IBC # 00-000
Exemption Verification Form
SECTION 1: GENERAL INFORMATION
Please complete and electronically submit this form to ibc@vt.edu.
If you have any questions, please contact the IBC administrator at ibc@vt.edu, or 540-231-1910.
Principal Investigator Name:
Application Type:
New
Ammendment of previously approved
protocol - IBC #
Renewal of previously approved protocol IBC #
Program or Project Title:
SECTION 2: EXEMPTION CRITERIA
What does exempt mean? The NIH has classified certain rDNA work as exempt from the biosafety
requirements set forth in NIH Guidelines for Research Involving Recombinant or Synthetic Nucleic Acid
Molecules. This form serves to notify the NIH that this protocol falls outside of the scope of the Guidelines and
its direct supervision. Protocols that meet the NIH’s exemption criteria do not need to be approved by the IBC,
however, it is Virginia Tech’s policy to review and record all research activities involving biohazards and/or
rDNA even if these activities are exempt from NIH supervision. Therefore you must submit a Protocol
Registration Application in addition to an Exemption Verification Form if you feel that the research activities
under your protocol are not covered by the Guidelines.
If your study meets the following exemption criteria, submit this form in its entirety. The NIH Guidelines for
Research Involving Recombinant or Synthetic Nucleic Acid Molecules lists the following specific exemptions.
Please check all that apply:
III-F-1 Those synthetic nucleic acids that: (1) can neither replicate nor generate nucleic acids that can
replicate in any living cell (e.g., oligonucleotides or other synthetic nucleic acids that do not
contain an origin of replication or contain elements known to interact with either DNA or RNA
polymerase), and (2) are not designed to integrate into DNA, and (3) do not produce a toxin
that is lethal for vertebrates at an LD50 of less than 100 nanograms per kilogram body weight.
If a synthetic nucleic acid is deliberately transferred into one or more human research
participants and meets the criteria of Section III–C it is not exempt under this Section.
III-F-2 Recombinant and/or synthetic nucleic acid molecules that are not in organisms, cells or viruses
and that have not been modified or manipulated (e.g., encapsulated into synthetic or natural
vehicles) to render them capable of penetrating cellular membranes.
III-F-3 Experiments that consist solely of the exact recombinant and/or synthetic nucleic acid sequence
from a single source that exists contemporaneously in nature.
III-F-4 Recombinant and/or synthetic nucleic acid molecules that consist entirely of DNA from a
prokaryotic host (including indigenous plasmids or viruses) when propagated in that host or
when transferred to another host by well established physiological means.
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III-F-5 Recombinant and/or synthetic nucleic acid molecules that consist entirely of nucleic acids from
a eukaryotic host (including its chloroplasts, mitochondria, or plasmids BUT excluding viruses)
when propagated only in that host.
III-F-6 Recombinant molecules that consist entirely of DNA segments from different species that
exchange DNA through known physiologic processes, though one or more of the segments may
be a synthetic equivalent (See Appendices A-I through A-VI for sub-list of natural exchangers).
III-F-7 Experiments involving those genomic DNA molecules that have acquired a transposable
element that does not contain any recombinant and/or synthetic DNA.
III-F-8 Experiments that do not present a significant risk to health or the environment (See Appendix C
for Approved Exemptions).
The following classes of experiments are exempt under Section III-F-8, Appendix C
C-I
Recombinant and/or synthetic nucleic acids in Tissue Culture?
Recombinant and/or synthetic nucleic acid molecules containing less than one-half of any
eukaryotic viral genome (all viruses from a single family being considered identical – see
Appendix C-XI-E Footnotes and References of Appendix C), that are propagated and
maintained in cells in tissue culture are exempt from the NIH Guidelines with the exceptions
listed in Appendix C-1-A.
C-II
Escherichia coli K-12 Host-Vector Systems?
