Rev. sci. tech. Off. int. Epiz., 1988, 7 (2), 255-267. Current USDA licensing requirements for recombinant DNA-derived animal biological products * D.A. ESPESETH, P.L. JOSEPH, G.P. SHIBLEY and C.G. GAY ** Summary: For licensing purposes there are three categories of biotechnology products: inactivated recombinant DNA-derived products and monoclonal antibodies, live micro-organisms modified by adding or deleting genes, and live vectors carrying recombinant genes which code for immunizing antigens. The authors outline the organization and functions of the Veterinary Services Biotechnology Committee, the Committee on Biotechnology in Agriculture, the Agriculture Biotechnology Recombinant DNA Advisory Committee, the Biotechnology and Environmental Coordination Staff and related organizations. Proposals to expand regulatory authority and to avoid overlapping reviews are discussed. KEYWORDS: Biological products - Biotechnology organizations - Legislation - Licensing - USA - Vaccines. Government The establishment of appropriate procedures for regulating biotechnology products is a national and international issue which has been debated extensively in the United States. This debate has intensified as more new products have been developed for commercial release. The question of how to regulate the new products has generated a diversity of opinions. On the one hand, the scientific community has tended to take the position that the new products, when properly characterized and evaluated prior to release, pose no risk to public health or the environment. On the other hand, some consumer interest groups have indicated a concern that new recombinant D N A (rDNA)-derived micro-organisms, plants, animals or other products proposed for release could have considerable effects on our environment and therefore should be rigidly controlled or prohibited from release. Regulatory agencies have been faced with the difficult task of developing a system that will protect the public interest yet be flexible and efficient in its review of products, so as not to inhibit development of this new technology. Such a system must also provide the opportunity for peer review and public notification of the decision-making process. Several actions have been taken in the United States in an attempt to define the appropriate balance in these parameters and to establish a regulatory system acceptable to the public. This paper will discuss the process, as established within the United States Department of Agriculture (USDA) and more specifically within the Veterinary * Presented at the XXIII World Veterinary Congress, Montreal, Canada, August 16-21, 1987. ** Veterinary Services, Animal and Plant Health Inspection Service, United States Department of Agriculture (USDA), Federal Building, Hyattsville, Md. 20782, USA. 256 Services (VS) of the Animal and Plant Health Inspection Service (APHIS). The effects of recent changes in the Virus-Serum-Toxin Act (VSTA) on the control of conventional and r D N A veterinary biological products will be reviewed. The impact of proposed changes in the National Institutes of Health (NIH) guidelines and the effect of recent administrative changes within U S D A on the review of conventional and r D N A products by Veterinary Services will also be discussed. Regulation of rDNA-derived products is based o n the principle that these new products are not significantly different from similar products produced by conventional methods. T h u s , existing statutes provide a basic network of agency jurisdiction over both research and products. This existing network has been used to form a coordinated framework for regulating biotechnology products and research in the United States. Current authorities and regulatory jurisdictions for biotechnology products were defined in two Federal Register publications. A proposed coordinated framework for regulating biotechnology was published on 31 December 1984. This was followed o n 26 J u n e 1986 by a document describing the regulatory policies of the individual Federal departments and the policies for review of research conducted or supported within these departments. To coordinate and develop a policy for implementing these authorities, an interagency science coordinating mechanism — the Biotechnology Science Coordinating Committee (BSCC) - was established in October 1985 (Fig. 1). Biotechnology Science Coordinating Committee NSF EPA Department of Agriculture FDA Committee o n Biotechnology in Agriculture Science and Education NSF EPA FDA NIH = = = = Marketing and Inspection Service National Science Foundation Environmental Protection Agency Food and Drug Administration National Institutes of Health FIG. 1 Biotechnology in Agriculture. Coordinated framework NIH 257 This Committee provides a context for the sharing of information concerning scientific developments among various agencies and the coordination of biotechnology policy on a national level. Members of the BSCC are senior policy officials from USDA, Health and H u m a n Services, Environmental Protection Agency, and National Science F o u n d a t i o n . T h e BSCC is currently chaired by Dr David Kingsbury