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>From Scientific American at:

http://www.sciam.com/1999/0799issue/0799weiner.html

Genetic Vaccines

Vaccines crafted from genetic material might one day prevent
AIDS, malaria and other devastating infections that defy current
immunization technologies. They may even help treat cancer

by David B. Weiner and Ronald C. Kennedy



Vaccines arguably constitute the greatest achievement of modern
medicine.  They have eradicated smallpox, pushed polio to the
brink of extinction and spared countless people from typhus,
tetanus, measles, hepatitis A, hepatitis B, rotavirus and other
dangerous infections. Successful vaccines have yet to be
introduced, however, for too many deadly or debilitating
disorders--among them, malaria, AIDS, herpes and hepatitis C.
This gap exists because standard immunization methods work poorly
or pose unacceptable risks when targeted against certain
illnesses.

Clearly, alternate strategies are needed. One of the most
promising creates vaccines out of genetic material, either DNA or
RNA. In the past 10 years such vaccines have progressed from a
maligned idea to entities being studied intensively in academia
and industry and in early human trials.

Vaccines at Work

The merits of genetic immunization become most apparent when the
actions of traditional vaccines are understood. Traditional
preparations consist primarily of a killed or a weakened version
of a pathogen (disease-causing agent) or of some piece (subunit)
of the agent. As is true of most genetic vaccines under study,
standard types aim to prime the immune system to quash dangerous
viruses, bacteria or parasites quickly, before the pathogens can
gain a foothold in the body. They achieve this effect by tricking
the immune system into behaving as if the body were already beset
by a microorganism that was multiplying unabated and damaging
tissues extensively.

When responding to a real infection, the immune system homes in
on foreign antigen--substances (usually proteins or protein
fragments)  that are produced uniquely by the causative agent and
not by a host.  Two major arms can come into play, both of which
receive critical help from white blood cells known as helper T
lymphocytes. The humoral arm, led by B lymphocytes, acts on
pathogens that are outside cells. These B cells secrete antibody
molecules that latch onto infectious agents and thereby
neutralize them or tag them for destruction by other parts of the
immune system. The cellular arm, spearheaded by cytotoxic
(killer) T lymphocytes, eradicates pathogens that colonize cells.
Infected cells display bits of their attacker's proteins on the
cell surface in a particular way. When cytotoxic T lymphocytes
"see" those flags, they often destroy the cells--and the
infiltrators within.

Beyond eliminating invaders, activation of the immune system
against a specific pathogen leads to the creation of memory cells
that can repel the same pathogens in the future. Vaccines confer
protection by similarly inducing immune responses and the
consequent formation of memory cells.

But standard vaccines vary in the kind and duration of security
they provide. Those based on killed pathogens (such as the
hepatitis A and the injected, or Salk, polio vaccines) or on
antigens isolated from disease-causing agents (such as the
hepatitis B subunit vaccine)  cannot make their way into cells.
They therefore give rise to primarily humoral responses and do
not activate killer T cells. Such responses are ineffective
against many microorganisms that infiltrate cells. Also, even
when nonliving preparations do block disease, the protection
often wears off after a time; consequently, recipients may need
periodic booster shots.

Attenuated live vaccines, usually viruses, do enter cells and
make antigens that are displayed by the inoculated cells. They
thus spur attack by killer T lymphocytes as well as by
antibodies. That dual activity is essential for blocking
infection by many viruses and for ensuring immunity when
investigators do not know whether a humoral immune response would
be sufficient by itself. What is more, live vaccines--such as the
measles, mumps, rubella, oral polio (Sabin)  and smallpox
types--frequently confer lifelong immunity. For those reasons,
they are considered the "gold standard" of existing vaccines.

Live vaccines can be problematic in their own way, however. Even
they can fail to shield against some diseases. Those that work
can cause full-blown illness in people whose immune system is
compromised, as in cancer patients undergoing chemotherapy, AIDS
sufferers and the elderly.  Such individuals may also contract
disease from healthy people who have been inoculated recently.
Moreover, weakened viruses can at times mutate in ways that
restore virulence, as has happened in some monkeys given an
attenuated simian form of HIV, the virus that causes AIDS. For
some diseases, the risks of reversion to virulence are
intolerable.

