General Procedures for
Safety Tests on Carbon
Nanomaterials
Procedures for Sample Preparation,
Characterization, In Vitro Cell-Based Assays,
and Animal Tests on Carbon Nanomaterials
2017

Technology Research Association for Single Wall Carbon Nanotubes (TASC)
Research Institute of Science for Safety and Sustainability (RISS), National Institute ofAdvanced Industrial Science and Technology (AIST)

This document is based on the results obtained as part of a project commissioned by the New Energy
and Industrial Technology Development Organization (NEDO), "Innovative carbon nanotubes
composite materials project toward achieving a low-carbon society (P10024)".

General Procedures for Safety Tests on Carbon Nanomaterials
Procedures for Sample Preparation, Characterization, In Vitro CellBased Assays, and Animal Tests on Carbon Nanomaterials

2017

Technology Research Association for Single Wall Carbon Nanotubes (TASC)
Research Institute of Science for Safety and Sustainability (RISS), National Instituteof Advanced Industrial Science and Technology (AIST)

Change record

1.

Date of issue of first edition:

October 10, 2017

This document is based on the results obtained as part of a project commissioned by
the New Energy and Industrial Technology Development Organization (NEDO),"Innovative carbon nanotubes composite materials project toward achieving a lowcarbon society (P10024)".

PREFACE
The development of industrial products that are prepared using carbon nanomaterials such as carbon nanotubes(CNTs) and graphene, as well as their application to information technology and communications, theenvironment, energy, and the like are being pursued on a global scale. The Technology Research Association forSingle Wall Nanotubes (TASC), and National Institute of Advanced Industrial Science and Technology (AIST),
have been engaged in basic research as well as application and utilization development aimed at the practicalimplementation of single-wall nanotubes (SWCNTs) and graphene, through projects established by the New
Energy and Industrial Technology Development Organization (NEDO), a national research institute.
On the other hand, there are increasing concerns regarding possible harmful effects that were not an issue inthe past, these being a result of physical characteristics such as the ultrafine sizes and shapes of the carbon
nanomaterials. It is imperative that business operators implement voluntary safety controls based on preventive
concepts, given the current conditions in which rapid technical innovations are appearing and while safety-related
knowledge is still being pursued. Assistance provided by public research institutions for voluntary safety control
to be implemented by business operators is considered necessary, since the voluntary verification of safety is noteasy. TASC and AIST have developed a simple and rapid safety evaluation method to support voluntary safetycontrol by business operators and testing laboratories that handle CNTs as part of a project established by NEDO,
that is, the "Development of Innovative Carbon Nanotube Composite Materials for a Low Carbon Emission
Society" (2010 to 2014). Subsequently, the "Sample Preparation and Characterization for Safety Testing of
Carbon Nanotubes, and in vitro Cell-based Assay" (hereinafter referred to as the "Procedures for Safety Testing")
was prepared and published in 2013. This document summarizes those procedures related to sample preparationand characterization of CNTs for safety testing, as well as in vitro testing, with the goal of aiding theimplementation of voluntary safety controls by business operators that handle CNTs as part of their business orfor research and development. The evaluation results and knowledge derived from these procedures, as
performed by TASC and AIST on SWCNTs, are listed as implementation examples.
Furthermore, previously accumulated knowledge was utilized and the subject materials were extended toinclude carbon nanomaterials, while minimal required safety evaluation standards were established with the aimof building voluntary safety assessment procedures that include data supplementation through animal testing in
the project established by NEDO, named the "Innovative Carbon Nanotubes Composite Materials Project toward
Achieving a Low-Carbon Society" (2014 to 2016). This "General Procedures for Safety Tests on Carbon
nanomaterials" provides a summary of the procedures for not only the sample preparation and characterizationof carbon nanomaterials, as well as in vitro cell-based assay, but also animal testing that complements in vitro
cell-based assays. Practical applications of sample preparation and characterization, as well as in vitro cell-based
assays and animal testing on subjects other than the SWCNTs developed by TASC and AIST, such as multi-wallcarbon nanotubes (MWCNTs) and semiconducting/metallic SWCNTs and graphenes, were collected to configure
this document in such a way that it would be easy for business operators and testing laboratories to make use of
the content.
TASC has also been engaged in the development of accumulation of measurement methods for airborne carbon

nanomaterials, for locations such as work environments. Their case examples and findings were summarized andpublished as the "Guide to Evaluating Emission and Exposure of Carbon Nanomaterials (carbon nanotubes andgraphene)". Furthermore, a document containing existing information on the safety of super-growth SWCNTs,eDIPS SWCNTs, and exfoliated graphenes, information provided by AIST, as well as the evaluation results
obtained from activities conducted independently by TASC, was prepared and published as the "Case Study
Report." It is hoped that this document, that is, the "General Procedures for Safety Tests on Carbon
nanomaterials" will be used as a reference for the voluntary application of safety controls for carbon
nanomaterials, together with the "Procedures for Safety Testing," "Guide to Evaluating Emission and Exposureof Carbon Nanomaterials (carbon nanotubes and graphene)," "Guidebook for Evaluation of Carbon Nanomaterial
Emissions and Exposures," and the "Case Study Report." Furthermore, these documents are available free ofcharge for downloading at the website of the Research Institute of Science for Safety and Sustainability at AIST
(http://www.aist-riss.jp).
October 10, 2017

CONTRIBUTORS
Katsuhide Fujita*, Ph.D.

Research Institute of Science for Safety and Sustainability (RISS),
National Institute of Advanced Industrial Science and Technology(AIST). Technology Research Association for Single Wall Carbon
Nanotubes (TASC), Japan

Shigehisa Endoh, Ph.D.

Technology Research Association for Single Wall Carbon
Nanotubes (TASC), Japan

Junko Maru

Technology Research Association for Single Wall Carbon Nanotubes(TASC), Japan

Toshiya Okazaki, Ph.D.

CNT-Application Research Center, National Institute of Advanced
Industrial Science and Technology (AIST). Technology Research
Association for Single Wall Carbon Nanotubes (TASC), Japan

Naoko Tajima, Ph.D.

Technology Research Association for Single Wall Carbon
Nanotubes (TASC), Japan

Naohide Shinohara, Ph.D.

Research Institute of Science for Safety and Sustainability (RISS),
National Institute of Advanced Industrial Science and Technology(AIST). Technology Research Association for Single Wall Carbon
Nanotubes (TASC), Japan

Kanako UchinoTechnology Research Association for Single Wall Carbon
Nanotubes (TASC), Japan

Sawae Obara

Technology Research Association for Single Wall Carbon
Nanotubes (TASC), Japan

Yasuo Morimoto, M.D., Ph.D.

Institute of Industrial Ecological Sciences, University ofHiroto Izumi, M.D., Ph.D.

Institute of Industrial Ecological Sciences, University ofOccupational and Environmental Health, Japan

Occupational and Environmental Health, Japan*Editor-at-large

CONTENTS
Chapter I: Introduction

1

Katsuhide Fujita
Chapter II: Measures for Preventing Contamination and Exposure

5

Katsuhide Fujita
Chapter III: Preparation of Dispersion Liquid Samples for Carbon Nanomaterials

7

Shigehisa Endoh and Junko Maru
Chapter IV: Characterization of Dispersion Liquid Samples for Carbon Nanomaterials

18

IV-1. Evaluation of Zeta Potential

18

Shigehisa EndohIV-2. Evaluation of Particle Size and Particle Size Distributions by Dynamic Light Scattering Method

22

Shigehisa EndohIV-3. Evaluation of Particle Size and Particle Size Distribution by Differential Centrifugal Sedimentation

29

Toshiya Okazaki and Naoko Tajima
IV-4. Evaluation of Carbon Nanomaterial Concentration by Absorbance36

Shigehisa Endoh and Junko Maru
Chapter V: Analysis of Carbon Nanomaterials in Animal Tissues

43

V-1. Analysis by Ultraviolet Visible Light Absorption Spectroscopy

43

Shigehisa Endoh and Junko Maru
V-2. Carbon Analysis

51

Naohide Shinohara and Kanako Uchino
Chapter VI: In Vitro Cell-based Assays Using Dispersion Liquid Samples of Carbon Nanomaterials

58

Katsuhide Fujita and Sawae Obara
Chapter VII: Animal Testing Using Dispersion Liquid Samples of Carbon Nanomaterials

69

VII-1. Intratracheal Instillation Test

69

Yasuo Morimoto, Hiroto Izumi, and Katsuhide Fujita
VII-2. Genotoxicity Test
Katsuhide Fujita

89

Chapter I: Introduction

PurposeThis document describes the procedures for in vitro cell-based assays and those animal tests that supplement invitro cell-based assays as simple and rapid safety evaluation methods for voluntary safety controls, to be
implemented by business operators that handle carbon nanomaterials. The test procedures described in thisdocument can be applied to the health and safety management of workers in manufacturing- or processing-related
facilities handling carbon nanomaterials, regarding their effect on human health through respiratory routes, since
workers involved with the manufacturing of carbon nanomaterials are assumed to be at the highest potential riskof exposure.

Background
Carbon nanomaterials are expected to promote the development of application materials that are ultralight, verystrong, and highly functional due to their nanoscale structures. On the other hand, there are concerns regarding
their effect on the health of humans. While there have been no clear examples that prove that carbon
nanomaterials have any serious impact, it is important for business operators to voluntarily implement safetycontrols to alleviate any possible anxieties arising from the nanosizes of these materials, and to prevent rumors
from arising. The concept of such "voluntary safety control" is effective for carbon nanomaterials, given thattechnical innovations are proceeding rapidly, since business operators would lose out to international competition
if they were forced to wait for the establishment of laws and regulations pertaining to safety. Considering this ina positive light, the voluntary implementation of safety evaluations to demonstrate the safety of products canconstitute a selling point for these materials. If business operators dealing with carbon nanomaterials were toindicate their hazard evaluation information, it would reflect positively on the social responsibility of suchbusinesses (corporate social responsibility (CSR)) in response to the demands of individuals within suchbusinesses, as well as interested parties and the public at large.
How should business operators implement safety evaluations for carbon nanomaterials as part of their"voluntary safety control"? The determination of the safety of substances and the related hazards is made basedon animal tests in the case of ordinary chemical substances; however, animal tests incur substantial cost and aretime consuming. Conducting high-cost animal tests over long periods of time for each of many carbon
nanomaterials with different physical and chemical characteristics according to their applications is not realistic.
Furthermore, there is a demand for safety evaluations through simple in vitro cell-based assays that do not relyon animal tests as far as possible, based on the principle of 3R pertaining to animal testing (replacement,
reduction, and refinement).
Carbon nanomaterials shall be added to cultures in which cells are cultured during in vitro cell-based assays.
The properties of carbon nanomaterials are such that they coagulate and form coagulates in a liquid culture
medium (secondary particles) and settle directly onto the cells. The use of dispersing agents that primarily act as1

surfactants is often implemented as a means of resolving such issues, but such dispersing agents themselves areoften cytotoxic. This means that the use of dispersing agents shall be restricted, while it is extremely important
to develop a means of preparing samples by stably dispersing carbon nanomaterials, to evaluate the impact on
cells of the characteristics that are unique to carbon nanomaterials. In addition, the physiochemical
characterization of carbon nanomaterials (particle sizes, concentration, ion concentration in liquid, protein
compositions contained in cultures and additives, as well as the depletion of cell-sustaining components
associated with the absorption of inorganic salts by carbon nanomaterials) shall be conducted using appropriate
evaluation methods to not only verify whether the materials are stably dispersed but also to gain an understandingof which parameters have an impact on the cultured cells. There are many unknowns regarding the mechanismof the toxicity development of carbon nanomaterials in living organisms and the available information continues
to be insufficient. It is therefore important to not only identify the biological impact on cells by using
conventional methods but also to conduct the selection of new evaluation items (endpoints) that correctly reflect
the impact of carbon nanomaterials and to conduct measurements accordingly. Furthermore, the development ofanalysis methods for conducting comparative examinations of the biological impact of carbon nanomaterials, aswell as on different cell types for a given carbon nanomaterial, along with the implementation of verification by
animal testing to determine the validity of the predicted impact on living organisms, based on safety tests derived
by such in vitro cell-based assays, are considered important.

Outline
The characteristics of this testing method are (1) the stable and uniform dispersion of carbon nanomaterials in
liquids, followed by the measuring of the dispersion conditions and properties of the liquid; (2) the evaluation of
the dispersion conditions and the properties of carbon nanomaterials added to a cell culture medium for the invitro cell-based assays of liquids administered in animal tests; (3) the selection of the impact of carbon
nanomaterials on cells and animal tissues, that is, biological indices (endpoints) to select test methods thateliminate, as far as possible, impediments arising from carbon nanomaterials on such findings; (4) thequantitative analysis of carbon nanomaterials found in biological tissues after intratracheal instillation into
animals. The preparation of samples for safety tests on carbon nanomaterials and their characterization, as wellas cultured cells and animal testing, are summarized in Figure I-1.
1. Preparation of Carbon Nanomaterial Samples and Characterizations of Suspension Samples
This document describes a fabrication technology to enable the stable dispersion of samples in a cell culture
medium or instillation liquid using highly accurate measurement technology to conduct in vitro cell-based assays
and animal testing of carbon nanomaterials. The physiochemical properties and the component composition data
for the powder of the carbon nanomaterials shall first be secured and then, when preparing the stock suspension,
the carbon nanomaterials shall be dispersed uniformly and stably in the cell culture medium while minimizing
the use of dispersant to minimize the impact on animal tissues as far as possible (Figure I-1, ①). Furthermore,

the prepared concentrate suspension shall be diluted in the cell culture medium or a medium to derive the liquid

to be administered to animals. The secondary characteristics of carbon nanomaterials in prepared stock
suspensions, as well as the cell culture medium or animal instillation (particle size of carbon nanomaterials, as

2well as concentration, ion concentration, absorption of proteins and inorganic salts in the culture) shall bemeasured to verify their stable dispersion (Figure I-1, ②). The decision to conduct in vitro cell-based assays andanimal tests as safety tests for carbon nanomaterials shall be made based on the results of such tests.
2. In Vitro Cell-based Assays for Safety Testing of Carbon Nanomaterials
A cell culture medium, prepared and characterized as described in Section 1, above, is used to conduct in vitro
cell-based assays to evaluate the hazards related to carbon nanomaterials by identifying the presence anddifferentiation potency of cells from relevant cultured cells by assuming the health impact on the respiratory
system from exposure through inhalation, while endpoints such as inflammation markers, oxidation stress, andapoptosis are selected to conduct measurements (Figure I-1, ③).
3. Animal Tests for Safety Testing of Carbon Nanomaterials

The animal instillation liquid prepared and characterized as described in Section 1 above is used, and the healthimpact on the respiratory organs of inhalation exposure is assumed, with the selection of appropriate endpoints
such as the number of cells in bronchoalveolar lavage fluid (BALF), inflammation markers, pulmonary pathology
observations, and genetic expressions of pulmonary tissues, while taking measurements and conducting animal
testing to evaluate the hazards presented by carbon nanomaterials. The carbon nanomaterials that are present inpulmonary tissues and the like are quantitatively and qualitatively analyzed to determine the distribution ofcarbon nanomaterials within the tissues of the animals to which the nanomaterials are administered, as well as
their migration outside such tissues and changes over time (Figure I-1, ④).
4. Publication of General Procedures for Safety Tests
The test procedures described above and the examples of their implementations, conducted according to suchprocedures, have been appended to prepare and publish this document, to aid with the implementation ofvoluntary safety controls implemented for partnership activities conducted with international organizations, aswell as by businesses that handle carbon nanomaterials (Figure I-1, ⑤).

A safety evaluation, as described here, targets presumed inhalation routes for the health and safety control ofworkers who are involved in the manufacture of carbon nanomaterials and, as such, it does not target oral ortransdermal routes. Furthermore, it should be noted that test results derived with compliance to the provisions of
this document evaluate the impact on the respiratory system, primarily dealing with acute inflammation andgenotoxicity, and do not guarantee safety.

