North Central Regional Publication
The United States Department of Agriculture (USDA), the Food and Drug Administration (FDA), the Environmental Protection Agency (EPA), and most state governments closely monitor the development and testing of a genetically engineered product and can provide pages of test results concerning its safety. However, in the end, only consumers themselves can decide if using a product, whether it is developed by genetic engineering or traditional methods, is right for them.
In the last twenty years, scientists discovered that DNA is interchangeable among animals, plants, bacteria and other organisms. In addition to using traditional breeding methods of improving plants and animals through crossbreeding and selection, scientists in some cases can now transfer the genes that determine many desirable traits from one plant or animal to another. The transfer of DNA is done by various methods, such as direct injection of cells with DNA or literally shooting cells with DNA-covered particles from a special gun. Another widely-used method is to insert the DNA into specially modified bacteria or viruses that carry it into cells they infect.
Regardless of which method is used, the general process of transferring DNA from one organism to another is called genetic engineering. Almost any desirable trait found in nature can, in principle, be transferred into any chosen organism. A plant or animal modified by genetic engineering to contain DNA from an external source is called transgenic.
The first successful gene therapy was used in 1990 to treat an immune system defect called ADA deficiency in children. Blood cells with normal ADA genes were injected into the patients' bodies where they produced enough normal cells to improve their immune systems.
Today, gene therapy clinical trials are underway to treat diseases such as malignant brain tumors, cystic fibrosis and HIV. Gene therapy techniques have captured the public's interest, and new discoveries are regularly reported by the broadcast and print media.
The entrance of these health-related products into the marketplace usually has not generated the same level of public controversy that surrounds the proposed introduction of genetically engineered foods. For example, on November 5, 1993, the FDA announced approval of the growth hormone bovine somatotropin (bST). The product is sold commercially by Monsanto as an animal drug called POSILAC® for increasing milk production in dairy cows. Controversies concerning milk product labeling, animal health issues and economic impacts followed the FDA approval and received extensive coverage by the media. Calgene Fresh's Flavr SavrTM tomato received similar media attention when it became the first genetically engineered fruit or vegetable to hit the market in May of 1994.
Companies have requested, or soon will ask for, regulatory approval to market leaner pork from pigs that receive porcine somatotropin (pST), and a multitude of genetically engineered fruits and vegetables, including tomatoes, potatoes, corn, squash, cantaloupe and strawberries.
Consumers need answers about the scientific development, characteristics, cost and safety of genetically engineered foods so they can make their own decisions about their use. The USDA, FDA, EPA and state governments are working with companies to supply those answers.
Applying the term "plant pest" to a genetically engineered plant means only that the "non-pest" nature of the plant has yet to be demonstrated. All of the many field tests conducted to date have shown that the genetically engineered plants tested have no more "pest-like" qualities than their non-engineered parents.
APHIS regulations provide a list of the organisms regarded as plant pests so applicants know if the development of their product is subject to APHIS regulations. If an organism is not on the list, it still may be subject to APHIS regulations if it is an unclassified organism or there is reason to believe that the resulting organism is or will be a plant pest. An organism that is subject to APHIS regulation is called a "regulated article."
APHIS exercises its regulatory authority through a permit system. A company, academic research institution, or private scientist who wishes to move or field test a genetically engineered plant must obtain the necessary permit(s) before proceeding. This permit system is an extension of the long-standing permitting program used for naturally occurring plant pests.
There are three basic types of permits that an applicant who is developing a genetically engineered plant may be required to obtain. To apply for any of the three permits, an applicant must complete a detailed form (APHIS Form 2000) and send it to the Biotechnology Permits unit of Biotechnology, Biologics, and Environmental Protection (BBEP) within APHIS.
If portions of the application contain trade secret or confidential business information (CBI), the applicant submits two versions of the application, one with CBI marked and included and one with CBI marked and deleted. The CBI deleted version is the version that is circulated for review by officials outside APHIS, for example state departments of agriculture.
If applicants falsify any information on the permit application, they may be fined up to $10,000 and imprisoned for up to five years or both. To help applicants provide accurate and complete applications, APHIS has issued technical bulletin 1783 titled User's Guide for Introducing Genetically Engineered Plants and Microorganisms.
