Agricultural Bioterrorism Protection Act of 2002; Biennial Review and Republication of the Select Agent and Toxin List; Amendments to the Select Agent and Toxin Regulations, 61228-61244 [2011-25520]
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Federal Register / Vol. 76, No. 191 / Monday, October 3, 2011 / Proposed Rules
DEPARTMENT OF AGRICULTURE
Animal and Plant Health Inspection
Service
7 CFR Part 331
9 CFR Part 121
[Docket No. APHIS–2009–0070]
RIN 0579–AD09
Agricultural Bioterrorism Protection
Act of 2002; Biennial Review and
Republication of the Select Agent and
Toxin List; Amendments to the Select
Agent and Toxin Regulations
Animal and Plant Health
Inspection Service, USDA.
ACTION: Proposed rule.
AGENCY:
In accordance with the
Agricultural Bioterrorism Protection Act
of 2002, we are proposing to amend and
republish the list of select agents and
toxins that have the potential to pose a
severe threat to animal or plant health,
or to animal or plant products. The Act
requires the biennial review and
republication of the list of select agents
and toxins and the revision of the list as
necessary. This action would implement
the findings of the third biennial review
of the list. In addition, we are proposing
to reorganize the list of select agents and
toxins based on the relative potential of
each select agent or toxin to be misused
to adversely affect human, plant, or
animal health. Such tiering of the list
would allow for the optimization of
security measures for those select agents
or toxins that present the greatest risk of
deliberate misuse with the most
significant potential for mass casualties
or devastating effects to the economy,
critical infrastructure, or public
confidence. We are also proposing a
number of amendments to the
regulations, including the addition of
definitions and clarification of language
concerning security, training, biosafety,
biocontainment, and incident response.
These changes would increase the
usability of the select agent regulations
as well as provide for enhanced program
oversight.
DATES: We will consider all comments
that we receive on or before December
2, 2011.
ADDRESSES: You may submit comments
by either of the following methods:
• Federal eRulemaking Portal: Go to
https://www.regulations.gov/
#!documentDetail;D=APHIS-2009-00700001.
• Postal Mail/Commercial Delivery:
Send your comment to Docket No.
APHIS–2009–0070, Regulatory Analysis
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SUMMARY:
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and Development, PPD, APHIS, Station
3A–03.8, 4700 River Road Unit 118,
Riverdale, MD 20737–1238.
Supporting documents and any
comments we receive on this docket
may be viewed at https://
www.regulations.gov/
#!docketDetail;D=APHIS-2009-0070 or
in our reading room, which is located in
room 1141 of the USDA South Building,
14th Street and Independence Avenue,
SW., Washington, DC. Normal reading
room hours are 8 a.m. to 4:30 p.m.,
Monday through Friday, except
holidays. To be sure someone is there to
help you, please call (202) 690–2817
before coming.
FOR FURTHER INFORMATION CONTACT: Mr.
Charles L. Divan, Branch Chief, APHIS
Agriculture Select Agent Program,
APHIS, 4700 River Road Unit 2,
Riverdale, MD 20737–1231; (301) 734–
5960.
SUPPLEMENTARY INFORMATION:
Background
The Public Health Security and
Bioterrorism Preparedness and
Response Act of 2002 (referred to below
as the Bioterrorism Response Act)
provides for the regulation of certain
biological agents that have the potential
to pose a severe threat to both human
and animal health, to animal health, to
plant health, or to animal and plant
products. The Animal and Plant Health
Inspection Service (APHIS) has the
primary responsibility for implementing
the provisions of the Act within the
Department of Agriculture (USDA).
Veterinary Services (VS) select agents
and toxins are those that have been
determined to have the potential to pose
a severe threat to animal health or
animal products. Plant Protection and
Quarantine (PPQ) select agents and
toxins are those that have the potential
to pose a severe threat to plant health
or plant products. Overlap select agents
and toxins are those that have been
determined to pose a severe threat to
both human and animal health or
animal products. Overlap select agents
are subject to regulation by both APHIS
and the Centers for Disease Control and
Prevention (CDC), which has the
primary responsibility for implementing
the provisions of the Act for the
Department of Health and Human
Services (HHS).
Subtitle B (which is cited as the
‘‘Agricultural Bioterrorism Protection
Act of 2002’’ and referred to below as
the Act), section 212(a), provides, in
part, that the Secretary of Agriculture
(the Secretary) must establish by
regulation a list of each biological agent
and each toxin that the Secretary
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determines has the potential to pose a
severe threat to animal or plant health,
or to animal or plant products.
Paragraph (a)(2) of section 212 requires
the Secretary to review and republish
the list every 2 years and to revise the
list as necessary. In this document, we
are proposing to amend and republish
the list of select agents and toxins based
on the findings of our third biennial
review of the list.
In determining whether to include an
agent or toxin on the list, the Act
requires that the following criteria be
considered:
• The effect of exposure to the agent
or the toxin on animal and plant health,
and on the production and marketability
of animal or plant products;
• The pathogenicity of the agent or
the toxin and the methods by which the
agent or toxin is transferred to animals
or plants;
• The availability and effectiveness of
pharmacotherapies and prophylaxis to
treat and prevent any illness caused by
the agent or toxin; and
• Any other criteria that the Secretary
considers appropriate to protect animal
or plant health, or animal or plant
products.
We use the term ‘‘select agents and
toxins’’ throughout the preamble of this
proposed rule. Unless otherwise
specified, the term ‘‘select agents and
toxins’’ will refer to all agents or toxins
listed by APHIS. When it is necessary to
specify the type of select agent or toxin,
we will use the following terms: ‘‘PPQ
select agents and toxins’’ (for the plant
agents and toxins listed in 7 CFR 331.3),
‘‘VS select agents and toxins’’ (for the
animal agents and toxins listed in 9 CFR
121.3), or ‘‘overlap select agents and
toxins’’ (for the agents and toxins listed
in both 9 CFR 121.4 and 42 CFR 73.4).
On July 29, 2010, we published in the
Federal Register (75 FR 44724–44725,
Docket No. APHIS–2009–0070) an
advance notice of proposed rulemaking
and request for comments (ANPR) 1 in
order to announce our intention to
review and reorganize the select agent
list. We solicited comments regarding
potential additions and deletions from
the list of select agents and toxins as
well as comments on reorganization of
the list based on the relative potential of
each select agent or toxin to be misused
to adversely affect human, plant, or
animal health. We requested
recommendations as to what criteria
should be utilized to designate high risk
select agents and toxins and
incorporated those recommendations
1 To view the ANPR and the comments we
received, go to https://www.regulations.gov/
#!docketDetail;D=APHIS-2009-0070.
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Federal Register / Vol. 76, No. 191 / Monday, October 3, 2011 / Proposed Rules
into the interagency working group
discussions on the matter. We solicited
comments for 30 days ending August
30, 2010. We received 30 comments by
that date. They were from scientists,
scientific organizations, private
individuals, and industry groups.
Suggestions in these comments were
used in order to inform our discussions
on the content of the select agent list
and our determination regarding
reorganization of the list.
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PPQ Select Agents and Toxins
APHIS’s PPQ program convened an
interagency working group to review the
list of PPQ select agents and toxins and
develop recommendations regarding
possible changes to that list. Using the
four criteria for listing found in the Act,
economic crop data, current Federal
quarantine notices, and new scientific
information, the working group
revisited the currently listed PPQ select
agents and toxins and evaluated a
number of new plant pathogens for
inclusion on the list. Based on this
review, APHIS is proposing to amend
the list of PPQ select agents and toxins
listed in 7 CFR 331.3 by removing
Xylella fastidiosa, citrus variegated
chlorosis (CVC) strain, from the list as
it no longer meets the criteria for use as
an agroterrorism agent. Since CVC was
first included on the list, extensive
research on this select agent has been
completed. New scientific information
has led to creation of detection methods
that provide for better early response
and control methods. These new
technologies can be applied regardless
of how the agent might be introduced,
including purposeful introduction for
harmful purposes. Furthermore, the use
of geostatistical analysis in citrus
production areas using geographic
information systems is now welldeveloped with relation to monitoring
and facilitating a response to any
purposeful introduction. As a result of
this new research, as well as the
development of new regulatory systems
for CVC, the likelihood that someone
would use CVC as an agent of
bioterrorism is reduced, and our ability
to manage an introduction is increased.
VS Select Agents and Toxins
APHIS’s VS program also convened
an interagency working group to review
the list of VS select agents and toxins
and the list of overlap select agents and
toxins in 9 CFR part 121 in order to
update and revise the lists as necessary.
We are proposing to remove nine VS
select agents and toxins from the list set
out in § 121.3(b). Specifically, we are
proposing to remove the following:
Akabane virus; Bluetongue virus
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(exotic), Bovine spongiform
encephalopathy agent; Camel pox virus;
Ehrlichia ruminantium (Heartwater);
Japanese encephalitis virus; Malignant
catarrhal fever virus (Alcelaphine
herpesvirus type 1); Menangle virus;
and Vesicular stomatitis virus (exotic):
Indiana subtypes VSV–IN2, VSV–IN3.
The interagency working group
considered each of the VS select agents
and toxins with respect to the four
criteria for listing found in the Act and
based on the group’s analysis, APHIS
has determined that the nine VS select
agents and toxins listed above should be
removed from the list. These agents
were judged not to pose a significant
threat to animal health, either because
the disease risk is not significant (e.g.,
low mortality rate in the event of
infection), they affect only minor (i.e.,
not economically significant) species, or
they are not likely to be used as an
agroterrorism agent (e.g., difficulty of
transmission from animal to animal).
For example, Japanese encephalitis
virus primarily affects horses and pigs
and is transmitted via a mosquito bite.
It is not directly contagious between
animals. Horses represent a dead-end
host for the disease; mosquitoes biting
an infected horse will not pick up virus
to transmit to any new animals. Pigs
represent an amplifying host, but
modern pig husbandry practices in the
U.S. minimize exposure of the herd to
mosquitoes and make it difficult to
establish and sustain a natural
transmission cycle.
Likewise, a sustained transmission
cycle of malignant catarrhal fever virus
(Alcelaphine herpesevirus type 1)
requires the presence of the reservoir
host (African wildlife) in close physical
association with the susceptible
domestic species (cattle and bison).
With respect to the remaining agents:
• Camel pox only affects camels,
which are a minor species in the US;
• Akabane virus, bluetongue virus
(exotic), Ehrlichia ruminantium
(Heartwater), and vesicular stomatitis
virus (exotic): Indiana subtypes VSV–
IN2, VSV–IN3 all utilize insect vectors
as a mode of transmission and are not
usually spread by direct contact
between animals;
• Menangle virus transmission is
associated with certain species of fruit
bats, which are native only to Australia
and Southeast Asia; and
• Bovine spongiform encephalopathy
agent is only known to be transmitted
through the ingestion of infected tissues.
All of these circumstances make
transmission from animal-to-animal
difficult, which greatly lessens the
chance of an outbreak either accidental
or intentional. Consequently, the extent
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to which Federal, State, and/or local
officials need to take special action in
planning for a major animal health
disaster as a result of any of these
organisms is decreased in light of these
factors. Therefore, in considering these
reasons as well as recommendations
provided in previous reports such as
‘‘The Report of the Working Group on
Strengthening the Biosecurity of the
United States’’ 2 and the ‘‘Federal
Experts Security Advisory Panel:
Recommendations Concerning the
Select Agent Program’’ 3 as well as
comments received on the ANPR,
APHIS has determined those pathogens
listed here are not likely to be used as
agroterrorism agents and no longer need
to be designated as VS select agents.
Overlap Select Agents and Toxins
We are also proposing to modify the
listing for one of the overlap select
agents by removing certain subtypes of
Venezuelan equine encephalitis virus
from the list of overlap select agents and
toxins set out in 9 CFR 121.4(b), and to
clarify that only Venezuelan equine
encephalitis subtypes IAB and IC would
remain on the list. These subtypes
contain the only recognized strains of
Venezuelan equine encephalitis that can
suddenly affect a large number of
animals over a large area (i.e.,
epizootic). The remaining subtypes, ID
and IE, are strains prevalent among
existing animal populations (i.e.,
enzootic) and do not represent the same
type of risk. Other viruses within the
Venezuelan equine encephalitis
complex (subtypes IF and II through IV)
are separate viruses and are not
included in the list of overlap select
agents and toxins. Accordingly, CDC
will also be proposing a parallel change
to its overlap select agent regulations.
Reorganization of the Current List of
Select Agents and Toxins
We are proposing to establish a
number of select agents and toxins as
‘‘Tier 1’’ select agents and toxins within
the lists of VS and overlap select agents
and toxins. We are not including PPQ
select agents and toxins in this proposed
reorganization because none of the
proposed Tier 1 select agents and toxins
are from the plant list. All other select
agents and toxins would continue to be
subject to the current requirements
concerning select agents and toxins. All
select agents and toxins were scored
against 20 criteria by over 60 subject
2 Available on the Internet at https://www.phe.gov/
Preparedness/legal/boards/biosecurity/Documents/
biosecreportfinal102309.pdf.
3 Available on the Internet at https://www.phe.gov/
Preparedness/legal/boards/fesap/Documents/fesaprecommendations-101102.pdf.
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matter experts representing the Federal
life sciences, public health, law
enforcement, security, and intelligence
communities. These criteria included:
• The relative ease with which a
particular select agent or toxin might be
disseminated or transmitted from one
animal to another or into the
environment where it could produce a
deleterious effect upon animal or plant
health;
• The potential for high animal or
plant mortality rates;
• The potential for a major animal or
plant health impact;
• Select agents or toxins whose
misuse might result in public panic or
other social or economic disruption; and
• Select agents or toxins whose use
might require Federal, State, and/or
local officials to take special action in
planning for major animal or plant
health disasters.
APHIS and CDC determined that two
VS select agents and three overlap select
agents should be given Tier 1 status.
Based on the criteria listed above, we
are proposing to list foot-and-mouth
disease virus and rinderpest virus as
Tier 1 VS select agents and toxins and
Bacillus anthracis, Burkholderia mallei,
and Burkholderia pseudomallei as Tier
1 overlap select agents and toxins. We
are also proposing to amend the list of
overlap select agents and toxins whose
seizure by any Federal law enforcement
agency requires reporting to APHIS or
CDC within 24 hours (located in 9 CFR
121.4(f)(3)(i)) to include only those
overlap agents designated as Tier 1. The
current list, which is comprised of
Bacillus anthracis, Brucella melitensis,
Hendra virus, Nipah virus, Rift Valley
fever virus, and Venezuelan equine
encephalitis virus was initially adapted
from a different system of threat
assessment categorization. The
proposed changes would bring the list
in line with the listing of Tier 1 agents,
which was developed as a result of the
experience and expertise of the select
agent program. These changes, in
tandem with the enhanced practices for
physical and information security
detailed below, would serve to further
mitigate the potential for deliberate
misuse of these select agents and toxins
that could result in devastating effects to
the economy, critical infrastructure, or
public confidence.
Accordingly, we are also proposing
additions to the VS regulations that
would allow for the optimization of
security measures for those select agents
or toxins that present the greatest risk of
deliberate misuse with the most
significant potential for mass casualties
or devastating effects to the economy,
critical infrastructure, or public
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confidence, i.e., Tier 1 select agents and
toxins. These requirements would
include:
• Additions regarding the assessment
of persons who will have access to Tier
1 select agents and toxins that would be
made to the security plan currently
required to be developed by all entities
seeking approval for the possession, use,
and transfer of select agents and toxins;
ongoing oversight of those persons with
access to Tier 1 select agents and toxins;
and the role of the entity’s responsible
official in coordinating and assuring the
security of Tier 1 select agents and
toxins;
• Security enhancements that include
provisions for security barriers,
intrusion detection and monitoring,
delay/response force, access control,
and information security;
• Additions to the biosafety plan
currently required to be developed by
all entities seeking approval for the
possession, use, and transfer of select
agents and toxins that would describe
implementation of an occupational
health program for individuals with
access to Tier 1 select agents and toxins;
• Development of security policies
and procedures describing the entity’s
response to a failure of an intrusion
detection or alarm system and
notification procedures for the Federal
Bureau of Investigation (FBI) in the
event of theft or suspicious activity that
may be criminal in nature involving a
Tier 1 select agent or toxin. These
policies and procedures would be
required as part of the entity’s incident
response plan; and
• Required annual insider threat
awareness briefings focused on how to
identify and report suspicious
behaviors.
These changes would serve to further
mitigate the potential for deliberate
misuse of these select agents and toxins
that could result in devastating effects to
the economy, critical infrastructure, or
public confidence.
We are also proposing to add required
physical security measures in addition
to the proposed general Tier 1 required
security measures for those entities
working with foot-and-mouth disease
virus and rinderpest virus due to the
particular dangers posed by these two
viruses.
Foot-and-mouth disease is an
extremely contagious viral disease of
domesticated cloven-hoofed animals
(e.g., cattle, sheep, goats, and pigs) and
many wild animals. It is easily
transmissible from infected animals to
susceptible animals through contact
with contaminated objects,
consumption of contaminated meat
products or ingestion of contaminated
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milk, artificial insemination, and
inhalation of infectious aerosols. It is
not found in the United States and the
U.S. domestic animal population is
therefore considered highly susceptible.
Foot-and-mouth disease virus can cause
infection and disease in close to 100
percent of susceptible animals. The
potential exists for severe economic
impacts through loss of animal
production and products and trade
restrictions. Because of these factors,
this select agent is considered to have a
high potential as a weapon of
bioterrorism and we are therefore
proposing to require that it be handled
only in high containment facilities
which provide enhanced biosafety and
biosecurity features in order to
safeguard its distribution.
Rinderpest is a contagious viral
disease of cattle, buffalo, and some wild
species of cloven-hoofed animals, such
as giraffe and wildebeest. Like foot-andmouth disease virus, it is not native to
the United States and can cause 100
percent illness if susceptible animals
come in contact with infected animals
or contaminated surfaces. As the result
of an extensive international campaign
consisting of vaccinations, clinical
disease research, serological
surveillance sampling, contingency
planning, and laboratory support in
affected regions, the World Organization
for Animal Health declared rinderpest
to be globally eradicated in May 2011.
Post-eradication efforts will include
surveillance of all international
laboratories with existing stocks of the
virus, consensus regarding laboratories
authorized to retain the agent and the
type of laboratory work which will
continue, and destruction of all other
inventoried stocks. Also, conditions for
laboratory storage will be developed in
order to ensure biosafety and security of
the agent. The proposed enhanced
security measures are necessary in order
to ensure that the United States will be
able to maintain inventories of
rinderpest virus under secure and safe
conditions.
