ENVIRONMENTAL RISK MANAGEMENT AUTHORITY DECISION Amended under s67A on 22 August 2007 8 June 2004 Application code: GMD04026 Application category: Develop in Containment any New Organism under the Hazardous Substances and New Organisms (HSNO) Act 1996 Applicant: Genesis Research and Development Corporation Limited Purpose: To develop in containment mammalian cells or mice expressing recombinant viral vectors containing mammalian DNA fragments from immune cells, in order to identify the factors that regulate immune cell development Date application received: 26 March 2004 Consideration period: 10 May 2004 Considered by: A Committee of the Genetically Modified Organisms Standing Committee of the Environmental Risk Management Authority (the Committee). 1 Summary of Decision 1.1 Application GMD04026 to develop in containment cell lines and rodents expressing recombinant adenoviral and lentiviral vectors that contain mammalian genes which function in the immune system has been approved with controls, having been considered in accordance with the relevant provisions of the Hazardous Substances and New Organisms Act 1996 (the HSNO Act) and the HSNO (Methodology) Order 1998 (the Methodology). Table 1: Organism description for ERMA New Zealand’s Register. Host Organism modified by the vector and Donor DNA opposite Homo sapiens cell lines (293FT, 293A, 911, PER.C6) (GMD04026) Vector and Donor DNA Modified by recombinant mammalian expression plasmids and lentiviral or adenoviral plasmids containing genetic material1 from human2 or mouse involved in cell survival, cell proliferation, cell differentiation/maturation and regulation of immune cell function, including: 1. chemokines 2. cytokines 3. growth factors 4. receptors 5. transcription factors 6. adaptor molecules 7. cytoplasmic enzymes 8. cytoskeletal molecules 9. other genes involved in regulating the proliferation, differentiation and survival of the cells of the immune system Colourimetric and fluorescent reporter genes Selectable markers The cDNA sequences described above may have regulatory or localisation sequences fused to them, such as: 1. Protein tags including: green fluorescent protein (GFP), hemagglutinin (HA), histidine (His), FLAG, c-myc, glutathione S-transferase (GST), maltose binding protein (MBP), calmodulin binding peptide (CBP), V5 and IgG binding peptide. Promoters including: CMV, RSV, chicken beta-actin, rat, mouse and human U6 and H1 promoters, IL-12p35, IL-12p40, IL-13, IgE, IL-4, IL18, IL-23, IL-4, NFB, TNF-, STAT 1-6, HLA-DR 3. Regulatory elements/systems including: polyadenylation signals, internal ribosomal entry sites, Cre/LoxP recombinase system, TOPO DNA sites, Gateway® DNA sites, tetracycline regulated system, tamoxifen inducible system, PEST sequences. 4. Other commercially available promoter or regulatory elements. 1 Sense cDNAs, sense constructs containing nucleotide substitution or deletions (to determine functional domains), antisense and RNA interference sequences. 2 Non-Māori only. Environmental Risk Management Authority Decision: GMD04026 Page 2 of 13 Host Organism modified by the vector and Donor DNA opposite Mus musculus cell lines (primary and immortalised) (GMD04026) Homo sapiens cell lines (primary and immortalised) (GMD04026) Mus musculus (GMD04026) Vector and Donor DNA Modified by lentiviral or adenoviral vectors containing genetic material 3 from human4 or mouse involved in cell survival, cell proliferation, cell differentiation/maturation and regulation of immune cell function, including: 1. chemokines 2. cytokines 3. growth factors 4. receptors 5. transcription factors 6. adaptor molecules 7. cytoplasmic enzymes 8. cytoskeletal molecules 9. other genes involved in regulating the proliferation, differentiation and survival of the cells of the immune system Colourimetric and fluorescent reporter genes Selectable markers The cDNA sequences described above may have regulatory or localisation sequences fused to them, such as: 1. Protein tags including: green fluorescent protein (GFP), hemagglutinin (HA), histidine (His), FLAG, c-myc, glutathione S-transferase (GST), maltose binding protein (MBP), calmodulin binding peptide (CBP), V5 and IgG binding peptide. Promoters including: CMV, RSV, chicken beta-actin, rat, mouse and human U6 and H1 promoters, IL-12p35, IL-12p40, IL-13, IgE, IL-4, IL18, IL-23, IL-4, NFB, TNF-, STAT 1-6, HLA-DR 3. Regulatory elements/systems including: polyadenylation signals, internal ribosomal entry sites, Cre/LoxP recombinase system, TOPO DNA sites, Gateway® DNA sites, tetracycline regulated system, tamoxifen inducible system, PEST sequences. 4. Other commercially available promoter or regulatory elements. Rattus norvegicus (GMD04026) 3 Sense cDNAs, sense constructs containing nucleotide substitution or deletions (to determine functional domains), antisense and RNA interference sequences. 