3

Figure I-1 Overview of sample preparation, characterization, in vitro cell-based assays andanimal tests on carbon nanomaterials

4Chapter II: Measures for Preventing Contamination and Exposure

1. Sterilization operations
For in vitro cell-based assay, sterilization is essential to the prevention of contamination by bacteria. Equipment
such as the stirring bars, beads, and vessels used for the bulk powder, the dispersion medium, and dispersed
samples should all (as far as possible) be sterilized in an autoclave. Equipment that cannot be autoclave sterilizedshould be washed with ethanol and irradiated with ultraviolet light for 3 min to kill any existing bacteria.
Reference standard JIS T 7322 High-Pressure Steam Sterilizers for Medical Use.

2. Countermeasures against endotoxins
Endotoxins can activate white blood cells and react with living organisms and cultured cell systems. Measures
shall be implemented to prevent the contamination of samples by endotoxins during sample preparation, since
endotoxin contamination of the dispersion liquid used for testing can lead to an erroneous hazard evaluation.
This is particularly important for in vitro cell-based assays, in which cells react directly. For instance, deionizedwater that has been passed through a filter to remove endotoxins (ultrapure water or sterilized water) is used forthe dispersion medium. Endotoxins exist in normal environments and can easily contaminate deionized water
when it is stored for an extended period. It would therefore be desirable to prepare deionized water only when it
is required and only in the required amount.
The presence of endotoxin contamination can be identified in the preparation process of a dispersion liquid
used with carbon nanomaterials to prevent contamination as far as possible. The gel-clot method of the Limulus
amoebocyte lysate (LAL) test, adopted in the ISO 29701 standard, for instance, is a suitable test method. Thismethod relies on the gelification of the lysate reagent, as caused by the actions of endotoxins, as an index.
Reference standard: ISO 29701 Nanotechnologies -- Endotoxin test on nanomaterial samples for in vitro systems-- Limulus amoebocyte lysate (LAL) test.

3. Countermeasure against exposure to carbon nanomaterials
The health effects of carbon nanomaterials on humans have not yet been clarified, but care shall be taken whenhandling carbon nanomaterials to prevent exposure, in accordance with the precautionary principles.
There is the potential for exposure when carbon nanomaterials are handled in the dry state, such as whenweighing the powder or performing the pretreatment steps, which would lead to scattering of the powder. Workshall, therefore, be performed inside a sealed unit such as a glove box or in a draft chamber with a highperformance filter with suitable local ventilation to prevent this from occurring. There are instances when fansshould be stopped during work operations but turned on when taking out containers or cleaning, since running
an exhaust fan during a weighing operation can lead to scattering. Furthermore, operatives should wear protective
clothing such as dust masks, protective gloves, protective goggles, and lab coats. Work should be carried out ona clean bench or inside a local ventilation unit to ensure that material scattering does not occur, since the5dispersion liquid can scatter during operations such as wet dispersion. Ideally, operatives should also wear
protective clothing in such instances.
Refer to the notifications and guidelines issued by the relevant institutions regarding the ventilation method
for glove boxes and local ventilation units, as well as the methods for selecting protective clothing, and themethods used to treat waste materials. Protective clothing is also effective as a preventive measure against
bacteria and endotoxin contamination.
Reference standard: "Countermeasures for Prevention of Exposure to Nanomaterials" issued by the Ministry of
Health, Labour and Welfare, Japan, Publication No. 0331013 (March 31, 2009).

6

Chapter III: Preparation of Suspension Samples of Carbon Nanomaterials

Introduction
The procedure for preparing the suspension samples used in "in vitro cell-based assays using suspension samples
of carbon nanomaterials" is described in Chapter V, as are the "animal tests using suspension samples of carbon
nanomaterials." A characteristic of both these procedures is that bio-derived materials are used to produce asuspension of carbon nanomaterials without the use of any surfactants or polymer electrolytes. Evaluation Tests
on the hazards presented herein are conducted over three days from the time that the suspension is added to thecells as part of the in vitro cell-based assay. It is important for the carbon nanomaterials to be suspended stably
during this period. A stable method of preparing samples during the test period is described below. Also described
are methods of evaluating the carbon nanomaterial concentrations of samples prepared for testing, as well thepresence of endotoxins. These methods may be used to prepare the samples administered in animal tests, such as
intratracheal instillation tests and genotoxicity tests.

1. Scope of Application
Suspension samples of the carbon nanomaterials used for in vitro cell-based assay are prepared by ultrasonicirradiation to disperse any aggregates of carbon nanomaterials in an aqueous solution of bovine serum albumin(BSA). Furthermore, the concentration of the carbon nanomaterials in the liquid is evaluated by measuring theabsorbance.
This method can be used to prepare samples for animal tests, in which the samples are administered to the animals
by endotracheal injection.

2. Referenced Standards and Regulations
This procedure refers to the following standards and regulations:
Testing Methodology for Endotoxins (Gelification Method Using Lysate Reagent) in the 16th revision of theJapanese Pharmacopoeia.
"Countermeasures for Prevention of Exposure to Nanomaterials" (March 21, 2009) standard issued by the
Ministry of Health, Labour and Welfare, Japan. Publication No. 0331013 (March 31, 2009).

3. Terminology and Definitions
3.1 Stock Suspension
Suspension prepared by dispersing carbon nanomaterials in aqueous BSA solution.
3.2 Working Solution
Carbon nanomaterial suspension used for in vitro cell-based assay. The solution is prepared by diluting the
prepared stock suspension with the cell culture medium used for testing, to a prescribed concentration.
3.3 Centrifugal strength7

Ratio of centrifugal acceleration to the acceleration due to gravity (g). This figure describes the operating
conditions used for the centrifugal separation. This value is expressed as xg when the centrifugal strength is x.
3.4 Bovine Serum Albumin (BSA)
Protein derived by purifying the serum of cattle. BSA shall be used as an alternative to a surfactant for dispersing
carbon nanomaterials in water.
3.5 Endotoxins
Toxins released by microorganisms.

4. Equipment and Instruments
4.1 Dispersing Equipment
Equipment used to disperse carbon nanomaterials in a liquid, using ultrasound to disperse particles in an
agglomerate or aggregate state (i.e. clumps). An ultrasonic homogenizer produces ultrasonic irradiation from ahorn (probe) inserted directly into the suspension or via an ultrasonic bath, with ultrasonic waves emitted by an
ultrasonic emitter irradiating out of the container via the liquid.
4.2 Specimen Containers
Containers are either 50 mL glass beakers or 100 mL sterilized glass vials. These are used as containers fordispersion operations.
4.3 Centrifuge Separator
Equipment used to remove coarse clumps and/or fine particles from a carbon nanomaterial suspension by
centrifugal separation. Supernatants or sediments are collected after centrifugal separation.
4.4 Centrifuge Tube (Centrifuging Tube)
A 50 mL sterilized tube.
4.5 Cell Strainer
A cell strainer is used to remove any coarse clumps of carbon nanomaterials that remain in the solution if thesuspension has been insufficient.
4.6 Carbon Nanomaterial Concentration Measuring Equipment
Absorbance measurement equipment that takes measurements in the ultraviolet-visible light (UV-Vis) absorption
range to evaluate the carbon nanomaterial concentration.
4.7 Suspended Carbon Nanomaterial Secondary Particle Size Measurement Equipment
Particle size measurement equipment based on either the dynamic light scattering (DLS) principle or thedifferential centrifugal sedimentation (DCS) principle.
4.8 Carbon Nanomaterial Observation Equipment
Equipment used to observe the dispersion state or shape of carbon nanomaterials, or to conduct profilometry
based on an image analysis method. A transmission electron microscope (TEM) or scanning electron microscope(SEM), as well as other types of microscopes, can be used to observe individual particles.

5. Samples and Reagents
5.1 Carbon Nanomaterials

8

The materials shall be in a good, dry condition, with no need to perform heat treatment.
5.2 Dispersion Medium and Its Preparation
5.2.1 Dispersant
Bovine serum albumin (BSA) is used as the dispersant.
5.2.2 Dispersion Medium
A liquid medium in which carbon nanomaterials are suspended. BSA shall be dissolved in distilled water to aconcentration of 10 mg mL. This aqueous BSA solution shall be sterilized with a 0.22-µm sterilization filter andused as the dispersion medium.
Note: The water may instead be prepared by first purifying with a purified-water production system andfiltering with an endotoxin filter, after which it can be used as purified water.
5.3 Lysate Reagent
Reagent used to detect the endotoxins in a stock suspension, based on a coagulation reaction (gelification
method).

6. Pretreatment
5.1 Sterilization of apparatus
Sample containers are sterilized using an autoclave at 121 °C for 20 min
The horn of the ultrasonic homogenizer shall be sterilized by disinfecting with 70% aqueous ethanol solution
and then irradiating with ultraviolet light for 3 min.
Other equipment shall be disinfected with 70% aqueous ethanol solution.
6.2 Pretreatment and Sterilization of Carbon Nanomaterials
The amount of nanocarbon material necessary to prepare a suspension sample of the prescribed concentration
shall be weighed and sampled.
When the carbon nanomaterial is supplied as a raw material in sheet form, then that carbon nanomaterial shallbe diced into small pieces using a pair of tweezers and/or scissors.
The prescribed amount of collected carbon nanomaterial shall be placed in a sample container and irradiated withultraviolet light for 3 min.
Note: A suspension derived without performing any preparation operations such as centrifugal separation may
be used as a prepared solution when using an ultrasonic bath to disperse the solution. Carbon
nanomaterials sampled with a dispersion concentration suitable for use in hazard testing shall be placedin a vial.
Warning: Perform the weighing and pretreatment of carbon nanomaterials in a local ventilation unit and avoid
exposure to carbon nanomaterials according to the "Countermeasures for Prevention of Exposure to
Nanomaterials" standard issued by the Ministry of Health, Labour and Welfare, publication No. 0331013.
Furthermore, tasks shall be performed by operatives wearing protective clothing, including masks andgloves.

7. Preparation Procedure for Stock Suspensions

97.1 Preparation of Carbon Nanomaterial Suspension
The carbon nanomaterial concentration in the prepared stock suspension shall be no more than 1 mg mL.
Add the prescribed amount of dispersion medium (for instance, 50 mL) prepared by the procedure described in
Section 5.1.2, to the sample container (beaker or vial) containing the carbon nanomaterials sampled and sterilizedaccording to the procedure described in Section 6.2.
Thoroughly wet the carbon nanomaterial with the dispersion medium.
Warning: The solution shall be agitated with a stirrer on a clean bench, to avoid contamination from the air.
Furthermore, tasks shall be performed by operatives wearing protective clothing, including masks andgloves.
7.2 Dispersion
7.2.1 Outline
The dispersion of carbon nanomaterials in a liquid shall be performed by ultrasonication. An ultrasonichomogenizer or an ultrasonic bath shall be used.
7.2.2 Dispersion with Ultrasonic Homogenizer
The horn of the ultrasonic homogenizer shall be inserted directly into the dispersion medium (aqueous BSA
solution) prepared according to the procedure described in Section 7.1. The ultrasonic waves shall be used toblend the carbon nanomaterial with the dispersion medium and the horn shall be positioned in such a way thatthe circulation of the liquid in the beaker is optimized.
The carbon nanomaterials shall be dispersed by continuously applying ultrasonic irradiation for the prescribed
duration.
Cool the beaker with ice if necessary, to suppress a rise in the temperature of the suspension when subjected toultrasonic irradiation.
Note: The ultrasonic output shall be checked in advance to verify its ability to disperse the carbon nanomaterials
relative to the output, as well as to identify any damage or wear to the container and horn, along withdamage by the carbon nanomaterials.
Warning: The ultrasonic treatment shall be performed on a clean bench, to avoid exposure to airborne
contamination and the scattering of the suspension. Furthermore, tasks shall be performed by operatives
wearing protective clothing, including masks and gloves .
7.2.3 Dispersion with Ultrasonic BathThe vial prepared according to the procedure described in Section 7.1 shall be installed at the prescribed locationin the ultrasonic bath. The liquid height in the ultrasonic bath shall be adjusted so that the maximum resonanceis derived at the liquid surface of the suspension in the vial.
The carbon nanomaterials shall be dispersed by applying ultrasonic irradiation for the prescribed duration.
Note 1:The vial shall be installed directly above the ultrasonic emitter, to obtain the most intense vibrationsin the ultrasonic bath, to effectively perform ultrasonic irradiation.

Note 2: Care shall be taken to prevent any damage or wear to the container.
Note 3: When the suspension is prepared using an ultrasonic bath, the prepared stock suspension may bederived without performing the adjustments described in Sections 7.3 and 7.4.

10

7.3 Centrifuge Separation
The suspension obtained using the procedure described in Section 7.2 is collected in a 50 mL centrifuge tube.
Perform centrifugal separation according to the prescribed conditions (pertaining to centrifugal strength andseparation time) and then collect the supernatant.
7.4 Adjustment of Concentration
The suspension collected according to the procedure described in Section 7.3 shall be passed through a cellstrainer with a pore diameter of 40 µm, to check for the presence of any coarse clumps. In the event of any clump
being observed on the filter, the solution shall be discarded and newly prepared.
The concentration of carbon nanomaterials in the suspension shall be evaluated according to the proceduredescribed in Section 8.1. Any necessary concentration adjustments shall be performed by using the dispersion
medium to derive the required stock suspension.
Note: A cell strainer with pores of a size that allows the verification of coarse clump shall be used.
7.5 Preparation of Stock Suspensions with Varying States of Carbon Nanomaterials
Other than the preparation described above, suspension may be prepared according to the procedure described
below, based on the required of the intended suspended carbon nanomaterials (such as the secondary particle
sizes).
a)

The suspension, derived by adjusting the ultrasonic irradiation time, shall be centrifugally separated underappropriate centrifugal separation conditions (pertaining to centrifugal strength and separation time) and thesupernatant shall be recovered.

b)

The recovered supernatant shall be centrifugally separated for a longer period and at a greater centrifugal
acceleration than that of (a), after which the sediments shall be collected.

c)

The dispersion medium prepared according to the procedure described in Section 5.1.2 shall be added to thesediments and redispersion shall be performed using a vortex mixer and ultrasonic bath.

d)

The suspension shall be filtered according to the procedure described in Section 7.4, after which the filtrateshall be collected.

e)

The carbon nanomaterial concentration in the suspension shall be evaluated according to the proceduredescribed in Section 8.1 and any necessary concentration adjustments shall be made by using the dispersion
medium to derive the stock suspension.

8. Characterization of Suspension
8.1 Evaluation of Carbon Nanomaterial Concentration in Stock Suspension
Evaluations based on absorbance measurements in the ultraviolet visible light range shall be performed as
described in Chapter IV "Characterization of Dispersion Liquid Samples for Carbon Nanomaterials," Section IV4 "Evaluation of Carbon Nanomaterial Concentration by Absorbance" in this document.
8.2 Measurement of Dispersion State and Morphology of Carbon Nanomaterialsa)The dispersion state of carbon nanomaterials shall be observed using a device such as a TEM.

b)

The secondary particle sizes of suspended carbon nanomaterials shall be evaluated based on their average
particle sizes and the like, as described in Section IV-2 "Evaluation of Particle Size and Particle Size

11

Distributions by Dynamic Light Scattering Method" or Section IV-3 "Evaluation of Particle Size and Particle
Size Distribution by Differential Centrifugal Sedimentation" of Chapter IV "Characterization of Dispersion
Liquid Samples for Carbon Nanomaterials" in this document.
c)Shapes shall be evaluated based on image measurements, such as TEM micrographs.

8.3 Endotoxin Test
The test shall be performed using the gelification method, which is a testing methodology for endotoxins as
defined in the 16th revision of the Japanese Pharmacopoeia. The endotoxin detection test shall be performed on
the suspension (working solution), prepared by diluting the stock suspension to the maximum carbon
nanomaterials concentration for an in vitro cell-based assay.
The concentration of endotoxins shall be verified to ensure that it is equal to or less than the sensitivity level ofthe reagent based on the limit test method, according to the coagulation reaction of the lysate reagent.
The desirable level of detection sensitivity for the lysate reagent shall be 0.03 EU/mL or less.

