New Genetics, Food & Agriculture: Scientific Discoveries - Societal Dilemmas

 

Annotated Bibliography Entry

 

Reference: US NRC 2000
Title:
Genetically Modified Pest-Protected Plants: Science and Regulation
Authors: National Research Council
Publisher: The National Academies Press, 2101 Constitution Avenue, NW, Washington DC 20418 USA
Publication details: 2000. 292p.

Context
Protecting Plants from Pests
Commercial Cultivation of Transgenic Crops
Terms of Reference
Terminology
Findings & Recommendations
Striving for the Ideal Regulatory Framework
Table of Contents

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SUMMARY

Context

A revolution has been taking place in the life sciences, sparked by striking advances in our fundamental understanding of living systems.  These advances have led to the development of powerful molecular techniques, which can help society to conquer human disease, improve food production, and better protect the environment.  As with all new scientific developments, however, potential risks need to be carefully evaluated and dealt with appropriately.  The National Academies are committed to bringing together experts to discuss and comment on the scientific issues surrounding the application of biotechnology to important modern-day problems.

In 1987 the National Academy of Sciences issued a white paper on the Introduction of Recombinant DNA-Engineered Organisms into the Environment, which dealt with general principles concerning potential ecological risks in field testing.  In 1989, the National Research Council issued the report, Field Testing Genetically Modified Organisms: Framework for Decisions, which addressed the ecological risks of small-scale field testing of engineered organisms.  Neither potential human health risks, nor issues raised by large-scale commercial planting, were addressed in that study that considered scientific issues primarily, not regulatory policy.  These two reports reflected the best judgment of two highly expert groups of scientists, and they were based on the scientific evidence available to them at the time.  These reports from the National Academies are available at www.nap.edu.

Utilizing information gained over the past decade, the National Research Council is releasing this report on genetically modified pest-protected plants.  It provides timely advice to researchers, developers, and regulatory agencies involved in reviewing the science surrounding the regulation of genetically modifies pest-protected crops.  The report addresses only one aspect of the ongoing revolution in the life sciences and agriculture, and it is careful to point out where more research and scientific information is needed to answer remaining questions. 

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Protecting Plants from Pests

Agriculture has been suffering from pest and disease infestation since its inception, causing enormous, unpredictable losses in food production.  Genetic engineering of plants for resistance to pests and disease, creating transgenic pest-protected plants, is one of the many tools for increasing food security.  It is embedded within the long-standing science of conventional breeding for plant improvement.  The use of chemicals to control pests* can be abated and perhaps someday eliminated by the appropriate use of transgenic methods, combined with conventional breeding and other techniques of sustainable agriculture.

Many valuable technologies will form the basis for future plant protection.  The appropriate balance among them will be pest and situation-specific.  This report provides an overview of the use of transgenic techniques to enhance the pest resistance of crops, with a focus on the regulatory system that oversees the introduction of transgenic pest-protected plants.  It is but one contribution to the larger and complex system of pest management, as well as to the broader issues surrounding the often virulent debate about using modern biotechnology to improve agricultural production.

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Commercial Cultivation of Transgenic Crops

Transgenic crops were first commercially planted in the United States in 1995.  Since then the acreage planted to transgenic crops had increased rapidly with some 70 million acres being grown in the United States, and 98.6 globally in 1999.  Of this acreage, a large percentage (for example, 30 million acres in the US in 1999) is planted with transgenic pest-protected crop varieties containing the Bacillus thuringiensis (Bt) gene that confers protection to certain insect pests and with varieties that are herbicide-tolerant.  In 1998, about 25% of the US cotton acreage and 21% of the corn acreage was planted with varieties containing Bt genes.

This increase in acreage planted in transgenic crops has largely resulted because of benefits produced to farmers.  Many farmers are growing transgenic crops because they either produce more effective control of serious pests than conventional chemical treatments, or they provide control at lower costs than conventional treatments, or both.  The growing of some Bt crops has been accompanied by a reduction in the amounts of chemical pesticides previously used on these crops.  This has produced a side benefit in terms of reducing exposure of humans and other non-target organisms to these toxic chemicals and lessening the contamination of air and water.