4 Non-Māori only. Environmental Risk Management Authority Decision: GMD04026 Page 3 of 13 1.2 2 This application was required to be considered by the Authority as it included developments that were considered “not low-risk” genetic modifications (clause 1(e) of the Schedule of the HSNO (Low-Risk Genetic Modification) Regulations 2003) involving “viral vectors whose host range includes human cells and that contain one or more inserted nucleic acid sequence(s) coding for a product that can lead to uncontrolled mammalian cellular proliferation or be toxic to mammalian cells, or both”. Legislative Criteria for Application 2.1 The application was lodged pursuant to section 40(1)(b) of the HSNO Act. The decision was determined in accordance with section 45, and matters relevant to the purpose of the HSNO Act, as specified under Part II of that Act. Unless otherwise stated, references to section numbers in this decision refer to sections of the HSNO Act. 2.2 Consideration of the application followed the relevant provisions of the the Methodology, with particular regard to clauses 12 (dealing with assessment of risks) and 13 (dealing with assessment of costs and benefits). Unless otherwise stated, references to clause numbers in this decision refer to clauses of the Methodology. 3 Application Process Application Receipt 3.1 Application GMD04026 was formally received and verified on 26th March 2004 as having adequate information for processing. 3.2 The purpose of the research is to develop in containment mammalian cells or mice expressing recombinant viral vectors containing mammalian DNA fragments from immune cells, in order to identify the factors that regulate immune cell development 3.3 In accordance with section 58(c) of the HSNO Act and clause 5 of the Methodology the Department of Conservation (DoC) and Ministry of Agriculture and Forestry (MAF) were invited to comment on this application. There were no comments from MAF. The response of DoC was included in Appendix 2 of the Evaluation and Review (E&R) report. Information Available for Consideration 3.4 The information available for the consideration were as follows: a) The application prepared by the applicant. b) The E&R report prepared by ERMA New Zealand to assist and support the Committee’s decision-making. The E&R report consolidated and evaluated the relevant information in a format and sequence consistent with the decision-making requirements of the HSNO Act and the Methodology. Recognised techniques were used in identifying, assessing, and evaluating the relevant information, as required under clause 24 of the Methodology. Environmental Risk Management Authority Decision: GMD04026 Page 4 of 13 These techniques are based on internal procedures as specified in the ERMA New Zealand Technical Guides. The documents available for the preparation of the E&R report were the application (including the containment manual) and published references as cited in the application and comments provided by those agencies notified of the application. Notification 3.5 It was considered there was unlikely to be significant public interest in this application. Therefore, the application was not publicly notified, in accordance with ERMA New Zealand policy. Decision Making Committee 3.6 4 The application was considered by the Genetically Modified Organism Standing Committee of the Authority, appointed in accordance with section 19(2)(b) of the HSNO Act and clause 43 of the First Schedule. That Committee comprised the following members: Dr Marie Dziadek (Chair) and Dr Colin Mantell. Consideration Purpose of the Application 4.1 Genesis Research and Development Corporation Limited sought approval to develop in containment mammalian cells or mice [and rats] expressing [modified by] recombinant viral vectors containing mammalian DNA fragments from immune cells, in order to identify the factors that regulate immune cell development 4.2 In accordance with section 45(1)(a)(i) of the HSNO Act, the Committee determined that the purpose was appropriate under 39(1)(a) of the HSNO Act: The development of any genetically modified organism. The Sequence of Steps in the Consideration 4.3 In accordance with clause 24 of the Methodology, the approach to the consideration adopted by the Committee was to first examine the scope of the application, and the range of organisms applied for, then to look sequentially at the identification, assessment and evaluation of risks, costs and benefits. Qualitative scales used by the Committee to measure likelihood and magnitude of risks, costs and benefits were provided in Appendix 2 of the E&R report. Environmental Risk Management Authority Decision: GMD04026 Page 5 of 13 In assessing risks and costs, issues affecting the adequacy of the containment regime and potential for population establishment and population eradication were considered (as required by sections 37 and 44 of the HSNO Act and clause 10(e) of the Methodology). The containment regime was considered in the context of a risk management regime for controlling the identified risks and costs (clauses 12(d) and 24). In doing so, the Committee set controls to satisfactorily provide for the matters in the Third Schedule (Part I) of the HSNO Act. It was then considered whether or not there were any residual risks that required further consideration. 