Whole-organism vaccines, whether live or dead, have other
drawbacks as well. Being composed of complete pathogens, they
retain molecules that are not involved in evoking protective
immunity. They can also include contaminants that are unavoidable
by-products of the manufacturing process. Such extraneous
substances sometimes trigger allergic or other disruptive
reactions.

The Best of All Worlds

Genetic vaccines are quite different in structure from
traditional ones. The most studied consist of plasmids--small
rings of double- stranded DNA originally derived from bacteria
but totally unable to produce an infection.  The plasmids used
for immunization have been altered to carry genes specifying one
or more antigenic proteins normally made by a selected pathogen;
at the same time, they exclude genes that would enable the
pathogen to reconstitute itself and cause disease.

The vaccines usually are delivered by injection or by a device
known as a gene gun. Injection, commonly into muscle, puts genes
directly into some cells and also leads to uptake by cells in the
vicinity of the inserted needle.  The gene gun propels plasmids
into cells near the surface of the body--typically those of the
skin or mucous membranes. Once inside cells, some of the
recombinant plasmids make their way to the nucleus and instruct
the cell to synthesize the encoded antigenic proteins. Those
proteins can elicit humoral (antibody-type) immunity when they
escape from cells, and they can elicit cellular (killer-cell)
immunity when they are broken down and properly displayed on the
cell surface (just as occurs when cells harbor an active
pathogen).

Such features raise hopes that, once perfected for use in people,
DNA vaccines will preserve all the positive aspects of existing
vaccines while avoiding their risks. In addition to activating
both arms of the immune system, they will be unable to cause
infection, because they will lack the genes needed for a
pathogen's replication.  As a bonus, they are easy to design and
to generate in large quantities using now commonplace recombinant
DNA technology, and they are as stable as other vaccines (perhaps
more so) when stored.  They should therefore be relatively
inexpensive to manufacture and to distribute widely. Further,
because they can be engineered to carry genes from different
strains of a pathogen, they can potentially provide immunity
against several strains at once, something that should be very
helpful when the microorganism is highly variable, as in the case
of influenza viruses and HIV.

Some investigators are testing vaccines composed of RNA, a
single- stranded relative of DNA. RNA in cells leads readily to
synthesis of any encoded proteins. RNA, however, is less stable
than DNA, a property that can be problematic for vaccine
manufacture and distribution. These difficulties are probably
surmountable.  Nevertheless, because RNA vaccines have been
studied much less extensively than the DNA types, we will
concentrate our discussion on DNA vaccines.

Lemonade from Lemons

The idea that genes might serve as vaccines grew in part out of
research begun almost half a century ago. In the 1950s and 1960s
experiments unrelated to vaccine development showed that delivery
of genetic material into an animal's cells could trigger some
synthesis of the encoded proteins as well as of antibodies
targeted against those proteins. Thereafter, workers occasionally
assessed antibody manufacture as an easy way to demonstrate that
a given gene was generating a protein.

In the 1970s and early 1980s the ability of inserted genes to
prompt an immune response gained attention from other
researchers, this time as a disappointing phenomenon. Scientists
trying to develop gene therapy (the delivery of genes to correct
inherited and other disorders) noted that proteins made from
therapeutic genes were sometimes destroyed in animals receiving
the genes. The reason: an immune reaction to unfamiliar proteins.

By the early 1990s a handful of laboratories had begun exploring
whether the unwanted immune responses to the protein products of
foreign genes might be put to good use--for vaccination. Many
others were dubious at first, skeptical, for instance, that the
immunity elicited would be strong enough to spare people from
infection by a living pathogen.

Yet in 1992 a cluster of animal studies done by independent
groups demonstrated resoundingly that the concept was sound.
Those groups included teams led by Stephen A. Johnston of the
University of Texas Southwestern Medical Center in Dallas; by
Philip Felgner of Vical in San Diego and Margaret Liu, then at
Merck in West Point, Pa.; by Harriet L. Robinson, then at the
University of Massachusetts; and by one of us (Weiner) at the
University of Pennsylvania.