Given the rapid increase in plantings of transgenic varieties, concerns have been raised about the ecological and human health risks that might be posed by these crops.  Although these risks might not in principle differ in type from those associated with other conventionally bred pest-resistant varieties or chemical pesticides, they nevertheless have become a focus of attention by several groups who are concerned by potential risks that might be posed by transgenic breeding methods.  This concern has been magnified in Europe and other parts of the world where consumer resistance has been increasing against food products produced from transgenic plants.

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Terms of Reference

Concerns about the risks posed by transgenic plants have led some to question the safety review they receive in the United States under the Coordinated Regulatory Framework.  Some believe that human health and environmental risks are not properly assessed.  Others believe the risks are minimal, that benefits outweigh risks, and the current regulatory scheme is too onerous.  This debate has intensified in recent months given the international climate and impending regulatory decisions in the United States where new regulations for transgenic plants are being considered.

Several professional societies, members of Congress, and other groups have expressed concern over the regulation of transgenic crops, citing the need for on impartial review of the present and proposed process.  The National Research Council responded to this need by commissioning and funding the present study that was initiated in March 1999.  The committee was charged with the following task:

The committee will investigate risks and benefits of genetically modified pest-protected (GMPP) plants and the coordinated Regulatory Framework for Regulation of Biotechnology affecting the use of these plants.  The study will: 

(1)    Review the principles in the NAS Council’s white paper, Introduction of DNA-Engineered Organisms into the Environment (1987), for their continued scientific validity and assess their appropriateness for current decisions regarding GMPP plants; 
(2)     Review scientific data which addresses the risks and benefits of GMPP plants; 
(3)     Examine the existing and proposed regulations to qualitatively assess their consequences for research, development, and commercialization of GMPP plants; and 
(4)     Provide recommendations to address the identified risk/benefits, and, if warranted, for the existing and proposed regulation of GMPP plants.

The report is composed of four chapters and an Executive Summary.  Chapter 1 is an introductory chapter that discusses issues that led to the initiation of the present study, current EPA, USDA, and FDA policies, the task given to the committee by the NRC, and role of this report.  Chapter 2 deals with the potential environmental and human health impacts of pest-protected with risks and benefits being among the issues discussed.  Chapter 3 provides several case studies related to the commercial production of transgenic genetically modified pest-protected crops, analyzes the 1994 and 1997 rules proposed by EPA for the regulation of plant-pesticides, and identifies several research needs.  Chapter 4 provides an overview of the current regulation of plant products under the coordinated framework for the regulation of biotechnology by EPA, FDA, and USDA and provides recommendations that the committee believes will improve this process.  The Executive Summary summarizes the key finding, conclusions, and recommendations of the report.

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Terminology

Genetically Modified Plants

Plant breeders use a variety of genetic techniques to enhance the ability of plants to protect themselves from plant pests.  Regardless of the technique used, the committee considers these plants to be genetically modified.  Although the committee recognizes that there is no strict dichotomy between the products of conventional and transgenic technologies, in this report it has used the following terms:

·       pest-protected plant or genetically modified pest-protected (GMPP) plant: refers to any plant that has been genetically modified to express a pesticidal trail*, regardless of the technique used*;

·       transgenic pest-protected plant: refers to any plant that has been genetically modified with modern molecular techniques (rDNA technology, commonly referred to as genetic engineering) to express a pesticidal trait;

·       conventional pest-protected plant: refers to any plant that has been genetically modified by classical or cellular plant breeding techniques (such as hybridization or tissue culture) to express a pesticidal trait.

·       many plants have evolved a natural protection against pests without any type of genetic modification done by humans.  This report refers to those plants as naturally pest-protected plants.

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Findings and Recommendations 

Review of the 1987 National Academy of Sciences Principles

The committee reviewed the 1987 NAS white paper, Introduction of Recombinant DNA-Engineered Organisms into the Environment: Key Issues.  The 1987 paper focused on the safety of rDNA techniques and on ecological issues associated with the potential spread of transgenic organisms or genes associated with transgenic organisms, and it provided the following conclusions:

·   Point 1 “There is no evidence that unique hazards exist either in the use of rDNA techniques or in the movement of genes between unrelated organisms.”