4.4 Benefits associated with this application were considered in accordance with clauses 9, 10, 13 and 14 of the Methodology and section 6(e) of the HSNO Act. Scope of Application and Organism Description 4.5 The scope of the organisms subject to the approval is limited to that described in Table 1 above. This approval covers several stages of a development, resulting in the development of genetically modified cell lines and rodents. These stages are: Generation of recombinant adenoviral and lentiviral vectors in mammalian cell lines (PC2, Schedule 1(e) under HSNO (Low-Risk Genetic Modification) Regulations 2003) Genetic modification of mammalian cell lines with adenoviral and lentiviral vectors (PC2, Schedule 1(e) under HSNO (Low-Risk Genetic Modification) Regulations 2003) Genetic modification of rodents with adenoviral and lentiviral vectors (PC2, Schedule 1(e) under HSNO (Low-Risk Genetic Modification) Regulations 2003) 4.6 5 The Committee notes that this application is from a biotechnology company who intend to identify new classes of molecules and genes that regulate immunological function. The Committee considered the broader implication on risks with this application due to the proposed use of genes of unknown immunological function. Identification of Risks, Costs and Benefits 5.1 The Committee identified risks and costs related to the application in accordance with clauses 9 and 10 of the Methodology, which incorporate sections 5, 6, 8 and 43 of the HSNO Act. 5.2 The Committee considered section 4 of the E&R report when carrying out the identification of potential adverse and beneficial effects (risks, costs and benefits). Environmental Risk Management Authority Decision: GMD04026 Page 6 of 13 Potential Adverse Environmental Effects 5.3 The Committee consider the risks to the environment in accordance with clauses 9(a)-9(c) and 10 of the Methodology. The Committee accepts the conclusions reached in the application and E&R Report that the development and use of the viral vectors, cell lines and rodents in containment is very unlikely to pose significant environmental risks. Therefore, these effects will not be considered further. Potential Adverse Effects on Human Health and Safety 5.4 The Committee identified that adverse health effects on human health and safety due to occupational exposure was a potentially significant adverse effect in accordance with clauses 9 and 10 of the Methodology. This is further discussed in sections 7.2 - 7.7 of this decision. Potential Adverse Effects to the Economy 5.5 The Committee records that adverse effects to the economy were considered in accordance with clauses 9(a)-9(c) and 10 of the Methodology. The Committee accepts the conclusions reached in the E&R Report that no further consideration of these aspects was warranted. Potential Adverse Effects to Māori Culture 5.6 6 The Committee considered the potential adverse Māori cultural effects and noted sections 4.3-4.5 and 6.36-6.40 of the E&R Report. The Committee considered the potential cultural effects in accordance with clauses 9(b) and 9(c)(iv) of the Methodology and sections 5(b), 6(d) and 8 of the HSNO Act. The Committee noted that the applicant had undertaken consultation with Ngāti Whatua and the Hauraki Māori Trust Board. The Committee accepts the conclusions reached in the E&R Report that potential risks to the whakapapa, mauri and tapu of native or valued fauna caused by the regeneration, escape and transfer of recombinant viral vectors would be minimal in magnitude and highly improbable in likelihood. Given this no further consideration of these effects were warranted. Containment 6.1 In assessing risks and costs, the Committee considered issues affecting the adequacy of the containment regime (in accordance with section 45(1)(a) of the HSNO Act); the potential for population establishment and population eradication (sections 37 and 44 of the HSNO Act and clauses 10(e) and 10(f) of the Methodology); and other matters in order to give effect to the purpose of the HSNO Act (section 45(2)(b)). Risk management techniques were used in relation to the identified risks and costs (clauses 12(d) and 24 of the Methodology). As such, the assessment of risks and costs (refer to section 7 of this decision) was taken into account in setting the containment requirements that are discussed in this section. Environmental Risk Management Authority Decision: GMD04026 Page 7 of 13 Ability to Escape from Containment 6.2 The controls imposed by this approval (as