of the National Science Foundation (Assistant Director of Biological, Behavioral and Social Sciences). Within the U S D A a n additional coordinating structure has been developed. The Office of Agriculture Biotechnology (OAB) was established by Secretary of Agriculture Richard Lyng in July 1986 (Fig. 2). This office performs three functions: Science a n d E d u c a t i o n Office of Agriculture Biotechnology Staff Cooperative State Research Service Agriculture Biotech & r D N A - Advisory C o m m i t t e e Extension Service Office of G r a n t s & P r o g r a m Systems N a t i o n a l Biological I m p a c t Assessment Program Agricultural Research Service National Agricultural Library FIG. 2 The Office of Agriculture Biotechnology Staff 1. It provides staff support for the Committee on Biotechnology in Agriculture (CBA), which is the policy-making group in Agriculture. 2. It also provides staff support for the Agricultural Biotechnology Recombinant D N A Advisory Committee (ABRAC) which reviews USDA-funded research proposals or when requested, license applications. 3. It acts as a repository of biotechnology information received from U S D A agencies responsible for the review of applications, and the issue of permits or licenses. The Biotechnology and Environmental Coordination Staff (BECS) was established in July 1985 to coordinate the development and implementation of biotechnology policy and the coordination of biotechnology regulatory activities in U S D A (Fig. 3). It also provides advice and council to p r o g r a m staffs in preparing environmental documents required by the National Environmental Policy Act (NEPA) of 1969, and reviews these documents before being sent outside A P H I S . 258 Marketing and Inspection Services F o o d Safety Inspection Service APHIS Agricultural Marketing Service Biotechnology & Environmental Coordinating Staff Veterinary Services Plant Protection and Quarantine VS Biotechnology Committee FIG. 3 Regulatory agencies VS has extended this coordinating structure by establishing a Veterinary Services Biotechnology Committee (Tables I and II). This committee considers the development and application of new biotechnology policy related to the mission of VS, and provides recommendations to the Deputy Administrator. The committee is chaired by the Associate Deputy Administrator, VS, and has members representing VS P r o g r a m Planning and Development, VS Biologics Staff, Agriculture Research Service, F o o d Safety and Inspection Service, National VS Laboratories, National Institutes of Health (NIH) - Recombinant D N A Advisory Committee, F o o d and Drug Administration, and the Office of the General Counsel (OGC). This committee reviews proposed rule making, m e m o r a n d a , and other policy-making documents concerning biotechnology before publication, and also reviews Environmental Assessments (EA) prepared by the VS Biologics Staff before agency authorization of shipment of live recombinant vaccines for use outside contained premises. In establishing the VS Biotechnology Committee, VS has become intimately involved in biotechnology issues and policy-making, primarily because of its responsibility for regulating veterinary biological products under the Virus-SerumToxin Act of 1913. VS has regulated the import and interstate movement of veterinary biological products under this act for over 70 years. As new production technologies have emerged, the agency has had to respond with new regulatory procedures. The development of new procedures applicable to recombinant-derived products is but the most recent change. It has been, and still is the attitude of the agency that new biotechnology products do not differ significantly from products produced by conventional methods. The emphasis is on the product and its intended use rather t h a n the method used in development. Each product must be considered on a case-by-case basis. 259 TABLE I Organization of the VS Biotechnology Committee Chairman: • Associate Deputy Administrator, VS Executive Secretary: • Veterinary Biologics Staff representative Members: • Assistant Deputy Administrator, Program Planning and Development • Senior Staff Veterinarian, Veterinary Biologics Staff • Representatives from: BECS FSIS NVSL FDA ARS NIH-RAC Ad-Hoc (EPA, CVM, CDC, OGC, etc.) BECS FSIS NVSL FDA ARS NIH-RAC CVM CDC EPA OGC = = = = = = = = = = Biotechnology and Environmental Coordinating Staff Food Safety and Inspection Service National Veterinary Services Laboratories Food and Drug Administration Agricultural Research Service National Institutes of Health - Recombinant DNA Advisory Committee Center for Veterinary Medicine Centers for Disease Control Environmental Protection Agency Office of the General Counsel T A B L E II Functions of the VS Biotechnology Committee • • • • Coordinate and review biotechnology issues and policy. Review VS biotechnology regulatory policies and procedures. Review and recommend procedures for implementing VS biotechnology policy. Review and refer issues involving departmental and agency biotechnology policy to APHIS BECS. • Review biotechnology issues referred to VS from BECS and other agencies and recommend response by the Deputy Administrator. • Interact with APHIS BECS. • Consider other issues as directed by the Deputy Administrator. For the purposes of licensing under the VSTA, veterinary biological products derived by recombinant-DNA techniques or developed from hybridomas are classified into three broad categories, depending on the biological characteristics of the new products and on safety aspects (Table III). This approach is very similar to the one used for conventional veterinary biologies. 