·   Point 2 “The risks associated with the introduction of rDNA-engineered organisms are the same in kind as those associated with the introduction of unmodified organisms and organisms modified by other methods.”

·   Point 3 “Assessment of the risks of introducing rDNA-engineered organisms into the environment should be based on the nature of the organism and the environment into which it is introduced, not on the method by which it was produced.”

The committee discussed the above principles in light of its knowledge of the underlying scientific processes involved in conventional and transgenic methods.  It is important to point out that the committee is not aware of controlled field studies which directly compare the ecological effects of transgenic and conventional pest-protected plants bred for the same pesticidal traits.  Therefore, the committee’s conclusions about the 1987 NAS principles are not based on data for such comparisons, but on mechanistic knowledge and scientific information about the resulting genetically modified plants.  For example, conventional breeding often involves the transfer of traits which are controlled by several interacting genes and often occurs without specific knowledge of which genes and gene products are involved.  Therefore, some of the plants produced by this method could have unanticipated properties. With transgenic methods, there is often more knowledge about the genes and gene products being transferred, but diverse traits and genes from unrelated organisms can be transferred so some specific products could have unique properties.  Because both methods have potential to produce organisms of high or low risk, the committee agrees that the properties of a genetically modified organism should be the focus of risk assessments, not the process by which it was produced (point 3).

The committee also agrees with points 1 and 2 in the sense that the potential hazards and risks associated with the organisms produced by conventional and transgenic methods fall into the same general categories.  As this report discusses, toxicity, allergenicity, effects of gene flow, development of resistant pests, and effects on non-target species are concerns for both conventional and transgenic pest-protected plants.  In this regard, the committee found no strict dichotomy between or new categories of the health and environmental risks that might be posed by transgenic and conventional pest-protected plants (points 1 and 2), and recognizes that the magnitude of risk varies on a product by product basis (point 3).

The present committee found the three general principles to be valid within the scope of issues considered by the 1987 paper, and the present report further clarifies and expands on these principles.

This report expands on the 1987 principles by describing various methods of both conventional and transgenic plant breeding, and their potential consequences.

Potential Health and Ecological Impacts and Research Needs

Conventional pest-protected plants have substantially improved plant health and agricultural productivity and have often lessened the need for chemical pesticides.  Transgenic pest-protected plants have the potential to make similar contributions, as has already been documented with transgenic pest-protected cotton (section 1.5.5).  Human health and environmental benefits could arise from reductions in the application of chemical pesticides resulting from the commercial production of certain transgenic pest-protected plants.  However, the relative risks and benefits will depend on the particular transgenic pest-protected plant in question.

Historically, pest-protected plants have rarely caused obvious health or environmental problems, but there is a potential for undesirable effects.  Therefore, a major goal for further research and development of transgenic and conventional pest-protected plants should be to enhance agricultural productivity in ways that also foster more sustainable agricultural practices, enhance the preservation of biodiversity, and decrease the potential for health problems that could be associated with some types of pest-protected plants.  Although the committee focused its discussions on transgenic pest-protected plants, many of the following recommendations for research and development also apply to conventional pest-protected plants.


Health Impacts and Research Needs

Health impacts that the committee considered fall into three general categories: allergenicity, toxicity, and pleiotropic effects of genetic modifications.

The potential for allergenic responses to novel gene products was considered.  Such responses have not been documented for commercialized transgenic pest-protected plants, although one incident has been documented at the research stage.  Several indirect tests for allergenicity are available.  For novel proteins, the most common methods involve analyzing the protein for its digestibility, estimating the level of protein expression and consumption, and assessing homology to know allergens.  While these indirect tests can be good indicators of potential allergenicity, the development of more direct tests is highly desirable.  Therefore, the committee recommends that

Priority should be given to the development of improved methods for identifying potential allergens in pest-protected plants, specifically, the development of tests with human immune-system endpoints and of more reliable animal models.