9. Preparation of Working Solution
In the case of in vitro cell-based assays, the stock suspension is diluted with the culture medium used for thetests to prepare a working solution of the prescribed carbon nanomaterial concentration. A culture medium, shallbe prepared in advance with the working solution having a BSA concentration of 1 mg/mL and shall be used forthis dilution process.

10. Reports
10.1 Preparation and Characterization Methodsa)Information pertaining to carbon nanomaterials (material name, manufacturer, manufacturing method,composition, etc.)b)

Information for identifying dispersants and dispersion media (reagent name, producer, lot number, etc.)c)

Information for identifying culture media (in cases where a working solution preparation liquid is to beprepared: Reagent name, producer, lot number, etc.)d)Information pertaining to the dispersion of samples (preparation date and time, person responsible forpreparation and affiliated institution name, dispersing equipment name, dispersion conditions, etc.)e)

Information pertaining to centrifugal separation (centrifuge name, centrifuge strength, centrifuging time,
etc.)

f)

Information pertaining to cell strainers (product name, pore size, manufacturer, etc.)g)

Information pertaining to sample characterization methods (name of concentration measurement equipment
and preparation method for concentration calibration curve, measurement principles and name of equipment
for measurement of secondary particle sizes, name of image observation equipment for dispersion states,
etc.)

h)

Endotoxin evaluation methods (lysate reagent name, sensitivity, manufacturer)

10.2. Stock Suspension

12

a)

Stock suspension IDb)

Means and standard deviations of carbon nanomaterial concentrationc)

Calculation methods and results obtained for secondary particle sizes (measurement principles and standards,
as well as average particle sizes, polydispersity indices, etc.)d)Images of dispersion statese)

Shapes of dispersed carbon nanomaterials (averages of lengths and widths, as well as standard deviations
or distributions)f)Endotoxin evaluation results

10.3 Working Solution (in cases where cell culture medium preparation liquid is to be prepared)a)Working Solution IDb)

Dilution ratio

13Appendix A

Practical Example: Preparation of Suspension Sample for SWCNTs

A.1 Outline
This example illustrates the preparation, in accordance with the procedure manual, of the CNT suspensions usedin animal tests and in vitro cell-based assays of two types of SWCNTs, i.e., metallic and semiconducting,separated and purified from SWCNTs (eDISP-CNT) that were previously prepared according to the eDIPS
method. In this instance, an ultrasonic homogenizer was used to prepare the stock suspension with a SWCNT
concentration of 1 mg/mL.

A.2 Preparation of Dispersion MediaThe dispersant BSA was product 08587-42, manufactured by Nacalai Tesque Co., Ltd.
An aqueous BSA solution with a concentration of 10 mg/mL was prepared by dissolving BSA in distilled water(Gibco®, manufactured by Thermo Fisher Scientific). The dispersion medium was prepared by filtering theaqueous BSA solution described above through a sterilization filter with a pore size of 0.22 µm (GPO.22 μm,
manufactured by Merck).

A.3 Preparation of SWCNT Suspension
A.3.1 Ultrasonic Treatment
An ultrasonic homogenizer was used for the ultrasonic dispersion.
Metallic SWCNTs and semiconducting SWCNTs were weighed and collected to ensure that the CNT
concentration at the time the dispersion operation was performed is 1.5 mg/mL. These were placed in a 50 mL
beaker, and then sterilized.
The dispersion medium prepared according to the procedure described in Appendix A.2 (10 mg/mL aqueous BSA
solution) was added to the beaker described above and then the CNTs were blended thoroughly with thedispersion medium.
The ultrasonic dispersion was performed according to the procedure described in Section 7.2. A Branson Sonifier
250 was used as the ultrasonic homogenizer (Figure A.1 (a)).
The probe of the ultrasonic homogenizer was inserted into the dispersion medium suspending CNTs describedabove, the output control of the homogenizer was set to 4 and ultrasonic treatment was performed continuously
for 5 h (Figure A.1 (b)).

14

(b)

(a)

Figure A.1 (a) Ultrasonic homogenizer; (b) Dispersion operation

A.3.2 Centrifugation and Filteringa)Centrifugal separation was performed for 15 min, with a centrifugal strength of 6000 g. The supernatant
was then collected.

b)

The supernatant obtained in Step a) was passed through a cell strainer with pore size of 40 µm. The filtrate
was verified to ensure that there were no clumps and was then collected. A cell strainer manufactured by
BD FalconTM was used.

A.4 Characterization of Stock Suspension
A.4.1 Evaluation of CNT Concentration
The relationship (calibration curve) between the CNT mass concentration CCNT and the absorbance of suspension
Aav was derived using the procedure described in Section IV-4 "Evaluation of Carbon Nanomaterial
Concentration by Absorbance" of Chapter IV "Characterization of Dispersion Liquid Samples for Carbon
Nanomaterials," based on the average absorbance of suspensions of metallic SWCNTs and semiconducting
SWSWCNTs with wavelengths of 600 nm to 800 nm.

Figure A.2 Relationship between CNT concentration and absorbance of metallic and semiconducting SWCNT
suspension

The average absorbance of the raw material for the stock suspension prepared in Step A.3 at wavelengths of 600
nm to 800 nm was derived and the CNT concentration was calculated based on the calibration curve. As shownin Table A. 1, the CNT concentrations in the suspensions of the metallic SWCNTs and semiconducting SWCNTs

15

were 1.38 mg/mL and 1.24 mg/mL, respectively. The concentration of CNT in the stock suspensions for hazard
testing was adjusted to 1 mg/mL using the dispersion media prepared in Step A.2.

A.4.2 Secondary Particle Size of CNTs
The average particle sizes xDLS yielded by the cumulant method, as measured by DLS (Zetasizer Nano
manufactured by Malvern), are listed in Table A.1.

Table A.1 Characteristics of prepared suspension

ID

CNT

Average particle

concentration

size

CCNT [mg/mL]

xDLS [nm]lg [nm]sg [-]SWCNT

CNT length140604-03

Metallic

1.38

786

573

2.32

140603-03

Semiconducting

1.24

656

533

2.49

A.4.3 Length of CNTs
TEM micrographs of the dispersed CNTs are shown in Figure A.3. These images were obtained using a JEM1010 TEM, manufactured by JEOL.

(b) Semiconductor(a) Metal

Figure A.3 TEM micrographs of dispersed SWCNTs
The distribution of about 1000 bundles of CNTs with a length l was measured using TEM micrography. The
cumulative size distribution Q0(l) for the length, based on the number of bundles, is shown in Figure A.4.
Furthermore, their geometric mean lg and the geometric standard deviation sg are also given in Table A.1.

16

Figure A.4 Length distributions of dispersed SWCNTs

A.4.5 Verification of Endotoxins
A test for detecting endotoxins in the stock suspension was conducted using a limit test based on the gelification
method, as described in the 16th revision of the Japanese Pharmacopoeia. We added 0.2 mL of stock suspension,
diluted ten times, to a Pyrotell™ single-test vial with a sensitivity of 0.03 EU/mL and then mixed well. Then,the vial was placed in a thermostatic water bath at 37 °C ± 1 °C for 60 ± 2 min. The vial was then taken out of
the bath and turned upside down to check for the formation of any gel. No gel formation was observed, thus
verifying that the level of the endotoxin concentration was at or under the sensitivity level of the Pyrotell™.

A.5 Preparation of Working Solution
A working solution for in vitro cell-based assays was prepared by diluting the stock suspension using aprescribed cell culture with a BSA concentration of 1 mg/mL.

17

Chapter IV: Characterization of Dispersion Liquid Samples for Carbon
Nanomaterials
IV-1. Evaluation of Zeta Potential
Introduction
The charge on a particle surface is an extremely important characteristic determining the stability of the particles
in a suspension used for performing hazard tests on a carbon nanomaterial. The charges on the particles inaqueous solutions are generally evaluated according to their zeta potential. The method of measuring the zeta
potential is described below. Refer to Chapter IV "Characterization of Dispersion Sample in Liquid for in vitro
Tests Using Cells" of the "Procedures for Safety Testing" for details on those items described in Chapter IV ofthis document.

1. Scope of Application
The target of the evaluation shall be the suspension containing dispersed carbon nanomaterials. This section
describes the method used to measure the migration speed of particles in an electric field, based on light scatteringand an evaluation of the zeta potential of suspended particles.

2. Referenced standards and regulations
This procedure refers to the following standards and regulations:"Countermeasures for Prevention of Exposure to Nanomaterials" (March 21, 2009) standard issued by the
Ministry of Health, Labour and Welfare, Japan. Publication No. 0331013 (March 31, 2009).

3. Terminology and Definitions
3.1 Zeta Potential
Index representing the electric charge on the surface over which a liquid flows due to the spatial distribution ofions formed near the surface, as the suspended particles move through the liquid. The zeta potential is given by
the difference in electric potential between that at the slip plane and that of bulk liquid.
3.2 Electrophoresis and Electrophoretic Mobility
Movement of charged particles in a liquid caused by application of external electric fields and the velocity ofcharged particles per unit electric field strength.
3.3 Electrophoretic Light Scattering (ELS)A measurement method used when calculating the zeta potential, based on the electrophoretic mobility derived
from the Doppler shift of light scattering due to the electrophoresis of particles in a liquid.

4. Principles
Particles suspended in a solvent have either a positive or negative charge on their surfaces. Applying an electric18

field to a system consisting of suspended charged particles causes those particles to move according to theircharge states. This phenomenon is referred to as electrophoresis, while the electrophoretic mobility is a value
derived by converting the velocity of movement in this instance per unit electric field strength. By letting theelectrophoretic mobility be BE, the zeta potential ζ can be derived using Smoluchowski’s equation, below.

(1)
where η and ε are the viscosity and dielectric constant of the solvent, respectively. This means that, where there
is a distribution of the charged state, then there will also be a distribution of mobility and so the zeta potential
would be derived as an average value.

5. ELS Equipment
5.1 Equipment Types and Requirements
The descriptions provided in this document assume the use of commercially available ELS equipment.
Temperature control based on ELS measurements, as well as functions related to data output with regards toelectrophoretic mobility, dispersed liquid electric conductivity, and zeta potential shall be as stipulated in
Sections 5.2.3 and 5.2.4 of Chapter IV of the "Procedures for Safety Testing."
5.2 Validation
The validity of the equipment shall be verified according to the stipulations given in Section 5.2.2 of Chapter IVof the "Procedures for Safety Testing," using reference materials (RM) and the like. Quantified referencematerial shall be measured to evaluate whether the certified values and measured values coincide within therange of uncertainty. The use of certified reference material (CRM) with zeta potentials indicated as a certified
value or reference value, such as AIST CRM5702, is recommended for evaluating the validity of the equipment.
The deviation of measured values from the certified values should be within ± 10% and the reproducibility ofthe measurements based on the relative experimental standard deviation (coefficient of validation) should beequal or less than 10%. The frequent repetition of this validation is desirable, particularly in the case of ELS
where the electrode is immersed directly in the suspension, such that the electrode can be easily contaminated,causing the measured values to be influenced by the contamination.
6. Reagents and Instruments
Refer to Section 5 of Chapter III "Preparation of Dispersion Liquid Samples for Carbon Nanomaterials" of thisdocument, as well as Sections 6.1 and 6.2 of the "Procedures for Safety Testing" for details on the reagents,
solvents for cleaning, and reference materials for calibration.
Refer to Sections 6.3 to 6.5 of Chapter IV of the "Procedures for Safety Testing" for details on the sample
containers, the digital cameras used to observe the samples and viscometers used to measure the viscosity of thesuspension.

7. Operations
7.1 Preparation Prior to ELS Measurement
Refer to Section 7.2 of Chapter IV of the "Procedures for Safety Testing" for details on the installation of the19equipment and the cleaning of the instruments.
Prepare the sample. The amount of sedimentation shall be recorded by visually checking for sedimentation in
the prepared suspension.
The viscosity shall be measured by referring to Section 7.2 of Chapter IV of the "Procedures for Safety
Testing" for details on the measurement. The viscosity is a physical property necessary to calculate the zeta
potential based on the measured electrophoretic mobility as well as blank measurement of the dispersion
medium, which shall also be required.
7.2

Measurement

7.2.1 Skills and Measurement Environments
The skills of the measurement equipment operators, as well as the measurement environments, shall comply withthe stipulations given in Sections 7.2.7.1 and 7.2.7.2 of Chapter IV of the "Procedures for Safety Testing".
7.2.2 Preparation of ELS Equipment
The equipment shall be allowed to warm up in accordance with the procedure described in Section 7.2.7.3 ofChapter IV of the "Procedures for Safety Testing".
The measurement cells shall be allowed to reach the preset temperature prior to the start of measurement.
Furthermore, the cells shall remain within the stipulated temperature range during the measurement operations.
The recommended temperature range is ± 0.3 °C.
7.2.3 Measurements and Analyses
Measurements and analyses shall be performed according to the instruction manual provided with the equipment.
If possible, measurements should be performed at least three times, to evaluate the repeatability.
7.2.4 Records
The measurement date and time, information related to solid samples and dispersion liquids, information on the
ELS equipment and other details of the experiment conditions, as well as results such as zeta potentials andelectrophoretic mobility, shall be recorded according to the stipulations provided in Section 7.2.7.4 of Chapter
IV of the "Procedures for Safety Testing."

8. Analysis of Data
Calculate the value of the zeta potentials and evaluate the uncertainties according to the stipulations given in
Section 8 of Chapter IV of the "Procedures for Safety Testing."

9. Reports
9.1 General Items and Conditions Related to Equipment, Experiments, and Analyses
Information relating to the samples, information relating to the ELS equipment, as well as the ELS measurement
conditions and the analysis methods shall be reported according to stipulations provided in Sections 9.1 and 9.2
of Chapter IV of the "Procedures for Safety Testing".
9.2. Results
The zeta potentials, as well as the repetition standard deviations or uncertainties, shall be reported.

20

Appendix A

Practical Example: Example of Measuring Zeta Potential

A.1 Outline
The zeta potential of the CNTs dispersed in the liquid according to the stipulations provided in Chapter III"Preparation of Dispersion Liquid Samples for Carbon Nanomaterials" of this document was evaluated for
SWCNTs fabricated using a super-growth method.

A.2 Preparation of Suspension Samples
The prepared suspension was identical to that prepared according to the stipulations provided in Section IV-2
"Evaluation of Particle Size and Particle Size Distributions by Dynamic Light Scattering Method" (see Appendix
B) of Chapter IV "Characterization of Dispersion Liquid Samples for Carbon Nanomaterials", of this document.

A.3 Measurement of Zeta Potentials
An example of the change in the zeta potentials of the CNT suspensions, i.e., sample immediately after
preparation according to the procedure described in A.2, and of the same suspension after having been left in arefrigerator for 8 days, is shown in Figure A.1.
The Zetasizer Nano manufactured by Malvern was used for the ELS measurement. The measurement temperature
was 25 °C and the measured liquid volume was 1 mL.
The suspension was diluted 20 times using ultrapure water, since the scattered light intensity is high when the
CNT concentration is the 1 mg/mL of the working solution. Three measurements were taken and the error bars
in the figure represent the relevant standard deviations.

Figure A.1 Example zeta potential measurements21IV-2. Evaluation of Particle Size and Particle Size Distributions by Dynamic Light
Scattering Method
Introduction
The primary particle size of solid samples is regarded as being an important physical and chemical characteristic
for conducting hazard evaluations for carbon nanomaterials. However, the secondary particle size, which
expresses the assemblage state (as nanoparticles generally form agglomerates or aggregates), is also regarded as
being an important characteristic. This section describes a method for determining the secondary particle size ofsolid samples in the suspensions used for hazard tests using a dynamic light-scattering method. Readers shouldrefer to Chapter IV "Characterization of Dispersion Sample in Liquid for in vitro Tests Using Cells" of the"Procedures for Safety Testing" for details on the items described in this procedure manual.

1. Scope of Application
The target of the evaluation shall be the suspension, consisting of an aqueous solution containing dispersed
carbon nanomaterials. This section describes the method for evaluating the primary and secondary sizes of theparticles in a suspension using a dynamic light scattering method.