All of these proposed changes are
based on established Government and
security industry standards with respect
to securing high risk material and
developed in accordance with the
experience and expertise of the Select
Agent Program. They are necessary in
order to further ensure the safety and
security of those select agents and
toxins that pose the most potential harm
to the animal and human environment.
As stated previously, the requirements
for working with all other select agents
and toxins would remain unchanged
with the exception of certain
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miscellaneous changes, which are
detailed below.
Miscellaneous Changes
We are proposing to make several
smaller-scale changes to the regulations,
including the addition of definitions
and clarification of language concerning
security, training, biosafety,
biocontainment, and incident response.
These changes, which are described in
detail below, would increase the
usability of the select agent regulations
as well as provide for enhanced program
oversight.
In 7 CFR 331.1 and 9 CFR 121.1, we
are proposing to add definitions for
adjudicated as a mental defective, alien,
committed to any mental institution,
controlled substance, crime punishable
by imprisonment for a term exceeding 1
year, indictment, lawfully admitted for
permanent residence, mental
institution, restricted person, and
unlawful user of any controlled
substance. We believe that these
definitions would assist regulated
entities as well as those seeking
approval to access select agents and
toxins to better understand what status
or activities, past or present, might
prohibit such access.
Although these terms were undefined
in the Bioterrorism Response Act, it is
evident that Congress modeled many of
them after the disqualifiers that are used
by the Bureau of Alcohol, Tobacco,
Firearms, and Explosives (ATF) when
enforcing the Gun Control Act of 1968.
Because the purpose of the Select Agent
Program differs from ATF’s enforcement
actions under the Gun Control Act, we
do not believe that these terms must be
defined exactly the same. The Gun
Control Act regulates access to firearms,
while the Bioterrorism Response Act
regulates access to biological agents and
toxins that the government has
recognized as having the potential to be
used as weapons of mass destruction by
the wrong hands.
Nevertheless, we looked at the
statutory and regulatory definitions of
these terms under the Gun Control Act
when drafting our definitions. With the
exception of the term ‘‘crime punishable
by imprisonment for a term exceeding 1
year,’’ we decided to adopt the
applicable definitions used by ATF.
The definition of crime punishable by
imprisonment for a term exceeding 1
year would be established as ‘‘any
Federal, State, or foreign offense for
which the maximum penalty, whether
or not imposed, is capital punishment
or imprisonment in excess of 1 year.
What constitutes a conviction of such a
crime shall be determined in accordance
with the law of the jurisdiction in which
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the proceedings were held. Any
conviction which has been set aside or
nullified as a matter of law or for which
a person has been pardoned shall not be
considered a conviction for purposes of
this part.’’ Contrary to definition of this
term used under the Gun Control Act,
we have decided that foreign offenses
should be considered a disqualifier. In
doing so we are aware of the Supreme
Court’s decision in Small v. United
States, 544 US 385 (2005) in which the
court, interpreting the provisions of 18
U.S.C. 922(g)(1), held that the phrase
‘‘convicted in any court’’ refers only to
U.S. courts, not to foreign courts. In its
opinion interpreting the Gun Control
Act, the court stated that ‘‘the statute
itself and its history offer only
congressional silence’’ as to whether
Congress considered whether the
statutory language included foreign
convictions. In the case of the
Bioterrorism Response Act, we believe
Congress spoke clearly about their
desire to limit or deny access to select
agents and toxins for those who have
committed serious crimes regardless of
where those crimes were committed. As
a part of the safeguard and security
section of the Bioterrorism Response
Act, Congress not only put select agents
and toxins off limits to a ‘‘restricted
person,’’ as that term is defined by 18
U.S.C. 175b, but to the those who are
‘‘reasonably suspected by any Federal
law enforcement or intelligence agency
of’’ (1) Committing a ‘‘Federal crime of
terrorism’’ transcending national
boundaries (18 U.S.C. 2332b); (2) the
knowing involvement with an
organization that engages in domestic or
international terrorism or with any other
organization that engages in
international crimes of violence; or (3)
being an agent of a foreign power. We
believe it would be an inconsistent
reading of statutory authority to allow
the Secretary to limit or deny access to
select agents and toxins to someone
identified by the Attorney General as
being only reasonably suspected of
committing a Federal crime of terrorism
transcending national boundaries but to
be powerless in cases where a person
had actually been convicted of a serious
crime in a foreign country. We believe
that in light of the threat of bioterrorism
attacks, Congress would not want to
exclude an individual convicted of a
U.S. offense from having access to select
agents and toxins, but still allow access
to an individual convicted in a foreign
court of a similar offense. We also
believe that the instances of regulation
can be distinguished in that with regard
to the Gun Control Act the government
is regulating access to guns while, with
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respect to the Bioterrorism Response
Act, the government is regulating access
to biological agents and toxins which
the government has recognized as
having the potential to be used in the
wrong hands as weapons of mass
destruction.
We are specifically requesting
comments on the use of a foreign
conviction as a predicate for denying
access to select agents and toxins. We
recognize that there can be significant
differences between foreign convictions
and domestic convictions. For example,
foreign legal systems may not provide
the same due process safeguards
afforded to citizens of the United States,
including impartial tribunals and jury
trials. Additionally, foreign countries
may punish conduct that is permitted
under domestic law or may require
more severe penalties than under
domestic law. We note that in the past,
courts have applied the criteria set forth
in Section 482 of the Restatement (third)
of Foreign Relations Law of the United
States (1986) in determining whether a
foreign judgment should be recognized
in the United States. That Section
provides that a court in the United
States may not recognize a judgment of
the court of a foreign state if the
judgment was rendered under a judicial
system that does not provide impartial
tribunals or procedures compatible with
due process of law or the court that
rendered the judgment did not have
jurisdiction over the defendant in
accordance with the law of the
rendering state. It further provides that
a court in the United States need not
recognize a judgment of the court of a
foreign state if the court that rendered
the judgment did not have jurisdiction
of the subject matter of the action, the
defendant did not receive notice of the
proceedings in sufficient time to enable
him to defend, the judgment was
obtained by fraud, the cause of action on
which the judgment was based, or the
judgment itself, is repugnant to the
public policy of the United States or of
the State where recognition is sought,
the judgment conflicts with another
final judgment that is entitled to
recognition, or the proceeding in the
foreign court was contrary to an
agreement between the parties to submit
the controversy on which the judgment
is based to another forum. We are
seeking comment on whether these
criteria should be applied in
considering whether access to select
agents and toxins should be denied
based on a foreign conviction or
whether other criteria or factors would
be appropriate to consider.
We are also proposing to add a
definition for information security to the
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regulations in 7 CFR 331.1 and 9 CFR
121.1 as it is used but not defined. This
definition would be identical to that
used in the ‘‘Information Security’’
subchapter of the U.S. Code (44 U.S.C.
3542).
We are also proposing to add a
definition for occupational exposure to
the VS regulations in 9 CFR 121.1 as it
is used in the regulations but not
defined. This definition is based on that
used in the Occupational Safety and
Health Administration regulations in 29
CFR 1910.1030. We are not proposing to
add a corresponding definition to the
PPQ regulations in 7 CFR 331.1 since
PPQ select agents and toxins do not
pose a severe threat to human health
and, therefore, it is unnecessary to
address personnel safety and health.
Finally, we are proposing to add a
definition for recombinant and
synthetic nucleic acids. This addition is
necessary, as the term ‘‘synthetic
nucleic acids’’ is employed in the
proposed changes to the select agent
regulations. We are proposing to include
synthetic nucleic acids in the
regulations because, while synthetic
nucleic acids have the same potential
for harm as recombinant nucleic acids,
the process of production is different.
We are proposing to amend 7 CFR
331.3(e), 9 CFR 121.3(e) and 9 CFR
121.4(e). These paragraphs specify that
attenuated strains of select agents or
toxins may be excluded from the
requirements of the select agent
regulations subject to an official request
and supporting scientific information.
We are proposing to state that the
‘‘inactive form of a select toxin’’ may be
excluded from regulation under each
respective part subject to the application
procedure. This change is necessary
because the current term, ‘‘attenuated
strain of toxin,’’ is scientifically
inaccurate. Attenuated is a term that is
applied to living organisms, and toxins
are not living organisms. ‘‘Inactive form
of a select toxin’’ is a more accurate
term and we are therefore proposing to
amend the regulations to include the
correct terminology. We are also
proposing to update the Web site
address in paragraph (e)(1) of each
section as all information concerning
the Select Agent Program is now
centralized on the National Select Agent
Registry Web site at https://
www.selectagents.gov/. Finally, we are
proposing to remove the language
stating that exclusions will be published
in the Federal Register. This change is
necessary because, while we anticipated
publication of exclusions both in the
Federal Register and on the Internet at
the time the regulations were initially
created, we have found that publication
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on the select agent Web site only has
served to provide the most up-to-date
information to the regulated
community. We are therefore proposing
to update the regulations to accurately
reflect the way in which we handle the
listing of exclusions.
The regulations in 7 CFR 331.9 and 9
CFR 121.9 set out requirements for
entities requesting to work with select
agents and toxins to designate a
responsible official, who ensures that
the entity continues to meet the
requirements of the regulations. We are
proposing to explicitly require that all
designated responsible officials possess
the appropriate training or expertise to
execute their required duties. We are
also proposing to clarify the role of
alternate responsible official in order to
definitively establish that the alternate
responsible official must have the
knowledge and authority to act for the
responsible official in his/her absence.
Finally, we are proposing to add a
requirement that the responsible
official’s principal duty station be the
physical location of the registered
entity. These changes would clarify the
requirements that a person must meet in
order to serve as a responsible official or
alternate responsible official.
We are proposing to amend the
regulations in 7 CFR 331.10 and 9 CFR
121.10. These regulations establish
parameters for restricting access to
select agents and toxins and the process
by which individuals may be approved
for access to select agents and toxins
after the completion of a security risk
assessment by the Attorney General.
Specifically, we are proposing to add
new provisions by which individuals
may have access to select agents at
entities other than the individual’s
‘‘home’’ entity. We are also proposing to
decrease the maximum length of time
for which a security risk assessment will
be valid from 5 years to 3 years in order
to more expeditiously identify
individuals who may have fallen into
one of the prohibited or restricted
categories.
The regulations require registered
entities to develop and implement a
number of plans in order to ensure the
safety and security of the select agents
they handle. These are:
• A security plan, as described by the
regulations in 7 CFR 331.11 and 9 CFR
121.11, that provides for measures
sufficient to safeguard the select agent
or toxin against unauthorized access,
theft, loss, or release;
• A biocontainment plan, in the case
of PPQ select agents, or a biosafety plan,
in the case of VS select agents, as
described in the regulations in 7 CFR
331.12 and 9 CFR 121.12, that provides
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for measures sufficient to contain the
select agent or toxin (e.g., physical
structure and features of the entity, and
operational and procedural safeguards);
and
• An incident response plan, as
described in the regulations in 7 CFR
331.14 and 9 CFR 121.14, that provides
for measures that the registered entity
will implement in the event of theft,
loss, or release of a select agent or toxin;
inventory discrepancies; security
breaches (including information
systems); severe weather and other
natural disasters; workplace violence;
bomb threats and suspicious packages;
and emergencies such as fire, gas leak,
explosion, power outage, etc. The
response procedures must account for
hazards associated with the select agent
or toxin and appropriate actions to
contain such agent or toxin.
Details of the changes we are
proposing to each plan individually
may be found below. Generally, we are
proposing to require that the security
plan, biocontainment/biosafety plan,
and incident response plan include
provisions to address the safeguarding
of animals or plants that have been
intentionally or accidentally exposed to
or infected with select agents against
unauthorized access, theft, loss or
release. This would enhance the
comprehensiveness of the regulations as
well as provide necessary guidance
regarding handling of animals and
plants inoculated with select agents. We
would not require the plan to address
animals and plants exposed to select
toxins, however. Recovering the toxin
from within an animal or plant subject
is highly difficult and such removal
does not produce a reasonable yield of
recovery. In addition, there is
uncertainty as to whether or not the
toxin would remain active when
recovered from the animal or plant. For
these reasons it is highly unlikely that
once introduced into an animal or plant,
a sufficient amount of toxin could be
recovered to pose a significant hazard to
public health, agriculture or agriculture
products.
Currently, the security plan described
in 7 CFR 331.11 and 9 CFR 121.11 must
be developed by all regulated entities
and submitted for review only upon
request. We are now proposing to
require that the security plan be
submitted for initial registration and
renewals of registration as well as at any
other time upon request. We are also
proposing to add a requirement that the
security plan include procedures that
require the responsible official to
immediately notify the FBI in order to
initiate a threat assessment process in
the event that he or she becomes aware
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of suspicious activity which is criminal
in nature, related to the facility, its
personnel, or select agents. This
addition would provide for added
security and establish a framework for
communication between regulated
entities and the FBI. We are also
proposing to add provisions for
information security, including the need
for backup measures if the entity relies
on information systems for security.
These provisions would include
network connectivity monitoring,
restriction of user permissions so that
only mission-specific files and
applications may be accessed, measures
to prevent network infiltration by
malicious code, and configuration
management including regular patching
and system and software updates. We
believe these additions are necessary in
order to establish requirements for a
more comprehensive security plan. We
are also proposing to codify current
practices for shipping, receiving, and
storage of select agents and toxins to
ensure that the entity has documented
processes for securing and monitoring
the shipment, receipt, and storage of
these items. These changes would serve
to decrease the chance that such
materials would be made available to an
unauthorized individual or an
individual without a legitimate use for
the material. Finally, we are proposing
to amend paragraph (e) in 7 CFR 331.11
and 9 CFR 121.11, which currently
directs individuals creating a security
plan to guidance for developing such
documents contained in the ‘‘Morbidity
and Mortality Weekly Report’’ from
December 2002. Applicants would
instead be directed to the ‘‘Security
Information Document’’ and the
‘‘Security Plan Template’’ on the select
agents Web site.
We are proposing to update the
specific Web site address references to
various CDC and National Institutes of
Health guidance publications found in 9
CFR 331.12(c)(1) and (c)(3). The
regulations in 7 CFR 331.13 and 9 CFR
121.13 concern restricted experiments,
which are those experiments that may
not be performed by regulated entities
without the approval of the
Administrator. We are proposing to state
that, in addition to the existing
prohibition on conducting restricted
experiments, entities may not possess
the products of restricted experiments
without the approval of the
Administrator. We are also proposing to
remove recombinant technology as a
determining factor for a restricted
experiment. This is because the current
regulations regarding restricted
experiments focus solely on the use of
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recombinant technology in the
generation of drug resistant select agents
or biosynthesis of toxins lethal to
vertebrates. Since synthetic DNA or
other methods (e.g., selection in
sublethal exposures) may also be used
to generate such products, we are
proposing to expand the category of
restricted experiments to include
passive selection, recombinant, and
synthetic DNA. Finally, we are
proposing to add language in order to
clarify the requirement that all
experiments involving the creation of
drug resistant select agents must be
submitted to the Select Agent Program
for approval.
Additionally, we are proposing to
specify in 7 CFR 331.14 and 9 CFR
121.14 that each entity’s incident
response plan be based upon a sitespecific risk assessment. This change
would further ensure the specificity and
quality of the plan. In addition, we are
proposing that the incident response
procedures contain stipulations
concerning animals and plants
accidentally or intentionally exposed to
or infected with a select agent. This
change would provide specific guidance
and further elaborate our requirements
for incident response plans.
We are proposing to amend the
regulations in 7 CFR 331.15 and 9 CFR
121.15, which concern provision of
mandatory training for staff and visitors
who work in or visit areas where select
agents or toxins are handled or stored.
We are proposing to require all
registered entities to provide security
awareness and incident response
training. This is in addition to the
existing training requirements, which
are concerned with biocontainment and
security practices in the case of PPQ
select agents, and biosafety and security
practices in the case of VS select agents.
We are also proposing to establish that
training for escorted personnel would be
based on the risk associated with
accessing areas where select agents and
toxins are used and/or stored. Currently,
refresher training is required to be
provided once a year. We are proposing
to require that such training also be
provided if a registered entity’s security,
incident response, biosafety, or
biocontainment plans are substantively
altered. Finally, we are proposing to
specify that the responsible official
ensure maintenance of training records.
Currently there is no particular person
designated as the entity’s required
record keeper, only that a training
record must be kept. The above changes
are necessary in order to provide clarity
and ease of use to the regulations.
We are proposing to amend the
regulations in 7 CFR 331.16 and 9 CFR
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61233
121.16, which concern the transfer of
select agents and toxins from one
registered entity to another. The
proposed additions would serve to
codify practices for shipping, receiving,
and storage of select agents and toxins
and ensure that all registered entities
have documented processes for securing
and monitoring the shipment, receipt,
and storage of select agents and toxins
that make it extremely unlikely that
such materials would be made available
to an unauthorized individual.
The regulations in 7 CFR 331.17 and
9 CFR 121.17 concern required
recordkeeping procedures for regulated
entities as those records relate to select
agents and toxins. We are proposing to
add language to address synthetic select
agent organisms and animals and plants
inoculated with select agents. This
change would improve oversight of the
select agent program as it relates to
synthetic select agent organisms. We are
also proposing to add recordkeeping
requirements whereby regulated entities
maintain an accurate, current inventory
of any animals or plants intentionally or
accidentally exposed to or infected with
a select agent (including number and
species, location, and appropriate
disposition). As previously stated, we
are not proposing to require regulated
entities to keep records regarding
animals or plants exposed to select
toxins.
We are proposing to amend the
regulations in 7 CFR 331.19, which
concern requirements for notification of
theft, loss, or release of select agents.
Specifically, we are proposing to
remove paragraph (b)(1)(vi), which
states that an individual entity must
report certain information to APHIS or
CDC immediately upon discovery of a
release of a select agent or toxin outside
of the primary barriers of the
biocontainment area. Currently we
require that the number of individuals
potentially exposed at the entity be
reported. We are proposing to remove
this requirement as PPQ select agents
and toxins do not pose a severe threat
to human health and, therefore, it is
unnecessary to address personnel safety
and health in the same manner as they
are addressed in the VS regulations. The
notification requirements in 9 CFR
121.19 would remain unchanged.
The regulations in 7 CFR 331.20 and
9 CFR 121.20 concern the guidelines for
administrative review of an individual’s
or entity’s denial, revocation, or
suspension of registration and access
approval. We are proposing to modify
the current regulations in order to allow
individuals more time to gather the
necessary components of their appeal
following the denial, limitation, or
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revocation of access approval.