The committee reviewed data concerning toxicity testing and potential pleiotropic or secondary effects of genetic modification.  The committee concluded that monitoring for pleiotropic changes in plant physiology and biochemistry during the development of pest-protected plants should be an important element of health-safety reviews, in addition to testing the toxicity of the introduced gene products.  Although results of tests for changes in the level of certain endogenous plant toxicants are presented during consultation with FDA, there is a lack of an extensive database on the natural levels of such compounds in both transgenic and conventional pest-protected plants. The committee recognizes the challenges associated with detecting changes in those compounds given insufficient analytical information, and therefore, recommends research to

Assess and enhance data on the baseline concentrations of plant compounds of potential dietary or other toxicological concern, and determine how concentrations of these compounds may vary depending on the genetic background of the plant and environmental conditions.

In addition to the above research, the committee recommends that

The EPA, FDA, and USDA collaborate on the establishment of a database for natural plant compounds of potential dietary or other toxicological concern.

The committee recognizes that a significant amount of time and resources will be needed to establish such a database, given the complexity of these plant compounds.

For some novel pest-protectants developed for future commercialization, long term toxicity testing may be warranted.  Tests that involve feeding of large quantities of pest-protected plants to animals have limitations, and the results can be difficult to interpret especially when the animal’s natural diet does not consist of the type and quantities of the plant being tested. Therefore, the committee recommends research to

Examine whether long term feeding of transgenic pest-protected plants to animals whose natural diets consist of the quantities and type of plant material being tested (for example, grain or forage crops fed to livestock) could be a useful method for assessing potential human health impacts.

In conclusion, although there is the potential for the adverse health effects discussed in this section,

The committee is not aware of any evidence that foods on the market are unsafe to eat as a result of genetic modification.

 

Ecological Impacts and Research Needs

Three major ecological impacts were considered by the committee: effects on nontarget species, effects of gene flow, and evolution of pest resistance to pest-protected plants.

The committee reviewed studies concerning non target effects.  The committee found that both conventional and transgenic pest-protected crops could have effects on non target species, but these potential effects are generally expected to be smaller that the effects of broad-spectrum synthetic insecticides.   Therefore, the use of pest-protected crops could lead to greater biodiversity in agroecosystems where they replace the use of those insecticides. The use of transgenic pest-protected plants should also be compared with sustainable agriculture methods for crop protection.  The committee recommends research to

Determine the impacts of specific pest-protected crops on non target organisms, compared with impacts of standard and alternative agricultural practices through rigorous field evaluations.

Gene flow between cultivated crops and wild relatives was the second ecological impact considered by the committee.  On the basis of the literature, the committee found that pollen dispersal can lead to gene flow among cultivated crops and from cultivated crops to wild relatives but that only trace amounts of pollen are typically dispersed further than a few hundred feet.  The committee found that the transfer of either conventionally bred or transgenic resistance traits to weedy relatives potentially could exacerbate weed  problems, but such problems have not been observed or adequately studied.  Therefore, the committee recommends further research to

Assess gene flow and its potential consequences: develop a list of plants with wild or weedy relatives in the United States; identify key factors that regulate weed populations; assess rates at which pest resistance genes from the crop would be likely to spread among weed populations; and evaluate the impact of specific, novel resistance traits on the weed abundance.

Develop transgenic or other techniques that decrease potential for the spread of transgenes into wild populations.

Evolution of pest resistance to pest-protected plants was the third major ecological impact addressed by the committee.  The committee concluded that pest resistance to pest-protected plants could have a number of potential environmental and health impacts such as a return to the use of more harmful chemicals or replacement of an existing pest-protected variety with novel varieties for which there is less information available about health and environmental impacts.  The committee recommends that

If a pest-protectant or its functional equivalent is providing effective pest control, and if growing a new transgenic pest-protected plant variety threatens the utility of existing uses of the pest-protectant or its functional equivalent, implementation of resistance management practices for all uses should be encouraged (for example, Bt proteins used both in microbial sprays and in transgenic pest-protected plants).

In addition to the above recommendation, the committee recommends general ecological research to

Improve our understanding of the molecular basis of pest-plant interaction and of the population ecology and genetics of target pests so that more ecologically and evolutionarily sustainable approaches to the use of pest-protected plants can be developed.

Develop more specific expression systems for transgenes in ways that lessen nontarget exposure and delay pest adaptation (for example, use of promoters that would limit expression to certain tissues).

Monitor ecological impacts of pest-protected crops on a long term basis to ensure the detection of impacts that may not be predicted from tests conducted during the regulatory approval process.

