomarkers as surrogates for adverse 49 health effects is desirable for the purposes of nutrient risk assessment. After identifying 50

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the sequence of observable effects in the causal pathway for adverse health effects—from 1 initial non-specific biochemical changes to clear clinical outcomes—if the biomarker 2 meets other relevant criteria, including causal association, biochemical changes outside 3 the homeostatic range can be relevant surrogates for adverse health effects associated 4 with nutrient substances. 5

6 9.2.2.2 Deriving the UL 7 The UL can be derived for nutrients using the principles of risk assessment similar to those 8 that have been developed for biological and chemical agents. A pivotal point in the 9 assessment process is the selection of the critical adverse health effect. This is the effect upon 10 which the UL is based—or, more specifically, the effect upon which a set of ULs for the 11 various age/sex/life stage subpopulations is based. The critical adverse health effect is usually 12 the effect that occurs at the lowest level of excessive intake within the (sub)population of 13 interest, or at the lowest experimental dose if only animal data are available. For a given 14 nutrient substance, different critical adverse health effects may be selected for the different 15 age/sex/life stage subpopulations, because metabolic and physiological differences among 16 these subpopulations mean that adverse health effects may manifest differently. Issues related 17 to the physiological severity of the adverse health effect are considered separately rather than 18 as a component of selecting the critical adverse health effect (FAO/WHO, 2006). 19 Once the critical adverse health effect is identified, the process moves to deriving the 20 UL. Again, iterations may occur between this activity and those conducted under hazard 21 identification. The first step is to analyse and describe clearly the relationship between the 22 intake of the nutrient substance and the onset of the adverse health effect for those 23 age/sex/life stage subpopulations for which data are available. The analysis (see also chapter 24 5) is called the intake–response assessment, and its outcome is the determination of one or 25 more of the following three values, depending upon the nature of the existing evidence: 26 27 1) a BMD (or benchmark intake [BI]): the intake of a substance that is expected to result in a 28

prespecified level of effect (the BMR; see chapter 5); 29 2) a NOAEL: the greatest concentration or amount of a substance, found by experiment or 30

observation, that causes no detectable adverse alteration of morphology, functional 31 capacity, growth, development or life span of the target organism under defined 32 conditions of exposure (IPCS, 1994); or 33

3) a LOAEL: the lowest concentration or amount of a substance, found by experiment or 34 observation, that causes a detectable adverse alteration of morphology, functional 35 capacity, growth, development or life span of the target organism under defined 36 conditions of exposure (IPCS, 1994). 37

38 The NOAEL and LOAEL are based on observed intake levels that are set as part of 39 the study design. Neither takes into account the shape of the intake–response relationship that 40 would be seen at other levels of intake. If data allow, the specification of a BMD (BI) permits 41 the derivation of the ULs to be carried out with greater certainty. In any case, any of the three 42 values can serve as the starting point for deriving the UL. The BMD (BI) approach can be 43 particularly useful when the adverse health effect is seen within the range of the current 44 levels of human intake and a NOAEL cannot be identified. This would apply to sodium, for 45 example. Under such circumstances, the BMD (BI or lower confidence limit on the BI, or 46 BIL) is useful because it defines a point on the intake–response relationship that is reliable 47 and relevant to the minimization of the risk of adverse health effects that result from high 48 intake. 49