Collectively, those studies and a host of others conducted over
the next few years revealed that DNA vaccines delivered into
cells could stimulate the immune system of rodents and primates
to generate B cell, cytotoxic T cell and helper T cell responses
against many different pathogens and even against certain
cancers. The research showed as well that immune responses and
disease protection could be elicited when different routes of
administration were used. The responses, moreover, could be
enhanced by a variety of methods for facilitating DNA uptake by
cells.

Since the mid-1990s many more researchers have turned their
attention to DNA vaccines, and the technology has advanced to the
first rung of human trials, focused on safety. The earliest trial
began in 1995, when plasmids containing HIV genes were delivered
to patients already infected by that virus. Bigger trials
initiated in 1996 made history in another way. For the first
time, physicians put new genes (coding for HIV or influenza
proteins) into healthy people, instead of into those afflicted by
some disorder.

So far human tests are examining vaccines designed to prevent
various infections (by HIV, herpes, influenza, hepatitis B and
Plasmodium-- the parasite responsible for malaria), to bolster
the impaired immunity of patients already infected with HIV and
to treat a number of cancers (among them lymphomas and
malignancies of the prostate and colon).  Although cancer is not
an infectious disease, much evidence indicates that harnessing
the body's immune defenses may help combat it.

The safety trials ask such questions as, are the plasmids toxic,
and does DNA delivered as a drug incite an immune response
against the body's own DNA? Encouragingly, the studies have not
identified any serious side effects to date.

Such trials do not assess disease prevention or amelioration, but
many are monitoring the vaccines' effects on the immune system.
Preliminary findings hint that useful immune responses can be
achieved. Notably, HIV vaccines have generated both humoral and
cellular responses; plasmids bearing Plasmodium antigens have
evoked significant cellular immune responses; and a vaccine
against hepatitis B has resulted in levels of antibodies that
should be high enough to prevent infection. In common with
traditional vaccines, though, current genetic approaches will
probably have to be combined in many cases with generalized
immune stimulators (adjuvants) in order to elicit the strong
immune responses required to shield recipients from future
infections.

How Do the Vaccines Work?

As clinical trials continue, bench scientists are seeking deeper
insight into exactly how genetic immunization stimulates
immunity, especially by the often crucial cellular arm of the
defensive system.  A detailed understanding should offer clues to
enhancing effectiveness.

In truth, for many years immunologists faced a paradox. DNA
vaccines obviously activated killer T cells. Yet simply putting
DNA into skin or muscle cells and prompting those cells to
display fragments of the encoded antigens should not have
produced that outcome. Before such display can activate cytotoxic
T cells, the killers must be primed, or switched on, in part by
interacting in a specific way with what are called "professional"
antigen-presenting cells. In particular, the T cells must bind to
the same antigenic fragments they will detect on inoculated
nonimmune cells (such as muscle) and, simultaneously, to a
second, co-stimulatory molecule (a "second signal") ordinarily
found only on antigen-presenting cells.

At one time, biologists thought DNA vaccines had no way of
getting into antigen-presenting cells and therefore that those
cells had no way of synthesizing and displaying the antigens
encoded by those vaccines. Recent discoveries by several groups
have shown, however, that the original view was mistaken. Some of
the plasmids do in fact make their way into professional antigen-
presenting cells. These cells then display antigensalongside the
critical co-stimulatory molecules and help to prepare the T cells
for action [see illustration on next two pages]. Such findings
indicate that to induce a powerful cellular immune response, DNA
vaccines must be delivered in a way that will yield good uptake
by antigen-presenting cells, not only by other cell types.

Separate work suggests that the plasmid DNA surrounding antigenic
genes is more than a mere gene-delivery vehicle; it strengthens
the immune response evoked by the antigens. This effect
apparently stems from the high frequency of CG sequences in
plasmids. Each strand in the DNA double helix is built from units
called nucleotides that are distinguished by the bases they
contain--either adenine (A), cytosine (C), guanine (G) or thymine
(T). Plasmid DNA, derived from bacteria, has a greater frequency
of CG sequences than does the DNA in vertebrates. Moreover, the
CG units in bacterial plasmids tend to have no methyl group
attached, whereas those in vertebrates generally are methylated.