260 TABLE Categories of hybridoma III and rDNA-derived animal biologics Category I: • Inactivated rDNA-derived viral vaccines • Inactivated rDNA-derived bacterial products • Viral, bacterial or other subunit products • Monoclonal antibody (hybridoma) Category II: • Vaccines containing live organisms modified by gene insertion or deletion Category III: • Vaccines using live vectors to carry r-derived foreign genes Category I comprises inactivated products prepared from recombinant D N A derived vaccines, viruses, bacterins, bacterin-toxoids, virus subunits, or bacterial subunits (Table IV). These nonviable or killed products pose no risk to the environment and present no new or unusual safety concerns. Monoclonal antibody (hybridoma) products used prophylactically, therapeutically, or as components of diagnostic kits are also included in this category (Tables V and VI). T A B L E IV Category I-A: Bacterins Product Code No. Licensed Firm Estab. No. Date Licensed E. coli bacterin for swine 26R8.56 Norden Labs 189 16 July 1984 E. coli bacterin for swine 26R8.44 Salsbury Labs 195 23 Dec. 1982 E. coli bacterin for swine 2648.08 Salsbury Labs 195 5 Oct. 1983 E. coli bacterintoxoid for swine 7850.00 Norden Labs 189 15 Mar. 1983 E. coli bacterintoxoid for swine 7900.R0 Norden Labs 189 29 June 1984 Category II comprises products containing live micro-organisms that have been modified by adding or deleting one or more genes (Table VII). Deleted genes may code for virulence, oncogenicity, enzyme activity, or other biochemical functions. Added genes may result in the expression of unique marker antigens or the production of novel biochemical by-products. Precautions must be taken to ensure that this 261 TABLE V Category I-B-l: Therapeutic or prophylactic use Product Code No. Licensed Firm Estab. No. Date Licensed E. coli monoclonal antibody for newborn cattle 3525.00 Molecular Genetics, Inc. 284 8 Nov. 1983 Pseudorabies virus monoclonal antibody 3800.00 Molecular "Genetics, Inc. 284 16 Apr. 1987 TABLE VI Category I-B-2: Used in diagnostic kits Product Code No. Licensed Firm Estab. No. Date Licensed Feline leukemia virus test kit Feline leukemia virus test kit Feline leukemia virus test kit Equine infectious anemia antigen and reagent serum E. coli K99 antigen test kit Feline infectious peritonitis antibody test kit Feline leukemia virus antigen test kit Pseudorabies virus antibody test kit Pseudorabies virus antibody test kit Equine infectious anemia ELISA anti body test kit 5028.00 Pitman-Moore Inc. 264 22 Aug. 1979 5028.00 AgriTech Systems, Inc. AgriTech Systems, Inc. TechAmerica Diagnostics 313 6 June 1986 313 31 Mar. 1987 272-A 28 June 1984 284 29 Jan. 1985 272-A 21 Nov. 1984 317 30 Oct. 1985 5028.01 5515.20 5032.00 5029.00 Molecular Genetics, Inc. TechAmerica Diagnostics 5028.00 Biologics Corporation 5110.01 AgriTech Systems, 313 Inc. AgriTech Systems, 313 Inc. TechAmerica Group, 272-A Inc. 5110.02 5514.00 16 Jan. 1986 16 Jan. 1986 13 June 1986 addition or deletion of specific genetic information does not impart increased virulence, pathogenicity, or survival advantages in these organisms, greater than those found in natural or wild-type forms. Modification must not impart undesirable new or increased adhesive or invasive factors, colonization properties, or different survival within the host. It is important that genes added or deleted do not compromise the 262 safety characteristics of these organisms. In most cases their safety characteristics are improved, so that they cannot pose any new threat to h u m a n s , other animal species, or to the environment. TABLE V I I Category II: Live gene deleted Product Code No. Licensed Firm Pseudorabies virus vaccine modified live virus 1891.R0 Biologics Corp. Estab. No. Date Licensed 272 16 Jan. 1986 The genetic information to be added or deleted in this category must consist of well-characterized D N A segments. Required licensing data may include base pair analysis, sequence information, restriction endonuclease sites, as well as phenotypic characterization of the altered organism. A comparison is also required between the engineered organism and its parent strain with respect to biochemical pathways, virulence traits, or other factors affecting pathogenicity. Current policy requires an Environmental Assessment or decision document to be prepared before these products can be considered for experimental field trial or licensing. Category III consists of products using live vectors to carry recombinant-derived foreign genes that code for immunizing antigens a n d / o r other immune stimulants. Live vectors may carry multiple recombinant-derived