Currently, this process must be
completed in 30 calendar days. We are
proposing to extend the deadline to 180
calendar days. This change is necessary
because, thus far, all appeal requests
from individuals regarding their access
approval have been received after the
30-day deadline has passed. Because of
specific program procedures, these
individuals receive no advance notice of
a denial, limitation, or revocation of
their access approval. Given this
situation and the requirements for
submitting a formal appeal, we believe
it is appropriate to extend the deadline
in order to allow individuals to gather
the necessary background data for their
appeals. We are not proposing to grant
a similar extension for entities which
have had their registration denied,
revoked, or suspended, as these entities
typically have had advance notice of
such a determination and are thus able
to document and prepare their appeals
within the existing 30-day timeframe.
Given that we are reorganizing 7 CFR
331.20 and 9 CFR 121.20 in order to
more clearly spell out the way in which
an individual or an entity may appeal
the denial, revocation, or suspension of
registration and access approval, we are
also proposing to remove footnote 9
from the regulations in 7 CFR 331.20
and corresponding footnote 15 in 9 CFR
121.20. This proposed change is
necessary because these footnotes
would offer redundant information
concerning the appeals process in light
of both sections’ reorganization. Finally,
we are proposing to remove the
provision stating that a request for
review of a denial, limitation, or
revocation of access approval will be
forwarded to the Attorney General by
the Administrator for further review.
Forwarding a request for review to the
Attorney General describes an internal
process. This proposed change is
necessary because the current language
implies a level of decisionmaking on the
part of the Attorney General that does
not exist and the change would more
clearly establish that the decision to
grant access approval rests solely with
the Administrator.
Guidance Documents
We are specifically requesting
comment from the regulated community
and any other interested persons on the
need for and desirability of guidance
documents that would serve to assist
regulated entities in preparation of the
elements that comprise various aspects
of the select agent regulations.
The areas where such guidance
documents may be useful include, but
are not limited to:
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1. Aspects of the required security
plan. These may include, but are not
limited to:
• Provisions for information security;
• Development of suitability or
personnel reliability practices,
including pre-access and ongoing
assessment of persons who will have
access to Tier 1 select agents or toxins;
• Procedures for the method by
which an entity’s responsible official
will coordinate his or her efforts with
the entity’s safety and security
professionals to ensure security of Tier
1 select agents or toxins;
• Development of a self- and peerreporting program to track incidents or
conditions that could affect an
individual’s ability to safely access or
work with Tier 1 select agents and
toxins; and
• Layered protection of assets for
entities housing Tier 1 select agents and
toxins.
2. Aspects of the required biosafety
plan, e.g., components of an
occupational health program for
individuals with access to Tier 1 select
agents and toxins; and
3. Aspects of the required training,
e.g., best practices for development of a
security awareness training program.
We welcome public comment on Web
sites, articles, or other sources that may
be used to develop such guidance
documents, in addition to suggestions as
to what elements should be included as
useful examples. These documents
would serve as a resource to the
regulated community as a whole.
Executive Orders 12866 and 13563 and
Regulatory Flexibility Act
This proposed rule has been
determined to be significant for the
purposes of Executive Order 12866 and,
therefore, has been reviewed by the
Office of Management and Budget.
We have prepared an economic
analysis for this rule. The economic
analysis provides a cost-benefit analysis,
as required by Executive Orders 12866
and 13563, and an initial regulatory
flexibility analysis that examines the
potential economic effects of this
proposed rule on small entities, as
required by the Regulatory Flexibility
Act. The economic analysis is
summarized below. Copies of the full
analysis are available by contacting the
person listed under FOR FURTHER
INFORMATION CONTACT or on the
Regulations.gov Web site (see
ADDRESSES above for instructions for
accessing Regulations.gov).
Based on the information we have,
there is no reason to conclude that
adoption of this proposed rule would
result in any significant economic effect
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on a substantial number of small
entities. The entities are those
laboratories and other institutions
conducting research and related
activities entities in possession of Tier
1 select agents or toxins, and, to a
somewhat lesser extent, those entities
possessing the newly added select
agents and toxins. The economic
analysis presents categories and
information from the Department of
Commerce and the Small Business
Administration for those entities we
have identified as most likely to be
affected by this rule. While we believe
affected entities are contained within
these categories, we are seeking further
information regarding how many
entities fall specifically into each
category, and are therefore, inviting
comments on potential effects. In
particular, we are interested in
determining the number and kind of
small entities that may incur benefits or
costs from the implementation of this
proposed rule.
This proposed rule would update the
APHIS, CDC, and overlap select agent
and toxin lists. The regulation of select
agents and toxins is intended to prevent
their misuse and thereby reduce the
potential for those pathogens to harm
humans, animals, animal products,
plants or plant products in the United
States. Should any select agent or toxin
be intentionally or unintentionally
released into the environment, the
consequences would be significant.
Consequences could include disruption
of markets, difficulties in sustaining an
adequate food and fiber supply, and the
potential spread of disease infestations
over large areas. The entities most likely
to be affected by this rule would be
those laboratories and other institutions
conducting research and related
activities that involve the use of the
newly categorized Tier 1 select agents
and toxins. The impact of the changes
to the regulations is expected to be
minimal, however. Based on
information obtained through sitespecific inspections, indications are that
very few entities would incur significant
costs for compliance. Many of the
proposed changes to the regulations
would impose an added cost of the time
spent on documenting measures already
required for compliance, with respect to
security, biocontainment/biosafety, and
incident response plans, information
security, and ongoing background
checks. While the total costs imposed by
the proposed regulations are estimated
to range between $5.30 million and
$6.95 million, including costs to
government, we believe many of these
costs are incurred through observance of
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generally recognized industry standards.
Costs actually incurred would depend
upon the extent to which current facility
practices will need to be enhanced
based on the proposed requirements.
The expected benefits of strengthened
safeguards against the costs associated
with unintentional or deliberate release
of select agents or toxins would greatly
exceed the estimated costs of the
proposed measures. The cost associated
with a single outbreak have been known
to exceed $100 million as outlined in
the Regulatory Impact Analysis.
Deliberate introduction greatly increases
the probability of a select agent or toxin
becoming established and causing wideranging and devastating impacts on an
economy, loss of market access for
consumer goods and services,
disruption to society, and diminished
confidence in public and private
institutions.
Executive Order 12372
This program/activity is listed in the
Catalog of Federal Domestic Assistance
under No. 10.025 and is subject to
Executive Order 12372, which requires
intergovernmental consultation with
State and local officials. (See 7 CFR part
3015, subpart V.)
Executive Order 12988
This proposed rule has been reviewed
under Executive Order 12988, Civil
Justice Reform. If this proposed rule is
adopted: (1) All State and local laws and
regulations that are inconsistent with
this rule will be preempted; (2) no
retroactive effect will be given to this
rule; and (3) administrative proceedings
will not be required before parties may
file suit in court challenging this rule.
Paperwork Reduction Act
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In accordance with section 3507(d) of
the Paperwork Reduction Act of 1995
(44 U.S.C. 3501 et seq.), the information
collection or recordkeeping
requirements included in this proposed
rule have been submitted for approval to
the Office of Management and Budget
(OMB). Please send written comments
to the Office of Information and
Regulatory Affairs, OMB, Attention:
Desk Officer for APHIS, Washington, DC
20503. Please state that your comments
refer to Docket Nos. APHIS–2009–0070
and CDC–2011–0012. Please send a
copy of your comments to: (1) Docket
Nos. APHIS–APHIS–2009–0070 and
CDC–2011–0012, Regulatory Analysis
and Development, PPD, APHIS, Station
3A–03.8, 4700 River Road Unit 118,
Riverdale, MD 20737–1238, and (2)
Clearance Officer, OCIO, USDA, room
404–W, 14th Street and Independence
Avenue, SW., Washington, DC 20250. A
comment to OMB is best assured of
having its full effect if OMB receives it
within 30 days of publication of this
proposed rule.
The Bioterrorism Preparedness Act is
designed to prevent, prepare for and
respond to bioterrorism and other
public health emergencies. The law
requires individuals possessing agents
or toxins deemed a severe threat to
human, animal, or plant health, or to
animal or plant products, to be
registered with the Secretary of
Agriculture or the Secretary of Health
and Human Services, unless they have
been specifically exempted.
This proposed rule entails the use of
a number of separate forms designed to
obtain critical information concerning
individuals or entities in possession of
certain agents or toxins, as well as the
specific characteristics of the agents or
toxins—including name, strain, and
genetic information. This data is
needed, in part, to allow APHIS and
CDC to determine the biosafety level of
an entity as well as the entity’s
biosecurity situation. This, in turn,
helps APHIS and CDC ensure that
appropriate safeguard, containment, and
disposal requirements commensurate
with the risk of the agent or toxin are
present at the entity, thus preventing
access to such agents and toxins for use
in domestic or international terrorism.
Facilities containing select agents will
be required to maintain records on
animals and plants, and revise their
Biosafety/Biocontainment Plan and
Incident Response Plan for review by
APHIS and CDC upon request.
Information to determine that
individuals seeking to register have a
lawful purpose to possess, use, or
transfer agents or toxins will also be
requested as part of the registration
process. In addition, we will be
requesting submission of their Security
Plan for our review.
Number of
respondents
Section
Form name
9 CFR 121.5 and 6, 7 CFR 331.5,
43 CFR 73.5 and 6.
§ 121.7, § 331.7, § 73.7 .....................
§ 121.7, § 331.7, § 73.7 .....................
Report of Identification of a Select
Agent or Toxin.
Application for Registration ..............
Amendment to a Certificate of Registration.
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APHIS and CDC are asking OMB to
approve, for 3 years, the use of these
information collections, associated with
its efforts to more closely regulate select
agents or toxins that could be used to
commit acts of domestic or international
terrorism. We are soliciting comments
from the public (as well as affected
agencies) concerning this information
collection activity. APHIS and CDC
need this outside input to help
accomplish the following:
(1) Evaluate whether the proposed
information collection is necessary for
the proper performance of our agency’s
functions, including whether the
information will have practical utility;
(2) Evaluate the accuracy of our
estimate of the burden of the proposed
information collection, including the
validity of the methodology and
assumptions used;
(3) Enhance the quality, utility, and
clarity of the information to be
collected; and
(4) Minimize the burden of the
information collection on those who are
to respond (such as through the use of
appropriate automated, electronic,
mechanical, or other technological
collection techniques or other forms of
information technology; e.g., permitting
electronic submission of responses).
Estimate of burden: Public reporting
burden for this collection of information
is estimated to average 2.3187883 hours
per response.
Respondents: Researchers,
universities, research and development
organizations, commercial
manufacturers, non-profit institutions,
diagnostic laboratories and other
interested parties who possess, use, or
transfer agents or toxins deemed a
severe threat to human, animal or plant
health, or to animal or plant products.
Estimated annual number of
respondents: 386.
Estimated annual number of
responses per respondent: 12.230569.
Estimated annual number of
responses: 4,721.
Estimated total annual burden on
respondents: 10,947 hours. (Due to
averaging, the total annual burden hours
may not equal the product of the annual
number of responses multiplied by the
reporting burden per response.)
Number of
responses per
respondent
Average
burden per
response
(in hours)
Total burden
hours
161
3
1
299
7
380
1
7
5
1
35
1,955
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Number of
respondents
Section
Form name
§ 121.11, § 331.11, § 73.11 ...............
§ 121.12, § 331.12, § 73.12 ...............
§ 121.13, § 331.13, § 73.13 ...............
Security Plan ....................................
Biosafety/Biocontainment Plan ........
Request Regarding a Restricted Experiment.
Incident Response Plan ...................
Training ............................................
Request to Transfer Select Agents
and Toxins.
Records ............................................
Notification of Theft, Loss, or Release.
§ 121.14, § 331.14, § 73.14 ...............
§ 121.15, § 331.15, § 73.15 ...............
§ 121.16, § 331.16, § 73.16 ...............
§ 121.17, § 331.17, § 73.17 ...............
§ 121.19, § 331.19, § 73.19 ...............
Copies of this information collection
can be obtained from Mrs. Celeste
Sickles, APHIS’ Information Collection
Coordinator, at (301) 851–2908.
E-Government Act Compliance
The Animal and Plant Health
Inspection Service is committed to
compliance with the E-Government Act
to promote the use of the Internet and
other information technologies, to
provide increased opportunities for
citizen access to Government
information and services, and for other
purposes. For information pertinent to
E-Government Act compliance related
to this proposed rule, please contact
Mrs. Celeste Sickles, APHIS’
Information Collection Coordinator, at
(301) 851–2908.
List of Subjects
7 CFR Part 331
Agricultural research, Laboratories,
Plant diseases and pests, Reporting and
recordkeeping requirements.
9 CFR Part 121
Agricultural research, Animal
diseases, Laboratories, Medical research,
Reporting and recordkeeping
requirements.
Accordingly, we propose to amend 7
CFR part 331 and 9 CFR part 121 as
follows:
TITLE 7—[AMENDED]
srobinson on DSK4SPTVN1PROD with PROPOSALS3
PART 331—POSSESSION, USE, AND
TRANSFER OF SELECT AGENTS AND
TOXINS
1. The authority citation for part 331
continues to read as follows:
Authority: 7 U.S.C. 8401; 7 CFR 2.22, 2.80,
and 371.3.
2. Section 331.1 is amended by
adding, in alphabetical order,
definitions of adjudicated as a mental
defective, alien, committed to any
mental institution, controlled substance,
crime punishable by imprisonment for a
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5
8
2
1,900
3,040
320
380
380
290
1
1
1
5
1
2
1,900
380
580
295
195
1
1
0.5
2
148
390
Definitions.
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Total burden
hours
1
1
1
Adjudicated as a mental defective. A
determination by a court, board,
commission, or other lawful authority
that a person, as a result of marked
subnormal intelligence, or mental
illness, incompetency, condition, or
disease is a danger to himself/herself or
to others or lacks the mental capacity to
contract or manage his/her own affairs.
The term includes a finding of insanity
by a court in a criminal case and those
persons found incompetent to stand
trial or found not guilty by reason of
lack of mental responsibility pursuant to
articles 50a and 72b of the Uniform
Code of Military Justice, 10 U.S.C. 850a,
876b.
*
*
*
*
*
Alien. Any person not a citizen or
national of the United States.
*
*
*
*
*
Committed to any mental institution.
A formal commitment of a person to any
mental institution by a court, board,
commission, or other lawful authority.
The term includes a commitment to a
mental institution involuntarily. The
term includes commitment for mental
defectiveness or mental illness. It also
includes commitments for other
reasons, such as for drug use. The term
does not include a person in a mental
institution for observation or a
voluntary admission to a mental
institution.
Controlled substance. A drug or other
substance, or immediate precursor, as
‘‘controlled substance’’ is defined in
section 102 of the Controlled Substances
Act, 21 U.S.C. 802. The term includes,
but is not limited to, marijuana and
scheduled depressants, stimulants, and
narcotic drugs. The term does not
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burden per
response
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380
380
160
term exceeding 1 year, indictment,
information security, lawfully admitted
for permanent residence, mental
institution, recombinant and synthetic
nucleic acids, restricted person, and
unlawful user of any controlled
substance to read as follows:
§ 331.1
Number of
responses per
respondent
include distilled spirits, wine, malt
beverages, or tobacco, as those terms are
defined or used in Subtitle E of the
Internal Revenue Code of 1986, as
amended.
Crime punishable by imprisonment
for a term exceeding 1 year. Any
Federal, State, or foreign offense for
which the maximum penalty, whether
or not imposed, is capital punishment
or imprisonment in excess of 1 year.
What constitutes a conviction of such a
crime shall be determined in accordance
with the law of the jurisdiction in which
the proceedings were held. Any
conviction which has been set aside or
nullified as a matter of law or for which
a person has been pardoned shall not be
considered a conviction for the
purposes of this part.
*
*
*
*
*
Indictment. A formal written
accusation originating with a prosecutor
and issued by a grand jury against a
party charged with a crime. For the
purpose of these regulations the term
indictment includes an ‘‘information,’’
which is a formal accusation of a crime,
differing only in that it is being
presented by a competent public officer
on his oath of office, instead of a grand
jury.
Information security. Protecting
information and information systems
from unauthorized access, use,
disclosure, disruption, modification, or
destruction in order to provide:
(1) Integrity, which means guarding
against improper information
modification or destruction, and
includes ensuring information
nonrepudiation and authenticity;
(2) Confidentiality, which means
preserving authorized restrictions on
access and disclosure, including means
for protecting personal privacy and
proprietary information; and
(3) Availability, which means
ensuring timely and reliable access to
and use of information.
*
*
*
*
*
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Lawfully admitted for permanent
residence. The status of having been
lawfully accorded the privilege of
residing permanently in the United
States as an immigrant in accordance
with the immigration laws, such status
not having changed.
Mental institution. Includes mental
health facilities, mental hospitals,
sanitariums, psychiatric facilities, and
other facilities that provide diagnoses by
licensed professionals of mental
retardation or mental illness, including
a psychiatric ward in a general hospital.
*
*
*
*
*
Recombinant and synthetic nucleic
acids. (1) Recombinant nucleic acid
molecules that are constructed by
joining nucleic acid molecules and that
can replicate in a living cell;
(2) Synthetic nucleic acid molecules
that are chemically, or by other means,
synthesized or amplified nucleic acid
molecules that may wholly or partially
contain functional equivalents of
nucleotides; or
(3) Molecules that result from the
replication of those described in
paragraph (1) or (2) of this definition.
*
*
*
*
*
Restricted person. An individual who:
(1) Is under indictment for a crime
punishable by imprisonment for a term
exceeding 1 year;
(2) Has been convicted in any court of
a crime punishable by imprisonment for
a term exceeding 1 year;
(3) Is a fugitive from justice;
(4) Is an unlawful user of any
controlled substance (as ‘‘controlled
substance’’ is defined in section 102 of
the Controlled Substances Act (21
U.S.C. 802));
(5) Is an alien illegally or unlawfully
in the United States;
(6) Has been adjudicated as a mental
defective or has been committed to any
mental institution;
(7) Is an alien (other than an alien
lawfully admitted for permanent
residence) who is a national of a country
as to which the Secretary of State,
pursuant to section 6(j) of the Export
Administration Act of 1979 (50 U.S.C.
App. 2405(j)), section 620A of chapter 1
of part M of the Foreign Assistance Act
of 1961 (22 U.S.C. 2371), or section
40(d) of chapter 3 of the Arms Export
Control Act (22 U.S.C. 2780(d)), has
made a determination (that remains in
effect) that such country has repeatedly
provided support for acts of
international terrorism; or
(8) Has been discharged from the
Armed Services of the United States
under dishonorable conditions.