 

The Coordinated Framework for Regulation

Background and History

In 1986, the Coordinated Framework for the Regulation of Biotechnology apportioned jurisdiction over transgenic products by using existing legislation: for example, plants came under the jurisdiction of the Federal Plant Pest Act (FPPA) administered by the USDA; food and feed under the jurisdiction of the Federal Food, Drug, and Cosmetic Act (FFDCA) administered by the FDA; and microorganisms and substances used for pest control under the jurisdiction of the Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA) and parts of FFDCA, administered by the EPA.  Transgenic pest-protected plants were not addressed in the original framework document.

USDA published its policy under the coordinated framework providing for field testing permits for transgenic plants in 1987 and field testing notifications in 1993 and 1995.  In 1993, it finalized its policy for determining when certain plants would no longer be regulated articles.  In 1992, FDA published its policy for foods derived form new plant varieties based on its role under FFDCA.  In 1994, EPA proposed a rule to regulate the pesticidal substances in pest-protected plants as plant-pesticides under FIFRA and FFDCA.  Several groups opposed that statutory interpretation on both legal and scientific grounds; others supported the EPA’s oversight of transgenic pest-protected plants, given the agency’s mission to address environmental concerns.  In the last few years, there have been concerns expressed by several professional societies and other groups over the broad scope of the proposed EPA rule and opposite concerns expressed by consumer and environmental groups that the EPA rule does not adequately cover all of the risk issues.

 Overall Approach

The committee recognizes that

There is an urgency to complete the regulatory framework for transgenic pest-protected plant products because of the potential diversity of novel traits that could be introduced by transgenic methods and because of the rapid rate of adoption of and public controversy regarding transgenic crops.

Accordingly, the committee has chosen to take EPA’s proposed rule and the overarching coordinated framework as given and as designed for transgenic products, and to examine ways in which this current regulatory approach and its use of scientific information might be improved.  In doing so, the committee does not suggest that this is the only possible approach to regulating these products.   It is beyond this committee’s scope to determine which of the three federal agencies (USDA, EPA, or FDA) is best suited to regulate pesticidal substances expressed in transgenic plants.

EPA’s current proposal for regulating pesticidal substances in pest-protected plants claims broad jurisdiction over such products in all seeds and plants sold with claims of pest-protection, but it grants a generic exemption from registration to those bred by conventional means.  The committee agrees with EPA’s proposed exemption of pesticidal substances in conventionally bred plants, because the committee recognizes that there are practical reasons for exempting those substances based in part on historical experience of safe use of, and the benefits provided by these crops.  However, the committee questions the scientific basis used by EPA for this exemption because there appears to be no strict dichotomy between the risks to health and the environment that might be posed by conventional and transgenic pest-protected plants.

The committee found that, in some cases, the use of conventional pest-protected crops might have the potential to lead to human and animal health impacts; therefore

There is a need to significantly increase research aimed at assessing the potential risks posed by conventional pest-protected plants, and make improvements of conventional breeding procedures, if found appropriate.

 
Scientific Basis for the 1994 Proposed EPA Rule

Consistent with the coordinated framework and its statutory mandates, EPA has asserted jurisdiction over pesticidal substances in transgenic pest-protected plants in its 1994 proposed rule.  The committee reviewed the scientific basis of EPA’s 1994 proposed rule and the exemption of certain categories of transgenic pest-protected plants under this rule.  The committee found most of the criteria used by EPA for assessing transgenic pest-protected products to be scientifically valid, but there were some exceptions.

EPA proposed to exempt all plant-pesticides where the structural gene for producing the plant-pesticide is derived from a sexually compatible plant.  The committee found that the current EPA rule would exempt transgenic pest-protectants if the structural gene came from a sexually compatible plant, regardless of the source of the promoter for expression of the gene. This categorical exemption of transgenic pest-protectants derived from transgenes from sexually compatible plants could result in no EPA regulation of genetically engineered products that contain higher levels of toxicants.  The committee agrees that, in many cases, exemptions for certain sexually compatible transgenic pest-protectants will be warranted; however, it questions the categorical exemption of these products.  The committee recommends that

Given that transfer and manipulation of genes between sexually compatible plants could potentially result in adverse effects in some cases (for example, modulation of a pathway that increases the concentration of a toxicant), and given the public controversy regarding transgenic products, EPA should reconsider its categorical exemption of transgenic pest-protectants derived from sexually compatible plants.