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Overall, the data sets available for nutrient substances usually are not designed to 1 assess intake–response for adverse health effects. Therefore, not only is the estimation of a 2 BMD (BI) problematic, there are challenges associated with establishing the NOAEL or 3 LOAEL. In addition, the uncertainties and limitations of the usual data sets could, in most 4 cases, result in a BMDL (see chapter 5) value that was so low that it might lead to nutritional 5 inadequacy. Study quality and design for both human and animal data are notable issues for 6 the NOAEL (or LOAEL), and they should be considered carefully. Several “study-7 dependent” factors that influence the magnitude of the value observed include the group size, 8 the sensitivity of the methods used to measure the response, the duration of intake and the 9 selection of intake levels. For animal studies, important factors include species, strain, sex, 10 age and developmental status. 11 The NOAEL or LOAEL cannot be used as the final value for the UL—except in the 12 unlikely situation that the value was derived from a large study that is truly representative of 13 the exposed population and contains no uncertainties and negligible errors. Given that 14 available data will usually contain uncertainties, risk assessment principles stipulate that the 15 risk assessor must take these into account. Therefore, an allowance is made for these 16 uncertainties by establishing a UL at some value less than the NOAEL or LOAEL. A similar 17 allowance would need to be made if a BMD (BI) were to be used, but only the NOAEL and 18 LOAEL were discussed at the FAO/WHO Technical Workshop (FAO/WHO, 2006). 19 Following the identification of a NOAEL, LOAEL or BMD (BI), allowances for 20 uncertainty must be made in order to establish a UL. If needed, this is followed by scaling or 21 extrapolating data to derive ULs for those age/sex/life stage subpopulations for which no data 22 are available. If available data allow, a quantitative allowance for uncertainties may be 23 applied to the NOAEL/LOAEL/BMD (BI) value derived from the intake–response 24 assessment. The first consideration is whether there are sufficient data to make a quantitative 25 allowance for uncertainty: that is, do the data allow the magnitude of uncertainty or 26 variability to be defined? This consideration is equivalent to the determination of a CSAF for 27 a non-nutrient substance (section 4.4.2.6). Quantitative allowances are data-derived factors 28 that can be applied to the NOAEL or LOAEL to derive a lower (or sometimes higher) health-29 based guidance value (a UL), based on information relevant to the target population but not 30 addressed in the data used to derive the values. These adjustments are objective and based on 31 specific data, and they can relate to either kinetic or dynamic aspects of the nutrient substance 32 in different species (IPCS, 1994). While quantitative allowances are theoretically possible for 33 all uncertainties, in practice available data usually allow relatively few quantitative 34 allowances to be made when setting the ULs for nutrient substances. One example of the use 35 of quantitative allowances is the process used to address differences in body size between test 36 animals and humans. Bioavailability is another uncertainty for which quantitative allowances 37 may be used, particularly when data are available for different forms of the same nutrient 38 substance. This allowance could, in principle, lead to setting different ULs for different forms 39 of the nutrient substance—for example, the nicotinic acid and nicotinamide forms of niacin. 40 Generally, however, allowances for uncertainty must make use of uncertainty factors. 41 Application of the default uncertainty factors that are used for non-nutrient substances poses 42 a potential problem for nutrient substances: the resulting UL could be a value that is below 43 the intake required to ensure nutritional adequacy. This issue arises primarily for those 44 nutrient substances that have recommended intakes that are relatively close to intake levels 45 that may pose a risk; examples commonly quoted include iron, zinc, copper and sometimes 46 calcium. It is now widely recognized that the use of large generic default factors are not 47 usually applicable to nutrient risk assessment. Instead, uncertainty factors used in nutrient 48 risk assessment require consideration on a case-by-case basis and must be placed within the 49 context of established intake requirements. 50

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The FAO/WHO Technical Workshop (FAO/WHO, 2006) concluded that it is 1 preferable to develop a single composite uncertainty factor rather than to apply separate 2 uncertainty factors for different issues. The single composite factor for uncertainty is applied 3 to the NOAEL or LOAEL after any available quantitative allowances have been made. 4 Because the risk assessment of nutrient substances has to consider both toxicity and 5 essentiality, the use of a composite factor increases the likelihood that the final value will not 6 be so large as to result in a UL that is lower than the required intake of the nutrient substance. 7 The impact of uncertainty considerations related to the toxicity data must be checked against 8 the level of recommended intake for biological essentiality or for normal health. After 9 uncertainties are taken into account, the resulting value is the UL for the specified 10 subpopulation. When data are insufficient for setting a UL for one or more age/sex/life stage 11 subpopulations (as often is the case), the gap is filled by adjusting a UL that has been 12 established for another subpopulation. Therefore, although it is desirable to establish ULs 13 based on data and end-points, such as differences in the metabolism, homeostatic 14 mechanisms and toxicokinetics between children and adults, in the absence of such data, 15 appropriate scaling is needed. Adjusting or “scaling” an adult UL into a UL relevant to 16 children may be undertaken by correction using: 17 18 • the quantified reference body weight established for the age group; 19 • body surface area, which is calculated using the reference body weight taken to the power 20

of 0.66 (i.e. BW0.66); or 21 • energy requirement, which is sometimes referred to as metabolic body weight and is 22

calculated using the reference body weight taken to the power of 0.75 (i.e. BW0.75). 23 24