2. Referenced standards and regulations
This procedure refers to the following standards and regulations:
JIS Z 8819-1: Representation of results of particle size analysis Part 1: Graphical representation
JIS Z 8828: Particle Size Analysis: Dynamic Light Scattering Method"Countermeasures for Prevention of Exposure to Nanomaterials" (March 21, 2009) standard issued by the
Ministry of Health, Labour and Welfare, Japan. Publication No. 0331013 (March 31, 2009).

3. Terminology, Definitions, and Symbols
3.1. Terminology and Definitions
3.1.1 Particle Size
Diameter of a particle, the shape of which is assumed to be spherical. If a particle is a true sphere, the particle
size would be equal to the diameter.
3.1.2 Secondary Particle Size
Diameter of assemblages of particles that are either rigidly jointed or weakly bound, in other words, the diameterof a clump.
3.1.3 Stokes-Einstein Equation
Relationship that links the Brownian diffusion and Stokes' resistance of particles due to random thermal motion.
It provides the relationship between the particle size and the Brownian diffusion coefficient.
3.1.4 Dynamic Light Scattering (DLS)
Method used to evaluate particle size, based on the Stokes-Einstein equation, by determining the diffusion
coefficient of particles based on the fluctuation, over time, of scattered light when light is irradiated onto particle

22

groups exhibiting Brownian motion.
3.1.5 Cumulant Method
Method used to derive average particle sizes and the polydispersity index by series-expanding the logarithm of
the autocorrelation function in a scattered-light electric field derived by DLS. The primary and secondary
coefficients of the series expansion correspond to the average particle size and polydispersity index, respectively(refer to Appendix A).
3.1.6 Average Particle Size
Average particle size of secondary particles derived based on the correlation between the fluctuations of scattered
light intensity in dynamic light scattering phenomena.
3.1.7 Polydispersity Index
Dimensionless index that indicates the spread of particle size distribution.
3.1.8 Uncertainty
Index expressing the lack of reliability of measurement results.
3.1.9 Fluctuation Fractions
Ratio of scattering intensity (photon quantity) to its initial value.
3.2 Symbols
DBM

Translational diffusion coefficient of particles (Brownian diffusion coefficient), m2/s

g(1)( τ)Normalized electric field correlation function of scattered light, dimensionlessPI

Polydispersity index, dimensionless

ΔQint,iFraction of particles weighted with scattered light intensity for particle size xi, dimensionlessx

Particle size. Diameter of spherical particles, µm or nm

xDLS

Average particle size derived from scattered light intensity-weighted particle size
distribution or average particle size derived by the cumulant method, µm and nmΓDecay rate, s-1

Γ

Average value of scattered light intensity-weighted distribution function of the decayrate, s-1

µ2Secondary coefficient derived with the cumulant expansion of the particle size
distribution of scattered light intensity-weighted, s-2

τCorrelation time, s and µs

4. Principles
DLS is a method used to optically detect the Brownian motion of particles. The light scattered by particles
exhibiting Brownian motion includes those phases that change with time (time-dependent phase). The diffusion
coefficient of particles that indicates the random motion of particles DBM can be derived from the change in phaseof the scattered light with time over an extended period. The particle size x can be derived using the StokesEinstein equation, below:(1)
where kB is the Boltzmann constant, T is the absolute temperature and η is the viscosity of the dispersion medium
23

at that temperature.

5. Calculation of Average Particle Sizes and Polydispersity Indices
The harmonic mean particle size (diameter) of th particle size distribution based on the scattered light intensity
is defined as follows:(2)
where ∆Qint,i is the fraction of particles based on the scattered light intensity in the particle size interval i and xi
is the representative particle size for the interval i, while N is the total number of particle-size intervals. The
average value may vary from that derived by the cumulant method. Other than the above, the volume-based
average particle size xv, or number-based average particle size xn is also calculated using the equipment.
The polydispersity index PI that indicates the spread of the particle size distribution is given by the following
equation:(3)
The value may vary from that derived by the cumulant method.

6. Dynamic Light Scattering Particle Size Analyzer
6.1 Equipment Types and Requirements
The descriptions given in this procedure assume the use of commercially available DLS equipment.
Control the temperature required for the DLS measurement, calculate the average particle size and particle size
distribution, and output the correlation functions and/or power spectrum according to the stipulations given in
Sections 5.1.3 and 5.1.4 of Chapter IV of the "Procedures for Safety Testing".
6.2 Qualification
The equipment shall be qualified according to stipulations provided in Section 5.1.2 of Chapter IV of the"Procedures for Safety Testing", using reference materials and the like. For instance, certified polystyrene latex
reference materials shall be used to evaluate whether the certified values and measured values coincide within
the range of uncertainty. The use of monodispersed polystyrene latex reference materials with an average particle
diameter of 100 nm is recommended for the qualification of the equipment. The desirable range of deviation forthe measured values from certified values is ± 2%, while up to 2%, based on relative experimental standard
deviation (coefficient of variation), is desirable for the reproducibility of the repeated measurements (refer to
ISO 22412).

7. Reagents and Instruments
Refer to Section 5 of Chapter III "Preparation of Dispersion Liquid Samples for Carbon Nanomaterials" of thisdocument, as well as Sections 6.1 and 6.2 of the "Procedures for Safety Testing" for details on the reagents,24

solvents for cleaning, and reference materials for calibration.
Refer to Sections 6.3 to 6.5 of Chapter IV of the "Procedures for Safety Testing" for details on the containers to
be used for samples, as well as the digital cameras and viscometers to be used to observe the samples.

8. Operations
8.1 Preparation Prior to DLS Measurements
Refer to Sections 7.1.1 and 7.1.5 of Chapter IV of the "Procedures for Safety Testing" for details on the
installation of equipment and the cleaning of instruments.
Refer to Sections 7.1.4 and 7.1.6 of Chapter IV of the "Procedures for Safety Testing" for details on the viscosity,
which is a physical value necessary to calculate the particle size as well as the blank measurement of thedispersion medium.
8.2 Storing and Handling Suspensions
Store and handle the carbon nanomaterial suspensions which have been prepared according to the stipulations
provided in Sections 7.1.2 and 7.1.3 of Chapter IV of the "Procedures for Safety Testing".
The presence or absence of sediment growth shall be verified visually when a suspension is acquired, as well as
before and after DLS measurement. The degree of sedimentation shall be recorded. Images shall be added to therecord if possible, using a digital camera or the like.
8.3

Measurement

8.3.1 Skills and Measurement Environments
The skills of the measurement equipment operators, as well as the measurement environments for the DLS shallcomply with the stipulations provided in Sections 7.1.7.1 and 7.1.7.2 of Chapter IV of the "Procedures for Safety
Testing".
8.3.2 Preparation of DLS Equipment
The equipment shall be warmed up in accordance with the procedure described in Section 7.1.7.3 of Chapter IVof the "Procedures for Safety Testing".
The measurement cells shall be allowed to reach the preset temperature prior to the start of measurement.
Furthermore, the cells shall remain within the stipulated temperature range during the measurement operations.
The recommended temperature range is ± 0.3 °C.
8.3.3 Measurement and Analysis
Measurements shall be taken and the obtained data shall be analyzed according to the instruction manuals for therespective equipment. It is recommended that the measurements be performed at least three times, to evaluate
the repeatability of the measurements.
8.3.4 Records
The experimental conditions and results shall be recorded in accordance with the procedure described in Section
7.1.7.4 of Chapter IV of the "Procedures for Safety Testing".

9. Analysis of Data
9.1 Calculation of Values

25

The reported value for the average particle size shall be the average of the repeated measurements. Although thecalculation method used to derive the average value is not stipulated, how the calculation is performed shall bereported.
9.2 Uncertainty Evaluation
To indicate the validity of the evaluation method, it is recommended that an evaluation of uncertainty be
performed for the reported values, according to the stipulations provided in Section 8.2 of Chapter IV of the"Procedures for Safety Testing".
Note:

Refer to Appendix B of Chapter IV of the "Procedures for Safety Testing" for details on the evaluationof uncertainty.

10. Reports
Reports shall be made on information relating to the samples, information relating to the DLS equipment, as wellas on the measurement conditions of the DLS and the analysis methods according to the stipulations provided in
Section 9 of Chapter IV of the "Procedures for Safety Testing".
The following items shall be reported in relation to the results of the particle size measurements:a) Scattering light intensity weighted average particle sizes, and standard deviations or uncertainties for the
repeated measurementb) Average particle sizes based on number or volume, and standard deviations or uncertainties for the repeatedmeasurementc) Scattering intensities and its fluctuation fractions, as well as standard deviations or uncertainties for the
repeated measurement

26

Appendix A

Cumulant Method
In the dynamic light-scattering phenomenon, the scattering of light from suspended particles irradiated by laser
beam has a random time-dependent phase due to the Brownian motion of the suspended particles.
In the case of monodispersed particles, the autocorrelation function g(1)(τ) with respect to fluctuation in the
scattered light electric field decays exponentially with correlation time τ.
(A-1)
where the decay rate Γ is proportional to the diffusion coefficient D BM and the particle size is derived based on
the Stokes-Einstein equation.
In the case of polydispersed particles, the autocorrelation function g(1)(τ) can be regarded as being a combinationof autocorrelation functions weighted by the particle size distribution. The logarithm of the autocorrelation
function g(1)(τ) of the electric field is approximated by series expansion to the secondary term with the cumulant
method.
(A-2)
The average of the primary coefficientis the average decay rate, which can be used to derive the average

particle size. Furthermore, the polydispersity index PI can be derived using the following equation, based on thesecondary coefficient µ2:
(A-3)

27

Appendix B

Practical Example: Evaluation of Particle Size of SWCNT
B.1 Outline
The particle size of SWCNTs fabricated using the super-growth method in the suspension, prepared according to
the stipulations provided of Chapter III "Preparation of Dispersion Liquid Samples for Carbon Nanomaterials"of this document, was evaluated.

B.2 Preparation of SG-SWCNT Suspension
B.2.1 Dispersion Medium
An aqueous BSA solution with a concentration of 10 mg/mL was prepared by dissolving BSA in distilled water(Gibco® manufactured by Thermo Fisher Scientific) to prepare the dispersion medium.
B.2.2 Ultrasonic Dispersion
Next, 50 mL of dispersion medium (10 mg/mL of aqueous BSA solution) was added to 70 mg of SWCNTs
produced using the super-growth method by AIST (SG-SWCNTs), weighed and collected in a 50 mL beaker. The
suspension was then prepared by ultrasonication, according to the procedure described in Section 7.2.2 ofChapter III of this document. The CNT concentration was 1 mg/mL.

B.3 DLS Measurement
A Zetasizer Nano manufactured by Malvern was used for the DLS measurement. The DSL measurement
temperature was 25 °C and the measured liquid volume was 700 µL. The CNT concentration of the preparedsuspension was 1 mg/mL. Measurements were taken from the sample prepared by diluting the suspension withultrapure water, since the scattered light intensity was too high. Figure B.1 shows the average particle size (a)and the polydispersity index (b) of the CNT suspension. In the figure, the effects of time in a refrigerator as wellas the dilution are shown. The DLS measurements were performed three times. The average is indicated with akey, while the standard deviations are indicated with error bars in the figure.

Figure B.1 Example of measuring average particle sizes and polydispersity indices28

IV-3. Evaluation of Particle Size and Particle Size Distribution by Differential
Centrifugal Sedimentation
Introduction
This section describes the procedure for characterizing a carbon nanomaterial dispersed in a liquid. The
characteristic evaluated in this instance is the particle size distribution. Furthermore, the measurement method
used in this procedure is the differential centrifugal sedimentation method.

1. Scope of Application
The target of the measurement shall be the carbon nanomaterial aggregates dispersed in a liquid.

2. Referenced Standards and Regulations
This manual refers to the following standards and regulations:
JIS Z8823-1: 2001 Determination Of Particle Size Distribution By Centrifugal Liquid Sedimentation Methods - Part 1: General Principles And Guidelines
JIS Z8823-2: 2016 Determination Of Particle Size Distribution By Centrifugal Liquid Sedimentation Methods-- Part 2: Photocentrifuge Method

3. Terminology, Definitions, and Symbols
3.1. Terminology and Definitions (Measurement Methods)
3.1.1 Differential Centrifugal Sedimentation (DCS)
A method of particle size classification based on the principle whereby the settling velocity of the particles in asample depends on the particle diameter, as the particle sample passes through the surface of a solution having acertain density.
3.1.2 Calibration Substance
The particle size to be measured by DCS is corrected by using a standard substance with a known particle size
prior to measuring samples. The standard substances used for such corrections are referred to as calibration
substances.
3.1.3 Terminal Sedimentation Velocity
The velocity of a particle moving in a static liquid under a combination nof the centrifugal force and the dragacting on the particles.
3.1.4 Particle Size (Stokes' Diameter) D
The diameter corresponding to a spherical particle which has the same density and sedimentation velocity as theparticle actually settling and which satisfies Stokes' Law.

29

3.1.5 Particle Size Distribution and Median Size
The particle size distribution is the mass distribution for the particle size. The median size is the particle size at
which a cumulative frequency becomes 50% as a result of integrating the obtained mass distribution.
3.1.6 Disk
A chamber in which the size classification of samples is performed in the DCS based on the centrifugal
sedimentation velocity.
3.1.7 Density Gradient Fluid
When sample particles with a density greater that that of the solution inside the disk are integrated on the disk,
such particles do not sediment according to Stokes' Law and the sample suspension sediments as a homogeneous
solution. The density gradient is made for the solution in the disk, to ensure that the sample sediments according
to Stokes' Law. Such a solution is referred to as a density gradient fluid.
3.2 Symbols
D

Particle size (Stokes' diameter), µm

D 50Median size, µm

4. Principles
Among the carbon nanomaterials dispersed in a liquid, larger-size particles exhibit a greater sedimentation speed
due to the centrifugal force, while particles of smaller sizes have lower sedimentation speeds. By making use ofthis phenomenon, the difference in the migration time to the detector near the bottom of the disk, which depends
on the particle diameter, can be measured in the DCS rotating disk chamber, and particle size classification canbe performed. The particle velocity v can thus be expressed by the following equation, by substituting thegravitational acceleration of the Stokes' Equation with the centrifugal acceleration.

𝑣𝑣 = 𝑑𝑑𝑑𝑑 ⁄𝑑𝑑𝑑𝑑 = (𝐷𝐷2 (𝜌𝜌 − 𝜌𝜌0 )𝜔𝜔2 𝑅𝑅) /18𝜂𝜂

where D is the particle size in the sample, R is the distance in the radial direction, t is the time, ρ and ρ0 are theparticle and liquid densities, respectively, while ω is the angular velocity and η is the liquid viscosity. The particle
size can be derived based on the particle migration time from the fluid surface (R = R0) to the detector (R = Rf),using this equation.

𝐷𝐷 = �

�18𝜂𝜂 ln�𝑅𝑅𝑓𝑓 ⁄𝑅𝑅0 ��
�(𝜌𝜌 − 𝜌𝜌0 )𝜔𝜔 2 �

/𝑡𝑡�

1⁄2

5. Equipment
5.1 Types of Equipment
The descriptions given in this document assume the use of commercially available DCS equipment.

30

5.2 Validation
The validity of the equipment shall be verified in advance, using standard substances. For instance, properly
quantified polyvinyl chloride latex or polystyrene latex-standard substances shall be measured to evaluate
whether the certified values and measured values are within the range of uncertainty. For instance, the use ofmonodispersed polyvinyl latex standard substances with an average particle diameter of about 500 nm is
recommended for performing evaluations for validating the equipment. The desirable range of deviation for themeasured values from the certified values is ± 10% and a range of up to 10% based on relative experimental
standard deviation (coefficient of variation) is desirable for achieving reproducibility for repeated measurements.
5.3 Output Data
The equipment shall be able to calculate the mass standard particle size distribution and mass standard mediansize, and shall also have a function to output such results.