specified in Appendix 1) address the matters detailed in the Third Schedule Part I of the HSNO Act: Matters to be addressed by containment controls for importing, developing or field testing of genetically modified organisms under the Act. Additional controls to give effect to the purpose of the HSNO Act have also been included. These controls incorporate the requirement for managing risks and costs (under clauses 12(d) and 24 of the Methodology) posed by the genetically modified viral vectors, cell lines and rodents subject to this approval. The controls have been imposed to ensure that exposure of laboratory workers and other persons, and the outside environment, to risks and costs posed by the organisms is negligible. Ability of Organism to Establish a Self-sustaining Population and the Ease of Eradication 6.3 In accordance with sections 44 and 37 of the HSNO Act the Committee considered the ability of the organism to establish undesirable self-sustaining populations, should it escape from containment and the ease with which such populations could be eradicated. 6.4 The Committee considers that with the containment controls it has imposed (refer to Appendix 1 of this decision); it is very unlikely for the cell lines or rodents modified with viral vectors to escape or be removed inadvertently from containment and establish self-sustaining populations. 7 Assessment of Risks, Costs and Benefits 7.1 In section 5 above, the Committee identified a potential significant adverse effect on human health and safety from viral vectors infecting laboratory workers via accidental injection or aerosolation. What follows is the assessment of those adverse effects. Infection of Laboratory Workers 7.2 The Committee considered the adverse health and safety effects due to occupational exposure in accordance with clauses 12, 13 and 14 of the Methodology. The degree of uncertainty attached to the evidence is taken into account, as required under clauses 25(1), 29, 30, 32 and 33 of the Methodology. 7.3 The Committee considers that in the event of an inadvertent injection of viral particles the low viral titre and the replication defective nature of the virus used in this study will limit the effects to a minimum and the infection will be localised to the injection site. The Committee considered that even in the worst case scenario of tumour cells developing on the site, the health cost to the individual would be minimal due to monitoring and treatment possibilities. Further the Committee considered that any effect on the immune system will be very limited, where only a few cells will be infected and the effect of the infected cells will be diluted out by millions of healthy Environmental Risk Management Authority Decision: GMD04026 Page 8 of 13 cells. Therefore, the Committee consider that the effect of accidental infection on the immune system is likely to be minimal. 7.4 The Committee agrees with the E&R report (section 5.13) that the oversight of the experiments proposed in this application by an a scientist experienced with the use of recombinant viral vectors will reduce the occupational health risk to staff (additional control 8.1, Appendix 1 of this document). 7.5 The Committee agreed with the E&R report (section 5.31) that the use of a class II biological safety cabinet as mentioned in additional control 8.2 (see Appendix 1 of this document) should minimise the risk to laboratory workers. 7.6 The Committee agreed with the E&R report (section 5.37) that in order to minimise the risk of accidental colonisation of workers with infected cell lines, laboratory workers should not infect cultures of their own cells, nor, as a general rule, those of their immediate family or other members of the laboratory (additional control 8.3 , Appendix 1 of this document). 7.7 The Committee agreed with the E&R report (section 5.45) that it will be highly improbable laboratory personnel will be infected during this work if there is strict adherence to the containment standards and additional controls. Identification and Assessment of Benefits 7.8 The Committee agreed with the E&R report and identified the following benefits associated with the application, in accordance with the Methodology clauses 9, 10, 13 and 14, and section 6(e) of the HSNO Act: 7.9 The Committee agreed with the E&R report (section 6.41) and considers that the direct benefits of this application are those of gains in scientific knowledge and scientific reputation and standing for the researchers. The Committee considers that these benefits are very likely to occur based on the applicant’s track record in securing grants and funding from private investors and their publications in top-tier peer-reviewed scientific journals. Also the Committee considers that these benefits will be shared between the applicant who may secure international collaborations or attract grant funding as a result and the greater scientific community when the results of the research are published and become available in the public domain. However, the committee note that these benefits are research-based and the outcomes cannot be defined with a great deal of certainty. 