After the application is reviewed, APHIS makes a preliminary pest risk analysis and sends a letter to the appropriate state departments of agriculture asking them to review the proposed movement. APHIS and state officials will inspect the facility that will receive the organism to be sure that the organism will not be accidentally released into the environment. The inspectors will also evaluate the facilities, personnel, security, and operational procedures of laboratories, growth chambers, and greenhouses to be sure that National Institutes of Health guidelines for good practices are being followed.
Movement permits are issued or denied within 60 days after APHIS receives the application. If granted, the permit is valid for one year from the date of issue and must be renewed if additional plant material is moved after this time. If a permit is denied or revoked, the applicant can appeal the decision.
The process for obtaining an interstate movement or importation permit is depicted in Figure 1.
Figure 1. Permit process for moving or importing genetically engineered plants.
These special precautions routinely include transporting the plants to the field test site in enclosed containers and thoroughly cleaning test plot equipment before and after use. Depending on the plant being field tested, cross pollination is blocked by bagging the flowers, growing crops in cages that keep insects from carrying pollen out, removing the plants' reproductive structures, and isolating the plants from other crops. After harvest, any remaining vegetative material in a field test site is allowed to dry down in the field, followed by cultivation to incorporate remaining plant parts into the soil. The next spring, a field test site typically is treated with herbicide, planted to a different crop, and monitored throughout the growing season. Any volunteer plants that sprout are destroyed.
APHIS personnel review the permit application for completeness and assign it to a scientific reviewer who evaluates the proposed field test. APHIS also notifies state department of agriculture officials in the state where the field test is proposed for their input.
An environmental assessment (EA), a document that analyzes any possible environmental impacts the field test could have, is prepared by APHIS as part of the review process. The EA is required by the National Environmental Policy Act, Council on Environmental Quality regulations, and USDA procedures. One permit application can cover field tests in more than one state and field tests do not have any size limits. However, APHIS officials take the scope and size of a field test into consideration when they prepare the EA.
Written approval or denial of a field test application is sent to the applicant within 120 days. If the field test is approved, APHIS personnel will inspect the field test site near the beginning of the field test, possibly during the test, and after harvest.
The permit process for a field test of a genetically engineered plant is shown in Figure 2.
Figure 2. Permit process for field testing genetically engineered plants.
Before a genetically engineered crop can be sold commercially, a petition must be filed for USDA exemption. This petition requires more information than a field test permit, including environmental product safety information.
An applicant for a courtesy permit completes certain items on the APHIS Form 2000, including a statement of why the applicant believes the plant organism or product is not subject to APHIS regulation. Within 60 days after it receives the application, APHIS will either issue the courtesy permit or advise the applicant that the organism is a regulated article and application for a regular movement or field test permit must be made.
The notification process is not as simple as it sounds. The planned move or field test must meet certain eligibility criteria and performance standards. If it does not, the more involved regular permit process must be followed. If a field test does qualify for the notification process, APHIS will still require information about the plant, such as the source of any genes used; the method of genetic engineering; and the size, date and location of the field test. APHIS must receive the notification at least 10 days before interstate movement and 30 days before field testing or importation into the U.S. Detailed annual follow-up reports are also required (Biotechnology Notes).
The notification process was based on an extensive history of safe use of the six crop plants in field trials in the United States. On a limited case-by-case basis, APHIS may approve the introduction of other genetically engineered crops under the notification process. If a field test does not meet eligibility and performance standards, the regular field test permit process must be followed.
All petitions are printed in the official legal publication of the U.S. Government, the Federal Register. The public has 60 days to comment for or against the petition, and APHIS has up to 180 days to either approve or deny it.
The FDA has very broad authority under the Federal Food, Drug, and Cosmetic Act (FFDCA) to regulate the introduction of new foods, whether they were conventionally produced or developed by genetic engineering. This act gives the FDA two kinds of authority to regulate the safety of foods.
The "adulteration" provisions of the act authorize the FDA to remove unsafe foods from the marketplace and make producers legally responsible for the safety and wholesomeness of the foods they market. Another section of the act requires pre-market approval of food additives, unless they are generally recognized as safe.