*
*
*
*
*
Unlawful user of any controlled
substance. For purposes of this
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regulation, a person who uses a
controlled substance and has lost the
power of self-control with reference to
the use of that controlled substance; and
any person who is a current user of a
controlled substance in a manner other
than as prescribed by a licensed
physician. Such use is not limited to the
use of drugs on a particular day, or
within a matter of days or weeks before,
but rather that the unlawful use has
occurred recently enough to indicate
that the individual is actively engaged
in such conduct. A person may be an
unlawful current user of a controlled
substance even though the substance is
not being used at the precise time the
person seeks to have access to a select
agent or toxin. An inference of current
use may be drawn from evidence of a
recent use or possession of a controlled
substance or a pattern of use or
possession that reasonably covers the
present time, e.g., a conviction for use
or possession of a controlled substance
within the past year; multiple arrests for
such offenses within the past 5 years if
the most recent arrest occurred within
the past year, or persons found through
a drug test to use a controlled substance
unlawfully, provided that the test was
administered within the past year. For
a current or former member of the
Armed Forces, an inference of current
use may be drawn from recent
disciplinary or other administrative
action based on confirmed drug use,
e.g., court-martial conviction,
nonjudicial punishment, or an
administrative discharge based on drug
use or drug rehabilitation failure.
*
*
*
*
*
3. Section 331.3 is amended as
follows:
a. By revising paragraph (b) to read as
set forth below.
b. In paragraph (c) introductory text,
by adding the words ‘‘and/or synthetic’’
after the word ‘‘recombinant’’ each time
it appears.
c. In paragraph (c)(2) introductory
text, by adding the words ‘‘and/or
synthetic’’ after the word
‘‘Recombinant’’.
d. By revising paragraph (e) to read as
set forth below.
§ 331.3
PPQ select agents and toxins.
*
*
*
*
*
(b) PPQ select agents and toxins:
Peronosclerospora philippinensis
(Peronosclerospora sacchari);
Phoma glycinicola (formerly
Pyrenochaeta glycines);
Ralstonia solanacearum, race 3, biovar
2;
Rathayibacter toxicus;
Sclerophthora rayssiae var. zeae;
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Synchytrium endobioticum;
Xanthomonas oryzae.
*
*
*
*
*
(e) An attenuated strain of a select
agent or an inactive form of a select
toxin may be excluded from the
requirements of this part based upon a
determination that the attenuated strain
or inactivated toxin does not pose a
severe threat to plant health or plant
products.
(1) To apply for exclusion, an
individual or entity must submit a
written request and supporting
scientific information. A written
decision granting or denying the request
will be issued. An exclusion will be
effective upon notification to the
applicant. Exclusions will be listed on
the National Select Agent Registry Web
site at https://www.selectagents.gov/.
(2) If an excluded attenuated strain or
inactivated toxin is subjected to any
manipulation that restores or enhances
its virulence or toxic activity, the
resulting select agent or toxin will be
subject to the requirements of this part.
*
*
*
*
*
§ 331.8
[Amended]
4. In § 331.8, paragraph (a)(1) is
amended by removing the words
‘‘within any of the categories described
in 18 U.S.C. 175b’’ and adding the
words ‘‘a restricted person’’ in their
place.
5. Section 331.9 is amended as
follows:
a. By redesignating paragraphs (a)(3)
through (a)(5) as paragraphs (a)(4),
(a)(5), and (a)(7) respectively.
b. By adding a new paragraph (a)(3) to
read as set forth below.
c. In newly redesignated paragraph
(a)(5), by removing the word ‘‘and’’.
d. By adding a new paragraph (a)(6)
to read as set forth below.
e. By revising the first sentence of
paragraph (b) to read as set forth below.
§ 331.9
Responsible official.
(a) * * *
(3) Have the appropriate training or
expertise to competently implement and
manage the requirements of this part;
*
*
*
*
*
(6) Have their principal duty station at
the physical location of the entity; and
*
*
*
*
*
(b) An entity may designate one or
more individuals to serve as an alternate
responsible official who acts for the
responsible official in his/her absence.
* * *
*
*
*
*
*
6. Section 331.10 is amended as
follows:
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a. By redesignating paragraphs (e)
through (i) as paragraphs (f) through (j)
respectively.
b. By adding a new paragraph (e) to
read as set forth below.
c. In newly redesignated paragraph
(g)(1), by removing the words ‘‘within
any of the categories described in 18
U.S.C. 175b’’ and adding the words ‘‘a
restricted person’’ in their place.
d. In newly redesignated paragraph
(i), by removing the number ‘‘5’’ and
adding the number ‘‘3’’ in its place.
§ 331.10 Restricting access to select
agents and toxins; security risk
assessments.
*
*
*
*
*
(e) A person who has a valid approval
from the HHS Secretary or
Administrator for access to a select
agent or toxin may request the HHS
Secretary or Administrator to provide
the person’s approval status to another
registered individual or entity for a
specified period of time.
*
*
*
*
*
7. Section 331.11 is amended as
follows:
a. By revising paragraph (b) to read as
set forth below.
b. By revising paragraph (c)(2) to read
as set forth below.
c. In paragraph (c)(6), by removing the
word ‘‘and’’.
d. In paragraph (c)(7), by removing the
period and adding a semicolon in its
place.
e. By adding new paragraphs (c)(8),
(c)(9), and (c)(10) to read as set forth
below.
f. By revising paragraph (e) to read as
set forth below.
§ 331.11
Security.
srobinson on DSK4SPTVN1PROD with PROPOSALS3
*
*
*
*
*
(b) The security plan must be
designed according to a site-specific risk
assessment and must provide graded
protection in accordance with the risk of
the select agent or toxin, given its
intended use. A current security plan
must be submitted for initial
registration, renewal of registration, or
when requested.
(c) * * *
(2) Contain provisions for the control
of access to select agents and toxins,
including the safeguarding of animals or
plants intentionally or accidentally
exposed to or infected with a select
agent, against unauthorized access,
theft, loss or release.
*
*
*
*
*
(8) Describe procedures for how the
responsible official will be informed of
suspicious activity that may be criminal
in nature and related to the entity, its
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personnel, or its select agents or toxins;
and how the responsible official will
notify the Federal Bureau of
Investigation (FBI) of such activity;
(9) Contain provisions for information
security that:
(i) Ensure that all external
connections to systems which control
security of the facility are isolated or
have controls that permit and monitor
for only authorized and authenticated
user access;
(ii) Ensure that authorized and
authenticated users are only granted
access to select agent and toxin related
information, files, equipment (e.g.,
servers or mass storage devices) and
applications as necessary to fulfill their
roles and responsibilities, and that
access is modified when the user’s roles
and responsibilities change or when
their access to select agent and toxin is
suspended or revoked;
(iii) Ensure that controls are in place
that are designed to prevent malicious
code (such as, but not limited to,
computer viruses, worms, and spyware)
from compromising the confidentiality,
integrity, or availability of information
systems;
(iv) Establish a robust configuration
management practice for information
systems to include regular patching and
updates made to operating systems and
individual applications; and
(v) Establish procedures that provide
backup security measures in the event
that access control systems and/or
surveillance devices are rendered
inoperable.
(10) Contain provisions and policies
for shipping, receiving, and storage of
select agents and toxins, including
documented procedures for receiving,
monitoring, and shipping of all select
agents and toxins. These provisions
must provide that an entity will
properly secure containers on site and
have a written contingency plan for
unexpected shipments.
*
*
*
*
*
(e) In developing a security plan, an
individual or entity should consider the
documents entitled, ‘‘Select Agents and
Toxins Security Information Document’’
and ‘‘Select Agents and Toxins Security
Plan Template.’’ These documents are
available on the Internet at https://
www.selectagents.gov/.
*
*
*
*
*
8. Section 331.12 is amended by
revising paragraph (a) to read as follows:
§ 331.12
Biocontainment.
(a) An individual or entity required to
register under this part must develop
and implement a written
biocontainment plan that is
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commensurate with the risk of the select
agent or toxin, given its intended use.4
The biocontainment plan must contain
sufficient information and
documentation to describe the
containment procedures for the select
agent or toxin, including any animals or
plants intentionally or accidentally
exposed to or infected with a select
agent.
*
*
*
*
*
§ 331.13
[Amended]
9. Section 331.13 is amended as
follows:
a. By removing footnote 5.
b. In paragraph (a) introductory text,
by adding the words ‘‘, or possess
products (i.e., select agents that are not
known to acquire the resistance
naturally, if such acquisition could
compromise the use of the drug to
control disease agents in humans,
veterinary medicine, or agriculture, or
recombinant and or synthetic DNA
containing genes for the biosynthesis of
select toxins lethal for vertebrates at an
LD[50] < 100 ng/kg body weight)
resulting from,’’ after the word
‘‘conduct’’.
c. In paragraph (a)(1), by removing the
words ‘‘Experiments utilizing
recombinant DNA that involve the
deliberate transfer of’’ and replacing
them with the words ‘‘Experiments that
involve the deliberate transfer of, or
selection for,’’.
d. In paragraph (a)(2), by adding the
words ‘‘synthetic or’’ before the word
‘‘recombinant’’.
10. Section 331.14 is amended as
follows:
a. By redesignating footnote 6 as
footnote 5.
b. By revising the first sentence in
paragraph (a) to read as set forth below.
c. By redesignating footnote 7 as
footnote 6.
d. By revising paragraph (b) to read as
set forth below.
e. By redesignating paragraphs (c) and
(d) as paragraphs (d) and (e),
respectively.
f. By adding a new paragraph (c) to
read as set forth below.
§ 331.14
Incident response.5
(a) An individual or entity required to
register under this part must develop
and implement a written incident
response plan 6 based upon a site
specific risk assessment. * * *
4 Technical assistance and guidance may be
obtained by contacting APHIS.
5 Nothing in this section is meant to supersede or
preempt incident response requirements imposed
by other statutes or regulations.
6 Technical assistance and guidance may be
obtained by contacting APHIS.
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(b) The incident response plan must
fully describe the entity’s response
procedures for the theft, loss, or release
of a select agent or toxin; inventory
discrepancies; security breaches
(including information systems); severe
weather and other natural disasters;
workplace violence; bomb threats and
suspicious packages; and emergencies
such as fire, gas leak, explosion, power
outage, etc.
(c) The response procedures must
account for hazards associated with the
select agent or toxin and appropriate
actions to contain such select agent or
toxin, including any animals or plants
intentionally or accidentally exposed to
or infected with a select agent.
*
*
*
*
*
11. Section 331.15 is revised to read
as follows:
srobinson on DSK4SPTVN1PROD with PROPOSALS3
§ 331.15
Training.
(a) An individual or entity required to
register under this part must provide
information and training on
biocontainment, security (including
security awareness), and incident
response to:
(1) Each individual with access
approval from the HHS Secretary or
Administrator before that individual has
such access to select agents and toxins.
The training must address the particular
needs of the individuals, the work they
will do, and the risks posed by the
select agents or toxins; and
(2) Each individual not approved for
access to select agents and toxins by the
HHS Secretary or Administrator before
that individual enters areas where select
agents or toxins are handled or stored
(e.g., laboratories, growth chambers,
animal rooms, greenhouses, storage
areas, shipping/receiving areas,
production facilities, etc.). Training for
escorted personnel must be based on the
risk associated with accessing areas
where select agents and toxins are used
and/or stored.
(b) Refresher training must be
provided annually or at such time as the
registered individual or entity
significantly amends its security,
incident response, or biocontainment
plans.
(c) The responsible official must
ensure a record of the training provided
to each individual with access to select
agents and each escorted individual
(e.g., laboratory workers, visitors, etc.) is
maintained. The record must include
the name of the individual, the date of
the training, a description of the training
provided, and the means used to verify
that the employee understood the
training.
12. Section 331.16 is amended as
follows:
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a. By redesignating footnote 8 as
footnote 7.
b. By redesignating paragraphs (e)
through (h) as paragraphs (h), (i), (j), and
(f) respectively.
c. By adding a new paragraph (e) to
read as set forth below.
d. In newly redesignated paragraph
(f), by removing the words ‘‘packaging
and’’.
e. By adding a new paragraph (g) to
read as set forth below.
§ 331.19
§ 331.16
(a) An individual or entity may appeal
a denial, revocation, or suspension of
registration under this part. The appeal
must be in writing, state the factual
basis for the appeal, and be submitted
to the Administrator within 30 calendar
days of the decision.
(b) An individual may appeal a
denial, limitation, or revocation of
access approval under this part. The
appeal must be in writing, state the
factual basis for the appeal, and be
submitted to the Administrator within
180 calendar days of the decision.
(c) The Administrator’s decision
constitutes final agency action.
Transfers.
*
*
*
*
*
(e) After authorization is provided by
APHIS or CDC, the select agent(s) or
toxin(s) are packaged for shipment in
compliance with all applicable laws
concerning packaging by an individual
approved by the HHS Secretary or
Administrator to have access to select
agents and toxins, following a security
risk assessment by the Attorney General.
*
*
*
*
*
(g) Transportation in commerce starts
when the select agent(s) or toxin(s) are
packaged for shipment and ready for
receipt by a courier transporting select
agent(s) or toxin(s) and ends when the
package is received by the intended
recipient who is an individual approved
by the HHS Secretary or Administrator
to have access to select agents and
toxins, following a security risk
assessment by the Attorney General.
*
*
*
*
*
13. Section 331.17 is amended as
follows:
a. By revising paragraph (a)(1)
introductory text to read as set forth
below.
b. By redesignating paragraphs (a)(2)
through (a)(6) as paragraphs (a)(3)
through (a)(7), respectively.
c. By adding a new paragraph (a)(2) to
read as set forth below.
§ 331.17
Records.
(a) * * *
(1) An accurate, current inventory for
each select agent (including viral
genetic elements, recombinant and/or
synthetic nucleic acids, and
recombinant and/or synthetic
organisms) held in long-term storage
(placement in a system designed to
ensure viability for future use, such as
in a freezer or lyophilized materials),
including:
*
*
*
*
*
(2) An accurate, current inventory of
any animals or plants intentionally or
accidentally exposed to or infected with
a select agent (including number and
species, location, and appropriate
disposition);
*
*
*
*
*
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[Amended]
14. Section 331.19 is amended as
follows:
a. By removing paragraph (b)(1)(iv).
b. By redesignating paragraphs
(b)(1)(v) through (b)(1)(viii) as
paragraphs (b)(1)(iv) through (b)(1)(vii),
respectively.
15. Section 331.20 is revised to read
as follows:
§ 331.20
Administrative review.
TITLE 9—[AMENDED]
PART 121—POSSESSION, USE, AND
TRANSFER OF SELECT AGENTS AND
TOXINS
16. The authority citation for part 121
continues to read as follows:
Authority: 7 U.S.C. 8401; 7 CFR 2.22, 2.80,
and 371.4.
17. Section 121.1 is amended by
adding, in alphabetical order,
definitions of adjudicated as a mental
defective, alien, committed to any
mental institution, controlled substance,
crime punishable by imprisonment for a
term exceeding 1 year, indictment,
information security, lawfully admitted
for permanent residence, mental
institution, occupational exposure,
recombinant and synthetic nucleic
acids, restricted person, and unlawful
user of any controlled substance to read
as follows:
§ 121.1
Definitions.
Adjudicated as a mental defective. A
determination by a court, board,
commission, or other lawful authority
that a person, as a result of marked
subnormal intelligence, or mental
illness, incompetency, condition, or
disease is a danger to himself/herself or
to others or lacks the mental capacity to
contract or manage his/her own affairs.
The term includes a finding of insanity
by a court in a criminal case and those
persons found incompetent to stand
trial or found not guilty by reason of
lack of mental responsibility pursuant to
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articles 50a and 72b of the Uniform
Code of Military Justice, 10 U.S.C. 850a,
876b.
*
*
*
*
*
Alien. Any person not a citizen or
national of the United States.
*
*
*
*
*
Committed to any mental institution.
A formal commitment of a person to any
mental institution by a court, board,
commission, or other lawful authority.
The term includes a commitment to a
mental institution involuntarily. The
term includes commitment for mental
defectiveness or mental illness. It also
includes commitments for other
reasons, such as for drug use. The term
does not include a person in a mental
institution for observation or a
voluntary admission to a mental
institution.
Controlled substance. A drug or other
substance, or immediate precursor, as
defined in section 102 of the Controlled
Substances Act, 21 U.S.C. 802. The term
includes, but is not limited to,
marijuana and scheduled depressants,
stimulants, and narcotic drugs. The term
does not include distilled spirits, wine,
malt beverages, or tobacco, as those
terms are defined or used in Subtitle E
of the Internal Revenue Code of 1986, as
amended.
Crime punishable by imprisonment
for a term exceeding 1 year. Any
Federal, State, or foreign offense for
which the maximum penalty, whether
or not imposed, is capital punishment
or imprisonment in excess of 1 year.
What constitutes a conviction of such a
crime shall be determined in accordance
with the law of the jurisdiction in which
the proceedings were held. Any
conviction which has been set aside or
nullified as a matter of law or for which
a person has been pardoned shall not be
considered a conviction for the
purposes of this part.
*
*
*
*
*
Indictment. A formal written
accusation originating with a prosecutor
and issued by a grand jury against a
party charged with a crime. For the
purpose of these regulations the term
indictment includes an ‘‘information,’’
which is a formal accusation of a crime,
differing only in that it is being
presented by a competent public officer
on his oath of office, instead of a grand
jury.
Information security. Protecting
information and information systems
from unauthorized access, use,
disclosure, disruption, modification, or
destruction in order to provide:
(1) Integrity, which means guarding
against improper information
modification or destruction, and
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includes ensuring information
nonrepudiation and authenticity;
(2) Confidentiality, which means
preserving authorized restrictions on
access and disclosure, including means
for protecting personal privacy and
proprietary information; and
(3) Availability, which means
ensuring timely and reliable access to
and use of information.
*
*
*
*
*
Lawfully admitted for permanent
residence. The status of having been
lawfully accorded the privilege of
residing permanently in the United
States as an immigrant in accordance
with the immigration laws, such status
not having changed.
Mental institution. Includes mental
health facilities, mental hospitals,
sanitariums, psychiatric facilities, and
other facilities that provide diagnoses by
licensed professionals of mental
retardation or mental illness, including
a psychiatric ward in a general hospital.
Occupational exposure. Any
reasonably anticipated skin, eye,
mucous membrane, or parenteral
contact with blood or other potentially
infectious materials or toxins that may
result from the performance of an
employee’s duties.
*
*
*
*
*
Recombinant and synthetic nucleic
acids. (1) Recombinant nucleic acid
molecules that are constructed by
joining nucleic acid molecules and that
can replicate in a living cell;
(2) Synthetic nucleic acid molecules
that are chemically, or by other means,
synthesized or amplified nucleic acid
molecules that may wholly or partially
contain functional equivalents of
nucleotides; or
(3) Molecules that result from the
replication of those described in
paragraph (1) or (2) of this definition.
