38050 
Federal Register / Vol. 47, No. 167 / Friday, August 27, 1982 / Notices 
according to case precedents under 
Section IV-C-l-b-(3)-{g)- 
III-A-1. Deliberate formation of 
recombinant DNAs containing genes for 
the biosynthesis of toxic molecules 
lethal for vertebrates at an LDm of less 
than 100 nanograms per kilogram body 
weight (e.g., microbial toxins such as the 
botulinum toxins, tetanus toxin, 
diphtheria toxin, Shigella dysenteriae 
neurotoxin). Specific approval has been 
given for the cloning in E. coli K-12 of 
DNAs containing genes coding for the 
biosynthesis of toxic molecules which 
are lethal to vertebrates at 100 
nanograms to 100 micrograms per 
kilogram body weight. Conteunment 
levels for these experiments are 
specified in Appendix F. 
III-A-2. Deliberate release into the 
environment of any organism containing 
recombinant DNA. 
III-A-3. Deliberate transfer of a drug 
resistance trait to microorganisms that 
are not known to acquire it naturally [2], 
if such acquisition could compromise the 
use of the drug to control disease agents 
in human or veterinary medicine or 
agriculture. 
III-B Experiments that Require IBC 
Approval Before Initiation. Investigators 
performing experiments in this category 
must submit to their Institutional 
Biosafety Committee (EBC), prior to 
initiation of the experiments, a 
registration document that contains a 
description of: (a) the somcefs) of DNA, 
(b) the nature of the inserted DNA 
sequences, (c) the hosts and vectors to 
be used, (d) whether a deliberate 
attempt will be made to obtain 
expression of a foreign gene, and, if so, 
what protein will be produced, and (e) 
the containment conditions specified in 
these Guidelines. This registration 
document must be dated and signed by 
the investigator and filed only with the 
local IBC. The EBC shall review ail such 
proposals prior to initiation of the 
experiments. Requests for lowering of 
containment for experiments in this 
cateogry will be considered by NIH. 
(See Section IV-C-l-b-{3).) 
III-B-1. Experiments Using Human or 
Animal Pathogens (Class 2, Class 3, 
Class 4, or Class 5 Agents [1]) as Host- 
Vector Systems. 
III-B-l-a. Experiments involving the 
introduction of recombinant DNA into 
Class 2 agents can be carried out at P2 
containment. 
III-B-l-b. Experiments involving the 
introduction of recombinant DNA into 
Class 3 agents can be carried out at P3 
containment. 
lII-B-l-c. Experiments involving the 
introduction of recombinant DNA into 
Class 4 agents can be carried out at P4 
containment. 
III-B-l-d. Containment conditions for 
experiments involving the introduction 
of recombinant DNA into Class 5 agents 
will be set on a case-by-case basis 
following ORDA review. A USDA 
permit is required for work with Class 5 
agents [18, 20]. 
III-B-2. Experiments ip Which DNA 
from Human or Animal Pathogens 
(Class 2, Class 3, Class 4, or Class 5 . 
Agents [1]) is Cloned in Nonpathogenic 
Prokaryotic or Lower Eukaryotic Host- 
Vector Systems. 
III-B-2-a. Recombinant DNA 
experiments in which DNA from Class 2 
or Class 3 agents [1] is transferred into 
nonpathogenic prokaryotes or lower 
eukaryotes may be performed under P2 
containment. Recombinant DNA 
experiments in which DNA from Class 4 
agents is transferred into nonpathogenic 
prokaryotes or lower eukaryotes can be 
performed at P2 containment after 
demonstration that only a totally and 
irreversibly defective fraction of the 
agent's genome is present in a given 
recombinant. In the absence of such a 
demonstration, P4 containment should 
be used. Specific lowering of 
containment to Pi for particular 
experiments can be approved by the 
IBC. Many experiments in this category 
will be exempt from the Guidelines. (See 
Section III-D^ and IU-D-5.) 
Experiments involving the formation of 
recombinant DNAs for certain genes 
coding for molecules toxic for 
vertebrates require RAC review and 
NIH approval (see Section III-A-1), or 
must be carried out under NIH specified 
conditions as described in Appendix F. 
III-B-2-b. Containment conditions for 
experiments in which DNA from Class 5 
agents is transferred into nonpathogenic 
prokaryotes or lower eukayotes will be 
determined by ORDA following a case- 
by-case review. A USDA permit is 
required for work with Class 5 agents 
[18, 20]. 
III-B-3. Experiments Involving the 
Use of Infectious Animal or Plant 
Viruses or Defective Animal or Plant 
Viruses in the Presence of Helper Virus 
in Tissue Culture Systems. 
Caution: Special care should be used 
in the evaluation of containment levels 
for experiments which are likely to 
either enhance the pathogenicity (e.g., 
insertion of a host oncogene) or to 
extend the host range (e.g., introduction 
of novel control elements) of viral 
vectors under conditions which permit a 
productive infection. In such cases, 
serious consideration should be given to 
raising the physical containment by at 
least one level. 
Note. — Recombinant DNA molecules which 
contain less than two-thirds of the genome of 
any eukaryotic vims (all vims from a single 
Family [17] being considered identical [19]) 
may be considered defective and can be 
used, in the absence of helper, under the 
conditions specified in Section Ill-C. 
III-B-3-a. Experiments involving the 
use of infectious Class 2 animal viruses 
[1], or defective Class 2 animal viruses 
in the presence of helper virus, can be 
carried out at P2 containment. 
IIl-B-3-b. Experiments involving the 
use of infectious Class 3 animal viruses 
[1] , or defective Class 3 animal viruses 
in the presence of helper virus, can be 
performed at P3 containment. 
III-B-3-C. Experiments involving the 
use of infectious Class 4 viruses [1], or 
defective Class 4 viruses in the presence 
of helper virus, may be carried out under 
P4 containment. 
III-B-3-d. Experiments involving the 
use of infectious Class 5 [1] viruses, or 
defective Class 5 viruses in the presence 
of helper virus will be determined on a 
case-by-case basis following ORDA 
review. A USDA permit is required for 
work with Class S pathogens [18, 20]. 
III-B-3-e. Experiments involving the 
use of infectious animal or plant viruses, 
or defective animal or plant viruses in 
the presence of helper virus, not covered 
by Sections III-B-3-a, III-B-3-b, III-B- 
3-c, or III-B-3-d may be carried out 
under Pi containment. 
III-B-4. Recombinant DNA 
Experiments Involving Whole Animals 
or Plants. 
ni-B-4-a. DNA from any source 
except for greater than two-thirds of a 
eukaryotic viral genome may be 
transferred to any non-human 
vertebrate organism and propagated 
under conditions of physical 
containment comparable to Pi and 
appropriate to the organism under study 
[2] . It is important that the investigator 
demonstrate that the fraction of the viral 
genome being utilized does not lead to 
productive infection. A USDA permit is 
required for work with Class 5 agents 
[18. 20]. 
III-B-4-b. For all experiments 
involving whole animals and plants and 
not covered by III-B-4-a, the 
appropriate containment will be 
determined by the IBC. 
III-B-5. Experiments Involving More 
than 10 Liters of Culture. The 
appropriate containment will be decided 
by the IBC. Where appropriate, the 
large-scale containment 
recommendations of the NIH should be 
used (45 FR 24968). 
III-C. Experiments that Require IBC 
Notice Simultaneously with Initiation of 
Experiments. Experiments not included 
in Sections IIl-A, Ill-B, Ill-D, and 
subsections of these Sections are to be 
[4] 