Because nutrient substances usually are components of normal intermediary metabolism, 25 scaling on the basis of either surface area (i.e. BW0.66) or energy requirement (i.e. BW0.75) is 26 likely to be more appropriate. 27

Quantitative data on the dietary intake of a nutrient substance by the (sub)population 28 of interest is required to estimate the proportion of the (sub)population that is likely to exceed 29 the UL. Data on the basis for derivation of the UL and other information gleaned from hazard 30 identification/characterization are essential for describing the risk associated with intake 31 above the UL. 32 There are several special considerations for the intake assessment for nutrients and 33 related substances. The exposure/intake assessment is population rather than globally 34 relevant. That is, it is dependent on the types of foods and supplements consumed and on 35 dietary patterns within a region or nation-state. This means that risk characterizations can be 36 inherently different depending upon the target population. This difference holds true even 37 when the derivation of the UL is conducted in a consistent manner using internationally 38 applicable guiding principles. There are wide variations in data types used for dietary intake 39 assessment and in the methods of analysis and presentation of the findings. The FAO/WHO 40 Technical Workshop reviewed in detail the approaches to nutrient intake assessment and 41 proposed harmonized protocols to improve these data (FAO/WHO, 2006). 42 43 9.2.3 Novel foods 44 Developments have made possible the production of foods from unconventional sources (e.g. 45 fungal mycelia and yeast cells). In addition, so-called “exotic” fruits and vegetables are being 46 introduced from their region of origin to other regions. Foods that are well known and 47 traditional in one country or region may be unknown and thereby novel in another country or 48 region. 49

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These foods are intended for consumption, either directly or after simple physical 1 modification to provide a more acceptable product. They may be consumed in large amounts, 2 even by infants and children, particularly if they are permitted for use as protein supplements 3 in otherwise protein-deficient diets. 4 While the definition of what constitutes a novel food is basically a risk management 5 decision, the following working definitions have been proposed (adopted in part from 6 Knudsen et al., 2005 and IPCS, 1987): 7 8 • History of safe use for a food: Term used for the qualified presumption of safety. There is 9

evidence for the safety of the food from compositional data and from experience since the 10 food has been an ongoing part of the diet for a number of generations in a large, 11 genetically diverse population. This presumption is for a certain context of use (conditions 12 of use, defined part of the plant used and required processing) and allows for minor 13 population predispositions, such as intolerance and allergenicity. 14

• Traditional foods: Foods that have a history of significant human consumption by the 15 broad community for several generations as part of the ordinary diet at the global, regional 16 or local level or as a part of an ethnic diet. 17

• Non-traditional foods: Foods that do not have a history of significant human consumption 18 by the broad community for several generations as part of the ordinary diet. 19

• Novel foods: Non-traditional foods for which there is insufficient knowledge in the broad 20 community to ensure safe use, or which have characteristics that raise safety concerns due 21 to composition, levels of undesirable substances, potential for adverse effects, traditional 22 preparation and cooking, and patterns and levels of consumption. These include food or 23 food ingredients produced from raw materials not normally used for human consumption 24 or food that is severely modified by the introduction of new processes not previously used 25 in the production of food. 26

• Foods for special dietary uses: Those foods that are specially processed or formulated to 27 satisfy particular dietary requirements that exist because of a particular physical or 28 physiological condition and/or specific diseases and disorders and which are presented as 29 such. This includes foods for infants and young children. The composition of these 30 foodstuffs must differ significantly from the composition of ordinary foods of comparable 31 nature, if such ordinary foods exist. 32