7.10 The Committee considers that potentially the research could have significant non-monetary benefits for human health in the long-term if the applicant was able to develop novel strategies for treatment of immunological diseases3. The diseases the researchers are attempting to develop therapy strategies for are serious diseases and any scientific breakthrough that contributed to some type of therapy to alleviate these conditions would be of major benefit to the community. However, the Committee notes that there is a large degree of 3 Including multiple sclerosis, rheumatoid arthritis, type I diabetes and asthma. Environmental Risk Management Authority Decision: GMD04026 Page 9 of 13 uncertainty surrounding expected long-term non-monetary benefits, as it depends on how successful the research is and on a number of other factors. 8 Other Matters 8.1 9 The Committee considered that no other matters were relevant in setting controls outside the Third Schedule, in order to give effect to the purpose of the HSNO Act (in accordance with section 45(2)(b)). International and Related Matters 9.1 10 The Committee considered international obligations relevant to this approval in accordance with clause 9(c)(vi) of the Methodology and section 6(f) of the HSNO Act. Overall Evaluation of Risks, Costs and Benefits and of the Adequacy of Containment 10.1 In reaching its decision on this application, the Committee records that the following criteria in the HSNO Act and the Methodology have been particularly relied on (in accordance with clauses 21 and 36(2)(b) of the Methodology): 10.2 The application has been considered in the context of the purpose and principles of the HSNO Act (sections 4-8 inclusive). 10.3 Pursuant to section 45(1)(a)(i) of the HSNO Act, the Committee is satisfied that the purpose of the application falls under section 39(1)(a): the development of any genetically modified organism. 10.4 In accordance with section 45 of the HSNO Act, and clauses 9, 10 and 12 of the Methodology, the Committee concluded that each of the risks and costs was negligible. Thus, the Committee considered the application under clause 26 of the Methodology. 10.5 As indicated in the foregoing text, a number of potentially significant risks are considered to be negligible, after taking account of the organism description and the impact of containment and other controls set out in Appendix 1. 10.6 As assessed in sections 7.8 - 7.10 of this document the benefits are largely scientific. While these benefits are very likely to exist, their magnitude may range from minimal to moderate depending on the success of the research and the scientific value of the research results. Environmental Risk Management Authority Decision: GMD04026 Page 10 of 13 10.7 The Committee then considered whether, given the organism description and the containment and controls proposed, the benefits outweigh the significant risks and costs. The Committee’s view is that the benefits do outweigh the costs and risks. 10.8 The Committee is satisfied that the cell lines and rodents transduced with recombinant viral vectors can be adequately contained (sections 45(1)(a)(iii) and 44(b) of the HSNO Act), by the controls required in this decision (refer to Appendix 1). 10.9 In accordance with clause 36(2)(b) of the Methodology, the Committee records that in reaching this conclusion, it has applied the balancing tests in section 45 of the HSNO Act. 11 11.1 Decision The application to develop in containment cell lines and rodents that are genetically modified with recombinant viral vectors that express genes involved in the development and function of the immune system, (as described in Table 1 of this decision) is approved in accordance with section 45(1)(a) of the HSNO Act. As required under section 45(2) the approval is subject to controls (as listed in Appendix 1 of this decision). Dr Marie Dziadek Date: 8 June 2004 Chair, GMO Standing Committee of the Authority Approval codes: GMD003165 - GMD003169 Amendment: November 2006 Changes to controls: Addition of footnotes to the containment facility references and the Australian/New Zealand containment facility references to “future proof” the decision Standardise the wording of the breach of containment control Removal of the control regarding inspection of facilities by the Authority, its agent or enforcement officers ____________________________ Dr Kieran Elborough Chair, GMO Standing Committee Environmental Risk Management Authority Decision: GMD04026 Date: 22 August 2007 Page 11 of 13 Appendix 1: Controls Required by this Approval In order to satisfactorily address the matters detailed in the Third Schedule Part I: Matters to be Addressed by Containment Controls for Development and Field Testing of Genetically Modified Organisms4of the Act, and other matters in order to give effect to the purpose of the Act (section 45(2)), the approved organism is subject to the following controls: Containment Controls 1 To limit the likelihood of any accidental release of any organism or any viable genetic material5: 1.1 The person responsible for a particular research area and/or the person responsible for the operation of the containment facilities (‘the facility’) shall inform all personnel involved in the handling of the organisms of the Authority’s controls. 