Interpretation of the “Carry-over Principle” in GB 2760

What is the “Carry-over” Principle?

The term “carry-over” in the context of food regulation in China, can be understood as the presence of a food additive in a final product usually attributable to the usage of this food additive as a raw material during an upstream processing step. During both pre and post market product inspection and testing, Chinese authorities can flag additives unintentionally carried over into final products. Failure to provide adequate justification (i.e. evidence of acceptable carry-over) for the presence of this non-compliant food additive can result in consignments of imported foods being rejected by port authorities or products being banned, recalled or production halted during post market inspection by market regulators.

The “carry-over principle” was first put forward in GB 2760-2007. Interpretation and enforcement of this "carry-over principle" has been inconsistent and has led to numerous controversial cases in which Chinese port authorities (GACC) have deemed imported food to be non-compliant, or Chinese market regulators (SAMR) have deemed food circulating in the market as non-compliant and therefore illegal.

Regulation of “Carry-over Principle” in GB 2760

3.4 Carry-over Principle

3.4.1
Food additives can be carried over to food through food ingredients (including food additives) under the following circumstances:

a) According to this standard, the food additive is allowed to be used in the food ingredient;

b) The amount of the food additive added in the food ingredient shall not exceed the allowed maximum use level;

c) These ingredients shall be used under normal production technique, and the amount of the food additive in food shall not exceed the level carried over by ingredients;

d) The amount of the food additive carried over through the ingredient shall be significantly less than the general amount directly added to food.

3.4.2

On condition that a certain food ingredient serves as a raw material used in a processing step of a specific final product, the food additive which is applied to the aforementioned specific final product are approved to be added in the food ingredient, while at the same time the level of the food additive in the final product shall comply with the requirements in this standard. It shall be clearly indicated on the label of the aforementioned food ingredient that it is used for the production of the aforementioned product.

Case Study: Interpretation of the “Carry-over Principle”

The regulation above can be summarized as the interpretation of two situations, which corresponds to 3.4.1 and 3.4.2 respectively. It may be still hard to tell the differences between 3.4.1 and 3.4.2 when just reading the text. Thus, case studies are provided to make the concept concrete and easy to be understood.

Case A: Interpretation of 3.4.1

Carry-over principle 3.4.1 applies to food additives that are allowed to be used in auxiliary materials but are not allowed to be used in food products. It mainly explains cases why some food additives would be detected in the final food.
For example, in this case, although the food additive benzoic acid is not allowed to be used in the final food product, referring here to the cooked meat product, it may still be detected during the inspection because benzoic acid is allowed to be used in soy sauce. Soy sauce is a permitted auxiliary material in cooked meat products. Thus, although benzoic acid has not been added into the cooked meat product directly, it may still be detected. (*Here please note the difference between the meaning of “added into” and “detected”.)

Besides this case, it is also common to see situations like this in following frequently used additives:

Preservatives: sorbic acid, dehydroacetic, etc.
Sweeteners: saccharin sodium, acesulfame potassium, sodium cyclamate, etc.
Colorant: tartrazine, sunset yellow FCF, carmine, etc.
Antioxidant: BHA, BHT, TBHQ, etc.

Please note, the following requirements must be met when using the principle 3.4.1:

First, about the usage amount.

The food additive shall be allowed to be used in the auxiliary material and the usage amount shall be less than the permitted maximum level in the auxiliary material. (corresponds to GB 2760, 3.4.1, a and b)
The content proportion of the auxiliary material (including the amount of food additive) in the final food product shall be reasonable from the perspective of normal production technique. (GB 2760, 3.4.1, c)
The detected or existing amount of this food additive shall be less than the normal amount carried over by the auxiliary material. (GB 2760, 3.4.1, c)
The amount of this additive carried over by auxiliary material shall be far less than the concentrations of additives added directly to final food products. (GB 2760, 3.4.1, d)

Second, about the purpose of usage.

It is forbidden to intentionally add a large amount of a certain preservative or preservatives into the auxiliary material as a surrogate delivery method to achieve the desired function in the final product.

Case B: Interpretation of 3.4.2: Adding "non-compliant" food additives to auxiliary materials for desired function in the final product

The development of the food industry has meant improved coordination and cooperation between the upstream and downstream links in a product’s lifecycle. On occasion, when preparing a food ingredient used in the processing of a final product, raw (auxiliary) material manufacturers will add food additives to the auxiliary material that cannot generally be used in the auxiliary material but can be used in the final product. This is generally done to simplify the production process. This food additive has no general utility in the auxiliary material but has a functional role in the final product.

Carry-over principle 3.4.2 articulates this scenario. It applies to food additives that are not allowed to be used in auxiliary materials in general cases but are allowed to be used in final food products. It mainly explains the situations where it is acceptable to add non-compliant food additives to auxiliary materials.
In this case, although the food additive beta carotene is not allowed to be added into the plant oil in general cases, beta carotene is a compliant food additive in the final food product, referring here to the cake. In order to make the production convenient, manufacturers would add the beta carotene (the food additive) into the plant oil (the auxiliary material) in advance.

Besides this case, it is also common to be seen in the following cases:

Auxiliary material	Food additive may be contained	Final food product	Function
Compound seasoning	Colorant, sweetener, anti-oxidant, acidity regulator, etc.	Meat products	Optimize the color and taste, etc.
Cake mix	Leavening agent, emulsifier, acidity regulator, colorant, etc.	Cake	Make doughs and batters rise, etc.
Ice-cream mix …	…

Please note, the following conditions must be satisfied simultaneously when using the principle 3.4.2:

This certain food additive must be the one that is allowed to be added into the final food product as regulated in GB 2760. And manufacturers shall ensure the usage amount of the food additive in the final food products shall be less than the allowed maximum amount as provided in GB 2760.
As for the labeling of this auxiliary material, it must clearly indicate that this auxiliary material is used for the production of that final food product. It indicates this auxiliary material, which has added the food additive already, will only be used in the specific final food product.

Notes for Manufacturers

To manufacturers, it is crucial to monitor the use and quality of food ingredients, especially the use of food additives in auxiliary materials. If a non-compliant food additive is detected in the final food product and is attributable to “carry-over” then it is necessary for manufacturers to provide an accurate name of auxiliary material, proportions of the ingredient, relevant test documents and other evidential information substantiating claims and providing a solid justification for the purported “carry over”.

For further food additive compliance consultancy, please contact [email protected].