foreign genes and are capable of efficiently infecting and immunizing host animal species. Two classes of viral vectors are currently being used, the lytic viruses (such as polyoma and SV-40) and the socalled shuttle vectors based on retroviruses. Live vectors currently being evaluated include vaccinia virus, bovine papillomavirus, herpesviruses, adenoviruses, SV-40 virus, and yeasts. When used as live vectors of foreign genes, the new r D N A organisms must be fully recharacterized and compared with the parent virus. Concerns for safety to humans and animals, and impact on the environment, must be addressed in an Environmental Assessment or Environmental Impact Statement before such products can be considered for experimental field trial or licensing. A notice of proposed actions under N I H guidelines for research involving recombinant D N A molecules was published in the Federal Register on 19 December 1986. This notice proposed a revision of sections I-B and III-A-2 of the guidelines concerning experiments, which would require R A C review, and N I H and Institutional Biosafety Committee ( I B C ) approval before initiation. This proposal would exempt research involving "deletion derivatives not otherwise covered by these guidelines" from N I H review or approval. It is also proposed that in the definition of r D N A the word " f o r e i g n " would be clarified by the footnote: " R e a r r a n g e m e n t s involving the introduction of D N A from different organisms or different strains of an organism will be considered recombinant D N A . Deletions, single-base changes and rearrangements within a single genome will not involve the introduction of foreign D N A and therefore would not be considered recombinant DNA". Further, it proposed that releases into the environment would not require N I H review and approval for organisms resulting from "deletion derivatives and single base changes not otherwise covered by the guidelines" and "rearrangements and amplification within a single 263 genome. Rearrangement involving the introduction of D N A from different strains of the same organism would not be covered by this e x e m p t i o n " . T h e proposed modification of Section III-A-2 also provides a clear, concise and much needed clarification of the position whereby the term "deliberate release" essentially describes or suggests a dangerous event a n d is therefore inappropriate for describing the use of r D N A products outside contained premises. The proposal to describe such release as " p l a n n e d i n t r o d u c t i o n " under accepted scientific practices in which there is adequate evidence of biological a n d / o r physical control of the recombinant organism is consistent with the U S D A position concerning release. If these proposed changes in the N I H guidelines are accepted and finalized, VS may need to consider amending its current classification scheme for r D N A products in favor of a scheme with only two categories (Table VIII). TABLE V I I I Proposed categories of hybridoma and rDNA-derived animal biologics Category I: • Inactivated rDNA-derived viral vaccines • Inactivated rDNA-derived bacterial products • Viral, bacterial, or other subunit products • Monoclonal antibody (hybridoma) • Vaccines containing live organisms modified by gene insertion or deletion (no introduction of "foreign" DNA) Category II: • Vaccines using live vectors to carry r-derived foreign genes • Vaccines containing live organisms modified by gene insertion or deletion (introduction of "foreign" DNA) Category I could consist of rDNA-derived inactivated products, monoclonal antibody products, and virus or bacterial subunits as defined for the current category I, and live products containing organisms resulting from deletions, single base changes and rearrangements within a single genome. It m a y be appropriate that a categorical exemption be requested from compliance with the National Environmental Policy Act ( N E P A ) for products in this category since they would be exempt from N I H review. If exempted from N E P A , release of these products would require only demonstration of purity, safety, potency and efficacy as required presently under the VSTA for conventional live products. D a t a submitted to establish environmental safety for the live products in this category could be documented in a decision document instead of preparing an Environmental Assessment (EA). Category II would include live vectors carrying one or more foreign genes coding for immunizing antigens a n d / o r drugs, and organisms resulting from rearrangements and amplifications involving the introduction of D N A from different organisms or different strains of the same organism. This category would include the current category III products plus the true recombinant products in the current category II. 264 Concerns for safety to humans and animals as well as environmental impact would have to be addressed in an E A or Environmental Impact Statement before these products could be considered for experimental field use or licensing. In the regulation of r D N A veterinary biologics, as with other rDNA-derived