6. Reagents and Instruments
6.1. ReagentsThe solvents used to clean the disk and dilute solutions shall be clean and shall not contain any fine particles,
particularly those that are larger than the particles in the dispersion samples. When the solvent being used fordispersion is water, then the water shall be filtered, to prepare so-called "ultrapure water".
Remarks: "Ultrapure water," as referenced in this procedure manual, shall be defined as "clean water that does
not contain any fine particles, which has been purified using an ion-exchange filter or a filter with a pore size of
0.2 μm or less, with an electrical resistivity of 18 MΩ-cm or more and an organic carbon concentration of 5 ppb
or less".
6.2 Standard Substances
The use of standard substances that have been declared as having traceability with regards to their characteristic
values is desirable.
The use of polystyrene latex of about 500 nm, dispersed in water, is recommended for use as a particle size
standard substance. Polystyrene latex cannot be measured under the conditions used for the measurement ofcarbon nanomaterial aggregates, however, since it has a low specific gravity. Polyvinyl chloride latex withdeclared traceability shall instead be used for that purpose, under the same measurement conditions. Caution isrequired when handling both standard substances to ensure that aggregation or sedimentation does not occur asa result of freezing or the like.
Remarks: This standard substance shall be used as a calibration substance prior to taking measurements.
Remarks: When using polystyrene latex as a standard substance, the conditions for a density gradient fluid may
be changed for convenience.

316.3 Density Gradient Fluid
A density gradient fluid shall be prepared as a solution in the disk. The solution concentration in the disk shallcontinuously increase towards the direction of the sample sedimentation. Sucrose water shall be used as thedensity gradient fluid.
6.4 Instruments
Ordinary containers may be used. There is no problem with using commercially available syringes for the
injection of dispersion samples into the disk when taking measurements.

7. Operations
7.1 Installation of Equipment
Equipment shall be installed in a clean environment. Furthermore, electrical noise, mechanical vibrations, anddirect sunlight shall be avoided.
Warning: The DCS equipment uses a laser beam, which can be hazardous to the eyes, as its light source. Do notlook directly into the incident light.
Furthermore, care shall be taken to ensure that no reflected light enters the eye. Safety codes that are applicableto the location where the equipment is installed shall be observed.

7.2 Cleaning of Instruments Used for DCS Measurements
The use of ordinary disposable syringes is recommended. Any measuring instruments that have been
contaminated shall not be used.
7.3

Measurement

7.3.1 Skills
The DCS equipment shall be operated by individuals who have been properly trained and who are capable ofappropriate operations. Whether an individual possesses the required measurement skills shall be evaluated inadvance by, for instance, examining whether said individual is capable of reporting values that match the certified
values of particle size standard substances.
7.3.2 Measurement Environments
The equipment shall be installed in a clean environment but it is also recommended that the environment inwhich the equipment is handled, as well as lab coats and other such items used by the measurement equipment
operatives, also be clean. Caution is required when using water, as it tends to absorb dust which can impede themeasurement operations.
7.3.3 Preparation of DCS Equipment

32

To acquire stable data, the equipment shall be warmed up prior to taking the measurements. The stability of thelaser beam varies significantly depending on the laser equipment. However, allowing the equipment to warm up
for 15 to 30 min is ordinarily considered necessary to allow the laser beam intensity to stabilize.
7.3.4 Measurements and Analyses
Dispersion samples shall be stored upright in a refrigerator (4 °C) and agitation shall be avoided prior tomeasurement. When taking measurements, the dispersion sample shall be collected using a syringe from a point
about 1 cm below the surface of the liquid, without shaking the centrifuge tube.
Measurements shall be taken and analyses performed according to the instruction manual provided with theequipment.
7.3.5 Records
The following experiment conditions shall be recorded: Information on dispersion sample, time of measurement,
duration of measurement, rotational speed of equipment, density gradient fluid used, calibration substance used,etc.
The following results shall be recorded: Measurement results obtained with the equipment (time vs. absorbance),
as well as the particle size distribution (particle size vs. mass) derived by analysis, and the median size derived
from an integrated particle size distribution curve.

8. Reports
The following items shall be reported:
8.1 Generala) Detailed information for identifying dispersion samples (example: Information on particle samples, acquisition
date of dispersion samples, and transportation methods)b) Measurement date, name of measuring person, and name of measurement organizationc) Information on standard substance used to verify validity of the equipment (including manufacturer name), as
well as the date on which the validation was conductedd) Storage conditions for dispersion sample (example: Storage temperature, storage location, and storage period)
8.2 Equipment, Experiments, and Analysesa) Equipment name, model name, and manufacturer name.
b) Particle size standard substances used for validation, as well as results of verificationc) Cleaning conditions for the disk and the liked) Information on reagents used for diluting solutions (if diluted)e) Particle sample concentration in dispersion sample (when possible)f) Index of refraction for dispersion liquids (literature information in case of literature data)33g) Capacity of the dispersion sample injected into the diskh) Methods used to calculate reported values (example: Methods used to derive average values)
8.3. Resultsa) Mass standard particle size distribution and mass standard median size

34

Appendix A

Practical Example:

Example of DCS Measurement Results for SWCNT Samples

An example of the particle size distribution in culture medium dispersion samples of eDIPS SWCNTs, derived
using the DCS, is shown in Figure A.1. The median size was 0.028 μm.

40(0.028, 50.1)

20

50Integrated Y3

Weight (µg/µm)

100(0.235, 0.014)

0

0
0.01

0.1

1

10

Diameter (µm)

Figure A.1 Example of particle size distribution in culture medium dispersion samples of eDIPS
SWCNTs, derived using DCS

35

IV-4. Evaluation of Carbon Nanomaterial Concentration by AbsorbanceIntroduction
This section describes the method used to evaluate the concentrations of particles in the suspensions. The particle
concentration is one of the important factors affecting hazard testing. Refer to Chapter V "Evaluation ofConcentration of Carbon Nanotube Dispersion Liquid Samples" of the "Procedures for Safety Testing" for details.

1. Scope of Application
The target of the evaluation shall be the suspension containing dispersed carbon nanomaterials, as used for hazard
testing. This section describes the method for evaluating the concentration of carbon nanomaterials in thesuspension, based on the absorbance in the visible range.

2. Referenced Standards and Regulations
This procedure refers to the following standards and regulations:"Countermeasures for Prevention of Exposure to Nanomaterials" (March 21, 2009) standard, issued by the
Ministry of Health, Labour and Welfare, Japan. Publication No. 0331013 (March 31, 2009).

3. Terminology and Definitions
3.1 Absorbance
Quantity that indicates the attenuation of the incident light for a sample liquid, depending on the absorbing
medium. When light with a wavelength λ is irradiated onto a sample with an intensity I0, the absorbance Aλ of abeam transmitted with intensity I shall be defined as follows:(1)
where the logarithm is the common logarithm. The absorbance follows the Lambert-Beer Law and is proportional
to the concentration of the absorbing medium.
3.2 Ultraviolet-Visible (UV-Vis) Light Absorption Spectroscopy
A measurement method for calculating absorbance according to the Lambert-Beer Law, based on the transmission
light observed when ultraviolet (UV) and visible (Vis) light is applied to an absorbing medium.
3.3 Sample Suspension
Suspension containing dispersed carbon nanomaterials.
3.4 Standard Suspension
Suspension with known concentration of carbon nanomaterials. This suspension is used to prepare a calibration
curve.
3.5 Dispersion Medium
Liquid medium for suspending carbon nanomaterials. The medium includes dispersion agents for dispersing thecarbon nanomaterials. The medium is also used to dilute sample suspensions.

36

4. Principles
Light irradiated onto nanoparticles dispersed in a liquid, or their clumps, is absorbed at a characteristic
wavelength depending on the substance, or scattered/interrupted by the suspending particles, such that the
spectrum of the transmission light differs from the incident light. The intensity of the absorbed light in such
instances is proportional to the concentration of the substance, according to the Lambert-Beer Law. The
absorbance, therefore, is measured and particle concentration C can be determined using the Lambert-Beerequation, described below:(2)
where ε is the molar absorption coefficient and l is the length of the optical path.
5. Equipment and Instruments
5.1 Carbon Nanomaterial Concentration Measuring Equipment
5.1.1 UV Absorption Spectrometer
This equipment is used to evaluate the carbon nanomaterial concentration based on absorbance, which uses an
UV-Vis light range absorption spectrometer. The descriptions given in this procedure document assume the useof a commercially available UV-Vis absorption spectrometer.
5.1.2 Validation
Refer to Section 5.1.2 of Chapter V of the "Procedures for Safety Testing".
5.1.3 Temperature Control
Refer to Section 5.1.3 of Chapter V of the "Procedures for Safety Testing".
5.2 Dispersing Equipment
Equipment used to prepare the standard suspension with a known concentration of carbon nanomaterials.
Sufficient dispersion of carbon nanomaterials in the dispersion medium is required in such instances, for which
the use of an ultrasonic homogenizer is recommended.
5.3 Instruments
Ordinary containers and dispensing burettes may be used. However, containers and instruments that can change
the physiochemical state (such as pH) of the dispersion sample shall not be used. For instance, since ordinary
soda glass can potentially change the pH of the suspension, the use of those made of quartz would be desirable.

6. Reagents
6.1 Dispersant
Bovine serum albumin (BSA) shall be used as the dispersant in the preparation of the hazard testing sample forcarbon nanomaterials.
6.2 Dispersion Medium and Its Preparation
BSA shall be dissolved in distilled water at a concentration of 10 mg/mL. This aqueous BSA solution shall besterilized with a 0.22-µm sterilization filter and used as the dispersion medium.
Note:

Other than distilled water, water purified with a water purification system, then filtered with anendotoxin removal filter may be used.

37

6.3 Reference Materials
The use of reference materials that have been declared to have traceability with regards to their characteristic
values of UV-vis absorption is desirable. The selection of filters that have a calibration certificate issued by JCSSand which can also be used to calibrate the range in the vicinity of the measurement wavelength is recommended
for the filters to be used for calibration.

7. Operations
7.1 Installation of Equipment
Refer to Section 7.1.1 of Chapter V of the "Procedures for Safety Testing".
7.2 Preparation of Standard Suspension
The suspension shall be prepared according to the procedure described below, by referring to Section 7.1.3 ofChapter V of the "Procedures for Safety Testing".
a)

Add the prescribed quantity of dispersion medium, prepared according to descriptions provided in Section
6.2, to a beaker containing the prescribed amount of carbon nanomaterial.

b)

Thoroughly blend the carbon nanomaterial with the dispersion medium.

c)

The ultrasonic transmission horn of the ultrasonic homogenizer shall be inserted directly into the dispersion
medium, consisting of an aqueous BSA solution with suspended nanocarbon. Verify visually that the liquid
inside the beaker circulates sufficiently by adjusting the position of the horn.

d)

The carbon nanomaterials shall be sufficiently dispersed by continuous ultrasonification for the prescribedamount of time.

e)

By diluting the standard suspension obtained in Step d) at appropriate ratios, a group of standard
suspensions of different concentrations shall be prepared.

Note 1: The optimum ultrasonic output during dispersion operations shall be examined in advance to verify thedispersion effects of carbon nanomaterials, as well as by considering the potential damage to carbon
nanomaterials, and wear of the container and the horn.
Note 2: Cool the beaker with ice as appropriate, to suppress the rise in temperature of the dispersion liquid
during ultrasonic irradiation.
Warning: The ultrasonic treatment shall be performed on a clean bench, to avoid contamination by airborne
particles and exposure to the atomized mist from the suspension. Furthermore, tasks shall be performed
while wearing individual protective equipment, including masks and gloves.
7.3 Cleaning of Instruments Used for Measurement
Refer to Section 7.1.4 of Chapter V of the "Procedures for Safety Testing".
7.4

Measurement

7.4.1 General
Details on the skills required of the measurement equipment operatives, as well as the measurement environment,
can be found in Sections 7.1.6.1 and 7.1.6.2 of Chapter V of the "Procedures for Safety Testing".
The measurements shall be repeated at least three times to evaluate the repeatability of the measurements. The
sample suspension, furthermore, shall be measured under the same measurement conditions (such as bandwidth)38

as standard suspensions.
7.4.2 Starting the Equipment and Performing Blank Measurements
The measurement equipment shall be started and operated according to the equipment manual.
a)Start the carbon nanomaterial concentration measuring equipment.

b)Allow the equipment to reach a stable state as described in Section 7.1.6.3 of Chapter V of the "Procedures
for Safety Testing."c)Perform blank measurements as described in Section 7.1.5 of Chapter V of the "Procedures for Safety
Testing". Adjust the baseline of the equipment in the measurement wavelength range, using a dispersion
medium. Furthermore, when the equipment is a single-beam device, measure I0 using the dispersion
medium as a reference sample.

7.5 Preparation of Calibration Curves
The absorption spectrum in the visible range of the group of standard suspensions, prepared according to theprocedure given in Section 7.2, shall be measured with the carbon nanomaterial concentration measuring
equipment. The absorbance used for the calibration curve shall be derived according to the following procedure:a)

The transmission light intensity I of the arbitrary standard suspension in the UV-Vis range (wavelength λ:
200 nm to 800 nm) shall be measured. Derive the absorbance Aλ based on I/I0 within a range of 200 nm to
800 nm.

b)

Calculate the average absorbance Aav in a wavelength range of λ1 to λ2, in which there is no absorption by
the dispersion medium. The average absorbance shall be calculated using the following equation.
(3)c)

Prepare a calibration curve, based on the relationship between the carbon nanomaterial concentration of thegroup of standard suspensions and the absorbance Aav.

7.6 Evaluation of Carbon Nanomaterial Concentration in Sample Suspension
Evaluate the carbon nanomaterial concentration in the suspension sample, for which the concentration is an
unknown, based on the absorbance in the UV-Vis range. Perform the measurements as described below:a)Verify that the absorbance of the suspension in the wavelength range of λ1 to λ2 is under 3. Dilute thesample using the dispersion medium when the absorbance is equal or higher than 3.

b)

Measure the absorption spectrum for the sample suspension by using concentration measurement
equipment and calculate the average absorbance Aav with a wavelength range of λ1 to λ2, using Equation
(2).

c)

Calculate the carbon nanomaterial concentration using the calibration curve prepared in 7.5. Convert theresult to the concentration of the original if the suspension is diluted.

7.7. Recordsa)Record the following experiment conditions: Information on dispersion sample, time of measurement,
duration of measurement, temperature of suspension, etc.

b)

Record the following results: UV-Vis absorption spectrum calculated using the equipment, etc.

39

8. Analysis of Data
Follow the stipulations given in Section 8 of Chapter V of the "Procedures for Safety Testing" and refer toAppendix C of Chapter V of the "Procedures for Safety Testing" to calculate the concentration values for the
sample suspension and to evaluate any uncertainties.

9. Reports
9.1 General Items and Conditions Related to Equipment, Experiments, and Analyses
Report on general items and the equipment, along with the conditions of experiments and analyses as describedin Section 9.1 and 9.2 of Chapter V of the "Procedures for Safety Testing".
9.2. Results
Report on the calculated concentration, as well as the repetition standard deviations or uncertainties.

40Appendix A

Practical Example: Measurement of CNT Concentration

A.1 Outline
This section describes the preparation of the calibration curve used for evaluating the concentration of samples
prepared for the hazard testing of SWCNTs (eDISP-CNT), prepared by the eDIPS method.

A.2 Preparation of Dispersion Medium
The 08587-42 BSA product, manufactured by Nacalai Tesque Co., Ltd., was used as the dispersant.
An aqueous BSA solution with a concentration of 10 mg/mL was prepared by dissolving BSA in distilled water(Gibco® manufactured by Thermo Fisher Scientific).
The dispersion medium was prepared by filtering the aqueous BSA solution, described above, through asterilization filter with a pore size of 0.22 μm (GP 0.22 μm, manufactured by Merck Ltd.).
A.3 Preparation of Standard Suspension and Preparation of Calibration Curves
A.3.1 Ultrasonic Dispersion
The SWCNTs were eDISP-CNT (B033). A 5 mg sample of eDISP-CNT was corrected in a 50 mL beaker.
The dispersion medium, prepared according to the procedure described in Appendix A.2 (10 mg/mL aqueous
BSA solution), was added to the beaker and the group of standard suspensionswas prepared according to theprocedure described in Section 7.2.
A Branson Sonifier 250 ultrasonic homogenizer was used for the dispersion.
The probe of the ultrasonic homogenizer was inserted into the CNT suspension, and the output control of thehomogenizer was set to 4 to perform the ultrasonic treatment.
A.3.2 Preparation of Calibration Curves for CNT Concentration Evaluations
The UV-Vis absorption spectrum of the standard suspension, prepared by diluting the standard suspension witha CNT concentration of 0.1 mg/mL with 10 mg/mL aqueous BSA solution, is shown in Figure A.1 (measured
with UV-2550, Shimadzu Corporation).