FDA policy does not require a review of new or modified proteins if they are from food sources or are substantially the same as food substances, are not known to be toxic or raise food safety concerns, and will not be a major part of the diet. New carbohydrates with an unusual structure or function and oils composed of new, unusual fatty acids must be reviewed (Maryanski). If there is reason to believe that certain individuals may be allergic to the new substance or the digestibility or nutritional value has been altered, developers should consult with the FDA.
In fact, because of the serious legal consequences and economic loss that companies could face if a food must be withdrawn from the market, they routinely consult with the FDA before introducing new products, especially those developed through genetic engineering.
So far, the FDA has not required all genetically engineered food products to be labeled as such solely because they involved genetic engineering. If the FDA ever does decide to require labeling of all food products developed through genetic engineering, an interesting consequence could follow. Some FDA authorities believe that these products would have to be kept separate during all phases of production, storage, processing and distribution. For example, genetically engineered tomatoes could not be dumped into the same vat with conventional tomatoes to produce tomato paste. Likewise, wheat varieties whose development involved genetic engineering could not be mixed with other wheat to manufacture flour. It is also possible that pizzas made with the tomato paste and bread made from the flour would also have to be labeled as the genetically engineered products passed through the food processing chain.
Current FDA policy does recognize that in certain situations consumers should be advised through labeling, such as when the genes for proteins to which some people are allergic are transferred from one species to another. For example, if a gene from peanuts or fish, foods that commonly cause allergic reactions, were inserted into sweet corn, the corn would have to be labeled to alert consumers. The only way a company could avoid labeling the new sweet corn would be to prove to the FDA's satisfaction that the gene taken from peanuts or fish did not transfer anything to the corn that could produce an allergic reaction.
The FDA also could require labeling if the nutritional content of the food is changed. Oranges are an important source of vitamin C. A genetically engineered orange that had a significantly lower vitamin C level would have to be labeled.
Many food plants are being genetically engineered to resist pests. For example, Bacillus thuringiensis, commonly known as Bt, is a bacterium that occurs naturally in the soil. For years, bacteriologists have known that some strains of Bt produce proteins that are lethal to certain insects with alkaline digestive tracts. When these insects ingest the protein produced by Bt, the function of their digestive systems is disrupted, producing slow growth and, ultimately, death. The protein that is toxic to some insects causes no harm to animals with acidic digestive tracts, such as humans.
Genetic engineering makes it possible to locate the gene that produces Bt proteins lethal to insects and transfer the gene into crop plants. Corn that resists European corn borers and potatoes that resist the Colorado potato beetle are two examples of food crops that are being developed through Bt technology.
The EPA is developing a draft policy intended to clarify the regulatory status under FIFRA and FFDCA of pesticidal substances produced by plants (plant-pesticides). Current EPA thinking is that EPA will not regulate plants per se, but instead will regulate certain categories of plant-pesticides. These categories are described in the draft policy. At this time, EPA would propose to focus on plant-pesticides that are most likely to result in new environmental exposures to a pesticidal substance and have the greatest potential for adversely affecting non-target, beneficial organisms. The draft describes the scientific considerations that EPA would use to evaluate those plant-pesticides that the Agency believes warrant review under FIFRA and FFDCA. The draft proposal was presented to a sub-panel of the FIFRA Science Advisory Panel on December 18, 1992. The draft proposal, supporting documents, and the committee's report can be obtained from OPP (Office of Pesticide Programs) public docket No. OPP 00343. The EPA hopes to issue a proposal in the Federal Register in 1994 (Matten).
The other option is to exempt a pesticide from the requirement of a tolerance, if such an exemption does not already exist. Currently the EPA is considering exempting the coat proteins of viruses from tolerance levels.
After receiving the EUP, a company follows a process that involves extensive testing of the crop to ensure food and environmental safety before the crop is commercialized. In addition, it is likely that some applicants also will consult the FDA before a pest-resistant food crop is commercialized, even though a recent FDA policy proposal emphasized that such products fall under the EPA's jurisdiction and are not subject to FDA pre-market approval.
States also have the right to monitor the development of a genetically engineered product. Required inspections and permits are two mechanisms states can use.
Applicants for an importation or movement permit can expect to have the receiving facilities for the plant inspected by either federal and/or state authorities before the plant arrives. Applicants for an environmental release permit are told that federal representatives will inspect the field test site near the beginning of the field test and shortly after harvest and possibly at some time during the field test. State officials may also inspect the field test site.