Experiments which use Escherichia coli K-12 host-vector systems, with the exception of those
experiments listed in Appendix C-II-A, are exempt from the NIH Guidelines provided that: (i) the
Escherichia coli host does not contain conjugation proficient plasmids or generalized
transducing phages; or (ii) lambda or lambdoid or Ff bacteriophages or non-conjugative
plasmids shall be used as vectors. However, experiments involving the insertion into
Escherichia coli K-12 of DNA from prokaryotes that exchange genetic information with
Escherichia coli may be performed with any Escherichia coli K-12 vector (e.g., conjugative
plasmid). When a non-conjugative vector is used, the Escherichia coli K-12 host may contain
conjugation-proficient plasmids either autonomous or integrated, or generalized transducing
phages. For these exempt laboratory experiments, Biosafety Level (BSL) 1 physical
containment conditions are recommended. For large-scale fermentation experiments, the
appropriate physical containment conditions need be no greater than those for the host
organism unmodified by recombinant DNA techniques; the Institutional Biosafety Committee
can specify higher containment if deemed necessary.
**Common E. coli laboratory strains that are NOT K-12 derivatives (use of these strains is
regulated under NIH Guideline III-E):
B
B-3
BL21
B/R
C
TOPP
C-III
Saccharomyces Host-Vector Systems?
Experiments involving Saccharomyces cerevisiae and Saccharomyces uvarum host-vector
systems, with the exception listed in Appendix C-III-A, are Exempt from the NIH Guidelines. For
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these exempt experiments, BSL1 physical containment is recommended. For large scale
fermentation experiments, the appropriate physical containment conditions need be no greater
than those for the host organism unmodified by recombinant DNA techniques; the Institutional
Biosafety Committee can specify higher containment if deemed necessary.
C-IV
Kluyveromyces Host-Vector Systems?
Experiments involving Kluyveromyces lactis host-vector systems, with the exception of
experiments listed in Appendix C-IV-A, are exempt from the NIH Guidelines provided laboratory
-adapted strains are used (i.e. strains that have been adapted to growth under optimal or
defined laboratory conditions). For these exempt experiments, BSL1 physical containment is
recommended. For large-scale fermentation experiments, the appropriate physical containment
conditions need be no greater than those for the host organism unmodified by recombinant DNA
techniques; the Institutional Biosafety Committee may specify higher containment if deemed
necessary.
C-V
Bacillus subtilis or Bacillus licheniformis Host-Vector Systems?
Any asporogenic Bacillus subtilis or asporogenic Bacillus licheniformis strain which does not
revert to a spore-former with a frequency greater than 107 may be used for cloning DNA with the
exception of those experiments listed in Appendix C-V-A, Exceptions. For these exempt
laboratory experiments, BSL1 physical containment conditions are recommended. For large
scale fermentation experiments, the appropriate physical containment conditions need be no
greater than those for the host organism unmodified by recombinant DNA techniques; the
Institutional Biosafety Committee can specify higher containment if deemed necessary.
C-VI
Recombinant and/or synthetic nucleic acid molecules derived entirely from extrachromosomal
elements of the organisms listed in Appendix C-VI (including shuttle vectors in Appendix C),
propagated and maintained in organisms in Appendix C-VI are exempt from the NIH Guidelines.
C-VII The Purchase or Transfer of Transgenic Rodents?
The purchase or transfer of transgenic rodents for experiments that require ABSL1 containment
are exempt from the NIH Guidelines.
C-VIII Generation of BSL 1 Trangenic Rodents via Breeding?
Breeding of two different transgenic rodents or breeding of a transgenic rodent and a nontransgenic rodent with the intent of creating a new strain of transgenic rodent that can be
housed at BSL1 if:
o Both parental rodents can be housed under BSL-1 containment.
o Neither parental transgenic rodent contains the following genetic modifications
(i) incorporation of more than one-half of the genome of an exogenous eukaryotic
virus from a single family of viruses; (ii) incorporation of a transgene that is under
the control of a gammaretroviral Long Terminal Repeat (LTR).
o The transgenic rodent that results from this breeding is not expected to contain
more than one-half of an exogenous viral genome from a single family of viruses.
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