products, public concern has focused on procedures for regulating release of these products from containment. Concern has been expressed regarding the adequacy of current law to require review and evaluation of r D N A products prior to release, to cover all r D N A deserving attention, and to assure protection of public health and the environment. The need for peer review, public notification, and documentation in these decisions has also been expressed. Veterinary Services has established procedures for regulating veterinary biological products which address all of these concerns in a positive manner, by means of an amendment to the VSTA contained in the Food Security Act of 1985, publication of new regulations to implement this amendment, and implementation of new administrative procedures for the review of products (Table IX). TABLE I X Expanded authority for regulating veterinary biologics • Intra and interstate • Export • Seizure and condemnation • Establishment license based on Autogenous Product License • Exemptions - Products for use in Veterinary - Client Patient Relationship — Products for use in a person's own animals - Products prepared under approved state licensing programs — Interim license to expire 1 January 1990 In amending the VSTA of 1913, the Food Security Act of 1985 expanded the Department's authority over veterinary biological products in several respects. Under the amended statute it is unlawful to ship or deliver for shipment any worthless, contaminated, dangerous or harmful veterinary biologies intended for the treatment of animals anywhere in or from the United States. Previously, intrastate shipments and exports were not subject to the VSTA. T h e amendment also expanded the Secretary's rule-making authority, authorized the inspection of any establishment preparing animal biologies and provided new authorities of detention, seizure, and condemnation of products. With these changes in the statutes, VS gained the b r o a d authority needed for supervision of all biological products shipped in the United States. To implement this new authority, several new and amended regulations have been promulgated. Title 9 CFR, P a r t 103.3 which contains widely used provisions for the interstate shipment of unlicensed biological products for experimental purposes, such as field safety testing before licensing, was amended. Regulations now require authorization from the Deputy Administrator before any shipment of an experimental product in or from the United States, including intrastate and export shipments. These amended regulations now permit VS to supervise all experimental uses of veterinary biological products outside containment, whether in the United States or for export. 265 As with conventional products, r D N A products must be shown to be pure, safe, potent and efficacious, and not worthless, contaminated, dangerous or harmful. Assurance of safety in all products has included the responsibility to ensure that products do not have any adverse effects u p o n the environment and d o not h a r m animal and h u m a n health. T o ensure that safety concerns are fully respected, regulations have also been amended to require a person wishing to import or ship a veterinary biological product anywhere in or from the United States to provide any additional information needed by the Deputy Administrator for a proper assessment of the impact of products on the environment. Such additional information will apply to live vaccines and m a y include (but is not necessarily limited to) demonstrating nonpathogenicity and nonreversion to virulence by means of a number of backpassages in the host animal; also studies to determine the fate of the organism when injected into the host, and the ability of the organism to shed, transmit, and maintain itself in a livestock population. Persons m a y also be requested to define the stability and survival of the organism in the environment. The organism's host range and ability to adapt to and affect other species m a y also need to be investigated. In the case of live r D N A products (current category II and III products) Veterinary Services will use these data to prepare a decision document or an Environmental Assessment in accordance with the National Environmental Policy Act. Under current policy, shipments of live r D N A products that involve release of product outside containment will not be authorized until the completion of an EA and the determination of a finding of no significant impact ( F O N S I ) by the Deputy Administrator. P r o d u c t is not permitted to be shipped for release outside of containment until 30 days after the publication in the Federal Register of a notice of the availability of the E A and F O N S I (Fig. 4). Environmental assessments are prepared by the VS Biologics Staff, reviewed by the B E C Staff for compliance with N E P A and departmental biotechnology policy, reviewed by the O G C for legal correctness, and evaluated by the VS Biotechnology Committee for technical sufficiency and adequacy of the findings. The determination of a F O N S I is m a d e by the Deputy Administrator only after concurrence in