1.2 For the work with mammalian cell lines and production of recombinant viral vectors the containment facilities shall be approved by Ministry of Agriculture and Forestry (MAF), in accordance with the MAF Biosecurity Authority/ERMA New Zealand Standard 154.03.026: Containment Facilities for Microorganisms Physical containment level 2 (PC2) and the controls set out by Authority. 1.3 For the work with the genetically modified rodents the containment facilities shall be approved by Ministry of Agriculture and Forestry (MAF), in accordance with the MAF Biosecurity Authority/ERMA New Zealand Standard 154.03.036: Containment Facilities for Vertebrate Laboratory Animals Physical containment level 2 (PC2) and the controls set out by Authority. 2 2.1 3 To exclude unauthorised people from the facility: The identification of entrances, numbers of and access to entrances, and security requirements for the entrances and the facility shall be in compliance with the requirements of the standards listed in control 1.2 and 1.3 of this document. To exclude other organisms from the facility and to control undesirable and unwanted organisms within the facility: 4 Bold headings refer to matters to be addressed by containment controls for new organisms excluding genetically modified organisms, specified in the Third Schedule (Part II) of the HSNO Act 1996. 5 Viable genetic material is biological material that can be resuscitated to grow into tissues or organisms. It can be defined to mean biological material capable of growth even though resuscitation procedures may be required, e.g. when organisms or parts thereof are sub lethally damaged by being frozen, dried, heated, or affected by chemical. 6 Any reference to this standard in these controls refers to any subsequent version approved or endorsed by ERMA New Zealand Environmental Risk Management Authority Decision: GMD04026 Page 12 of 13 3.1 The exclusion of other organisms from the facility and the control of undesirable and unwanted organisms within the facility shall be in compliance with the standards listed in control 1.2 and 1.3 of this document. 4 To prevent unintended release of the organism by experimenters working with the organism: 4.1 The prevention of unintended release of the organisms by experimenters working with the organisms shall be in compliance with the standards listed in control 1.2 and 1.3 of this document. 5 To control the effects of any accidental release or escape of an organism: 5.1 Control of the effects of any accidental release or escape of the organisms shall be in compliance with the standards listed in control 1.2 and 1.3 of this document. 5.2 In the event of any breach of containment the contingency plan for the attempted retrieval or destruction of any viable material of the organisms that have escaped shall be implemented immediately. The contingency plan shall be included in the containment manual in accordance with the Standards. 5.3 If a breach of containment occurs, the facility operator must ensure that the MAF Inspector responsible for supervision of the facility has received notification of the breach within 24 hours. 6 6.1 7 7.1 8 Inspection and monitoring requirements for containment facilities: The inspection and monitoring requirements for containment facilities shall be in compliance with the standards listed in control 1.2 and 1.3 of this document. Qualifications required of the persons responsible for implementing those controls: The training of personnel working in the facility shall be in compliance with the standards listed in control 1.2 and 1.3 of this document. Additional Controls 8.1 A scientist experienced with the use of recombinant viral vectors shall at all times maintain oversight of the experiments, and shall provide training to staff in best practice procedures for risk reduction. 8.2 A biological safety cabinet of class II shall be used for all experiments requiring PC2 containment where the handling of viral vectors may result in the production of aerosols. 8.3 Under no circumstances should investigators be infecting cultures of their own cells, or of their immediate relatives, or those of other staff of the laboratory. Environmental Risk Management Authority Decision: GMD04026 Page 13 of 13