33 A decision-tree for points to consider in the evaluation of whole foods has been 34 proposed by Renwick et al. (2003) and is shown in Figure 9.7. 35 36 37 38 Figure 9.7. Decision-tree outlining the special considerations for the risk characterization of 39 whole foods (Renwick et al., 2003) 40 41 9.2.3.1 Chemical composition 42 Complete chemical identification of whole foods may not be feasible, but specifications are 43 necessary to ensure that levels of potentially hazardous contaminants, such as mycotoxins 44 and heavy metals or other substances of concern, are kept to a minimum. Toxicological 45 evaluations must be closely related to well defined materials, and evaluations may not be 46 valid for all preparations from the same source material, if different processing methods are 47 used. 48 49

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9.2.3.2 Nutritional considerations 1 When a novel food is intended to replace a significant portion of traditional food in the diet, 2 its likely impact on the nutritional status of consumers requires special consideration. 3 The influence of the introduction of the new substance on the nutrient composition of 4 the diet as a whole should be identified, particularly with respect to groups such as children, 5 the elderly and “captive populations” (e.g. hospital patients and school children). In order not 6 to adversely affect the nutritional quality of the diet, it may be necessary to fortify the 7 substance with vitamins, minerals or other nutrients. 8 The nutritional value of the novel food should be assessed initially from its chemical 9 composition with respect to both macronutrients and micronutrients, taking into account the 10 effects of any further processing and storage. The possible influence of components in the 11 novel food, such as antinutritional factors (e.g. inhibitors of enzyme activity or mineral 12 metabolism), on the nutritional value or keeping quality of the remainder of the diet should 13 also be established. 14 15 9.2.3.3 Toxicological evaluations 16 Depending on the nature and intended uses of the novel food, studies in animals may be 17 needed to supplement the chemical studies. If the novel food is intended to be an alternative 18 significant supply of protein, tests on its protein quality will be necessary. In vivo studies will 19 also be needed when it is appropriate to determine 1) the availability of vitamins and minerals 20 in the novel food in comparison with the food it would replace and 2) any interaction the 21 novel food might have with other items of the diet that would reduce the whole diet’s 22 nutritional value. If the novel food is expected to play an important role in the diet, it may be 23 necessary to verify that the results of animal studies can be extrapolated to human beings by 24 measuring the availability of nutrients to human subjects. 25 In most cases, novel foods constitute a large percentage of the daily diet in animal 26 studies because they are of a non-toxic nature. Therefore, the considerations discussed in 27 section 9.2.1.3 apply to the toxicological testing and evaluation of foods from novel sources. 28 29 9.2.3.4 Human data 30 The general principles of studies in humans have been set out in section 4.11. Human studies 31 on novel foods need to be designed on a case-by-case basis. Human studies should not be 32 embarked upon until there has been a full appraisal of the safety of the novel food, using all 33 available data (e.g. history of safe use, data on chemical and microbiological impurities, 34 composition and toxicology). After the launch of a novel food on the market, post-marketing 35 surveillance studies may also be helpful in providing confirmation of anticipated usage 36 patterns and exposure levels. It may be necessary to conduct allergenicity studies on the 37 novel food because of its composition (e.g. if it is highly proteinaceous) or because the results 38 of animal or human feeding studies suggest that the food might produce hypersensitivity in 39 some people. Important information can be gained by monitoring the health of workers 40 coming into contact with the novel food, such as laboratory staff and employees in the 41 manufacturing plant. It is not realistic to strive for absolute absence of risk for allergenicity, 42 and aim of any study should be to ensure that a novel food is at least as safe as its traditional 43 counterpart (i.e. the food that it will substitute in the diet). 44 45 9.2.3.5 History of safe use 46 Human experience, but normally not formal human scientific studies, is an essential part of 47 the data collection in the history of use. The human experience on the consumption of a 48 certain food in a region different from the one that has deemed the food to be novel is 49 normally just an empirical observation that the food in question has been eaten for 50