Investigators have proposed that the vertebrate body interprets a
high frequency of unmethylated CG pairs as a danger signal. In
response, a relatively primitive part of the immune system (one
not dependent on antigen recognition) attempts to destroy or wall
off the foreign intruder.

Engineering for Optimal Effect

A long with analyzing the natural behavior of genetic vaccines in
the body, immunologists are looking ahead, exploring ideas for
increasing overall immune reactivity and for optimizing the ratio
of cellular to humoral responses. One proposal for amplifying
responsiveness has emerged from studying the DNA around CG
sequences.Researchers have demonstrated that plasmid DNA yields
the most potent immune response when CG sequences are flanked by
two purines (adenine or guanine) to their "C" side and two
pyrimidines (thymine or cytosine) to their "G"  side. In mice,
plasmids containing such "immunostimulatory sequences"  induced
more vigorous antibody and cytotoxic T cell activity than did an
otherwise identical vaccine. Hence, increasing the number of
immunostimulatory sequences in plasmids might well amplify the
immunogenicity of the antigenic codes in a DNA vaccine.

A different approach is incorporating genes for signaling
molecules called cytokines into antigen-carrying plasmids or into
separate plasmids. Cells of the immune system release these
molecules to regulate their own, and one another's, activities.
As an example, a molecule named granulocyte-macrophage
colony-stimulating factor stimulates the proliferation of
antigen-presenting cells, among other actions. Inclusion of its
gene has been shown to boost overall responses to DNA vaccines.

To ensure that genetic vaccines trigger a strong cellular
response when needed, researchers are experimenting specifically
with genes for cytokines that are known to promote killer-cell
activity. In mice, scientists have found that helper T cells
called Th1 cells secrete cytokines that favor cellular responses
at the expense of humoral (antibody) ones, whereas other helper
cells (Th2 cells)  secrete cytokines that favor humoral activity.
In humans, helper T cells seem to come in more varieties, but a
preponderance of Th1-type cytokines still promotes a cellular
response, and a preponderance of Th2-type cytokines stimulates a
humoral response.

One such project showed that a vaccine including genes for HIV
antigens and for interleukin-12 (a classic Th1 cytokine) reduced
production of anti-HIV antibodies in mice and markedly enhanced
the responsiveness of cytotoxic T cells to HIV antigens. This
bias toward a cellular response is particularly encouraging,
because recent findings by HIV researchers indicate that a potent
killer T cell response to HIV is critically important for
combating HIV replication.

Genes for substances known as chemokines might be incorporated as
well.  Chemokines are small molecules that attract both antigen-
presenting cells and T cells to damaged or infected tissues. Like
cytokines, these substances differ in the mix of cells on which
they act and in the precise effects they exert. As their
individual actions are better understood, carefully combining
specific chemokine genes with selected cytokine genes could go
far toward customizing both the type and the extent of immune
responses elicited.

DNA vaccines could in theory even sidestep the need for classical
antigen-presenting cells to prime cytotoxic T cells. If a gene
for an antigen were bundled with a gene for a co-stimulatory
molecule normally made by an antigen-presenting cell, then
inoculated skin, muscle or other cells would themselves display
both the antigen and the crucial "second signal," thereby
facilitating both the priming and the activation of cytotoxic T
cells.

Getting from Here to There

If first-generation genetic vaccines do well in clinical trials,
they may sometimes be combined initially with more traditional
vaccines to achieve even better effects. Let us say, for example,
that a subunit vaccine (consisting of a protein) evoked a good
antibody response against a pathogen but that a cellular response
was needed as well.  Meanwhile a new DNA vaccine proved able to
induce a cellular response but did not excite an ideal antibody
response. In a so-called prime- boost strategy, physicians might
deliver the DNA vaccine and then boost the antibody response by
later delivering the subunit vaccine as well. Eventually, though,
as vaccine makers learn how to optimize responses to genetic
immunization (such as through the techniques described above),
manufacturers may be able to achieve the needed effects by
constructing genetic vaccines alone.