*
*
*
*
*
Restricted person. An individual who:
(1) Is under indictment for a crime
punishable by imprisonment for a term
exceeding 1 year;
(2) Has been convicted in any court of
a crime punishable by imprisonment for
a term exceeding 1 year;
(3) Is a fugitive from justice;
(4) Is an unlawful user of any
controlled substance (as defined in
section 102 of the Controlled Substances
Act (21 U.S.C. 802));
(5) Is an alien illegally or unlawfully
in the United States;
(6) Has been adjudicated as a mental
defective or has been committed to any
mental institution;
(7) Is an alien (other than an alien
lawfully admitted for permanent
residence) who is a national of a country
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as to which the Secretary of State,
pursuant to section 6(j) of the Export
Administration Act of 1979 (50 U.S.C.
App. 2405(j)), section 620A of chapter 1
of part M of the Foreign Assistance Act
of 1961 (22 U.S.C. 2371), or section
40(d) of chapter 3 of the Arms Export
Control Act (22 U.S.C. 2780(d)), has
made a determination (that remains in
effect) that such country has repeatedly
provided support for acts of
international terrorism; or
(8) Has been discharged from the
Armed Services of the United States
under dishonorable conditions.
*
*
*
*
*
Unlawful user of any controlled
substance. For purposes of this
regulation, a person who uses a
controlled substance and has lost the
power of self-control with reference to
the use of that controlled substance; and
any person who is a current user of a
controlled substance in a manner other
than as prescribed by a licensed
physician. Such use is not limited to the
use of drugs on a particular day, or
within a matter of days or weeks before,
but rather that the unlawful use has
occurred recently enough to indicate
that the individual is actively engaged
in such conduct. A person may be an
unlawful current user of a controlled
substance even though the substance is
not being used at the precise time the
person seeks to have access to a select
agent or toxin. An inference of current
use may be drawn from evidence of a
recent use or possession of a controlled
substance or a pattern of use or
possession that reasonably covers the
present time, e.g., a conviction for use
or possession of a controlled substance
within the past year; multiple arrests for
such offenses within the past 5 years if
the most recent arrest occurred within
the past year, or persons found through
a drug test to use a controlled substance
unlawfully, provided that the test was
administered within the past year. For
a current or former member of the
Armed Forces, an inference of current
use may be drawn from recent
disciplinary or other administrative
action based on confirmed drug use,
e.g., court-martial conviction,
nonjudicial punishment, or an
administrative discharge based on drug
use or drug rehabilitation failure.
*
*
*
*
*
18. Section 121.3 is amended as
follows:
a. By adding a new sentence at the
end of paragraph (a) to read as set forth
below.
b. By revising paragraph (b) to read as
set forth below.
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c. In paragraph (c) introductory text,
by adding the words ‘‘and/or synthetic’’
after the word ‘‘recombinant’’ each time
it appears.
d. In paragraph (c)(2), by adding the
words ‘‘and/or synthetic’’ after the word
‘‘Recombinant’’.
e. By revising paragraph (e) to read as
set forth below.
f. In paragraph (f)(3)(i), by removing
the words ‘‘Newcastle disease virus
(velogenic)’’ and adding the words
‘‘virulent Newcastle disease virus’’ in
their place.
§ 121.3
VS select agents and toxins.
(a) * * * The select agents and toxins
marked with an asterisk (*) are
designated as Tier 1 select agents and
toxins and are subject to additional
requirements as listed in this part.
(b) VS select agents and toxins:
African horse sickness virus;
African swine fever virus;
Avian influenza virus (highly
pathogenic);
Classical swine fever virus;
* Foot-and-mouth disease virus;
Goat pox virus;
Lumpy skin disease virus;
Mycoplasma capricolum subspecies
capripneumoniae (contagious
caprine pleuropneumonia);
Mycoplasma mycoides subspecies
mycoides small colony (Mmm SC)
(contagious bovine
pleuropneumonia);
Peste des petits ruminants virus;
* Rinderpest virus;
Sheep pox virus;
Swine vesicular disease virus;
Virulent Newcastle disease virus.1
*
*
*
*
*
srobinson on DSK4SPTVN1PROD with PROPOSALS3
*
*
*
*
*
(e) An attenuated strain of a select
agent or an inactive form of a select
toxin may be excluded from the
requirements of this part based upon a
determination by the Administrator that
the attenuated strain or inactivated
toxin does not pose a severe threat to
animal health or to animal products.
(1) To apply for exclusion, an
individual or entity must submit a
written request and supporting
scientific information. A written
decision granting or denying the request
will be issued. An exclusion will be
effective upon notification to the
1 A virulent Newcastle disease virus (avian
paramyxovirus serotype 1) has an intracerebral
pathogenicity index in day-old chicks (Gallus
gallus) of 0.7 or greater or has an amino acid
sequence at the fusion (F) protein cleavage site that
is consistent with virulent strains of Newcastle
disease virus. A failure to detect a cleavage site that
is consistent with virulent strains does not confirm
the absence of a virulent virus.
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applicant. Exclusions will be listed on
the National Select Agent Registry Web
site at https://www.selectagents.gov/.
(2) If an excluded attenuated strain or
inactivated toxin is subjected to any
manipulation that restores or enhances
its virulence or toxic activity, the
resulting select agent or toxin will be
subject to the requirements of this part.
*
*
*
*
*
19. Section 121.4 is amended as
follows:
a. By adding a new sentence at the
end of paragraph (a) to read as set forth
below.
b. By revising paragraph (b) to read as
set forth below.
c. In paragraph (c) introductory text,
by adding the words ‘‘and/or synthetic’’
after the word ‘‘recombinant’’ each time
it appears.
d. In paragraph (c)(2) introductory
text, by adding the phrase ‘‘and/or
synthetic’’ after the word
‘‘Recombinant’’.
e. By revising paragraph (e) to read as
set forth below.
f. In paragraph (f)(3)(i), by removing
the words ‘‘Brucella melitensis, Hendra
virus, Nipah virus, Rift Valley fever
virus, and Venezuelan equine
encephalitis virus’’ and adding the
words ‘‘Burkholderia mallei, and
Burkholderia pseudomallei’’ in their
place.
§ 121.4
Overlap select agents and toxins.
(a) * * * The select agents and toxins
marked with an asterisk (*) are
designated as Tier 1 select agents and
toxins and are subject to additional
requirements as listed in this part.
(b) Overlap select agents and toxins:
* Bacillus anthracis;
Brucella abortus;
Brucella melitensis;
Brucella suis;
* Burkholderia mallei;
*Burkholderia pseudomallei;
Hendra virus;
Nipah virus;
Rift Valley fever virus;
Venezuelan equine encephalitis virus:
Epizootic Subtypes IAB, IC.
*
*
*
*
*
(e) An attenuated strain of a select
agent or an inactive form of a select
toxin may be excluded from the
requirements of this part based upon a
determination by the HHS Secretary or
Administrator that the attenuated strain
or inactivated toxin does not pose a
severe threat to public health and safety,
to animal health or to animal products.
(1) To apply for exclusion, an
individual or entity must submit a
written request and supporting
scientific information. A written
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61241
decision granting or denying the request
will be issued. An exclusion will be
effective upon notification to the
applicant. Exclusions will be listed on
the National Select Agent Registry Web
site at https://www.selectagents.gov/.
(2) If an excluded attenuated strain or
inactivated toxin is subjected to any
manipulation that restores or enhances
its virulence or toxic activity, the
resulting select agent or toxin will be
subject to the requirements of this part.
*
*
*
*
*
§ 121.5
[Amended]
20. In § 121.5, paragraph (a)(3)(i) is
amended by removing the words
‘‘bovine spongiform encephalopathy
agent,’’.
§ 121.6
[Amended]
21. In § 121.6, paragraph (a)(3)(i) is
amended by removing the words
‘‘Hendra virus, Nipah virus, Rift Valley
fever virus, and Venezuelan equine
encephalitis virus’’ and adding the
words ‘‘Burkholderia mallei, and
Burkholderia pseudomallei’’ in their
place.
§ 121.8
[Amended]
22. In section 121.8, paragraph (a)(1)
is amended by removing the words
‘‘within any of the categories described
in 18 U.S.C. 175b’’ and adding the
words ‘‘a restricted person’’ in their
place.
23. Section 121.9 is amended as
follows:
a. By redesignating paragraphs (a)(3)
through (a)(5) as paragraphs (a)(4),
(a)(5), and (a)(7) respectively.
b. By adding a new paragraph (a)(3) to
read as set forth below.
c. In newly redesignated paragraph
(a)(5), by removing the word ‘‘and’’.
d. By adding a new paragraph (a)(6)
to read as set forth below.
e. By revising the first sentence of
paragraph (b) to read as set forth below.
f. By revising the first sentence of
paragraph (c)(1) to read as set forth
below.
§ 121.9
Responsible official.
(a) * * *
(3) Have the appropriate training and
expertise to competently implement and
manage the requirements of this part;
*
*
*
*
*
(6) Have their principal duty station at
the physical location of the entity; and
*
*
*
*
*
(b) An entity may designate one or
more individuals to serve as an alternate
responsible official who acts for the
responsible official in his/her absence.
* * *
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(c) * * *
(1) The identification of any of the
following select agents or toxins must be
immediately reported by telephone,
facsimile, or e-mail: African horse
sickness virus, African swine fever
virus, avian influenza virus (highly
pathogenic), Bacillus anthracis, Brucella
melitensis, Burkholderia mallei,
Burkholderia pseudomallei, classical
swine fever virus, foot-and-mouth
disease virus, virulent Newcastle
disease virus, rinderpest virus, and
swine vesicular disease virus. * * *
*
*
*
*
*
24. Section 121.10 is amended as
follows:
a. By redesignating paragraphs (e)
through (j) as paragraphs (f) through (k),
respectively.
b. By adding a new paragraph (e) to
read as set forth below.
c. In newly redesignated paragraph
(g)(1), by removing the words ‘‘within
any of the categories described in 18
U.S.C. 175b’’ and adding the words ‘‘a
restricted person’’ in their place.
d. In newly redesignated paragraph
(j), by removing the number ‘‘5’’ and
adding the number ‘‘3’’ in its place.
§ 121.10 Restricting access to select
agents and toxins; security risk
assessments.
*
*
*
*
(e) A person who has a valid approval
from the HHS Secretary or
Administrator for access to a select
agent or toxin may request the HHS
Secretary or Administrator to provide
the person’s approval status to another
registered individual or entity for a
specified period of time.
*
*
*
*
*
srobinson on DSK4SPTVN1PROD with PROPOSALS3
*
25. Section 121.11 is amended as
follows:
a. By revising paragraph (b) to read as
set forth below.
b. By revising paragraph (c)(2) to read
as set forth below.
c. In paragraph (c)(6), by removing the
word ‘‘and’’.
d. By adding new paragraphs (c)(8),
(c)(9), and (c)(10) to read as set forth
below.
e. By redesignating paragraphs (e) and
(f) as paragraphs (f) and (g), respectively.
f. By adding a new paragraph (e) to
read as set forth below.
g. By revising newly redesignated
paragraph (f) to read as set forth below.
§ 121.11
Security.
*
*
*
*
*
(b) The security plan must be
designed according to a site-specific risk
assessment and must provide graded
protection in accordance with the risk of
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the select agent or toxin, given its
intended use. A current security plan
must be submitted for initial
registration, renewal of registration, or
when requested.
(c) * * *
(2) Contain provisions for the control
of access to select agents and toxins,
including the safeguarding of animals or
plants intentionally or accidentally
exposed to or infected with a select
agent, against unauthorized access,
theft, loss or release.
*
*
*
*
*
(8) Describe procedures for how the
responsible official will be informed of
suspicious activity that may be criminal
in nature and related to the entity, its
personnel, or its select agents or toxins;
and how the responsible official will
notify the Federal Bureau of
Investigation (FBI) of such activity;
(9) Contain provisions for information
security that:
(i) Ensure that all external
connections to systems which control
security of the facility are isolated or
have controls that permit and monitor
for only authorized and authenticated
user access;
(ii) Ensure that authorized and
authenticated users are only granted
access to select agent and toxin related
information, files, equipment (e.g.,
servers or mass storage devices) and
applications as necessary to fulfill their
roles and responsibilities, and that
access is modified when the user’s roles
and responsibilities change or when
their access to select agent and toxin is
suspended or revoked;
(iii) Ensure that controls are in place
that are designed to prevent malicious
code (such as, but not limited to,
computer viruses, worms, and spyware)
from compromising the confidentiality,
integrity, or availability of critical
information systems;
(iv) Establish a robust configuration
management practice for information
systems to include regular patching and
updates made to operating systems and
individual applications; and
(v) Establish procedures that provide
backup security measures in the event
that access control systems and/or
surveillance devices are rendered
inoperable.
(10) Contain provisions and policies
for shipping, receiving, and storage of
select agents and toxins, including
documented procedures for receiving,
monitoring, and shipping of all select
agents and toxins. These provisions
must provide that an entity will
properly secure containers on site and
have a written contingency plan for
unexpected shipments.
*
*
*
*
*
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(e) In addition to the requirements
contained in paragraphs (c) and (d) of
this section, the security plan for an
individual or entity possessing a Tier 1
select agent or toxin must also:
(1) Describe procedures for
conducting a pre-access suitability
assessment of persons who will have
access to a Tier 1 select agent or toxin;
(2) Describe procedures for how an
entity’s responsible official will
coordinate their efforts with the entity’s
safety and security professionals to
ensure security of Tier 1 select agents
and toxins and share, as appropriate,
relevant information; and
(3) Describe procedures for the
ongoing assessment of the suitability of
personnel with access to a Tier 1 select
agent or toxin. The procedures must
include:
(i) Self- and peer-reporting of
incidents or conditions that could affect
an individual’s ability to safely have
access to or work with select agents and
toxins, or to safeguard select agents and
toxins from theft, loss, or release;
(ii) The training of all entity
employees on entity policies and
procedures for reporting, evaluation,
and corrective actions concerning the
assessment of personnel suitability to
access Tier 1 agents and toxins; and
(iii) The ongoing suitability
monitoring of individuals with access to
Tier 1 select agents and toxins.
(4) Entities with Tier 1 select agents
and toxins must prescribe and/or
implement the following security
enhancements:
(i) Procedures that limit access to
registered space only to those approved
by the HHS Secretary or the
Administrator and meet the criteria of
the entity’s program that will ensure
individuals with access approval to
select agents and toxins are trustworthy
and behaving in a manner that upholds
public health and safety, the protection
of animal or plant health and animal or
plant products, security, and the
integrity of the scientific enterprise. In
developing these procedures, an
individual or entity may consider the
guidance documents available on the
Internet at
https://www.selectagents.gov/.;
(ii) Procedures that limit access to
laboratory and storage facilities outside
of normal business hours to only those
specifically approved by the responsible
official or designee;
(iii) Procedures for allowing visitors,
their property, and vehicles at the entry
and exit points to the registered space,
or at other designated points of entry to
the building, facility, or compound
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based on the entity’s site-specific risk
assessment;
(iv) A minimum of three barriers
where each subsequent barrier is
different and adds to the delay in
reaching secured areas where select
agents and toxins are used or stored.
Barriers must be monitored in such a
way as to detect and assess intentional
and unintentional circumventing of
established access control measures
under all conditions (day/night, severe
weather, etc.);
(v) All registered space or areas that
reasonably afford access to the
registered space must be protected by an
intrusion detection system (IDS) unless
physically occupied;
(vi) Personnel monitoring the IDS
must be capable of evaluating and
interpreting the alarm and alerting the
designated security response force or
law enforcement;
(vii) Provide backup power and
energy sources to power information
security networks and integrated access
controls and related systems during
emergencies;
(viii) Response time for security forces
or local police must not exceed 15
minutes from the time of an intrusion
alarm or report of a security incident;
(ix) Entities must conduct complete
inventory audits of all Tier 1 select
agents and toxins in long-term storage
when any of the following occur:
(A) Upon the physical relocation of a
collection or inventory of select agents
or toxins for those Tier 1 select agents
or toxins in the collection or inventory;
(B) Upon the departure or arrival of a
principal investigator for those Tier 1
select agents or toxins under the control
of that principal investigator; or
(C) In the event of a theft or loss of
a Tier 1 select agent or toxin.
(5) Entities that possess foot-andmouth disease virus and rinderpest
virus must have the following
additional security requirements:
(i) A minimum of four barriers, one of
which must be a perimeter security
fence or equivalent which is monitored
24 hours a day, 7 days a week (24/7) to
detect the presence of unauthorized
persons, vehicles, materials, or
unauthorized activities;
(ii) Onsite 24/7 armed security
response force with roving patrol.
Response time must not exceed 5
minutes from the time of an intrusion
alarm or report of a security incident;
(iii) CCTV surveillance with 24/7
monitoring and recording; and
(iv) Transport vehicle with GPS
tracking designed to serve as a
containment vehicle.
(f) In developing a security plan, an
individual or entity should consider the
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documents entitled ‘‘Select Agents and
Toxins Security Information Document’’
and ‘‘Select Agents and Toxins Security
Plan Template.’’ These documents are
available on the Internet at https://
www.selectagents.gov/.
*
*
*
*
*
26. Section 121.12 is amended as
follows:
a. By revising paragraph (a) to read as
set forth below.
b. By revising paragraph (c)(1) to read
as set forth below.
c. In paragraph (c)(3), by removing the
address ‘‘https://www.aphis.usda.gov./
programs/ag_selectagent/’’
and replacing it with the address
‘‘https://www.selectagents.gov/’’.
d. By redesignating paragraph (d) as
paragraph (e).
e. By adding a new paragraph (d) to
read as set forth below.
§ 121.12
Biosafety.
(a) An individual or entity required to
register under this part must develop
and implement a written biosafety plan
that is commensurate with the risk of
the select agent or toxin, given its
intended use.9 The biosafety plan must
contain sufficient information and
documentation to describe the biosafety
and containment procedures for the
select agent or toxin, including any
animals or plants intentionally or
accidentally exposed to or infected with
a select agent.
*
*
*
*
*
(c) * * *
(1) The CDC/NIH publication,
‘‘Biosafety in Microbiological and
Biomedical Laboratories.’’ This
document is available on the Internet at
https://www.selectagents.gov/.
*
*
*
*
*
(d) The biosafety plan must include
an occupational health program for
individuals with access to Tier 1 select
agents and toxins, and those individuals
must be enrolled in the occupational
health program. The occupational
health program may also be made
available to individuals without access
to Tier 1 select agents and toxins.