the E A and findings from all parties. Implementation of the N E P A process in this manner provides for review, documentation of the decision-making process, and notification of the public before authorization of use of such products outside containment. This process has been applied successfully t o recent field trials authorized for a live recombinant-derived Pseudorabies vaccine produced by the U p J o h n C o m p a n y and the D i a m o n d Scientific C o m p a n y . Requests to release other r D N A products are currently under review. It is anticipated that several new r D N A products will be authorized for use outside containment in this manner in the future. Proposed changes in section I-A of the N I H guidelines, as contained in the Federal Register Notice of 19, December 1986, also m a y have a significant impact on VS procedures for handling r D N A products. The proposed changes would permit any r D N A experiments, which according to the guidelines require N I H approval, to be sent either to N I H for approval or another Federal agency which has jurisdiction for review and approval. If submitted to and approved by another Federal agency, experiments could proceed without the necessity for N I H review or approval. O u r agency supports this change. It would be consistent with the development of expanded regulatory authority in other Federal agencies. It would also help eliminate overlapping jurisdiction and possible confusion concerning which agency an experiment should 266 Application Veterinary Biologics Staff O A B Notification Quarantine Field Trials Restricted Field Trials Decision Document Preparation of E A & FONSI by VS B E C Staff VS Authorization VS Biotechnology Committee OGC Deputy Administrator (for signature) Office of Agricultural Biotechnology Notification Federal Register 30 day notice Field Trials FIG. 4 APHIS review procedures for field testing live rDNA products be submitted to for review and approval. At present, there is no provision or requirement for transfer of information between N I H and other Federal regulatory agencies. Because the review by another Federal agency serves the same purpose as that currently conducted by N I H , it would be superfluous to require overlapping reviews. Each Federal regulatory agency may also have unique requirements or criteria for review not normally demanded by N I H that would also need to be addressed. Currently, the N I H guidelines presented in Appendix L provide only the conditions under which plants containing recombinant D N A molecules may be released into the environment. The R A C Working G r o u p on Definitions, meeting in December 1986, recommended the establishment of new appendices, similar to Appendix L, to include conditions of release for genetically-engineered animals, micro-organisms other than vaccines, and vaccines. 267 We favor the proposal by the R A C Working G r o u p on Definitions t o amend Section III-A-2 by adding parallel sections to be written as Appendices M, N , and O to cover (respectively) animals, micro-organisms (other than vaccines), and vaccines. We also urge appropriate Federal, private, and public involvement in the preparation of the criteria for these new Appendices. Another paper provides more detailed information regarding VS guidelines for transferring live, genetically-engineered organisms from containment t o limited field trials. Although further refinements and adjustments may be necessary as our knowledge of r D N A products expands, we feel procedures for review and approval of r D N A veterinary biological products that have been established in the United States provide an appropriate balance of flexibility and control, and as a result, new r D N A products should be marketed in a manner that maintains the public confidence. * * * CONDITIONS D'HOMOLOGATION ACTUELLES DU DÉPARTEMENT DE L'AGRICULTURE DES ÉTATS-UNIS POUR LES PRODUITS BIOLOGIQUES ANIMAUX OBTENUS PAR RECOMBINAISON DE L'ADN. - D.A. Espeseth, P.L. Joseph, G.P. Shibley et C.G. Gay. Résumé : Aux fins d'homologation, les produits de la biotechnologie sont classés dans trois catégories : les produits inactivés obtenus par recombinaison de l'ADN et les anticorps monoclonaux, les micro-organismes vivants modifiés par addition ou délétion de gènes, et les vecteurs vivants porteurs de gènes recombinants qui permettent l'expression d'antigènes immunisants. Les auteurs présentent l'organisation et les fonctions de la Commission de biotechnologie des Services Vétérinaires, de la Commission sur la biotechnologie dans l'agriculture, de la Commission consultative sur la biotechnologie de recombinaison de l'ADN en agriculture, de l'Etat-major de coordination sur la biotechnologie et l'environnement, ainsi que des organismes qui se rattachent aux précédents. Les propositions visant à accroître l'autorité des administrations responsables des réglementations et à éviter le chevauchement des activités de contrôle sont discutées. MOTS-CLÉS : Administrations publiques - Biotechnologie - Etats-Unis d'Amérique - Homologation - Législation - Produits biologiques - Vaccins.
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