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generations in that region. It will normally be coupled with information on how it is prepared, 1 how it is eaten and how much, and whether the food in question has had any special claims 2 linked to it. This kind of information is often anecdotal and not scientifically well 3 documented and is a history of “use”; however, owing to the absence of health 4 measurements, it is not a history of “safe use”. 5 The following information can be considered for a history of safe use (adapted from 6 Health Canada, 2006): 7 8 • Historical evidence indicating ongoing, frequent consumption by a cross-section of the 9

population where it has been used over several generations. This evidence may be derived 10 from various sources, including, but not limited to, scientific publications and patents, 11 non-scientific publications and books, cookbooks, books on the history of food culture 12 and/or affidavits from two or more independent, reputable authorities that include well 13 documented accounts of the way the food is used and how they know it has the history it 14 does. Limited usage or short-term exposure would not be adequate to demonstrate a 15 history of safe use. 16

• A declaration of any possible adverse effects linked to the food documented in its country 17 of origin and/or a country where there is a high degree of consumption. 18

• A description of the standard methods of commercial and/or domestic processing and 19 preparation for consumption. 20

• A description of how the food is cultivated or (if from wild sources) harvested. 21 • Amounts of the food that people are likely to consume, including typical serving sizes 22

and expected frequency of consumption, at both average and extreme high consumption 23 levels. 24

• Analysis of the composition of the food based on randomly selected, statistically valid 25 samples. This analysis should include proximate data as well as amino acid profile, fatty 26 acid profile, mineral and trace mineral composition and vitamin composition, as well as 27 any nutrients, antinutrients and bioactive phytochemicals known to be of particular 28 interest in the product. The analysis should pay special attention to the presence of 29 compounds in the food that may have implications for the health of any subgroups of the 30 population (e.g. possible toxicants or allergens or unusually high levels of nutrients in the 31 food source or final food product). 32

• Metabolism and/or gastrointestinal effects in humans. 33 34

9.2.3.6 Exposure assessment 35 For novel foods, exposure will need to be estimated from proposed uses. For many novel 36 foods, accurate prediction of the likely commercial success, and therefore intakes, is 37 particularly difficult. Therefore, post-launch monitoring can be essential to verify that the risk 38 characterization was appropriate to the exposure. Information on the intended or anticipated 39 use(s) of the novel food is essential for the assessment of whether the use(s) will be safe or 40 constitute a risk. For exotic fruits and vegetables, experience from the region from which they 41 originate can provide helpful information; consumption patterns must be considered in the 42 local context of the novel use proposed. A food traditionally consumed only occasionally or 43 exclusively in combination with another material may cause problems when consumed in 44 larger quantities or in a different combination. 45 The exposure assessment should also consider the appropriate ways of preparing and 46 cooking the novel plant food. Some are to be eaten raw; some are to be milled to flour and go 47 through baking processes; some are to be peeled and cooked; some are to be extracted, 48 treated with acids or bases, dried and fried. All these processes greatly influence the contents 49

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and digestive availability of inherent toxicants, macro- and micronutrients of the individual 1 novel food as assessed in the hazard characterization. 2 3 9.2.3.7 Risk characterization 4 For the risk characterization of novel foods, the MOE approach may be suitable. This is 5 calculated from the estimated daily safe intake divided by the likely human daily exposure. 6 This value can then be used by the risk managers to guide the further decisions on the use of 7 the novel plant food in the general food supply, and—if properly indicated at the food—by 8 the individual consumer to guide his/her choice for proper food that meets the individual 9 expectations and needs. 10 11 9.3 Scientific criteria for periodic reviews and re-evaluations of chemicals in 12 food 13 9.3.1 The need for periodic reviews and specific re-evaluations 14 JECFA and JMPR have indicated that it may be necessary to carry out periodic reviews of 15 substances they have previously assessed. When new information appears on a specific 16 substance, it may also be necessary to carry out a specific re-evaluation of that substance. 17 The first JECFA meeting, in looking ahead, envisaged, in addition to the continuing 18 evaluation of food additives, that there would be a re-evaluation process associated with the 19 programme on food additive safety assessment (FAO/WHO, 1957). It stated: 20 21