41

Figure A.1 UV-Vis absorption spectrum of eDIPS-CN suspension

The relationship between the CNT mass concentration and the absorbance of the suspension (calibration curve)
was derived based on the average absorbance over a wavelength range of 600 nm to 800 nm (Fig. A.2).

Figure A.2 Relationship between CNT mass concentration and absorbance of suspension (calibration curve)

A linear relationship, which runs through the origin as depicted in the figure, was obtained between the massconcentration CCNT of the eDISP-CNT and the average absorbance Aav within a wavelength range of 600 nm to
800 nm. The mass concentration of the CNT was derived using the following relationship:(A-1)
Equation (A-1), was used to evaluate the concentration of the suspension of the eDISP-CNT, for which theconcentration is an unknown.

42Chapter V: Analysis of Carbon Nanomaterials in Animal Tissues

VI-1. Analysis by Ultraviolet Visible Light Absorption Spectroscopy
Introduction
The gaining of an understanding of the behavior of carbon nanomaterials that have entered the body of anorganism through paths such as respiratory organs is important to any examination of the safety of carbon
nanomaterials. For this reason, the quantitative detection and evaluation of carbon nanomaterials in respiratoryorgans, which are the primary pathway for entry, is necessary.
This section describes the method used to take spectroscopic measurements of carbon nanomaterials that haveentered the lungs of an animal test subject through inhalation or intratracheal injection, as well as carbon
nanomaterials that have migrated to biotissues other than the lungs. The decomposition of biotissues by enzymes
is further promoted by ultrasonic irradiation for assay, to eliminate the effects of contaminants such as organiccarbon and isolate the effects of the carbon nanomaterials.

1. Scope of Application
This section describes a method for measuring the amount of carbon nanomaterial administered into the lungs ofrats, based on the absorbance of the decomposition liquid after decomposing in biotissues such as the lungs as aresult of enzyme reactions. Furthermore, a method for promoting enzyme reactions and the decomposition of
biotissues using ultrasonic irradiation is also described. This method can also be applied to the assay ofnanocarbon inside biotissues during inhalation exposure tests on airborne carbon nanomaterials.

2. Referenced Standards and Regulations
This procedure refers to the following standards and regulations:"Countermeasures for Prevention of Exposure to Nanomaterials" (March 21, 2009) standard issued by the
Ministry of Health, Labour and Welfare, Japan. Publication No. 0331013 (March 31, 2009).

3. Terminology
3.1 Proteolytic Enzyme
An enzyme which decomposes biotissues.
3.2 Surfactants
Solvents that dissolve proteins to enzyme solutions during the enzyme decomposition process of biotissues andwhich promote enzyme reactions.

4. Equipment
4.1 Ultrasonic Bath43

Equipment used for the enzyme decomposition of biotissues, which promotes enzyme decomposition throughthe application of ultrasonic irradiation.
4.2 Containers
Glass vials with a capacity of 50 mL. These are used as sample containers for enzyme decomposition operations.
4.3 Ultraviolet-Visible Range (UV-Vis) Absorbance Measurement Equipment
Equipment used to measure carbon nanomaterial concentration based on the absorption spectrum (absorbance)in the ultraviolet-visible range (UV-Vis) of the decomposition liquid.
4.4 Graduated Cylinder
Cylinder used to measure the volume of decomposition liquid to calculate the content based on the carbon
nanomaterial in biotissue decomposition liquid. A cylinder with a capacity of 5 to 50 mL is selected, dependingon the amount of biotissue.

5. Reagent for Decomposition
5.1 SurfactantsAqueous solution with sodium dodecyl sulfate (SDS) dissolved in water output by a purified water production
system at an appropriate concentration (100 mg/mL).
5.2 Proteolytic Enzyme
Proteinase K is used. If the surfactant is in the form of an aqueous solution, the enzyme activity shall be 600
U/mL or greater. If the surfactant is in the form of a powder, the enzyme activity shall be 30 U/mg or greater andshall be dissolved in water.

6. Pretreatment of Biotissues: Fragmentation
Weigh the targeted biotissue. Place a lung in a vial and fragment it into small fragments with a pair of scissors
or the like.
Warning: Perform all operations on a clean bench to avoid contamination from the air and to prevent the
scattering of tissue. Furthermore, tasks shall be performed while wearing individual protective equipment,
including masks and gloves.

7. Decomposition of Biotissues
7.1 Addition of Enzymes and Dispersants
Add a prescribed quantity of enzyme solution and surfactant to the vial prepared according to the proceduredescribed in Section 6. Add the respective items in the quantities determined in advance for the tissues, which
are to be the subject of decomposition (refer to Appendix).
Securely close the lid of the vial.
7.2 Decomposition with Ultrasonic Bath
Place the vial in the prescribed location in the ultrasonic bath. The liquid height in the ultrasonic bath shall be
adjusted so that the maximum resonance is derived at the surface of the liquid in the vial. Perform enzyme
decomposition by applying ultrasonic irradiation for the prescribed duration.

44

The rise in the temperature of the liquid in the bath occurs due to the ultrasonic irradiation. Control the bathtemperature such that it remains between 37 °C and 50 °C, given the relationship between the enzyme kinetics
and the enzyme inactivation.
Visually verify the vial for the presence of tissue in the solid state after decomposition. Continue ultrasonicirradiation until such solids can no longer be observed.
Note 1: The vial shall be placed directly above the ultrasonic emitter, such that the vibration of the water in theultrasonic bath is maximized, thus maximizing the efficacy of the ultrasonic irradiation.
Note 2: Take care to ensure that the lid does not come off the vial during ultrasonic irradiation. Furthermore,
carefully examine the container for any damage or wear.
7.3 Measurement of Decomposition Liquid Volume
Measure the decomposition liquid volume V using a graduated cylinder, to enable the calculation of thenanocarbon content in the biotissue.

8. Measurement of Nanocarbon Content
8.1 Outline
The operations described in Sections 8.2 and 8.3, below, depend on the measurement of absorbance in the UVVis range, as described in Section 7.4 of the General Procedure manual "Characterization of Dispersion Liquid
Sample of Carbon Nanomaterials in Liquid: Evaluation on Carbon Nanomaterial Concentration Based on
Absorbance" (hereinafter referred to as the "Concentration Evaluation Procedure Manual").
8.2 Verification of Background
Decompose biotissues that do not contain any carbon nanomaterials prior to the evaluation of the carbon
nanomaterial content in biotissues, according to the procedure described in Section 7. Measure the absorption
spectrum of the decomposition liquid using the UV-Vis absorbance measurement equipment, according to theprocedure described in Section 8.4. Derive the absorbance Ab, which is derived from the content of contaminants
other than carbon nanomaterials in the decomposition liquid.
8.2 Preparation of Calibration Curves Relating to Carbon Nanomaterial Content
Prepare calibration curves for the absorbance AC and the carbon nanomaterial concentration CC in thedecomposition liquid in advance, to evaluate the carbon nanomaterial content in the biotissue decomposition
liquid. Follow the procedure described in Section 7.2 of the Concentration Evaluation Procedure Manual toprepare the standard suspension with a known carbon nanomaterial concentration used for calibration curvemeasurements.
Follow the procedure described in Section 7.5 of the Concentration Evaluation Procedure Manual to prepare thecalibration curve and derive the following relationship:(1)
where k is a proportionality coefficient that is dependent on the carbon nanomaterial content.
8.3. Measurement of Carbon Nanomaterial Content in Decomposition Liquid
Decompose the targeted biotissues according to the procedure described in Section 7. Measure the absorbance Aof the decomposition liquid using the UV-Vis absorbance measurement equipment, according to the procedure45

described in Section 8.4.
8.4 Measurement of Absorbance
Measure the absorption spectrum in the visible range of the decomposition liquid using the UV-Vis absorbancemeasurement equipment (refer to Section 7.4 of the Concentration Evaluation Procedure Manual).
Follow the procedure described below to measure the absorbance. The measurement equipment shall be operated
according to the equipment manual.
a)Start the equipment.

b)Adjust the baseline of the equipment within the measurement wavelength range, using purified water.
Furthermore, when using a single-beam device, use the dispersion medium as a reference and measure I0.

c)

Measure the transmission light intensity I in the ultraviolet to visible range (wavelength λ: 200 nm to 800
nm). Derive the absorbance Aλ based on I/I0 within a range of 200 nm to 800 nm.

d)

Calculate the average absorbance Aav within a wavelength range of λ1 to λ2, in which there is no impact
from absorption by the dispersant. The average absorbance in this instance shall be as described below.

(2)
where λ1 = 700 nm and λ2 = 800 nm.
e)

The average absorbance Aav, calculated using Eq. (2), is the absorbance Ab and A, in Sections 8.1 and 8.3,
respectively.

8.5 Evaluation of Nanocarbon Concentration
Derive the carbon nanomaterial concentration by substituting in the absorbance derived by subtracting thebackground Ab from the absorbance A of the decomposition liquid that includes nanocarbons derived according
to the procedure described in Section 8.4 of Eq. (1):AC = A-Ab(3)

Furthermore, estimate the carbon nanomaterial content MC based on the decomposition liquid volume, using
the following equation:
MC = C C V(4)

9. Reports
9.1 Generala)

Detailed information for identifying biotissue samples (example: Information on biotissue samples,summary of animal testing, acquisition date of biotissue samples, and transportation methods)b)Storage conditions of biotissue sample (example: Storage temperature, storage location, storage period, etc.)c)

Results of visual observations of biotissue samples (example: Images taken by a digital camera)

9.2 Analyses of Tissues; Experiment and Analysis Conditionsa)Ultrasonic generator, model, and manufacturer.

b)

Information on enzymes used for decomposition (enzyme name, enzyme activity, and added dosage)c)

Information on surfactant used for improvement of enzyme activity (surfactant name, concentration, andadded dosage)

46

d)

Information pertaining to enzyme decomposition reaction (decomposition time and temperature)e)Tissue mass and decomposition liquid volume

9.3 Nanocarbon Concentration Measurement Equipment; Experiment and Analysis Conditionsa)Equipment, model, and manufacturer.

b)Reference materials used for validation, as well as results of verificationc)

Information on measurement celld)

Information on reagents used for diluting solutions, if dilutede)Absorbance of background, as well as average absorbance within a range of 700 nm to 800 nme)

Average absorbance of decomposition liquid within a range of 700 nm to 800 nm

f)Calculation method for reported values (for instance, calculation method used to determine carbon
nanomaterial concentrations)g)

Calculation method for uncertainties and the source of data, if requiredh)Number of repeated measurements

9.4. Resultsa)Carbon nanomaterial content and repetition standard deviations or uncertainties.

47

Appendix A

Decomposition of Biotissues and Example of Measurement of Interstitial Carbon Nanomaterial Content

A.1 Outline
The following is an example of the measurement of CNTs inside the lungs, collected during a test in which
SWCNTs, prepared by the eDIPS method (eDISP-CNT), are introduced into the trachea of a rat in accordancewith the procedure manual.

A.2 Preparation of Surfactant
SDS (Wako Pure Chemical Industries) was used as the surfactant.
Purified water was produced using a purified water production system (Milli-Q manufactured by Millipore). This
purified water was used to prepare an aqueous SDS solution with a concentration of 100 mg/mL.

A.3 Proteolytic Enzyme
Proteinase K (Kanto Kagaku) was used. The enzyme concentration was 700 U/mL (an enzyme massconcentration of 20 mg/mL).

A.4 Enzyme Decomposition of Pulmonary Tissues
A.4.1 Pulmonary Tissues and Fragmentation
The left and right lungs of a 9-week-old Wistar rat (male), to which a sample had been administered to the trachea,
were the target of the examination.
The targeted lungs were weighed in advance to derive their mass L.
The lungs were placed in a 50 mL vial and fragmented using a pair of scissors (Figure A.1).

Figure A.1 Lungs of rat to which CNTs had been administered to trachea, prior to decomposition

A.4.2 Enzymes and Addition of Dispersants
The required dosage of enzyme E (mL) was as described below with respect to the lung mass L (g):(A.1)
The required dosage D (mL) of surfactant with an SDS concentration of 100 mg/mL, prepared according to theprocedure described in Appendix A.2, was as described below:

48

(A.2)
An enzyme solution and dispersion solution of the quantities described above were added to the vial.
A.4.3 Ultrasonic Enzyme Decomposition of Pulmonary Tissues
The vial described in Appendix A.4.2 was set in the ultrasonic bath (5510-MT manufactured by Branson; 70 W,
42 kHz) in which the water level had been adjusted in advance. Ultrasound was applied for 5 h to decompose thelungs with the enzyme (Figure A.2). The temperature was controlled to ensure that it remained between 37 and
50 °C.

Figure A.2 Pulmonary decomposition liquid after ultrasonic enzyme decomposition

A.5 Evaluation of CNT Concentration
The UV-Vis absorption spectrum for the decomposition liquid was measured using a UV-2550 manufactured by
Shimadzu Corporation. The absorption spectra (number of samples: 3) for the pulmonary decomposition liquid,
without instillation to the trachea, are shown in Figure A.3 (a). No undecomposed tissue was observed in thedecomposition liquid. Furthermore, the average absorbance in the range of 700 nm to 800 nm was extremely low,
being only about 0.01. The absorption spectra for the pulmonary decomposition liquid administered in the trachea,
at high as well as low dosages, are shown in Figure A.3 (b). No undecomposed tissue was confirmed in any ofthe decomposition liquids and it is assumed that the absorbance by the solids derived from the tissues can beignored. The absorbance for the range of 390 to 400 nm is derived from the blood remaining in the lungs (hemecomplex of hemoglobin). No correlation was confirmed between said absorbance and the average absorbance fora range of 700 to 800 nm, as used for the evaluation of the CNT content. The calibration curve was derived byderiving the CNT concentration in advance, based on the average absorbance for a range of 700 to 800 nm. The
figure was converted into the CNT content for each lung.

Figure A.3 Absorption spectra for pulmonary decomposition liquids(a) Lung with no intratracheal instillation; (b) Lung with intratracheal instillation

49

The results of evaluating the residual quantity of CNTs inside the lungs over time, after the instillation andaccording to the procedure described above, are shown in Figure A.4. The error bars in this instance indicate thestandard deviations for five samples.

Figure A.4 Estimated value for CNT content in lungs after intratracheal instillation50V-2. Carbon Analysis
Introduction
This section describes the procedure for evaluating the carbon nanomaterial concentration in animal tissue. This
procedure involves the measurement of the concentration of the carbon content based on calibration curves
prepared using glucose and the like, as well as the measurement of the concentration of the CNT content basedon the calibration curves prepared using the targeted CNTs.

1. Scope of Application
The target of the measurements is the CNTs present in animal tissues.

2. Referenced Standards and Regulations
No standards or regulations are either referenced or cited in this document.

3. Terminology and Definitions
3.1 Non-dispersive Infrared Spectrometry
Method for measuring carbon dioxide based on infrared absorption.

4. Equipment and Instruments
4.1 Hot Plate
Apparatus that can heat acidic liquids inside a container for acid treatment, which offers a temperature control
performance of about ± 10 °C and which can reach a maximum temperature of 200 °C.
4.2 Microwave Decomposition Equipment
Equipment for decomposing the organic carbon components of samples by directly heating those samples incontainers under pressure by irradiating them with microwaves.
4.3 Container for Acid Treatment
A heat- and acid-resistant watch glass, made of quartz glass, was used as a lid for a 100 mL beaker. Alternatively,a heat- and acid-resistant container made of glass that can be used in microwave decomposition equipment (theuse of tubes made of PTFE is not desirable, since the CNTs are adsorbed onto the PTFE, and their subsequent
removal is difficult).
4.4 Homogenizer
Instrument for preparing a uniform homogenate, by pulverizing and agitating animal tissue.
4.5 Quartz-glass tube
A quartz-glass tube capable of withstanding combustion at temperatures of up to 900 °C, filled with quartz wool
for filtering. When a product made of stainless steel (SUS) is used, the inorganic carbon derived from the SUS
causes the background level to rise and the lower quantitative limit for analysis rises.
4.6 Combustion Equipment
Equipment for generating carbon dioxide by burning the organic carbon and CNTs in a sample, either in an51

oxygen flow or in the presence of a catalyst.