*
*
*
*
*
§ 121.13
[Amended]
27. Section 121.13 is amended as
follows:
a. In the section heading, by removing
footnote 10.
b. In paragraph (a), by adding the
words ‘‘, or possess products (i.e., select
agents that are not known to acquire the
resistance naturally, if such acquisition
9 Technical assistance and guidance may be
obtained by contacting APHIS.
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could compromise the use of the drug
to control disease agents in humans,
veterinary medicine, or agriculture, or
recombinant and or synthetic DNA
containing genes for the biosynthesis of
select toxins lethal for vertebrates at an
LD[50] < 100 ng/kg body weight)
resulting from,’’ after the word
‘‘conduct’’ both times it appears.
c. In paragraph (b)(1), by removing the
words ‘‘Experiments utilizing
recombinant DNA that involve the
deliberate transfer of’’ and adding the
words ‘‘Experiments that involve the
deliberate transfer of, or selection for,’’
in their place.
d. In paragraph (b)(2), by adding the
words ‘‘synthetic or’’ before the word
‘‘recombinant’’.
28. Section 121.14 is amended as
follows:
a. In the section heading, by
redesignating footnote 11 as footnote 10.
b. In paragraph (a), by redesignating
footnote 12 as footnote 11 and revising
the first sentence to read as set forth
below.
c. By revising paragraph (b) to read as
set forth below.
d. By redesignating paragraphs (c) and
(d) as paragraphs (d) and (f),
respectively.
e. By adding a new paragraph (c) to
read as set forth below.
f. By adding a new paragraph (e) to
read as set forth below.
§ 121.14
Incident response.10
(a) An individual or entity required to
register under this part must develop
and implement a written incident
response plan 11 based upon a site
specific risk assessment. * * *
(b) The incident response plan must
fully describe the entity’s response
procedures for the theft, loss, or release
of a select agent or toxin; inventory
discrepancies; security breaches
(including information systems); severe
weather and other natural disasters;
workplace violence; bomb threats and
suspicious packages; and emergencies
such as fire, gas leak, explosion, power
outage, etc.
(c) The response procedures must
account for hazards associated with the
select agent or toxin and appropriate
actions to contain such select agent or
toxin, including any animals or plants
intentionally or accidentally exposed to
or infected with a select agent.
*
*
*
*
*
(e) Entities with Tier 1 select agents
and toxins must have the following
10 Nothing in this section is meant to supersede
or preempt incident response requirements
imposed by other statutes or regulations.
11 Technical assistance and guidance may be
obtained by contacting APHIS.
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additional incident response policies or
procedures:
(1) The incident response plan must
fully describe the entity’s response
procedures for failure of intrusion
detection or alarm system; and
(2) The incident response plan must
describe notification procedures for the
FBI in the event of a theft or suspicious
activity that may be criminal in nature
involving a Tier 1 select agent or toxin.
*
*
*
*
*
29. Section 121.15 is revised to read
as follows:
§ 121.15
Training.
srobinson on DSK4SPTVN1PROD with PROPOSALS3
(a) An individual or entity required to
register under this part must provide
information and training on biosafety,
security (including security awareness),
and incident response to:
(1) Each individual with access
approval from the HHS Secretary or
Administrator before that individual has
such access to select agents and toxins.
The training must address the particular
needs of the individuals, the work they
will do, and the risks posed by the
select agents or toxins; and
(2) Each individual not approved for
access to select agents and toxins by the
HHS Secretary or Administrator before
that individual works in or otherwise
enters areas where select agents or
toxins are handled or stored (e.g.,
laboratories, growth chambers, animal
rooms, greenhouses, storage areas,
shipping/receiving areas, production
facilities, etc.). Training for escorted
personnel must be based on the risk
associated with accessing areas where
select agents and toxins are used and/
or stored.
(b) Entities with Tier 1 select agents
and toxins must conduct annual insider
threat awareness briefings on how to
identify and report suspicious
behaviors.
(c) Refresher training must be
provided annually or at such time as the
registered individual or entity
significantly amends its security,
incident response, or biosafety plans.
(d) The responsible official must
ensure a record of the training provided
VerDate Mar<15>2010
18:12 Sep 30, 2011
Jkt 226001
to each individual with access to select
agents and each escorted individual
(e.g., laboratory workers, visitors, etc.) is
maintained. The record must include
the name of the individual, the date of
the training, a description of the training
provided, and the means used to verify
that the employee understood the
training.
30. Section 121.16 is amended as
follows:
a. By redesignating footnote 14 as
footnote 12.
b. By redesignating paragraphs (f)
through (i) as paragraphs (i), (k), and (g),
respectively.
c. By adding a new paragraph (f) to
read as set forth below.
d. In newly redesignated paragraph
(g), by removing the words ‘‘packaging
and’’.
e. By adding a new paragraph (h) to
read as set forth below.
§ 121.16
Transfers.
*
*
*
*
*
(f) After authorization is provided by
APHIS or CDC, the select agent(s) and
toxin(s) are packaged for shipment in
compliance with all applicable laws
concerning packaging by an individual
approved by the HHS Secretary or
Administrator to have access to select
agents and toxins, following a security
risk assessment by the Attorney General.
*
*
*
*
*
(h) Transportation in commerce starts
when the select agent(s) or toxin(s) are
packaged for shipment and ready for
receipt by a courier transporting select
agent(s) or toxin(s) and ends when the
package is received by the intended
recipient who is an individual approved
by the HHS Secretary or Administrator
to have access to select agents and
toxins, following a security risk
assessment by the Attorney General.
*
*
*
*
*
31. Section 121.17 is amended as
follows:
a. By revising paragraph (a)(1)
introductory text to read as set forth
below.
PO 00000
Frm 00018
Fmt 4701
Sfmt 9990
b. By redesignating paragraphs (a)(2)
through (a)(6) as paragraphs (a)(3)
through (a)(7), respectively.
c. By adding a new paragraph (a)(2) to
read as set forth below.
§ 121.17
Records.
(a) * * *
(1) An accurate, current inventory for
each select agent (including viral
genetic elements, recombinant and/or
synthetic nucleic acids, and
recombinant and/or synthetic
organisms) held in long-term storage
(placement in a system designed to
ensure viability for future use, such as
in a freezer or lyophilized materials),
including:
*
*
*
*
*
(2) An accurate, current inventory of
any animals or plants intentionally or
accidentally exposed to or infected with
a select agent (including number and
species, location, and appropriate
disposition);
*
*
*
*
*
32. Section 121.20 is revised to read
as follows:
§ 121.20
Administrative review.
(a) An individual or entity may appeal
a denial, revocation, or suspension of
registration under this part. The appeal
must be in writing, state the factual
basis for the appeal, and be submitted
to the Administrator within 30 calendar
days of the decision.
(b) An individual may appeal a
denial, limitation, or revocation of
access approval under this part. The
appeal must be in writing, state the
factual basis for the appeal, and be
submitted to the Administrator within
180 calendar days of the decision.
(c) The Administrator’s decision
constitutes final agency action.
Done in Washington, DC, this 29th day of
September 2011.
Gregory L. Parham,
Administrator, Animal and Plant Health
Inspection Service.
[FR Doc. 2011–25520 Filed 9–30–11; 8:45 am]
BILLING CODE 3410–34–P
E:\FR\FM\03OCP3.SGM
03OCP3
Agencies
[Federal Register Volume 76, Number 191 (Monday, October 3, 2011)]
[Proposed Rules]
[Pages 61228-61244]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-25520]
[[Page 61227]]
Vol. 76
Monday,
No. 191
October 3, 2011
Part V
Department of Agriculture
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Animal and Plant Health Inspection Service
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7 CFR Part 331
9 CFR Part 121
Agricultural Bioterrorism Protection Act of 2002; Biennial Review and
Republication of the Select Agent and Toxin List; Amendments to the
Select Agent and Toxin Regulations; Proposed Rule
Federal Register / Vol. 76 , No. 191 / Monday, October 3, 2011 /
Proposed Rules
[[Page 61228]]
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DEPARTMENT OF AGRICULTURE
Animal and Plant Health Inspection Service
7 CFR Part 331
9 CFR Part 121
[Docket No. APHIS-2009-0070]
RIN 0579-AD09
Agricultural Bioterrorism Protection Act of 2002; Biennial Review
and Republication of the Select Agent and Toxin List; Amendments to the
Select Agent and Toxin Regulations
AGENCY: Animal and Plant Health Inspection Service, USDA.
ACTION: Proposed rule.
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SUMMARY: In accordance with the Agricultural Bioterrorism Protection
Act of 2002, we are proposing to amend and republish the list of select
agents and toxins that have the potential to pose a severe threat to
animal or plant health, or to animal or plant products. The Act
requires the biennial review and republication of the list of select
agents and toxins and the revision of the list as necessary. This
action would implement the findings of the third biennial review of the
list. In addition, we are proposing to reorganize the list of select
agents and toxins based on the relative potential of each select agent
or toxin to be misused to adversely affect human, plant, or animal
health. Such tiering of the list would allow for the optimization of
security measures for those select agents or toxins that present the
greatest risk of deliberate misuse with the most significant potential
for mass casualties or devastating effects to the economy, critical
infrastructure, or public confidence. We are also proposing a number of
amendments to the regulations, including the addition of definitions
and clarification of language concerning security, training, biosafety,
biocontainment, and incident response. These changes would increase the
usability of the select agent regulations as well as provide for
enhanced program oversight.
DATES: We will consider all comments that we receive on or before
December 2, 2011.
ADDRESSES: You may submit comments by either of the following methods:
Federal eRulemaking Portal: Go to https://www.regulations.gov/#!documentDetail;D=APHIS-2009-0070-0001.
Postal Mail/Commercial Delivery: Send your comment to
Docket No. APHIS-2009-0070, Regulatory Analysis and Development, PPD,
APHIS, Station 3A-03.8, 4700 River Road Unit 118, Riverdale, MD 20737-
1238.
Supporting documents and any comments we receive on this docket may
be viewed at https://www.regulations.gov/#!docketDetail;D=APHIS-2009-
0070 or in our reading room, which is located in room 1141 of the USDA
South Building, 14th Street and Independence Avenue, SW., Washington,
DC. Normal reading room hours are 8 a.m. to 4:30 p.m., Monday through
Friday, except holidays. To be sure someone is there to help you,
please call (202) 690-2817 before coming.
FOR FURTHER INFORMATION CONTACT: Mr. Charles L. Divan, Branch Chief,
APHIS Agriculture Select Agent Program, APHIS, 4700 River Road Unit 2,
Riverdale, MD 20737-1231; (301) 734-5960.
SUPPLEMENTARY INFORMATION:
Background
The Public Health Security and Bioterrorism Preparedness and
Response Act of 2002 (referred to below as the Bioterrorism Response
Act) provides for the regulation of certain biological agents that have
the potential to pose a severe threat to both human and animal health,
to animal health, to plant health, or to animal and plant products. The
Animal and Plant Health Inspection Service (APHIS) has the primary
responsibility for implementing the provisions of the Act within the
Department of Agriculture (USDA). Veterinary Services (VS) select
agents and toxins are those that have been determined to have the
potential to pose a severe threat to animal health or animal products.
Plant Protection and Quarantine (PPQ) select agents and toxins are
those that have the potential to pose a severe threat to plant health
or plant products. Overlap select agents and toxins are those that have
been determined to pose a severe threat to both human and animal health
or animal products. Overlap select agents are subject to regulation by
both APHIS and the Centers for Disease Control and Prevention (CDC),
which has the primary responsibility for implementing the provisions of
the Act for the Department of Health and Human Services (HHS).
Subtitle B (which is cited as the ``Agricultural Bioterrorism
Protection Act of 2002'' and referred to below as the Act), section
212(a), provides, in part, that the Secretary of Agriculture (the
Secretary) must establish by regulation a list of each biological agent
and each toxin that the Secretary determines has the potential to pose
a severe threat to animal or plant health, or to animal or plant
products. Paragraph (a)(2) of section 212 requires the Secretary to
review and republish the list every 2 years and to revise the list as
necessary. In this document, we are proposing to amend and republish
the list of select agents and toxins based on the findings of our third
biennial review of the list.
In determining whether to include an agent or toxin on the list,
the Act requires that the following criteria be considered:
The effect of exposure to the agent or the toxin on animal
and plant health, and on the production and marketability of animal or
plant products;
The pathogenicity of the agent or the toxin and the
methods by which the agent or toxin is transferred to animals or
plants;
The availability and effectiveness of pharmacotherapies
and prophylaxis to treat and prevent any illness caused by the agent or
toxin; and
Any other criteria that the Secretary considers
appropriate to protect animal or plant health, or animal or plant
products.
We use the term ``select agents and toxins'' throughout the
preamble of this proposed rule. Unless otherwise specified, the term
``select agents and toxins'' will refer to all agents or toxins listed
by APHIS. When it is necessary to specify the type of select agent or
toxin, we will use the following terms: ``PPQ select agents and
toxins'' (for the plant agents and toxins listed in 7 CFR 331.3), ``VS
select agents and toxins'' (for the animal agents and toxins listed in
9 CFR 121.3), or ``overlap select agents and toxins'' (for the agents
and toxins listed in both 9 CFR 121.4 and 42 CFR 73.4).
On July 29, 2010, we published in the Federal Register (75 FR
44724-44725, Docket No. APHIS-2009-0070) an advance notice of proposed
rulemaking and request for comments (ANPR) \1\ in order to announce our
intention to review and reorganize the select agent list. We solicited
comments regarding potential additions and deletions from the list of
select agents and toxins as well as comments on reorganization of the
list based on the relative potential of each select agent or toxin to
be misused to adversely affect human, plant, or animal health. We
requested recommendations as to what criteria should be utilized to
designate high risk select agents and toxins and incorporated those
recommendations
[[Page 61229]]
into the interagency working group discussions on the matter. We
solicited comments for 30 days ending August 30, 2010. We received 30
comments by that date. They were from scientists, scientific
organizations, private individuals, and industry groups. Suggestions in
these comments were used in order to inform our discussions on the
content of the select agent list and our determination regarding
reorganization of the list.
---------------------------------------------------------------------------
\1\ To view the ANPR and the comments we received, go to https://www.regulations.gov/#!docketDetail;D=APHIS-2009-0070.
---------------------------------------------------------------------------
PPQ Select Agents and Toxins
APHIS's PPQ program convened an interagency working group to review
the list of PPQ select agents and toxins and develop recommendations
regarding possible changes to that list. Using the four criteria for
listing found in the Act, economic crop data, current Federal
quarantine notices, and new scientific information, the working group
revisited the currently listed PPQ select agents and toxins and
evaluated a number of new plant pathogens for inclusion on the list.
Based on this review, APHIS is proposing to amend the list of PPQ
select agents and toxins listed in 7 CFR 331.3 by removing Xylella
fastidiosa, citrus variegated chlorosis (CVC) strain, from the list as
it no longer meets the criteria for use as an agroterrorism agent.
Since CVC was first included on the list, extensive research on this
select agent has been completed. New scientific information has led to
creation of detection methods that provide for better early response
and control methods. These new technologies can be applied regardless
of how the agent might be introduced, including purposeful introduction
for harmful purposes. Furthermore, the use of geostatistical analysis
in citrus production areas using geographic information systems is now
well-developed with relation to monitoring and facilitating a response
to any purposeful introduction. As a result of this new research, as
well as the development of new regulatory systems for CVC, the
likelihood that someone would use CVC as an agent of bioterrorism is
reduced, and our ability to manage an introduction is increased.
VS Select Agents and Toxins
APHIS's VS program also convened an interagency working group to
review the list of VS select agents and toxins and the list of overlap
select agents and toxins in 9 CFR part 121 in order to update and
revise the lists as necessary.
We are proposing to remove nine VS select agents and toxins from
the list set out in Sec. 121.3(b). Specifically, we are proposing to
remove the following: Akabane virus; Bluetongue virus (exotic), Bovine
spongiform encephalopathy agent; Camel pox virus; Ehrlichia ruminantium
(Heartwater); Japanese encephalitis virus; Malignant catarrhal fever
virus (Alcelaphine herpesvirus type 1); Menangle virus; and Vesicular
stomatitis virus (exotic): Indiana subtypes VSV-IN2, VSV-IN3.
The interagency working group considered each of the VS select
agents and toxins with respect to the four criteria for listing found
in the Act and based on the group's analysis, APHIS has determined that
the nine VS select agents and toxins listed above should be removed
from the list. These agents were judged not to pose a significant
threat to animal health, either because the disease risk is not
significant (e.g., low mortality rate in the event of infection), they
affect only minor (i.e., not economically significant) species, or they
are not likely to be used as an agroterrorism agent (e.g., difficulty
of transmission from animal to animal).
For example, Japanese encephalitis virus primarily affects horses
and pigs and is transmitted via a mosquito bite. It is not directly
contagious between animals. Horses represent a dead-end host for the
disease; mosquitoes biting an infected horse will not pick up virus to
transmit to any new animals. Pigs represent an amplifying host, but
modern pig husbandry practices in the U.S. minimize exposure of the
herd to mosquitoes and make it difficult to establish and sustain a
natural transmission cycle.
Likewise, a sustained transmission cycle of malignant catarrhal
fever virus (Alcelaphine herpesevirus type 1) requires the presence of
the reservoir host (African wildlife) in close physical association
with the susceptible domestic species (cattle and bison).
With respect to the remaining agents:
Camel pox only affects camels, which are a minor species
in the US;
Akabane virus, bluetongue virus (exotic), Ehrlichia
ruminantium (Heartwater), and vesicular stomatitis virus (exotic):
Indiana subtypes VSV-IN2, VSV-IN3 all utilize insect vectors as a mode
of transmission and are not usually spread by direct contact between
animals;
Menangle virus transmission is associated with certain
species of fruit bats, which are native only to Australia and Southeast
Asia; and
Bovine spongiform encephalopathy agent is only known to be
transmitted through the ingestion of infected tissues.
All of these circumstances make transmission from animal-to-animal
difficult, which greatly lessens the chance of an outbreak either
accidental or intentional. Consequently, the extent to which Federal,
State, and/or local officials need to take special action in planning
for a major animal health disaster as a result of any of these
organisms is decreased in light of these factors. Therefore, in
considering these reasons as well as recommendations provided in
previous reports such as ``The Report of the Working Group on
Strengthening the Biosecurity of the United States'' \2\ and the
``Federal Experts Security Advisory Panel: Recommendations Concerning
the Select Agent Program'' \3\ as well as comments received on the
ANPR, APHIS has determined those pathogens listed here are not likely
to be used as agroterrorism agents and no longer need to be designated
as VS select agents.
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\2\ Available on the Internet at https://www.phe.gov/Preparedness/legal/boards/biosecurity/Documents/biosecreportfinal102309.pdf.