The committee also examined EPA’s proposed exemption for viral coat proteins expressed in transgenic pest-protected plants.  Viral coat proteins in transgenic pest-protected plants are not expected to jeopardize human health, inasmuch as consumers already ingest these substances in nontransgenic food, so the committee agrees with the exemption of these proteins from EPA jurisdiction under FFDCA. However, the committee questions the EPA’s categorical exemption of all viral coat proteins under FIFRA due to concerns about the potential for outcrossing with weedy relatives.  The committee agrees that exemption of particular viral coat proteins in certain plant species will be warranted.  However, the committee suggests that

EPA should not categorically exempt viral coat proteins from regulation under FIFRA.


Scientific Data Used by the Agencies in the Regulatory Process

The committee reviewed examples of data submitted by applicants to the regulatory agencies for currently commercialized transgenic pest-protected plant products (that is, products with BT and viral coat proteins).  The federal agencies already address most of the categories of scientific concerns presented in this report (see table 4.3).  However, the committee found some areas where the risk assessment process for transgenic pest-protected plants could be improved.

In reviewing toxicity testing relevant to human health, the committee found that,

When the active ingredient of a transgenic pest-protected plant is a protein and when the health effects data are required, both short-term oral toxicity and potential for allergenicity should be tested.  Additional categories of health effects testing (such as for carcinogenicity) should not be required unless justified.

Additional categories of toxicity testing do not appear justified for currently commercialized products such as many Bt proteins (Cry1A and Cry3A) and viral coat proteins.  However, it is important that the tests that are performed be rigorous, logical, and scientifically sound.  Novel or less familiar plant-pesticides (that is, in comparison to viral coat proteins and Bt toxins) may require additional categories of toxicity testing.

Although the committee realizes that it is often difficult to obtain enough plant-expressed protein for toxicological testing; tests should be conducted whenever possible using the protein as it is expressed in the plant.  The committee recommends that

The EPA should provide clear, scientifically justifiable criteria for establishing biochemical and functional equivalency when registrants request permission to test non plant-expressed proteins in lieu of plant-expressed proteins.

In addition to human health toxicity testing, allergenicity testing is very important.  The committee recognizes that the FDA has developed preliminary information on the assessment of potential food allergens that could be helpful to applicants as they evaluate potential products and develop product-specific data to address questions concerning allergenicity.  The committee recommends that

FDA should put a high priority on finalizing and releasing preliminary guidance on the assessment of potential food allergens, while cautioning that further research is needed in this area.

The committee found some room for improvement in the procedures used in USDA’s review of outcrossing or gene flow for virus-resistant squash (section 3.1.4).  USDA’s commercialization of the squash was controversial because the transgenic squash potentially could transfer its acquired virus-resistance genes via pollination to wild squash (Cucurbita pepo), which is an agricultural weed in some parts of the southern United States.  USDA’s assumption that transgenic resistance to viruses will not affect the weediness of  wild relatives might be correct, but longer-term empirical studies are needed to determine whether this is true.  The committee recommends that

USDA should require original data to support agency decision-making concerning transgenic crops when published data are insufficient.

 

Operational Aspects and Impacts of the Coordinated Framework

Elements of an Effective Regulatory Framework

The committee finds that, operating under the coordinated framework, EPA, USDA, and FDA have successfully applied existing statutes to address the introduction of transgenic pest-protected plant products, but concludes that there is room for improvement.  In particular, those agencies have achieved a significant degree of coordination in their oversight of transgenic pest-protected plants, but certain aspects of this coordination could be enhanced.  Only through effective coordination can the three lead agencies minimize duplication, avoid inconsistent regulatory decisions, address potential gaps in oversight, and ensure that regulations evolve with experience and scientific advancements.  Ultimately, the credibility of the regulatory process and acceptance of the products of biotechnology depends heavily on the public’s ability to understand the process and the key scientific principles on which it is based.

The committee identified five elements of an effective regulatory system which support the objectives of the coordinated framework (Box 1).