Permitted additives should be subjected to continuing observation for possible deleterious effects under 22 changing conditions of use. They should be reappraised whenever indicated by advances in knowledge. 23 Special recognition in such reappraisals should be given to improvements in toxicological 24 methodology. 25

26 This principle was endorsed in the third (FAO/WHO, 1962a), seventh (FAO/WHO, 1964a), 27 eighth (FAO/WHO, 1965a) and ninth reports (FAO/WHO, 1966) of JECFA. 28 The “need for review of past recommendations” was highlighted in the thirteenth 29 JECFA report as follows (FAO/WHO, 1970, p. 22): 30 31

There is a widespread but fallacious belief that clearance of an additive for use in food constitutes an 32 irrevocable decision. Such a view renders a grave disservice to the cause of consumer protection for it 33 fails to recognize the need for regular review of all safety evaluations. 34

35 For many additives, the assessment may not have been conducted using the more recently 36 adopted procedures for investigating intentional and unintentional food additives. A review of 37 past decisions also reveals that some additives have had only a cursory examination. The 38 evaluation of these additives may have been based on limited data. 39 In 1961, the Meeting on Consumer Safety in Relation to Pesticide Residues stated that 40 “of necessity early views of the amount (ADI) will be estimated and subject to revision as 41 experience accumulates” (FAO/WHO, 1962b, p. 9). Thus, from its inception, the provisional 42 nature of the ADI has been recognized (FAO/WHO, 1964b). The 1965 Meeting (FAO/WHO, 43 1965b) re-examined the 37 pesticides reviewed in 1963 (FAO/WHO, 1964b). Changes in the 44 ADIs were instituted for 16 of these pesticides, based on additional information that had 45 become available. 46 The need for a full re-evaluation of the toxicity database on some pesticides was 47 identified by the 1981 JMPR (FAO/WHO, 1981a), based on concerns over the validity of 48 previously submitted data. The first of these re-evaluations was undertaken in 1982 49 (FAO/WHO, 1981b). The development of new methods for investigating toxicity has also 50

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caused concern in relation to pesticides for which ADIs have been established (FAO/WHO, 1 1974). 2 Reviews of past decisions on safety regarding food additives, contaminants and 3 residues of pesticides and veterinary drugs may be necessary as a result of one or more of the 4 following developments (FAO/WHO, 1970): 5 6 • a new manufacturing process; 7 • a new specification; 8 • new data on the biological properties of the compound; 9 • new data concerning the nature or the biological properties, or both, of the impurities 10

present; 11 • advances in scientific knowledge germane to the nature or mode of action; 12 • changes in consumption patterns, levels of use or dietary exposure estimates; 13 • improved standards of safety evaluation. This is made possible by new scientific 14

knowledge and the quality and quantity of safety data considered necessary in the case of 15 food additives and residues of pesticides and veterinary drugs. 16

17 9.3.2 Periodic reviews of the risk assessments for pesticide residues 18 At the request of the CCPR or national governments, JMPR has always re-examined data 19 supporting ADI estimates and data on residue trials and registered use information supporting 20 MRLs. If the ADI for a pesticide has been established more than about 20 years previously 21 and it has not been evaluated since, it is possible that new data may have become available or 22 that evaluation to updated scientific knowledge would change the result. 23 In the early 1990s, two developments encouraged a more formal process in the 24 Codex system for ensuring that its pesticide residue standards met contemporary expectations 25 and were not obsolete. First, the United States, European and some other national registration 26 systems had commenced re-registration programmes for their pesticides, where old 27 registrations were re-evaluated to modern data requirement standards. Second, the SPS 28 Agreement refers to Codex standards, including MRLs, as reference standards for 29 international trade, which meant that the Codex system and its procedures were under 30 increased scrutiny. 31 Because most MRLs are related to registered uses, when a registered use changes or 32 is withdrawn, the remaining MRL may be obsolete. However, it is very difficult to know the 33 registration status throughout the world and whether adequate data are available to support 34 the current or revised MRL or if the MRL should be withdrawn. 35 The aim of the CCPR Periodic Review Programme was to institute a procedure that 36 gave an adequate opportunity for data submission for required compounds and MRLs while 37 introducing a timetable for ADIs and MRLs to be deleted if no data or inadequate data were 38 provided. A procedure for formal periodic reviews proposed at the 23rd Session of the CCPR 39 (CAC, 1991) was widely endorsed, finally resulting in an agreed procedure at the 25th 40 Session of the CCPR (CAC, 1993). In fact, the first periodic reviews were carried out by 41 JMPR in 1992 following wide discussion of the principles at CCPR in 1991 and 1992. 42 For pesticides, CCPR has recommended the following criteria for periodic re-43 evaluation: 44 45 • chemicals that have not been reviewed toxicologically for more than 15 years and/or not 46