\3\ Available on the Internet at https://www.phe.gov/Preparedness/legal/boards/fesap/Documents/fesap-recommendations-101102.pdf.
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Overlap Select Agents and Toxins
We are also proposing to modify the listing for one of the overlap
select agents by removing certain subtypes of Venezuelan equine
encephalitis virus from the list of overlap select agents and toxins
set out in 9 CFR 121.4(b), and to clarify that only Venezuelan equine
encephalitis subtypes IAB and IC would remain on the list. These
subtypes contain the only recognized strains of Venezuelan equine
encephalitis that can suddenly affect a large number of animals over a
large area (i.e., epizootic). The remaining subtypes, ID and IE, are
strains prevalent among existing animal populations (i.e., enzootic)
and do not represent the same type of risk. Other viruses within the
Venezuelan equine encephalitis complex (subtypes IF and II through IV)
are separate viruses and are not included in the list of overlap select
agents and toxins. Accordingly, CDC will also be proposing a parallel
change to its overlap select agent regulations.
Reorganization of the Current List of Select Agents and Toxins
We are proposing to establish a number of select agents and toxins
as ``Tier 1'' select agents and toxins within the lists of VS and
overlap select agents and toxins. We are not including PPQ select
agents and toxins in this proposed reorganization because none of the
proposed Tier 1 select agents and toxins are from the plant list. All
other select agents and toxins would continue to be subject to the
current requirements concerning select agents and toxins. All select
agents and toxins were scored against 20 criteria by over 60 subject
[[Page 61230]]
matter experts representing the Federal life sciences, public health,
law enforcement, security, and intelligence communities. These criteria
included:
The relative ease with which a particular select agent or
toxin might be disseminated or transmitted from one animal to another
or into the environment where it could produce a deleterious effect
upon animal or plant health;
The potential for high animal or plant mortality rates;
The potential for a major animal or plant health impact;
Select agents or toxins whose misuse might result in
public panic or other social or economic disruption; and
Select agents or toxins whose use might require Federal,
State, and/or local officials to take special action in planning for
major animal or plant health disasters.
APHIS and CDC determined that two VS select agents and three
overlap select agents should be given Tier 1 status. Based on the
criteria listed above, we are proposing to list foot-and-mouth disease
virus and rinderpest virus as Tier 1 VS select agents and toxins and
Bacillus anthracis, Burkholderia mallei, and Burkholderia pseudomallei
as Tier 1 overlap select agents and toxins. We are also proposing to
amend the list of overlap select agents and toxins whose seizure by any
Federal law enforcement agency requires reporting to APHIS or CDC
within 24 hours (located in 9 CFR 121.4(f)(3)(i)) to include only those
overlap agents designated as Tier 1. The current list, which is
comprised of Bacillus anthracis, Brucella melitensis, Hendra virus,
Nipah virus, Rift Valley fever virus, and Venezuelan equine
encephalitis virus was initially adapted from a different system of
threat assessment categorization. The proposed changes would bring the
list in line with the listing of Tier 1 agents, which was developed as
a result of the experience and expertise of the select agent program.
These changes, in tandem with the enhanced practices for physical and
information security detailed below, would serve to further mitigate
the potential for deliberate misuse of these select agents and toxins
that could result in devastating effects to the economy, critical
infrastructure, or public confidence.
Accordingly, we are also proposing additions to the VS regulations
that would allow for the optimization of security measures for those
select agents or toxins that present the greatest risk of deliberate
misuse with the most significant potential for mass casualties or
devastating effects to the economy, critical infrastructure, or public
confidence, i.e., Tier 1 select agents and toxins. These requirements
would include:
Additions regarding the assessment of persons who will
have access to Tier 1 select agents and toxins that would be made to
the security plan currently required to be developed by all entities
seeking approval for the possession, use, and transfer of select agents
and toxins; ongoing oversight of those persons with access to Tier 1
select agents and toxins; and the role of the entity's responsible
official in coordinating and assuring the security of Tier 1 select
agents and toxins;
Security enhancements that include provisions for security
barriers, intrusion detection and monitoring, delay/response force,
access control, and information security;
Additions to the biosafety plan currently required to be
developed by all entities seeking approval for the possession, use, and
transfer of select agents and toxins that would describe implementation
of an occupational health program for individuals with access to Tier 1
select agents and toxins;
Development of security policies and procedures describing
the entity's response to a failure of an intrusion detection or alarm
system and notification procedures for the Federal Bureau of
Investigation (FBI) in the event of theft or suspicious activity that
may be criminal in nature involving a Tier 1 select agent or toxin.
These policies and procedures would be required as part of the entity's
incident response plan; and
Required annual insider threat awareness briefings focused
on how to identify and report suspicious behaviors.
These changes would serve to further mitigate the potential for
deliberate misuse of these select agents and toxins that could result
in devastating effects to the economy, critical infrastructure, or
public confidence.
We are also proposing to add required physical security measures in
addition to the proposed general Tier 1 required security measures for
those entities working with foot-and-mouth disease virus and rinderpest
virus due to the particular dangers posed by these two viruses.
Foot-and-mouth disease is an extremely contagious viral disease of
domesticated cloven-hoofed animals (e.g., cattle, sheep, goats, and
pigs) and many wild animals. It is easily transmissible from infected
animals to susceptible animals through contact with contaminated
objects, consumption of contaminated meat products or ingestion of
contaminated milk, artificial insemination, and inhalation of
infectious aerosols. It is not found in the United States and the U.S.
domestic animal population is therefore considered highly susceptible.
Foot-and-mouth disease virus can cause infection and disease in close
to 100 percent of susceptible animals. The potential exists for severe
economic impacts through loss of animal production and products and
trade restrictions. Because of these factors, this select agent is
considered to have a high potential as a weapon of bioterrorism and we
are therefore proposing to require that it be handled only in high
containment facilities which provide enhanced biosafety and biosecurity
features in order to safeguard its distribution.
Rinderpest is a contagious viral disease of cattle, buffalo, and
some wild species of cloven-hoofed animals, such as giraffe and
wildebeest. Like foot-and-mouth disease virus, it is not native to the
United States and can cause 100 percent illness if susceptible animals
come in contact with infected animals or contaminated surfaces. As the
result of an extensive international campaign consisting of
vaccinations, clinical disease research, serological surveillance
sampling, contingency planning, and laboratory support in affected
regions, the World Organization for Animal Health declared rinderpest
to be globally eradicated in May 2011. Post-eradication efforts will
include surveillance of all international laboratories with existing
stocks of the virus, consensus regarding laboratories authorized to
retain the agent and the type of laboratory work which will continue,
and destruction of all other inventoried stocks. Also, conditions for
laboratory storage will be developed in order to ensure biosafety and
security of the agent. The proposed enhanced security measures are
necessary in order to ensure that the United States will be able to
maintain inventories of rinderpest virus under secure and safe
conditions.
All of these proposed changes are based on established Government
and security industry standards with respect to securing high risk
material and developed in accordance with the experience and expertise
of the Select Agent Program. They are necessary in order to further
ensure the safety and security of those select agents and toxins that
pose the most potential harm to the animal and human environment. As
stated previously, the requirements for working with all other select
agents and toxins would remain unchanged with the exception of certain
[[Page 61231]]
miscellaneous changes, which are detailed below.
Miscellaneous Changes
We are proposing to make several smaller-scale changes to the
regulations, including the addition of definitions and clarification of
language concerning security, training, biosafety, biocontainment, and
incident response. These changes, which are described in detail below,
would increase the usability of the select agent regulations as well as
provide for enhanced program oversight.
In 7 CFR 331.1 and 9 CFR 121.1, we are proposing to add definitions
for adjudicated as a mental defective, alien, committed to any mental
institution, controlled substance, crime punishable by imprisonment for
a term exceeding 1 year, indictment, lawfully admitted for permanent
residence, mental institution, restricted person, and unlawful user of
any controlled substance. We believe that these definitions would
assist regulated entities as well as those seeking approval to access
select agents and toxins to better understand what status or
activities, past or present, might prohibit such access.
Although these terms were undefined in the Bioterrorism Response
Act, it is evident that Congress modeled many of them after the
disqualifiers that are used by the Bureau of Alcohol, Tobacco,
Firearms, and Explosives (ATF) when enforcing the Gun Control Act of
1968. Because the purpose of the Select Agent Program differs from
ATF's enforcement actions under the Gun Control Act, we do not believe
that these terms must be defined exactly the same. The Gun Control Act
regulates access to firearms, while the Bioterrorism Response Act
regulates access to biological agents and toxins that the government
has recognized as having the potential to be used as weapons of mass
destruction by the wrong hands.
Nevertheless, we looked at the statutory and regulatory definitions
of these terms under the Gun Control Act when drafting our definitions.
With the exception of the term ``crime punishable by imprisonment for a
term exceeding 1 year,'' we decided to adopt the applicable definitions
used by ATF.
The definition of crime punishable by imprisonment for a term
exceeding 1 year would be established as ``any Federal, State, or
foreign offense for which the maximum penalty, whether or not imposed,
is capital punishment or imprisonment in excess of 1 year. What
constitutes a conviction of such a crime shall be determined in
accordance with the law of the jurisdiction in which the proceedings
were held. Any conviction which has been set aside or nullified as a
matter of law or for which a person has been pardoned shall not be
considered a conviction for purposes of this part.'' Contrary to
definition of this term used under the Gun Control Act, we have decided
that foreign offenses should be considered a disqualifier. In doing so
we are aware of the Supreme Court's decision in Small v. United States,
544 US 385 (2005) in which the court, interpreting the provisions of 18
U.S.C. 922(g)(1), held that the phrase ``convicted in any court''
refers only to U.S. courts, not to foreign courts. In its opinion
interpreting the Gun Control Act, the court stated that ``the statute
itself and its history offer only congressional silence'' as to whether
Congress considered whether the statutory language included foreign
convictions. In the case of the Bioterrorism Response Act, we believe
Congress spoke clearly about their desire to limit or deny access to
select agents and toxins for those who have committed serious crimes
regardless of where those crimes were committed. As a part of the
safeguard and security section of the Bioterrorism Response Act,
Congress not only put select agents and toxins off limits to a
``restricted person,'' as that term is defined by 18 U.S.C. 175b, but
to the those who are ``reasonably suspected by any Federal law
enforcement or intelligence agency of'' (1) Committing a ``Federal
crime of terrorism'' transcending national boundaries (18 U.S.C.
2332b); (2) the knowing involvement with an organization that engages
in domestic or international terrorism or with any other organization
that engages in international crimes of violence; or (3) being an agent
of a foreign power. We believe it would be an inconsistent reading of
statutory authority to allow the Secretary to limit or deny access to
select agents and toxins to someone identified by the Attorney General
as being only reasonably suspected of committing a Federal crime of
terrorism transcending national boundaries but to be powerless in cases
where a person had actually been convicted of a serious crime in a
foreign country. We believe that in light of the threat of bioterrorism
attacks, Congress would not want to exclude an individual convicted of
a U.S. offense from having access to select agents and toxins, but
still allow access to an individual convicted in a foreign court of a
similar offense. We also believe that the instances of regulation can
be distinguished in that with regard to the Gun Control Act the
government is regulating access to guns while, with respect to the
Bioterrorism Response Act, the government is regulating access to
biological agents and toxins which the government has recognized as
having the potential to be used in the wrong hands as weapons of mass
destruction.
We are specifically requesting comments on the use of a foreign
conviction as a predicate for denying access to select agents and
toxins. We recognize that there can be significant differences between
foreign convictions and domestic convictions. For example, foreign
legal systems may not provide the same due process safeguards afforded
to citizens of the United States, including impartial tribunals and
jury trials. Additionally, foreign countries may punish conduct that is
permitted under domestic law or may require more severe penalties than
under domestic law. We note that in the past, courts have applied the
criteria set forth in Section 482 of the Restatement (third) of Foreign
Relations Law of the United States (1986) in determining whether a
foreign judgment should be recognized in the United States. That
Section provides that a court in the United States may not recognize a
judgment of the court of a foreign state if the judgment was rendered
under a judicial system that does not provide impartial tribunals or
procedures compatible with due process of law or the court that
rendered the judgment did not have jurisdiction over the defendant in
accordance with the law of the rendering state. It further provides
that a court in the United States need not recognize a judgment of the
court of a foreign state if the court that rendered the judgment did
not have jurisdiction of the subject matter of the action, the
defendant did not receive notice of the proceedings in sufficient time
to enable him to defend, the judgment was obtained by fraud, the cause
of action on which the judgment was based, or the judgment itself, is
repugnant to the public policy of the United States or of the State
where recognition is sought, the judgment conflicts with another final
judgment that is entitled to recognition, or the proceeding in the
foreign court was contrary to an agreement between the parties to
submit the controversy on which the judgment is based to another forum.
We are seeking comment on whether these criteria should be applied in
considering whether access to select agents and toxins should be denied
based on a foreign conviction or whether other criteria or factors
would be appropriate to consider.
We are also proposing to add a definition for information security
to the
[[Page 61232]]
regulations in 7 CFR 331.1 and 9 CFR 121.1 as it is used but not
defined. This definition would be identical to that used in the
``Information Security'' subchapter of the U.S. Code (44 U.S.C. 3542).
We are also proposing to add a definition for occupational exposure
to the VS regulations in 9 CFR 121.1 as it is used in the regulations
but not defined. This definition is based on that used in the
Occupational Safety and Health Administration regulations in 29 CFR
1910.1030. We are not proposing to add a corresponding definition to
the PPQ regulations in 7 CFR 331.1 since PPQ select agents and toxins
do not pose a severe threat to human health and, therefore, it is
unnecessary to address personnel safety and health.
Finally, we are proposing to add a definition for recombinant and
synthetic nucleic acids. This addition is necessary, as the term
``synthetic nucleic acids'' is employed in the proposed changes to the
select agent regulations. We are proposing to include synthetic nucleic
acids in the regulations because, while synthetic nucleic acids have
the same potential for harm as recombinant nucleic acids, the process
of production is different.
We are proposing to amend 7 CFR 331.3(e), 9 CFR 121.3(e) and 9 CFR
121.4(e). These paragraphs specify that attenuated strains of select
agents or toxins may be excluded from the requirements of the select
agent regulations subject to an official request and supporting
scientific information. We are proposing to state that the ``inactive
form of a select toxin'' may be excluded from regulation under each
respective part subject to the application procedure. This change is
necessary because the current term, ``attenuated strain of toxin,'' is
scientifically inaccurate. Attenuated is a term that is applied to
living organisms, and toxins are not living organisms. ``Inactive form
of a select toxin'' is a more accurate term and we are therefore
proposing to amend the regulations to include the correct terminology.
We are also proposing to update the Web site address in paragraph
(e)(1) of each section as all information concerning the Select Agent
Program is now centralized on the National Select Agent Registry Web
site at https://www.selectagents.gov/. Finally, we are proposing to
remove the language stating that exclusions will be published in the
Federal Register. This change is necessary because, while we
anticipated publication of exclusions both in the Federal Register and
on the Internet at the time the regulations were initially created, we
have found that publication on the select agent Web site only has
served to provide the most up-to-date information to the regulated
community. We are therefore proposing to update the regulations to
accurately reflect the way in which we handle the listing of
exclusions.
The regulations in 7 CFR 331.9 and 9 CFR 121.9 set out requirements
for entities requesting to work with select agents and toxins to
designate a responsible official, who ensures that the entity continues
to meet the requirements of the regulations. We are proposing to
explicitly require that all designated responsible officials possess
the appropriate training or expertise to execute their required duties.
We are also proposing to clarify the role of alternate responsible
official in order to definitively establish that the alternate
responsible official must have the knowledge and authority to act for
the responsible official in his/her absence. Finally, we are proposing
to add a requirement that the responsible official's principal duty
station be the physical location of the registered entity. These
changes would clarify the requirements that a person must meet in order
to serve as a responsible official or alternate responsible official.
We are proposing to amend the regulations in 7 CFR 331.10 and 9 CFR
121.10. These regulations establish parameters for restricting access
to select agents and toxins and the process by which individuals may be
approved for access to select agents and toxins after the completion of
a security risk assessment by the Attorney General. Specifically, we
are proposing to add new provisions by which individuals may have
access to select agents at entities other than the individual's
``home'' entity. We are also proposing to decrease the maximum length
of time for which a security risk assessment will be valid from 5 years
to 3 years in order to more expeditiously identify individuals who may
have fallen into one of the prohibited or restricted categories.
The regulations require registered entities to develop and
implement a number of plans in order to ensure the safety and security
of the select agents they handle. These are:
A security plan, as described by the regulations in 7 CFR
331.11 and 9 CFR 121.11, that provides for measures sufficient to
safeguard the select agent or toxin against unauthorized access, theft,
loss, or release;
A biocontainment plan, in the case of PPQ select agents,
or a biosafety plan, in the case of VS select agents, as described in
the regulations in 7 CFR 331.12 and 9 CFR 121.12, that provides for
measures sufficient to contain the select agent or toxin (e.g.,
physical structure and features of the entity, and operational and
procedural safeguards); and
An incident response plan, as described in the regulations
in 7 CFR 331.14 and 9 CFR 121.14, that provides for measures that the
registered entity will implement in the event of theft, loss, or
release of a select agent or toxin; inventory discrepancies; security
breaches (including information systems); severe weather and other
natural disasters; workplace violence; bomb threats and suspicious
packages; and emergencies such as fire, gas leak, explosion, power
outage, etc. The response procedures must account for hazards
associated with the select agent or toxin and appropriate actions to
contain such agent or toxin.
Details of the changes we are proposing to each plan individually
may be found below. Generally, we are proposing to require that the
security plan, biocontainment/biosafety plan, and incident response
plan include provisions to address the safeguarding of animals or
plants that have been intentionally or accidentally exposed to or
infected with select agents against unauthorized access, theft, loss or
release. This would enhance the comprehensiveness of the regulations as
well as provide necessary guidance regarding handling of animals and
plants inoculated with select agents. We would not require the plan to
address animals and plants exposed to select toxins, however.
Recovering the toxin from within an animal or plant subject is highly
difficult and such removal does not produce a reasonable yield of
recovery. In addition, there is uncertainty as to whether or not the
toxin would remain active when recovered from the animal or plant. For
these reasons it is highly unlikely that once introduced into an animal
or plant, a sufficient amount of toxin could be recovered to pose a
significant hazard to public health, agriculture or agriculture
products.