   Box 1   Elements that Support the Objectives of the Coordinated Framework

·  Consistency of definitions and regulatory scope.

·  Clear establishment of lead and supporting agencies with a mechanism for effective interagency communication.

·  Consistency of statements of information to support reviewers.

·  Comparably rigorous reviews.

·  Transparency of review process.

 

To improve the transparency of the regulatory process under the coordinated framework, the committee recommends that: The quantity, quality and public accessibility of information on the regulation of transgenic pest-protected plant products should be expanded.

The USDA-sponsored coordinated framework database to link agencies’ regulations and decisions is useful, but should be expanded by all three agencies to include more public information about specific products and to link agencies’ decisions about specific products. The EPA pesticide fact sheets for transgenic plant pesticides should be improved because they currently do not clearly and quantitatively present the results of safety testing.

Another element is consistency of regulatory scope.  The scope of agency oversight, in some cases, needs to be clarified.

With new recombinant DNA methods, USDA can no longer rely on the production of transgenic pest-protected plants with regulatory sequences from plant pests (for example, Agrobacterium tumefaciens vectors and cauliflower mosaic-virus promoters).  Some new products may be developed using natural plant regulatory sequences.  It is not clear if USDA would consider these products “plant pests.”  Therefore, the committee recommends that

The USDA should clarify the scope of its coverage as there is some transgenic pest-protected plants that do not automatically meet its current definition of a plant pest.

The delineation of lead and supporting agency jurisdiction over transgenic pest-protected plant products is generally well defined.  Agency reviews generally lack duplication and achieve consistency.  However, the committee identified some examples where communication and coordination could be improved.

To improve coordination among the three regulatory agencies, EPA, FDA, and USDA should develop a memorandum of understanding (MOU) for transgenic pest-protected plants that provides guidance to identify the regulatory issues that are the purview of each agency (for example, ecological risk and pesticide tolerance assessment for EPA, plant pest risk for USDA, and dietary safety of whole foods for FDA), identifies the regulatory issues for which more than one agency has responsibility (for example, gene flow for EPA and USDA and food allergens for EPA and FDA), and establishes a process to ensure appropriate and timely exchange of information between agencies.

If differences in regulatory findings remain after interagency consultations, they should be adequately explained to ensure that regulatory decisions are not in conflict and do not have the appearance of conflict.

The committee found that the three agencies have common data requirements specifically for biology of the recipient plant, molecular biology methods used to develop the product, identification and characterization of selectable markers.  Therefore, the committee recommends that

To enhance consistency of review, EPA, USDA and FDA should develop a joint guidance document for applicants that identifies the common data and information the three agencies need to characterize products.

Taking into account the above suggestions, the committee hopes that the regulatory framework for transgenic pest-protected plants can be quickly completed by clarifying, revising, and finalizing the EPA 1994 proposed rule; publishing guidance on regulatory requirements; and developing additional interagency MOUs.  However, once established, the committee recommends that

Regulations should be considered flexible and open to revision, so that agencies can adapt readily to new information and improved understanding of the science that underlies regulatory decisions.  The agencies have attempted to maintain a dynamic regulatory process, but more could be done to retain flexibility in the future (see chapter 4).


Economic Costs Associated With Regulation

Positive impacts of regulation might include reduced health and environmental effects and increased consumer confidence in the food supply.  However, there are also economic costs associated with the regulation of transgenic pest-protected plants.  The committee reviewed an analysis on the economic costs of regulation.  From this review and other discussions in chapter 4, the committee concluded that regulators should be sensitive to the unique issues facing researchers, plant breeders, and seed distributors, particularly those in the public sector or those who have not traditionally been subject to federal regulation.  In particular, the committee recommends that

Regulatory agencies should aggressively seek to reduce regulatory costs for small biotechnology startup companies, small to medium size seed companies, and public sector breeders by providing flexibility with respect to data requirements, considering fee waivers wherever possible, and helping these parties navigate their regulatory systems.

The committee does not recommend waiving necessary regulatory requirements; however, where regulation is not warranted, agencies should look for appropriate opportunities to promote nonregulatory mechanisms to address issues associated with transgenic pest-protected plant products, including encouraging development of voluntary industry consensus standards and product stewardship programs.