As the exciting, futuristic possibilities of genetic immunization
are being considered, those of us who are captivated by this
technology also have to roll up our sleeves and grapple with a
great many details. For instance, most DNA vaccines stop yielding
much protein after about a month.  Would finding a way to extend
plasmid survival lead to stronger immunity, or would it backfire
and encourage attacks against unvaccinated, healthy tissue? How
long does immunity last in human beings? How much do people vary
in their responses? Which doses are most effective and what kinds
of delivery schedules are best? We also need to know which
substances are most useful for targeting genetic material to
specific cells (including to antigen-presenting cells) and for
enhancing the cellular uptake of plasmids. And which genes, out
of the sometimes thousands, in a given pathogen should be
selected for maximal power?

Clinical trials answering these questions and assessing the
effectiveness of the first generation of DNA vaccines may not be
completed for five or 10 years. Whether those specific versions
reach the market, though, genetic immunization technologies are
likely to prove extremely valuable for research into the basic
biology of the immune response and for the design of even better
vaccines.

Vaccine makers today often have little idea of which components
of the immune system need to be activated most strongly against a
given pathogen and which antigens and other substances can
achieve that stimulation. Now, however, they can readily mix and
match antigenic and other genes (such as those for cytokines and
chemokines) in experimental DNA vaccines and compare the success
of different combinations in small animals quite quickly. In that
way, they can simultaneously gain a handle on the immune
responses that are needed for protection and on the antigens and
other proteins that can generate them. As part of this testing,
some researchers are creating "libraries" of a pathogen's genes;
an individual library contains every gene in the organism, with
each gene spliced into its own plasmid. They then deliver subsets
of such libraries to animals, which are also exposed to the live
pathogen. Next, they identify the subsets that work best, further
subdivide the groups and do more testing, until the most useful
mix of antigens emerges.

As the years go by, the inherent manipulability of DNA should
make it a vehicle of choice for teasing apart the body's complex
immune responses to different disease-causing agents. With such
information in hand, vaccine makers should be able to design
vaccines that will channel immune responses down selected
pathways. In the past, manufacturers had no way to custom-tailor
their products easily and inexpensively. In the future, such
"rationally" designed genetic vaccines are likely to provide new
immune therapies for cancer and powerful ways to prevent or
minimize any number of devilish infections that elude human
control today.


Further Reading

Heterologous Protection against Influenza by Injection of DNA
Encoding a Viral Protein:J. B. Ulmer et al. in Science, Vol. 259,
pages 1745-1749; March 19, 1993.

Protection against Mycoplasma Infection Using Expression-Library
Immunization: M. A. Barry, W. C. Lai and S. A. Johnston in
Nature, Vol. 377, pages 632-635; October 19, 1995.

Immunostimulatory DNA Sequences Function as T Helper-I-Promoting
Adjuvants:Roman et al. in Nature Medicine, Vol. 3, No. 8, pages
849-854; August 1997.

Modulating the Immune Response to Genetic Immunization: Boyer and
David B. Weiner in FASEB Journal, Vol. 12, No. 15, pages
1611-1626; December 1998.

Neutralizing Antibody-Independent Containment of Immunodeficiency
Virus Challenges by DNA Priming and Recombinant Pox Virus Booster
Immunizations: Harriet L. Robinson et al. in Nature Medicine,
Vol. 5, No. 5, pages 526-534; May 1999.


The Author

DAVID B. WEINER and RONALD C. KENNEDY have each contributed
significantly to the development of genetic vaccines.  Weiner, a
pioneer in the study of antiviral DNA vaccines, is associate
professor of pathology and laboratory medicine and a member of
the Institute of Human Gene Therapy at the University of
Pennsylvania.  Kennedy, professor of microbiology and immunology
and of obstetrics and gynecology at the University of Oklahoma
Health Sciences Center, studies genetic vaccines against cancer
as well as those targeted against infectious agents.


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