Currently, the security plan described in 7 CFR 331.11 and 9 CFR
121.11 must be developed by all regulated entities and submitted for
review only upon request. We are now proposing to require that the
security plan be submitted for initial registration and renewals of
registration as well as at any other time upon request. We are also
proposing to add a requirement that the security plan include
procedures that require the responsible official to immediately notify
the FBI in order to initiate a threat assessment process in the event
that he or she becomes aware
[[Page 61233]]
of suspicious activity which is criminal in nature, related to the
facility, its personnel, or select agents. This addition would provide
for added security and establish a framework for communication between
regulated entities and the FBI. We are also proposing to add provisions
for information security, including the need for backup measures if the
entity relies on information systems for security. These provisions
would include network connectivity monitoring, restriction of user
permissions so that only mission-specific files and applications may be
accessed, measures to prevent network infiltration by malicious code,
and configuration management including regular patching and system and
software updates. We believe these additions are necessary in order to
establish requirements for a more comprehensive security plan. We are
also proposing to codify current practices for shipping, receiving, and
storage of select agents and toxins to ensure that the entity has
documented processes for securing and monitoring the shipment, receipt,
and storage of these items. These changes would serve to decrease the
chance that such materials would be made available to an unauthorized
individual or an individual without a legitimate use for the material.
Finally, we are proposing to amend paragraph (e) in 7 CFR 331.11 and 9
CFR 121.11, which currently directs individuals creating a security
plan to guidance for developing such documents contained in the
``Morbidity and Mortality Weekly Report'' from December 2002.
Applicants would instead be directed to the ``Security Information
Document'' and the ``Security Plan Template'' on the select agents Web
site.
We are proposing to update the specific Web site address references
to various CDC and National Institutes of Health guidance publications
found in 9 CFR 331.12(c)(1) and (c)(3). The regulations in 7 CFR 331.13
and 9 CFR 121.13 concern restricted experiments, which are those
experiments that may not be performed by regulated entities without the
approval of the Administrator. We are proposing to state that, in
addition to the existing prohibition on conducting restricted
experiments, entities may not possess the products of restricted
experiments without the approval of the Administrator. We are also
proposing to remove recombinant technology as a determining factor for
a restricted experiment. This is because the current regulations
regarding restricted experiments focus solely on the use of recombinant
technology in the generation of drug resistant select agents or
biosynthesis of toxins lethal to vertebrates. Since synthetic DNA or
other methods (e.g., selection in sublethal exposures) may also be used
to generate such products, we are proposing to expand the category of
restricted experiments to include passive selection, recombinant, and
synthetic DNA. Finally, we are proposing to add language in order to
clarify the requirement that all experiments involving the creation of
drug resistant select agents must be submitted to the Select Agent
Program for approval.
Additionally, we are proposing to specify in 7 CFR 331.14 and 9 CFR
121.14 that each entity's incident response plan be based upon a site-
specific risk assessment. This change would further ensure the
specificity and quality of the plan. In addition, we are proposing that
the incident response procedures contain stipulations concerning
animals and plants accidentally or intentionally exposed to or infected
with a select agent. This change would provide specific guidance and
further elaborate our requirements for incident response plans.
We are proposing to amend the regulations in 7 CFR 331.15 and 9 CFR
121.15, which concern provision of mandatory training for staff and
visitors who work in or visit areas where select agents or toxins are
handled or stored. We are proposing to require all registered entities
to provide security awareness and incident response training. This is
in addition to the existing training requirements, which are concerned
with biocontainment and security practices in the case of PPQ select
agents, and biosafety and security practices in the case of VS select
agents. We are also proposing to establish that training for escorted
personnel would be based on the risk associated with accessing areas
where select agents and toxins are used and/or stored. Currently,
refresher training is required to be provided once a year. We are
proposing to require that such training also be provided if a
registered entity's security, incident response, biosafety, or
biocontainment plans are substantively altered. Finally, we are
proposing to specify that the responsible official ensure maintenance
of training records. Currently there is no particular person designated
as the entity's required record keeper, only that a training record
must be kept. The above changes are necessary in order to provide
clarity and ease of use to the regulations.
We are proposing to amend the regulations in 7 CFR 331.16 and 9 CFR
121.16, which concern the transfer of select agents and toxins from one
registered entity to another. The proposed additions would serve to
codify practices for shipping, receiving, and storage of select agents
and toxins and ensure that all registered entities have documented
processes for securing and monitoring the shipment, receipt, and
storage of select agents and toxins that make it extremely unlikely
that such materials would be made available to an unauthorized
individual.
The regulations in 7 CFR 331.17 and 9 CFR 121.17 concern required
recordkeeping procedures for regulated entities as those records relate
to select agents and toxins. We are proposing to add language to
address synthetic select agent organisms and animals and plants
inoculated with select agents. This change would improve oversight of
the select agent program as it relates to synthetic select agent
organisms. We are also proposing to add recordkeeping requirements
whereby regulated entities maintain an accurate, current inventory of
any animals or plants intentionally or accidentally exposed to or
infected with a select agent (including number and species, location,
and appropriate disposition). As previously stated, we are not
proposing to require regulated entities to keep records regarding
animals or plants exposed to select toxins.
We are proposing to amend the regulations in 7 CFR 331.19, which
concern requirements for notification of theft, loss, or release of
select agents. Specifically, we are proposing to remove paragraph
(b)(1)(vi), which states that an individual entity must report certain
information to APHIS or CDC immediately upon discovery of a release of
a select agent or toxin outside of the primary barriers of the
biocontainment area. Currently we require that the number of
individuals potentially exposed at the entity be reported. We are
proposing to remove this requirement as PPQ select agents and toxins do
not pose a severe threat to human health and, therefore, it is
unnecessary to address personnel safety and health in the same manner
as they are addressed in the VS regulations. The notification
requirements in 9 CFR 121.19 would remain unchanged.
The regulations in 7 CFR 331.20 and 9 CFR 121.20 concern the
guidelines for administrative review of an individual's or entity's
denial, revocation, or suspension of registration and access approval.
We are proposing to modify the current regulations in order to allow
individuals more time to gather the necessary components of their
appeal following the denial, limitation, or
[[Page 61234]]
revocation of access approval. Currently, this process must be
completed in 30 calendar days. We are proposing to extend the deadline
to 180 calendar days. This change is necessary because, thus far, all
appeal requests from individuals regarding their access approval have
been received after the 30-day deadline has passed. Because of specific
program procedures, these individuals receive no advance notice of a
denial, limitation, or revocation of their access approval. Given this
situation and the requirements for submitting a formal appeal, we
believe it is appropriate to extend the deadline in order to allow
individuals to gather the necessary background data for their appeals.
We are not proposing to grant a similar extension for entities which
have had their registration denied, revoked, or suspended, as these
entities typically have had advance notice of such a determination and
are thus able to document and prepare their appeals within the existing
30-day timeframe.
Given that we are reorganizing 7 CFR 331.20 and 9 CFR 121.20 in
order to more clearly spell out the way in which an individual or an
entity may appeal the denial, revocation, or suspension of registration
and access approval, we are also proposing to remove footnote 9 from
the regulations in 7 CFR 331.20 and corresponding footnote 15 in 9 CFR
121.20. This proposed change is necessary because these footnotes would
offer redundant information concerning the appeals process in light of
both sections' reorganization. Finally, we are proposing to remove the
provision stating that a request for review of a denial, limitation, or
revocation of access approval will be forwarded to the Attorney General
by the Administrator for further review. Forwarding a request for
review to the Attorney General describes an internal process. This
proposed change is necessary because the current language implies a
level of decisionmaking on the part of the Attorney General that does
not exist and the change would more clearly establish that the decision
to grant access approval rests solely with the Administrator.
Guidance Documents
We are specifically requesting comment from the regulated community
and any other interested persons on the need for and desirability of
guidance documents that would serve to assist regulated entities in
preparation of the elements that comprise various aspects of the select
agent regulations.
The areas where such guidance documents may be useful include, but
are not limited to:
1. Aspects of the required security plan. These may include, but
are not limited to:
Provisions for information security;
Development of suitability or personnel reliability
practices, including pre-access and ongoing assessment of persons who
will have access to Tier 1 select agents or toxins;
Procedures for the method by which an entity's responsible
official will coordinate his or her efforts with the entity's safety
and security professionals to ensure security of Tier 1 select agents
or toxins;
Development of a self- and peer-reporting program to track
incidents or conditions that could affect an individual's ability to
safely access or work with Tier 1 select agents and toxins; and
Layered protection of assets for entities housing Tier 1
select agents and toxins.
2. Aspects of the required biosafety plan, e.g., components of an
occupational health program for individuals with access to Tier 1
select agents and toxins; and
3. Aspects of the required training, e.g., best practices for
development of a security awareness training program.
We welcome public comment on Web sites, articles, or other sources
that may be used to develop such guidance documents, in addition to
suggestions as to what elements should be included as useful examples.
These documents would serve as a resource to the regulated community as
a whole.
Executive Orders 12866 and 13563 and Regulatory Flexibility Act
This proposed rule has been determined to be significant for the
purposes of Executive Order 12866 and, therefore, has been reviewed by
the Office of Management and Budget.
We have prepared an economic analysis for this rule. The economic
analysis provides a cost-benefit analysis, as required by Executive
Orders 12866 and 13563, and an initial regulatory flexibility analysis
that examines the potential economic effects of this proposed rule on
small entities, as required by the Regulatory Flexibility Act. The
economic analysis is summarized below. Copies of the full analysis are
available by contacting the person listed under FOR FURTHER INFORMATION
CONTACT or on the Regulations.gov Web site (see ADDRESSES above for
instructions for accessing Regulations.gov).
Based on the information we have, there is no reason to conclude
that adoption of this proposed rule would result in any significant
economic effect on a substantial number of small entities. The entities
are those laboratories and other institutions conducting research and
related activities entities in possession of Tier 1 select agents or
toxins, and, to a somewhat lesser extent, those entities possessing the
newly added select agents and toxins. The economic analysis presents
categories and information from the Department of Commerce and the
Small Business Administration for those entities we have identified as
most likely to be affected by this rule. While we believe affected
entities are contained within these categories, we are seeking further
information regarding how many entities fall specifically into each
category, and are therefore, inviting comments on potential effects. In
particular, we are interested in determining the number and kind of
small entities that may incur benefits or costs from the implementation
of this proposed rule.
This proposed rule would update the APHIS, CDC, and overlap select
agent and toxin lists. The regulation of select agents and toxins is
intended to prevent their misuse and thereby reduce the potential for
those pathogens to harm humans, animals, animal products, plants or
plant products in the United States. Should any select agent or toxin
be intentionally or unintentionally released into the environment, the
consequences would be significant. Consequences could include
disruption of markets, difficulties in sustaining an adequate food and
fiber supply, and the potential spread of disease infestations over
large areas. The entities most likely to be affected by this rule would
be those laboratories and other institutions conducting research and
related activities that involve the use of the newly categorized Tier 1
select agents and toxins. The impact of the changes to the regulations
is expected to be minimal, however. Based on information obtained
through site-specific inspections, indications are that very few
entities would incur significant costs for compliance. Many of the
proposed changes to the regulations would impose an added cost of the
time spent on documenting measures already required for compliance,
with respect to security, biocontainment/biosafety, and incident
response plans, information security, and ongoing background checks.
While the total costs imposed by the proposed regulations are estimated
to range between $5.30 million and $6.95 million, including costs to
government, we believe many of these costs are incurred through
observance of
[[Page 61235]]
generally recognized industry standards. Costs actually incurred would
depend upon the extent to which current facility practices will need to
be enhanced based on the proposed requirements. The expected benefits
of strengthened safeguards against the costs associated with
unintentional or deliberate release of select agents or toxins would
greatly exceed the estimated costs of the proposed measures. The cost
associated with a single outbreak have been known to exceed $100
million as outlined in the Regulatory Impact Analysis. Deliberate
introduction greatly increases the probability of a select agent or
toxin becoming established and causing wide-ranging and devastating
impacts on an economy, loss of market access for consumer goods and
services, disruption to society, and diminished confidence in public
and private institutions.
Executive Order 12372
This program/activity is listed in the Catalog of Federal Domestic
Assistance under No. 10.025 and is subject to Executive Order 12372,
which requires intergovernmental consultation with State and local
officials. (See 7 CFR part 3015, subpart V.)
Executive Order 12988
This proposed rule has been reviewed under Executive Order 12988,
Civil Justice Reform. If this proposed rule is adopted: (1) All State
and local laws and regulations that are inconsistent with this rule
will be preempted; (2) no retroactive effect will be given to this
rule; and (3) administrative proceedings will not be required before
parties may file suit in court challenging this rule.
Paperwork Reduction Act
In accordance with section 3507(d) of the Paperwork Reduction Act
of 1995 (44 U.S.C. 3501 et seq.), the information collection or
recordkeeping requirements included in this proposed rule have been
submitted for approval to the Office of Management and Budget (OMB).
Please send written comments to the Office of Information and
Regulatory Affairs, OMB, Attention: Desk Officer for APHIS, Washington,
DC 20503. Please state that your comments refer to Docket Nos. APHIS-
2009-0070 and CDC-2011-0012. Please send a copy of your comments to:
(1) Docket Nos. APHIS-APHIS-2009-0070 and CDC-2011-0012, Regulatory
Analysis and Development, PPD, APHIS, Station 3A-03.8, 4700 River Road
Unit 118, Riverdale, MD 20737-1238, and (2) Clearance Officer, OCIO,
USDA, room 404-W, 14th Street and Independence Avenue, SW., Washington,
DC 20250. A comment to OMB is best assured of having its full effect if
OMB receives it within 30 days of publication of this proposed rule.
The Bioterrorism Preparedness Act is designed to prevent, prepare
for and respond to bioterrorism and other public health emergencies.
The law requires individuals possessing agents or toxins deemed a
severe threat to human, animal, or plant health, or to animal or plant
products, to be registered with the Secretary of Agriculture or the
Secretary of Health and Human Services, unless they have been
specifically exempted.
This proposed rule entails the use of a number of separate forms
designed to obtain critical information concerning individuals or
entities in possession of certain agents or toxins, as well as the
specific characteristics of the agents or toxins--including name,
strain, and genetic information. This data is needed, in part, to allow
APHIS and CDC to determine the biosafety level of an entity as well as
the entity's biosecurity situation. This, in turn, helps APHIS and CDC
ensure that appropriate safeguard, containment, and disposal
requirements commensurate with the risk of the agent or toxin are
present at the entity, thus preventing access to such agents and toxins
for use in domestic or international terrorism. Facilities containing
select agents will be required to maintain records on animals and
plants, and revise their Biosafety/Biocontainment Plan and Incident
Response Plan for review by APHIS and CDC upon request.
Information to determine that individuals seeking to register have
a lawful purpose to possess, use, or transfer agents or toxins will
also be requested as part of the registration process. In addition, we
will be requesting submission of their Security Plan for our review.
APHIS and CDC are asking OMB to approve, for 3 years, the use of
these information collections, associated with its efforts to more
closely regulate select agents or toxins that could be used to commit
acts of domestic or international terrorism. We are soliciting comments
from the public (as well as affected agencies) concerning this
information collection activity. APHIS and CDC need this outside input
to help accomplish the following:
(1) Evaluate whether the proposed information collection is
necessary for the proper performance of our agency's functions,
including whether the information will have practical utility;
(2) Evaluate the accuracy of our estimate of the burden of the
proposed information collection, including the validity of the
methodology and assumptions used;
(3) Enhance the quality, utility, and clarity of the information to
be collected; and
(4) Minimize the burden of the information collection on those who
are to respond (such as through the use of appropriate automated,
electronic, mechanical, or other technological collection techniques or
other forms of information technology; e.g., permitting electronic
submission of responses).
Estimate of burden: Public reporting burden for this collection of
information is estimated to average 2.3187883 hours per response.
Respondents: Researchers, universities, research and development
organizations, commercial manufacturers, non-profit institutions,
diagnostic laboratories and other interested parties who possess, use,
or transfer agents or toxins deemed a severe threat to human, animal or
plant health, or to animal or plant products.
Estimated annual number of respondents: 386.
Estimated annual number of responses per respondent: 12.230569.
Estimated annual number of responses: 4,721.
Estimated total annual burden on respondents: 10,947 hours. (Due to
averaging, the total annual burden hours may not equal the product of
the annual number of responses multiplied by the reporting burden per
response.)
----------------------------------------------------------------------------------------------------------------
Average
Number of Number of burden per Total burden
Section Form name respondents responses per response (in hours
respondent hours)
----------------------------------------------------------------------------------------------------------------
9 CFR 121.5 and 6, 7 CFR Report of 161 3 1 299
331.5, 43 CFR 73.5 and 6. Identification
of a Select
Agent or Toxin.
Sec. 121.7, Sec. 331.7, Application for 7 1 5 35
Sec. 73.7. Registration.
Sec. 121.7, Sec. 331.7, Amendment to a 380 7 1 1,955
Sec. 73.7. Certificate of
Registration.
[[Page 61236]]
Sec. 121.11, Sec. 331.11, Security Plan... 380 1 5 1,900
Sec. 73.11.
Sec. 121.12, Sec. 331.12, Biosafety/ 380 1 8 3,040
Sec. 73.12. Biocontainment
Plan.
Sec. 121.13, Sec. 331.13, Request 160 1 2 320
Sec. 73.13. Regarding a
Restricted
Experiment.
Sec. 121.14, Sec. 331.14, Incident 380 1 5 1,900
Sec. 73.14. Response Plan.
Sec. 121.15, Sec. 331.15, Training........ 380 1 1 380
Sec. 73.15.
Sec. 121.16, Sec. 331.16, Request to 290 1 2 580
Sec. 73.16. Transfer Select
Agents and
Toxins.
Sec. 121.17, Sec. 331.17, Records......... 295 1 0.5 148
Sec. 73.17.
Sec. 121.19, Sec. 331.19, Notification of 195 1 2 390
Sec. 73.19. Theft, Loss, or
Release.
----------------------------------------------------------------------------------------------------------------
Copies of this information collection can be obtained from Mrs.
Celeste Sickles, APHIS' Information Collection Coordinator, at (301)
851-2908.
E-Government Act Compliance
The Animal and Plant Health Inspection Service is committed to
compliance with the E-Government Act to promote the use of the Internet
and other information technologies, to provide increased opportunities
for citizen access to Government information and services, and for
other purposes. For information pertinent to E-Government Act
compliance related to this proposed rule, please contact Mrs. Celeste
Sickles, APHIS' Information Collection Coordinator, at (301) 851-2908.
List of Subjects
7 CFR Part 331
Agricultural research, Laboratories, Plant diseases and pests,
Reporting and recordkeeping requirements.
9 CFR Part 121
Agricultural research, Animal diseases, Laboratories, Medical
research, Reporting and recordkeeping requirements.
Accordingly, we propose to amend 7