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Striving for the Ideal Regulatory Framework

In this report, the committee focused on providing meaningful input to improve the review of scientific data under the coordinated framework and the proposed EPA plant-pesticide rule.  The committee’s findings, conclusions, and recommendations will need to be tested before they are confirmed as useful methods to enhance scientific review during the regulation of transgenic pest-protected plants.  The committee realizes that these improvements may not be possible without increased resources for the federal agencies involved in agricultural biotechnology and for research focused on the risks and benefits. 

A solid regulatory system and scientific base are important for acceptance and safe adoption of agricultural biotechnology, as well as for protecting the environment and public health.  In general, the current US coordinated framework has been operating effectively for over a decade.  However, the committee had identified several kinds of improvements that would be helpful in the face of a larger number of commercialized transgenic pest-protected plants and novel gene products introduced into these plants.  Those improvements might be necessary for increased confidence in US agricultural biotechnology both domestically and worldwide.

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Table of Contents

Executive Summary   1
ES.1     Purpose and Scope of This Study 2
ES.2     Future Studies and Limitations of the Current Study 3
ES.3     Report Terminology 4
ES.4     Review of the 1987 National Academy of Sciences Principles 5
ES.5     Potential Health and Ecological Impacts and Research Needs 7
ES.6     The Coordinated Framework for Regulation  11
ES.7     Operational Aspects and Impacts of the Coordinated Framework 15
ES.8     Striving for the Ideal Regulatory Framework 18

1  Introduction and Background 20
1.1  The Importance of Crop Protection 20
1.2  Diverse Genetic Modification Methods 21
1.3  History and Impact of Breeding Methods 24
1.4  Emergence of Recombinant DNA and Overview of Transgenic Pest-Protected Plants 25
1.5  Agency Policies Regarding Commercialization of Transgenic Pest-Protected Plants  29
1.6  Public Concerns and Issues 35
1.7  Role of This Report 39

2  Potential Environmental and Human Health Implications of Pest-Protected Plants  41
2.1 Risk Assessment and Pest-Protected Plants 42
2.2 Review of Previous National Academy of Sciences and National Research Council Papers  44
2.3 Forms and Mechanisms of Genetically Controlled Pest-Protection 48
2.4 Potential Health Effects of Diverse Gene Products and Breeding Methods 55
2.5 Potential Human Health Effects 63
2.6 Potential Effects on Nontarget Organisms 73
2.7 Gene Flow From Transgenic Pest-Protected Plants  81
2.8 Agronomic Risks Associated With Virus-Resistant Crops  93
2.9 Pest Resistance to Pest-Protected Plants and Resistance Management 96
2.10 Recommendations  103

3  Crossroads of Science and Oversight  104
3.1  Case Studies of Pest-Protected Crops and Their Oversight 105
3.2  Analysis of the 1994 and 1997 Proposed Environmental Protection Agency Rules for Plant-Pesticides 126
3.3  Suggested Questions for Oversight 134
3.4  Research Needs 139
3.5  Recommendations 141

4  Strengths and Weaknesses of the Current Regulatory Framework 143
4.1  Overview of the Regulation of Plant Products under the Coordinated Framework 143
4.2  Evaluation of the Environmental Protection Agency’s Regulation of Pesticidal Substances in Plants Under the 1994 Proposed Rule 150
4.3 Evaluation of the Regulation of Transgenic Pest-Protected Plants under the Multiagency Approach of the Coordinated Framework 154
4.4  Impacts of the Coordinated Framework  176
4.5  Recommendations 177

References  181

Appendixes
A    Costs of Regulating Transgenic Pest-Protected Plants  217
A.1  Introduction  217
A.2  Agricultural Productivity in the United States  219
A.3  Plant Breeding Research and Development in the United States221
A.4  Agrichemical and Seed Markets in the United States  227
A.5  Costs of Regulating Transgenic Pest-Protected Plants 236
A.6  Summary 243

B    Example of Data Submitted to Federal Agencies    244

C    Committee on Genetically Modified Pest-Protected Plants: Public Workshop 248
D    Acronyms 253
E    Scientific and Common Names 254
F    Committee and Staff Biographical Information  256

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Web site: http://books.nap.edu/books/0309069300/html/R1.html