24576 Federal Register 
Appendix I — Biological Containment 
Appendix I-l. Levels of Biological 
Containment. In consideration of 
biological containment, the vector 
(plasmid, organelle, or virus) for the 
recombinant DNA and the host 
(bacterial, plant, or animal cell) in which 
the vector is propagated in the 
laboratory will be considered together. 
Any combination of vector and host 
which is to provide biological 
containment must be chosen or 
constructed so that the following types 
of "escape" are minimized: (i) Survival 
of the vector in its host outside the 
laboratory and (ii) transmission of the 
vector from the propagation host to 
other nonlaboratory hosts. 
The following levels of biological 
containment (HV, or Host-Vector, 
systems) for prokaryotes will be 
established; specific criteria will depend 
on the organisms to be used. 
Appendix I— I— A. HVl. A host-vector 
system which provides a moderate level 
of containment. Specific systems: 
Appendix I-I-A-l. EKl. The host is 
always E. coli K-12 or a derivative 
thereof, and the vectors include 
nonconjugative plasmids (e.g., pSClOl, 
ColEl, or derivatives thereof [1-7]) and 
variants of bacteriophage, such as 
lambda (8-15). The E. coli K-12 hosts 
shall not contain conjugation-proficient 
plasmids, whether autonomous or 
integrated, or generalized transducing 
phages. 
Appendix I-l-A-2. Other HVl. Hosts 
and vectors shall be, at a minimum, 
comparable in containment to E. coli K- 
12 with a non conjugative plasmid or 
bacteriophage vector. The data to be 
considered and a mechanism for 
approval of such HVl systems are 
described below (Appendix I— II). 
Appendix I-I-B . HV2. These are host- 
vector systems shown to provide a high 
level of biological containment as 
demonstrated by data from suitable 
tests performed in the laboratory. 
Escape of the recombinant DNA either 
via survival of the organisms or via 
transmission of recombinant DNA to 
other organisms should be less than 
'/io 8 under specified conditions. 
Specific systems: 
Appendix I— I — B — 1 . For EK2 host- 
vector systems in which the vector is a 
plasmid, no more than one in 10 s host 
cells should be able to perpetuate a 
cloned DNA fragment under the 
specified nonpermissive laboratory 
conditions designed to represent the 
natural environment, either by survival 
of the original host or as a consequences 
of transmission of the cloned DNA 
fragment. 
/ Vol. 48, No. 106 / Wednesday, June 1. 1983 / Notices 
Apendix l-l-B-2. For EK2 host-vector 
systems in which the vector is a phage, 
no more than one in 10 8 phage particles 
should be able to perpetuate a cloned 
DNA fragment under the specified 
nonpermissive laboratory conditions 
designed to represent the natural 
environment either: (i) As a prophage (in 
the inserted or plasmid formj in the 
laboratory host used for phage 
propagation or (ii) by surviving in 
natural environments and transferring a 
cloned DNA fragment to other hosts (or 
their resident prophages). 
Appendix 1— II. Certification of Host- 
Vector Systems. 
Appendix I— II— A. Responsibility. HVl 
systems other than E. coli K-12, and 
HV2 host-vector systems, may not be 
designated as such until they have been 
certified by the Director, NIH. 
Application for certification of a host- 
vector system is made by written 
application to the Office of Recombinant 
DNA Activities, National Institutes of 
Health, Bethesda, Maryland 20205. 
Host-vector systems that are proposed 
for certification will be reviewed by the 
National Institutes of Health (NIH) 
Recombinant DNA Advisory Committee 
(RAC). (See Section I V— C— 1— b— (1 )— (e).) 
This will first involve review of the data 
on construction, properties, and testing 
of the proposed host-vector system by a 
Working Group composed of one or 
more members of the RAC and other 
persons chosen because of their 
expertise in evaluating such data. The 
Committee will then evaluate the report 
of the Working Group and any other 
available information at a regular 
meeting. The Director, NIH, is 
responsible for certification after 
receiving the advice of the RAC. Minor 
modifications of existing certified host- 
vector systems, where the modifications 
are of minimal or no consequence to the 
properties relevant to containment may 
be certified by the Director, NIH, 
without review by the RAC. (See 
Section I V— C— 1— b— (3)— (c).) 
When new host-vector systems are 
certified, notice of the certification will 
be sent by the Office of Recombinant 
DNA Activities (ORDA) to the applicant 
and to all Institutional Biosafety 
Committees (IBCs) and will be 
published in the Recombinant DNA 
Technical Bulletin. Copies of a list of all 
currently certified host-vector systems 
may be obtained from ORDA at any 
time. 
The Director. NIH, may at any time 
rescind the certification of any host- 
vector systems. (See Section IV-C-I-b- 
(3)-(d).) If certification of a host-vector 
system is rescinded. NIH will instruct 
investigators to transfer cloned DNA 
into a different system, or use the clones 
at a higher physical containment level 
unless NIH determines that the already 
constructed clones incorporate adequate 
biological containment. 
Certification of a given system does 
not extend to modifications of either the 
host or vector component of that system. 
Such modified systems must be 
independently certified by the Director, 
NIH. If modifications are minor, it may 
only be necessary for the investigator to 
submit data showing that the 
modifications have either improved or 
not impaired the major phenotypic traits 
on which the containment of the system 
depends. Substantial modifications of a 
certified system require the submission 
of complete testing data. 
Appendix I— II— B. Data To Be 
Submitted for Certification. 
Appendix I— II— B— 1. HVl Systems 
Other than E. coli K-12. The following 
types of data shall be submitted, 
modified as appropriate for the 
particular system under consideration: 
(i) A description of the organism and 
vector; the strain's natural habitat and 
growth requirements; its physiological 
properties, particularly those related to 
its reproduction and survival and the 
mechanisms by which ii exchanges 
genetic information; the range of 
organisms with which this organism 
normally exchanges genetic information 
and what sort of information is 
exchanged; and any relevant 
information on its pathogenicity or 
toxicity; (ii) A description of the history 
of the particular strains and vectors to 
be used, including data on any 
mutations which render this organism 
less able to survive or transmit genetic 
information; (iii) A general description 
of the range of experiments 
contemplated, with emphasis on the 
need for developing such an HVl 
system. 
Appendix I— 1 1— B — 2. HV2 Systms. 
Investigators planning to request HV2 
certification for host-vector systems can 
obtain instructions from ORDA 
concerning data to be submitted [14-15]. 
In general, the following types of data 
are required: (i) Description of 
construction steps, with indication of 
source, properties, and manner of 
introduction of genetic traits; (ii) 
Quantitative data on the stability of 
genetic traits that contribute to the 
containment of the system; (iii) Data on 
the survival of the host-vector system 
under nonpermissive laboratory 
conditions designed to represent the 
relevant natural environment; (iv) Data 
on transmissibility of the vector and/or 
a cloned DNA fragment under both 
permissive and nonpermissive 
conditions; (v) Data on all other 
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