4.7 Carbon Dioxide Measurement Equipment
Equipment for measuring the carbon dioxide generated when samples are combusted. A non-dispersive infrared(NDIR) type is used. However, no restrictions are imposed on the equipment, if it is capable of quantitatively
detecting carbon dioxide.
4.8 Centrifuging Tube
Tube with capacity of either 15 mL or 50 mL, used for the storage of organs or for homogenation.

5. Reagents
5.1 Nitric Acid
An acid of a high-purity analysis standard for heavy metal analyses, or of an equivalent or higher level of purity,
shall be used. It is used for the decomposition of organic carbon components.
5.2 Sulfuric Acid
An acid of a high-purity analysis standard for heavy metal analyses, or of an equivalent or higher level of purity,
shall be used. It is used for the decomposition of organic carbon components.
5.3 Ultrapure Water
Water that has been distilled and passed through an ion exchanger, and which is thus suitable for the
microanalysis stipulated by the JIS K 0557 standard, shall be used. No carbon components may be included as
impurities.
5.4 Glucose
Substance used for preparing calibration curves for carbon content measurements after dissolving and diluting
in ultrapure water. Those graded as being of premium class or higher are desirable.
5.5 Protease K
Enzyme for decomposing proteins.

6. Analysis Procedure for CNTs in Sample Solutions
6.1 Preparation of Calibration Curves for Carbon Concentrations
6.1.1 Preparation of Standard Solutions
Weigh a specific amount of glucose and dilute it in a graduated flask to attain the required concentrations when
preparing the standard solutions needed to prepare calibration curves.
6.1.2 Addition to Quartz-glass Tubes
Using a syringe, infuse 10 μL of a standard liquid of the respective concentration, prepared according to theprocedure described in Section 6.1.1, into each of the quartz-wool segments inside the quartz-glass tubes. Allow
it to dry for at least 8 h at 80 °C.
6.1.3 Measurement of Carbon Concentration
Set the quartz tube prepared according to the procedure described in Section 6.1.2 in the combustion equipment
and cause it to burn by raising the temperature and measuring the carbon dioxide concentration with the NDIR

52

equipment. In this instance, combustion shall be performed by raising the temperature at the same rate as when
the CNT sample is analyzed.
6.1.4 Preparation of Calibration Curves
Prepare calibration curves by plotting the carbon content [g] in the added glucose on the horizontal axis and thearea of the peak (Vs) derived by the NDIR on the vertical axis.
6.2 Preparation of Calibration Curves for CNT Concentrations
6.2.1 Addition of CNTs to Quartz-glass Tubes
Weigh a specific amount of targeted CNTs and add them to a quartz-glass tube. This operation shall be performed
under static-free conditions while ensuring that no loss arises due to static electricity.
6.2.2 Measurement of Carbon Concentration
Set the quartz tube prepared according to the procedure described in Section 6.1.2 in the combustion equipment
and cause it to burn by raising the temperature. Measure the carbon dioxide concentration with the NDIR
equipment. A component that burns at a specific temperature (such as 400 °C) shall be regarded as being a CNT
component.
6.1.4 Preparation of Calibration Curves
Prepare calibration curves by plotting the added CNT content [g] on the horizontal axis and the area of the peak(Vs) derived by the NDIR on the vertical axis.
6.3 Pretreatment of Animal Tissue Samples
6.3.1 Preparation of Homogenate
Take an animal tissue sample and add ultrapure water of approximately three times the weight and thenhomogenize the mixture by using a homogenizer.
6.3.2 Enzyme Treatment
Weigh a portion of the homogenate prepared according to the procedure described in Section 6.3.1 and then add
a specific amount of protease K. Then, wash off the sample attached to the wall surfaces with water and allow
the solution to stand overnight at 50 °C.
6.3.3 Nitric Acid Treatment
Add a specific amount of nitric acid to the enzyme-treated liquid and decompose the solution using a hot plateor a microwave decomposition system.
6.3.4 Filtering and Washing with Water
Use a Pasteur pipette and a syringe to pass a specific amount of nitric acid through the quartz-glass tube filledwith quartz wool. Then, infuse the acidic liquid prepared according to the procedure described in Section 6.3.3.
To detach and collect the SWCNTs that attach to and remain on the glass Pasteur pipette and the like when thesolution is transferred from a glass container or from a glass container to a quartz-glass tube, wash the containers
with purified water and then ethanol, and then pass the liquid through the quartz-glass tube. Finally, pass the
purified water through the quartz-glass tube to perform washing filtration.
6.3.5 Sulfuric Acid Treatment
Place a specific amount of sulfuric acid in the quartz-glass tube and allow it to stand for the specified duration
to impregnate the filter section. Then, pass the purified water through the quartz-glass tube to perform washing53

filtration.
6.3.6 Combustion and Analysis
Eliminate the water in the quartz-glass tube that has been subject to washing filtration according to the proceduredescribed in Section 6.3.5 by drying in a muffle furnace at 80 °C. Then, set the quartz-glass tube in the
combustion equipment and heated to a specific temperature while supplying oxygen to the quartz-glass tube toencourage burning. Measure the carbon dioxide concentration to derive the carbon concentration or the CNT
concentration.
6.4 Analysis of Blank
Perform acid treatment and analysis of the animal samples of the control group that do not contain any CNTs byperforming the same operations as those in the procedure described in Section 6.3. Then, perform measurementson the blanks as well. Derive a value that is equal to 10 times the variance (standard deviation) resulting fromtaking measurements of the blanks five or more times as the minimum value for determination.

54

Appendix A

Practical Example: Analysis of CNTs in Rat Organs

A.1 Outline
Calibration curves were prepared for different CNTs (SWCNTs: eDips semiconducting, eDips metal, Meijo
Nanocarbon EC1.5-P, SG; MWCNTs: VGCF), and then pretreatment and analysis were performed for the
samples that were added to the rat lungs.

A.2 Preparation of Calibration Curves
A specific quantity of CNTs (SWCNTs: eDips semiconducting, eDips metal, Meijo Nanocarbon EC1.5-P, SG;
MWCNTs: VGCF) were weighed, placed in a quartz-glass tube, and then burned using the combustion equipment.
The calibration curves were prepared based on the peak area derived by NDIR for the components that wereburned at temperatures of 400 °C or higher. The temperature-elevating conditions for combustion were set to:
100 °C => (3 °C/min) => 400 °C (120 min)=> (3 °C/min) => 900 °C (60 min).

A.3 Pretreatment
A.3.1 Preparation of Acidic Liquid
Ultrapure water for metal analysis (ultrapure water for ultratrace analysis, manufactured by Wako Pure Chemical
Industries), nitric acid (nitric acid 1.42 Ultrapur-100, manufactured by Kanto Kagaku), and sulfuric acid (sulfuric
acid for hazardous metal measurement, manufactured by Wako Pure Chemical Industries) were used.
A.3.2 Analysis of Organic Carbon Components in Samples
A 0.4 mL sample of the CNT/rat lung homogenate was placed in a quartz glass container, after which 200 μL of
protease K was added. The homogenate attached to the quartz-glass container wall surface was washed off with
500 μL of ultrapure water. The sample was then left overnight at 50 °C, after which 10 mL of nitric acid wasadded and decomposed at 100 °C for 60 min using a microwave decomposition system (Speedwave 4,
manufactured by Berghof, Germany). A Pasteur pipette and a syringe were used to infuse a specific amount of
nitric acid through the quartz-glass tube filled with quartz wool, after which the acidic liquid that decomposed
the sample was passed through for filtration. To detach and collect the SWCNTs that attach to and remain on theglass Pasteur pipette and the like when the solution is transferred from a glass container or from a glass container
to a quartz-glass tube, they were washed with purified water and then the liquid was passed through the quartzglass tube. Ethanol was also used for washing, by passing it through the quartz-glass tube. As a final step, purified
water was passed through the quartz-glass tube to perform washing filtration.
A.3.3 Filtration
The acidic solution after acid treatment was suctioned and filtered using a syringe, while transferring it to aquartz-glass tube with a Pasteur pipette. The glass containers were washed with ethanol and then water, after
which the liquids were filtered by passing them through a quartz-glass tube.

55

A.3.4 Additional Acid Decomposition
Sulfuric acid was placed in the quartz-glass tube described in Appendix A.3.3 and allowed to stand. The filter
segment was immersed in sulfuric acid for one hour. Purified water was passed through the quartz-glass tube toperform washing filtration.
A.3.4 Analysis
Any water left in the quartz-glass tube was eliminated by drying in a muffle furnace at 80 °C, then heating to a
specified temperature while supplying oxygen gas to the quartz-glass tube to encourage burning. The carbon
dioxide concentration was then measured to derive the carbon concentration or the CNT concentration. Analysis
was performed with set temperature elevating conditions: 100 °C => (3 °C/min) => 400 °C (120 min) =>(3 °C/min) => 900 °C (60 min).

e-Dips(semi-conductor type)

360℃

385℃
229℃

210℃

200

624℃

e-Dips(Metal type)

550℃

402℃
300

400

412℃

653℃
500

700

600

800

900

200

300

400

500

800

900

SG

EC1.5-P
728℃

664℃

332℃

212℃

391℃

238℃

452℃

200

700

600

300

400

859℃

404℃

856℃

500

700

600

800

200

900

300

400

500

600

700

800

900

576℃

VGCF

EC1.5

870℃

755℃
214℃

260℃

200

300

681℃

359℃

607℃

252℃
418℃

400

500

600

700

800

900

200

300

400

858℃
500

600

700

800

900

Figure A.1 Temperature elevations and peaks during combustion for respective CNTs

56

400℃以上のﾋﾟｰｸ面積
Area(over 400 ̊C [Vs]y = 2.728x
R² = 1

200
150
100
50

200

30

60

90

CarbonC量[μg]amount [μg]y = 1.9111x
R² = 0.9997

150
100
50
0

0

120

0

50

100

CNT amount[μg]
秤量値(weight)[μg]

CNT amount (weight) [μg]y = 2.2058x
R² = 0.992

150
100
50
0

150

0

50

100

150

CNT amount[μg]
秤量値(weight)
[μg]
350

SG

250

y = 2.8802x
R² = 0.9967

200
150
100
50
0

e-Dips (metal type)eDIPS-金属型

200

300

EC-P

400℃以上のﾋﾟｰｸ面積
Area(over 400 ̊C [Vs]

Area (over 400 ̊C [Vs]0e-Dips (semi-conductor type)eDIPS-半導体型

400℃以上のﾋﾟｰｸ面積
Area(over 400 ̊C [Vs]

Area
[Vs]
面積

250

250

250

ｸﾞﾙｺｰｽ(0～100)
Glucose

400℃以上のﾋﾟｰｸ面積
Area(over 400 ̊C [Vs]

300

0

50

100

CNT amount(weight)
[μg]
秤量値
[μg]

150

VGCF

300

y = 2.8379x
R² = 0.9938

250
200
150
100
50
0

0

50

Figure A.2 Calibration curves for glucose and respective CNTs

57

100

CNT amount(weight) [μg]秤量値 [μg]

150

Chapter VI:

In Vitro Cell-based Assays Using Dispersion Liquid Samples ofCarbon Nanomaterials

Introduction
This section describes the method for conducting in vitro cell-based assays that are not impeded by carbon
nanomaterials that have been prepared and dispersed in cell culture medium by using dispersion samples ofcarbon nanomaterials in liquid, prepared according to the procedure described in Chapter III "Preparation of
Samples for Carbon Nanomaterials" of this document, as test materials and selecting cultured cells that reflect
the inflammation of lungs due to inhalation exposure with humans as well as biomarkers (endpoints) as test items.

1. Scope of Application
This section describes the method for performing in vitro cell-based assays for conducting a safety evaluation,by using a cell culture medium of carbon nanomaterials dispersed for in vitro cell-based assays.

2. Referenced Standards and Regulations
None.

3. Terminology, Definitions, and Symbols
3.1 In vitro cell-based assay
Test environment under conditions that have been artificially constituted, such as inside a test tube or in a petri
dish, in other words, a test environment in which respective test conditions, such as the medium for cell culture,
are artificially controlled. Such tests include those using human cultured cells or animal cultured cells.
3.2 Antibacterial and Antifungal Agent
Liquid mixture with antibiotic and antifungal properties that is added to the culture medium to prevent
contamination by bacteria or fungi when cultivating human cultured cells and animal cultured cells. Concentrateliquids are commercially available and are used by being added to the culture medium. In many instances,penicillin and streptomycin and the like are used as antibiotic agents, while amphotericin B and the like are used
as antifungal agents.
3.3 Cell Culture Medium
Liquid that provides a suitable growing environment for the culture of human cultured cells and animal cultured
cells. The constituents include amino acids, vitamins, salts, and the like that are necessary for the growth ofcultured cells. The pH is close to neutral, which is optimally suited for the growth of cultured cells. In many
instances, the basal medium described above is supplemented by the addition of about 10% fetal bovine serumthat is necessary for the growth of cultured cells. Several representative formulas have been established, such as
the Eagle's basal medium, Dulbecco's modified Eagle's medium, and the RPMI1640 culture medium.
3.4. Prepared Stock Suspension
Suspension prepared by dispersing carbon nanomaterials in media such as an aqueous BSA solution.

58

3.5. Cell Culture Medium
Carbon nanomaterial suspension used for in vitro cell-based assay. Prepare the prepared stock suspension to theprescribed factor using the cell culture medium used for the in vitro cell-based assay.