Iowa has established a State Biotechnology Advisory Committee whose members currently include representatives from the Iowa Department of Natural Resources, the Iowa Department of Public Health, Iowa State University, the University of Iowa, and Grinnell College. The Iowa Department of Agriculture chairs the committee.
The first step in Iowa's review process begins when the USDA-APHIS sends a permit application to the Iowa Department of Agriculture for review. Depending on the type of application, officials at IDALS may send it on to the members of the Biotechnology Advisory Committee for their comments. These comments may include questions about the design of a field test, safety precautions or any other area of concern. The comments are forwarded to the USDA-APHIS for their consideration during the permit approval process.
In Iowa, the purpose of the State Biotechnology Advisory Committee is to provide expert advice to the IDALS. Neither the Committee nor the IDALS has any legal authority to issue permits in the state. Any required permits for moving or field testing genetically engineered plants are issued by APHIS.
Even the six crop plants that can now be imported, moved interstate, or field tested under the notification process (see USDA section) are still subject to state inspection. In these cases, when applicants notify APHIS of their intent to move or field test one of these six crops, APHIS in turn notifies Iowa within five business days.
Iowa's State Biotechnology Advisory Committee has the same opportunity to provide comments for movement or field tests of these six crops as it does for other genetically engineered plants. The state is currently developing guidelines for applicants to follow when APHIS determines that notification is all that is required.
Federal Register, Vol. 51, No. 123. "Office of Science and Technology Policy: Coordinated Framework for Regulation of Biotechnology; Announcement of Policy and Notice for Public Comment. Part II". Thursday, June 26, 1986, p. 23302-23350.
Federal Register, Vol. 52, No. 115. "Plant Pests; Introduction of Genetically Engineered Organisms or Products; Final Rule." Part II, Department of Agriculture, Animal and Plant Health Inspection Service. 7 CFR Parts 330 and 340. Tuesday, June 16, 1987, p. 22892-22915.
Federal Register, Vol. 57, No. 104. "Statement of Policy: Foods Derived from New Plant Varieties; Notice." Part IX, Department of Health and Human Services, Food and Drug Administration. Friday, May 29, 1992, p. 22984-23005.
Federal Register, Vol. 58, No. 60, "Genetically Engineered Organisms and Products; Notification Procedures for the Introduction of Certain Regulated Articles; and Petition for Nonregulated Status; Final Rule." Part X, Department of Agriculture, Animal and Plant Health Inspection Service. 7 CFR Part 340. Wednesday, March 31, 1993, p. 17044-59.
Human Gene Therapy Research Institute. Personal communication. Iowa Methodist Medical Center, Des Moines, Iowa.
King, Jackie. "Engineering for a Healthy Life." Des Moines Business Record, Week of February 14, 1994, p. 1.
Maryanski, James H.; Flamm, Eric L.; Kahl, Linda S. "FDA's Policy on Foods Derived from New Plant Varieties." Probe -- Newsletter for the USDA Plant Genome Research Program, Fall 1992, p. 1-3.
Matten, Sharlene R. Personal communication. Office of Prevention, Pesticides, and Toxic Substances, EPA.
Matten, Sharlene R.; Schneider, William R.; Slutsky, Bernice I.; and Milewski, Elizabeth A. "Biological Pesticides and the U.S. Environmental Protection Agency." In Advanced Engineered Pesticides, p. 327-336. Edited by Leo Kim. New York: Marcel Dekker, Inc., 1993.
Office of Technology Assessment. A New Technological Era for American Agriculture. August 1992. 460-page report. Free summary and cost information for the complete report available from Publications Ordering, U.S. Congress - OTA, Washington, D.C. 20510-8025. Telephone (202) 224-8996.
Stoltenow, C. R. Personal communication. Iowa Department of Agriculture and Land Stewardship.
Sudduth, Mary Alice. "Genetically Engineered Foods -- Fears and Facts. An Interview with FDA's Jim Maryanski." FDA Consumer, January-February 1993, p. 11-14.
User's Guide for Introducing Genetically Engineered Plants and Microorganisms. United States Department of Agriculture, Animal and Plant Health Inspection Service. Technical Bulletin No. 1783. June 1991.
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