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Federal Register / Vol. 46. No. 233 / Friday. December 4. 1981 / Notices 
IV-D-2-d. No member of an IBC may 
be involved (except to provide 
information requested by the IBC] in the 
review or approval of a project in which 
he or she has been, or expects to be. 
engaged or has a direct hnancial 
interest. 
IV-D-2-e. The Institution may 
establish procedures that the IBC will 
follow in its initial and continuing 
review of applications, proposals, and 
activities. (IBC review procedures are 
speciHed in Section IV-D-3-a.) 
IV-D-2-f. Central to implementation 
of the Guidelines is the review of 
experiments by the IBC. In carrying out 
this responsibility, the Institution shall 
comply with instructions and procedures 
specified in the Administrative Practices 
Supplement. 
IV-D-2-g. Institutions are encouraged 
to open IBC meetings to the public 
whenever possible, consistent with 
protection or privacy and proprietary 
interests. 
IV-D-2-h. Upon request, the 
Institution shall made available to the 
public all minutes of IBC meetings and 
any documents submitted to or received 
from funding agencies which the latter 
are required to make available to the 
public (e.g., reports of Guideline 
violations and significant research- 
related accidents, and agency directives 
to modify projects). If comments are 
made by members of the public on IBC 
actions, the Institution shall forward to 
NIH both the comments and the IBC's 
response. 
IV-D-3. Functions of the IBC. On 
behalf of the Institution, the IBC is 
responsible for. 
IV-D-3-a. Reviewing for compliance 
with the NIH Guidelines all recombinant 
DNA research conducted at or 
sponsored by the Institution, and 
approving those research projects that it 
finds are in conformity with the 
Guidelines. This review shall include: 
IV-D-3-a-(l). An independent 
assessment of the containment levels 
required by these Guidelines for the 
proposed research, and 
rV-D-3-a-(2). An assessment of the 
facilities, procedures, and practices, and 
of the training and expertise of 
recombinant DNA personnel. 
Note. — See Laboratory Safety Monograph 
(pages 187-190) for suggested guidance in 
conducting this review. 
IV-D-3-b. Notifying the Principal 
Investigator (PI) of the results of their 
review. 
rV-D-3-c. Reviewing periodically 
recombinant DNA research being 
conducted at the Institution, to ensure 
that the requirements of the Guidelines 
are being fulfilled. 
IV-D-3-d. Adopting emergency plans 
covering accidental spills and personnel 
contamination resulting from such 
research. 
Note. — Basic elements in developing 
specific procedures for dealing with major 
spills of potentially hazardous materials in 
the laboratory are detailed in the Laboratory 
Safety Monograph. Included are information 
and references on decontamination and 
emergency plans. NIH and the Centers for 
Disease ConUt>l are available to provide 
consultation, and direct assistance if 
necessary, as posted in the LSM. The 
Institution shall cooperate with the State and 
local public health departments, reporting 
any significant research-related illness or 
accident that appears to be a hazard to the 
public health. 
IV-D-3-e. Reporting within 30 days to 
the appropriate institutional official and 
to the NIH Office of Recombinant DNA 
Activities (ORDA) any significant 
problems with or violations of the 
Guidelines, and any significant 
research-related accidents or illnesses, 
unless the IBC determines that the PI 
has done so. 
rV-D-3-f. The IBC may not authorize 
initiation of experiments not explicitly 
covered by the Guidelines until NIH. 
(with the advice of the RAC when 
required) established the containment 
requirement. 
IV-D-3-g. Performing such other 
functions as may be delegated to the 
IBC under Section IV-D-1. 
lV-D-4. Biological Safety Officer. The 
Institution shall appoint a BSO if it 
engages in recombinant DNA research 
at the P3 or P4 containment level. The 
officer shall be a member of the 
Institutional Biosafety Committee (IBC), 
and his or her duties shall include (but 
need not be limited to): 
IV-D-4-a. Ensuring through periodic 
inspections that laboratory standards 
are rigorously followed: 
rV-D-4-b. Reporting to the IBC and 
the Institution all significant problems 
with and violations of the Guidelines 
and all significant research-related 
accidents and illnesses of which the 
BSO becomes aware, unless the BSO 
determines that the Principal 
Investigator (PI) has done so. 
IV-D-4-C, Developing emergency 
plans fro dealing with accidentia! spills 
and personnel contamination, and 
investigating recombinant DNA research 
laboratory accidents; 
IV-D-4^. Providing advice on 
laboratory security; 
IV-D-4-e. Providing technical advice 
to the PI and IBC on research safety 
procedures. 
Note. — See Laboratory Safety Monograph 
for additional information on the duties of the 
BSO. 
IV-D-5. Principal Investigator. On 
behalf of the Institution, the PI is 
responsible for complying fully with the 
Guidelines in conducting any 
recombinant DNA research. 
IV-D-5-a. PI-General. As part of this 
general responsibility, the PI shall: 
IV-D-5-a-(l). Initiate or modify no 
recombinant DNA research subject to 
the Guidelines until that research, or the 
proposed modification thereof, has been 
approved by the Institutional Biosafety 
Committee (IBC) and has met all other 
requirements of the Guidelines and the 
Administrative Practices Supplement 
(APS). 
Note. — No prior approval by the IBC is 
required for most experiments described in 
Section IIl-O. Modify containment and 
experimental protocol according to 
recommendations of the IBC. 
lV-D-5-a-{2). Report within 30 days 
to the IBC and NIH (ORDA) all 
significant problems with and violations 
of the Guidelines and all significant 
research-related accidents and illnesses: 
IV-D-5-a-(3). Report to the IBC and 
to NIH (ORDA) new information bearing 
on the Guidelines; 
IV-D-5-a-(4). Be adequately trained 
in good microbiological techniques; 
IV-D-5-a-(5). Adhere to IBC- 
approved emergency plans for dealing 
with accidental spills and personnel 
contamination; and 
IV-D-5-a-(6). Comply with shipping 
requirements for recombinant DNA 
molecules. (See Section II-C for shipping 
requirements. Laboratory Safety 
Monograph for technical 
recommendations, and the APS for 
administrative instructions and 
procedures. The requesting laboratory 
must be in compliance with the NIH 
Guidelines and under appropriate 
review by its IBC, and the sending 
investigator must maintain a record of 
all shipments of recombinant DNA 
materials.) 
IV-D-5-b. Submissions by the PI to 
NIH. The PI shall: 
lV-D-5-b-(l). Submit information to 
NIH (ORDA) in order to have new host- 
vector systems certified; 
rV-D-5-b-(2). Petition NIH, with 
notice to the IBC, for exemptions to 
these Guidelines (see Sections I-E-4 and 
I-E-5 and, for additional information on 
procedures, the APS); and 
IV-D-5-b-(3). Petition NIH, with 
concurrence of the IBC, for exceptions to 
the prohibitions under these Guidelines 
(see Section I-D and, for additional 
information on procedures, the APS). 
IV-D-5-b-(4). Petition NIH for 
determination of containment for 
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