having a significant review of maximum residue limits; 47 • the year the chemical is added to the list for CCPR Candidate Chemicals for Periodic Re-48

evaluation—Not Yet Scheduled; 49

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• the date that data will be submitted; 1 • if the intake and/or toxicity profile indicate a high level of public health concern; 2 • whether the CCPR has been advised by a national government that the chemical has been 3

responsible for trade disruption; 4 • if there is a closely related chemical that is a candidate for periodic re-evaluation that can 5

be evaluated concurrently; and 6 • allocating periodic re-evaluation chemicals to be evaluated on a 50:50 basis with new 7

chemicals to be evaluated. 8 9

Principles of operation of the periodic review are: 10 11 • available studies will be evaluated according to modern scientific standards; and 12 • there will be no reliance on data submissions to FAO and WHO from previous years. For 13

a periodic review, all relevant studies should be provided in the dossier for evaluation. 14 15

In addition to toxicology and GAP information on registered pesticide uses and 16 studies on supervised residue trials, the critical information formally required for compounds 17 undergoing periodic review are data on metabolism in livestock and crops, environmental 18 fate in soil and water–sediment systems, livestock feeding, food processing, analytical 19 methods and freezer storage stability for analytical samples. 20 21 9.3.3 Mechanisms of periodic reviews and re-evaluations 22 That a considerable amount of re-evaluation of substances is already carried out within the 23 system is evident when the year-to-year agendas of JECFA and JMPR are examined. 24 Temporary ADIs have been allocated by JECFA and JMPR to permit the acceptance of 25 substances where there are sufficient data to conclude that the use of the substance is safe 26 over the relatively short period of time required to produce further safety data, but are 27 insufficient to conclude that the use of the substance is safe over a lifetime. An expiry date is 28 generally established by which time appropriate data to resolve the safety issue should be 29 submitted. JECFA, as part of its recommendations in the evaluation of specific contaminants, 30 often makes requests for additional data and recommendations for subsequent re-evaluation. 31 Establishing a priority order for the re-evaluation of compounds requires input from a 32 number of sources. Within the risk analysis paradigm, the system for periodic review, 33 including the determination of priorities for re-evaluation, is part of risk management; for 34 JECFA and JMPR, it is the responsibility of FAO, WHO and the CAC, through its 35 committees. For JECFA, these include primarily the CCFA, CCCF and CCRVDF. For 36 JMPR, the primary source of input is the CCPR. 37 The FAO and WHO Joint Secretaries for JECFA and JMPR, as representatives of 38 their respective organizations, have the final responsibility and authority for the 39 determination of substances for re-evaluation in their respective areas. This can be dependent 40 in part on available resources. 41 In general, re-evaluations are not justified unless there are new data. For most food 42 additives, pesticides and veterinary drugs, such data are usually supplied by a sponsor. In 43 many cases, new data for re-evaluations have not been available. Risk management, 44 including Codex and Member states, has a critical role in making certain the necessary data 45 for re-evaluation are available. 46 The following situations are triggers for prioritizing substances for re-evaluation: 47 48 • substances for which new data raise suspicion of significant hazard; 49

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• substances for which there is evidence to question the validity of the data submitted for 1 the previous evaluation; 2

• substances previously allocated a temporary ADI, where the requested additional data are 3 available; 4

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