4. Test Methods
4.1 Cell Strains
Cell strains that can model the respiratory organs targeted for simple and rapid safety evaluation of carbon
nanomaterials are used. For instance, adenocarcinomic human alveolar basal epithelial cells (A549) can be used
to alveolar type II epithelial cell while rat alveolar cell line (NR8383) can be used as a model for the macrophage(Fujita et al., 2013; Fujita et al., 2015). The storage and preparation of cell strains are performed based on theprescribed methods.
4.2 Cell Culture
Cultured cells of a prescribed concentration in the logarithmic growth phase are placed in a multiwell plate thathas as many wells as the number of test items. The use of about four wells for each sample is desirable. Afterovernight incubation under conditions of optimum temperature, humidity, and carbon dioxide concentration,observe the state of the cells with an inverted microscope or the like to confirm that the cells have been growing
appropriately. Remove the cell culture medium using an aspirator or a centrifuge by suctioning and replace or
add cell culture medium. The verification of the type, concentration, and the like of the dispersant used for the
preparation of the cell culture medium by conducting a preliminary test is desirable, since it has a significant
impact on the survival of the cells (Horie et al., 2013). The cell culture medium in such a case is used as the
carbon nanomaterial treatment group. However, in addition to these, also prepare a negative control group and apositive control group. Use cells cultured by adding prepared stock suspension that do not contain any carbon
nanomaterials to the cell culture medium as the negative control group. Use cells cultured by selecting items forthe respective endpoint indices and add these to the cell culture medium as the positive control group. The resultsof the cell assay for the negative control group and the positive control group become indices for the comparativeevaluation of the reliability of the cell assay system as well as the impact of the carbon nanomaterials. Performthe tests described below after performing cultivation for a prescribed amount of time.
4.3 Cell Viability
For a cell viability test, color changes in the formazan dye of tetrazolium salts, as caused by the mitochondrialhydrogenase enzymes in living cells (example: WST-1 method; water-soluble tetrazolium salts) are measured.
The cell proliferation ability is measured based on its capacity to form colonies. Select and choose these tests
appropriately. Take measurements at the prescribed intervals during cultivation in the cell culture medium. The
MTT method (3-(4,5-di-methylthiazol-2-yl)-2,5-diphenyltetrazolium bromide, yellow tetrazole), which uses
mitochondrial enzyme activity as an endpoint, has been reported as inhibiting colorimetry with CNTs andtherefore should be used with caution (Wörle-Knirsch et al., 2006).
4.4 Intracellular Reactive Oxygen Species
The presence of CNTs has been reported to cause reactive oxygen species (ROS) that induce oxidative stress(Fujita et al., 2013). Use cell-permeable fluorescent probes (such as DCFH-DA (2', 7'-Dichlorodihydrofluorescin

59diacetate)) for the ROS and measure the fluorescent intensity of the fluorescent probe captured inside the cells(such as DCFH (2′, 7′-Dichlorodihydrofluorescin)), which have been cultivated in the cell culture medium forthe prescribed times, to determine the activity of the intracellular ROS.
4.5 Cell Cycle
Carbon nanomaterials have been reported to inhibit specific cell cycles (Sargent et al., 2009). Fluorescent probesthat intercalate with the DNA double helix are used for the same reason. These fluorescent probes captured inside
cells are measured during the prescribed amount of time the cells are cultivated in the cell culture medium. The
measurements are used to reveal the state of the cell cycles, to analyze the inhibition of cell cycles.
4.6 Inflammatory Cytokines
Carbon nanomaterials have been reported to produce inflammatory cytokines (Herzog et al., 2009). Inflammatory
cytokines can be a useful index as they are a causal factor that triggers a variety of inflammatory symptoms inan organism. Furthermore, such inflammatory cytokines can be used as a common biomarker for validating thesafety evaluation methods used in animal tests with rodents such as rats. There are a number of different
inflammatory cytokines (IL-1a, MCP-1, MIP-1a, IL-1b, IFN-g, IL-18, GRO/KC/CINC, TNF-α, SPP-1, etc.) that
depend on the animal species (human, rat, etc.). Select the most suitable from among these and use single ormultiple types of cytokines to take measurements of the respective inflammatory cytokine in BALF, either
independently or simultaneously, using the supernatants from cell cultures that have been cultivated overprescribed times in the cell culture medium.
4.7 Gene Expression Analysis
Genes activated or regressed by carbon nanomaterials are considered useful for estimating endpoints and can beused as common biomarkers in the validation of the safety evaluation methods used for animal tests with rodents
such as rats. Use cells that have been cultivated over prescribed times in a cell culture medium, select the total
RNA, and use the quantitative polymerase chain reaction (qRT-PCR)) based on this, as well as the DNA
microarrays, to analyze a specific or comprehensive gene expression.
4.8 Cell Sample Observation by Electron Microscopy
The incorporation of carbon nanomaterials into cells, as well as characteristics such as the shapes of theincorporated carbon nanomaterials, are considered to serve as useful data for the observation of respective
endpoints. Use cells that have been cultivated over prescribed times in the cell culture medium, wash the carbon
nanomaterials with a phosphate buffer, prefix with glutaraldehyde, wash and postfix with osmium tetraoxide
followed by dehydration treatment, embed the cells in resin, prepare ultrathin fragments, stain and reinforce.
Then, observe these cell samples using an electron microscope.

5. Reports
The following items shall be reported.
5.1 Generala) Detailed information for identifying dispersed carbon nanomaterial samples for conducting in vitro cell-based
assays (example: Information on particle samples, dispersion preparation method, information on the dispersion
medium, acquisition date of dispersion samples, transportation methods, characterization of the dispersion

60

samples in solution)b) Measurement date, name of person performing the measurements, and name of measurement organizationc) Date on which the equipment was validatedd) Storage conditions of dispersion sample (example: Storage temperature, storage location, and storage period)e) Results of visual observation of precipitation formation (example: Images taken by a digital camera)
5.2 Equipment and Measurement Reagents, Experiment and Analysis Conditionsa) Equipment name, model name, and manufacturer name.
b) Positive control substances used for validation and results of verificationc) Measurement reagent name and manufacturer named) Name of software used for analysis, as well as manufacturer name5.3. Results
5.3.1 Cell Viability
Calculate the cell survival rate of the carbon nanomaterial treatment group compared with the negative control
group and the repetition standard deviations.
5.3.2 Intracellular Reactive Oxygen Species Measurement
Calculate the absolute value of the intracellular ROS level in all groups (example: DCF value) or otherwise
calculate the intracellular ROS level in the carbon nanomaterial treatment group relative to the negative control
group and relevant repetition standard deviations.
5.3.3 Cell Cycle
Calculate the proportions for each cell cycle (G1 period, S period, G2 period, and M period) in all groups andtheir repetition standard deviations.
5.3.4 Inflammatory Cytokines
Calculate the value of each inflammatory cytokine in all groups and the relevant repetition standard deviations.
5.3.5 Gene Expression Analysis
Calculate the gene expression variable ratio for the carbon nanomaterial treatment group, relative to that of thenegative control group. Analyze the significant difference in the expression gene functional group analysis,clustering such as hierarchical clustering, or otherwise analyze the network with the pathway database as needed.
5.3.6 Cell Sample Observation by Electron Microscopy
Observation records for cell samples in all groups.

5. References
Fujita K, Fukuda M, Endoh S, Kato H, Maru J, Nakamura A, Uchino K, Shinohara N, Obara S, Nagano R, Horie
M, Kinugasa S, Hashimoto H, Kishimoto A. Physical properties of single-wall carbon nanotubes in cell culture
and their dispersal due to alveolar epithelial cell response. Toxicol Mech Methods. 2013, 23(8):598-609.
Fujita K, Fukuda M, Endoh S, Maru J, Kato H, Nakamura A, Shinohara N, Uchino K, Honda K. Size effects ofsingle-walled carbon nanotubes on in vivo and in vitro pulmonary toxicity. Inhal Toxicol. 2015, 27(4):207-223.

61

Horie M, Stowe M, Tabei M, Kato H, Nakamura A, Endoh S, Morimoto Y, Fujita K. Dispersant affects the cellular
influences of single-wall carbon nanotube: the role of CNT as carrier of dispersants. Toxicol Mech Methods.
2013, 23(5): 315-322.
Wörle-Knirsch JM, Pulskamp K, Krug HF. Oops they did it again! Carbon nanotubes hoax scientists in viability
assays. Nano Lett. 2006, 6(6):1261-1268.
Sargent LM, Shvedova AA, Hubbs AF, Salisbury JL, Benkovic SA, Kashon ML, Lowry DT, Murray AR, Kisin
ER, Friend S, McKinstry KT, Battelli L, Reynolds SH. Induction of aneuploidy by single-walled carbon
nanotubes. Environ Mol Mutagen. 2009, 50(8):708-717.
Herzog E, Byrne HJ, Casey A, Davoren M, Lenz AG, Maier KL, Duschl A, Oostingh GJ. SWCNT suppress
inflammatory mediator responses in human lung epithelium in vitro. Toxicol Appl Pharmacol. 2009, 234(3):378390.

62Appendix A

System Diagram of In Vitro Cell-based Assay for Safety Evaluations

63

Appendix B

Practical Example: In vitro cell-based assay for SWCNTs using rat alveoli macrophage cells

B.1 Outline
This section describes an example involving an in vitro cell-based assay of rat alveolar cell line (NR8383). The
cell culture medium of SG-SWCNTs (concentration: 0.1 mg/mL) was exposed to the NR8383 cell strain for 24
h and then subjected to a cell viability test, intracellular ROS measurement test, comprehensive gene expression
analysis, and cell shape observation using a TEM (Fujita et al., 2015).

B.2 Preparation and Characterization of Used Samples
Short SG-SWCNTs in a cell culture medium (geometric mean length: Approx. 0.36 μm) and long SG-SWCNTs
in a cell culture medium (geometric mean length: approx. 1.52 μm) were prepared according to the sample
preparation procedure for carbon nanomaterials described in Chapter III of this manual and used for the cell
culture medium. The characterization of the respective samples in the prepared stock suspension and cell culture
medium complied with the characterization of the dispersion samples in the liquid for carbon nanomaterials,
described in Chapter IV of this manual.

B.3 Cell and Culture Conditions
The NR8383 cell strain (ATCC) was used for the in vitro cell-based assay. The cells were cultured in 5% CO2 at
37 °C in the F-12K cell culture medium to which 10% FBS had been added. The culture preparation liquid
described above was exchanged and this instant was assumed to be exposure time 0, after which the cells were
cultured for 24 h. The code names of the respective samples are abbreviated as follows:No.

SampleCode1

Short SG-SWCNTs in cell culture medium

CNT-1

2

Long SG-SWCNTs in cell culture medium

CNT-2

3

Negative control culture medium (including BSA)

Control

B.4 Cell Viability Test
The impact on cell survival of SG-SWCNTs (exposure for 24 h) was measured using WST-1 (Takara Bio, Inc.)
with the mitochondrial hydrogenase activity of living cells taken as an indicator. The results indicated that CNT1 or CNT-2 had little effect on the cell viability after 6 h. However, the NR8383 cell viability was significantly
decreased following a 24-h exposure to CNT-2. A positive control group consisting of items such as 100-μM
Mitomycin C was established in respective tests to verify the test systems. The test systems were verified as
being problem free.

64

B.4 Intracellular Reactive Oxygen Species Measurement Test
The levels of intracellular ROS were measured in cells exposed to CNT-1 or CNT-2 for 6 or 24 h using the
DCFH-DA (2', 7'-Dichlorodihydrofluorescin diacetate) assay within cells using flow cytometry (Merck
Millipore). Significantly elevated expression levels of the pro-inflammatory cytokine MIP-1α were observed 6 h
post-treatment with CNT-1 or CNT-2, and the levels at 24 h in CNT-2-treated cells were significantly higher thanthose of the controls.

B.6 Inflammatory Cytokine Measurement
A multiplex system for multiple protein items (Luminex 200TM xPONENT, manufactured by Merck Millipore)
was used to measure the MIP-1a, which is a type of inflammatory cytokine in cell suspension, 24 h after exposure
to examine the inflammation triggered by the SG-SWCNTs. The results confirmed a significant increase in the
MIP-1a in the case of the CNT-1 group after exposure for 6 h, relative to the control. Furthermore, a significant
increase in the MIP-1a was confirmed with the CNT-2 group after exposure for 6 h and 24 h, relative to thecontrol. The extent of these increases was more significant with the CNT-2 group in comparison with the CNTa group.

B.7 Comprehensive Gene Expression Analysis
The effects of SG-SWCNTs on the comprehensive gene expression (exposure for 24 h) was analyzed using a
DNA microarray. The total RNA was extracted using a RNeasy Mini kit (Qiagen) after cultivation. RNA wasquantified using a Nanodrop 2000 (Thermo) and Bioanalyzer (Agilent Technologies). Cyanine-3-labeled cRNA
was prepared from RNA using a One-Color Low RNA Input Linear Amplification PLUS Kit (Agilent
Technologies), according to the manufacturer’s instructions. Each labeled cRNA probe was used separately forhybridization to a 4 × 44 K Whole Rat Genome Microarray Kit (G4131F; Agilent), and hybridization was
performed at 65 °C for 17 h. Hybridized microarray slides were washed according to the manufacturer’s
instructions and were scanned using an Agilent DNA Microarray Scanner with a 5-μm resolution. The scanned
images were analyzed numerically using the Agilent Feature Extraction Software, version 10.7.3.1. The results
confirmed the significant expression of the main genes involved in inflammation, oxidative stress, extracellulardegrading enzymes, and the like. The extent of these increases was more significant with the CNT-2 group,
relative to the control group. Details of these results have been submitted to the gene expression information
database, Gene Expression Omnibus (GEO) at the U.S. National Center for Biotechnology Information (NCBI),
accession number: GSE61319.

B.8 Cellular Morphology and Phagocytic Uptake of SWCNTs Observed by TEM
After treatment, cells were fixed sequentially in 1.2% (v/v) glutaraldehyde for 1 h at 20 °C and in 1% osmiumoxide solution for 1 h at 4 °C, dehydrated in ethanol, and then embedded in a commercial epoxy resin (TAAB
Laboratories Equipment Ltd., Reading, England). Samples were transferred to fresh resin in capsules and thenpolymerized at 60 °C for at least 48 h. A TEM system operating at 75 kV (H-7000; Hitachi, Tokyo, Japan) wasused to observe the intracellular distribution of the SWCNTs and morphologic changes in the NR8383 cells. The

65

results confirmed that for CNT-1, relatively thin bundles of SWCNTs with a short linear shape, and for CNT-2,
relatively thick bundles of SWCNT with a long linear shape (Figure B.1), were observed in the phagosomes of
those cells exposed to SWCNTs for 24 h. These results suggested that SWCNTs were translocated to thephagosomes, while maintaining their physical structure. No SWCNTs were observed within the nucleus in anyof the samples. Furthermore, no abnormal cell shapes were observed in any of the groups.

Figure B.1 SG-SWCNTs inside NR8383 after exposure for 24 h, as observed by TEM (left figure: CNT-1
exposure group; Right figure: CNT-2 exposure group).

66

Appendix C

Practical Example: In vitro cell-based assay of exfoliated graphene using rat alveoli macrophage cells

C.1 Outline
This section describes an example involving an in vitro cell-based assay of rat alveoli macrophage cells(NR8383). The cell culture medium of exfoliated graphene (concentration: 0.001 mg mL) was exposed to theNR8383 cell strain for 24 h, after which a cell viability test and cell shape observation were conducted using aTEM. The exfoliated graphenes vary in their physiochemical characteristics, depending on the solvent being
used. Two types of solvents were used to perform the dispersion treatment to prepare the required liquids andthey were respectively used to conduct the in vitro cell-based assays.

C.2 Preparation and Characterization of Samples
The exfoliated graphenes dissolved and dispersed using solvents A0 and B0 are referred to as preparation liquid
Grp-A0 and Grp-B0, respectively. These were further supplemented with 10% FBS and diluted to 1/10 in the F12K culture medium to prepare cell culture media Grp-A and Grp-B for use. The stability evaluation of the
exfoliated graphene in the preparation liquid was performed by conducting measurements of the particle size
distributions of the exfoliated graphenes over time, by using a laser diffraction particle diameter distribution
measurement system (model SALD-2300, manufactured by Shimadzu Corporation) up to 72 h after preparation.
The results indicated that the particle size distributions for Grp-A0 and Grp-B0 were same up to 72 h after
preparation and both were determined to be stable.

C.3 Cell and Culture Conditions
The NR8383 cell strain (ATCC) was used for the in vitro cell-based assay. The cells were cultured in 5% CO2 at
37 °C in the DMEM cell culture medium to which 10% FBS added. The cell culture medium described above
was switched and this instant was assumed to be exposure time 0. Cell cultivation was performed for 24 h after
this point. The code names of the respective samples were abbreviated as follows:No.

SampleCode

1

Exfoliated graphene cell in culture medium (including solvent A0)

Grp-A

2

Exfoliated graphene cell in culture medium (including solvent B0)

Grp-B

3

Negative control in cell culture medium (including solvent A0 or solvent B0)

Control

C.4 Cell Viability Test
The effect of the exfoliated graphene (exposure for 24 h) on cell survival was measured using a WST-1 system(Takara Bio, Inc.) with the mitochondrial hydrogenase activity of living cells as an indicator. The results ofmeasuring the cell growth potential for respective groups using the WST-1 confirmed no significant reduction67with the NR8383 cells in 0.001 mg/mL of the Grp-A and Grp-B groups, relative to the control. A positive control
group consisting of the likes of 100-μM Mitomycin C was established in respective tests to verify the test systems.
The test systems were verified as being problem-free.

C.5 Cellular Morphology Observed by TEM
The shapes inside cells, as well as the incorporation of exfoliated graphene after exposure (exposure for 24 h)
were examined using a TEM (H-7000, manufactured by Hitachi Ltd.). The results confirmed the presence ofseveral aggregated substances, considered to be exfoliated graphene, in the cytoplasm of both the Grp-A and
Grp-B groups, 24 h after exposure (Arrow in Figure C.1).

Figure C.1 NR8383 (Grp-A exposure group) after exposure for 24 h, as observed by TEM

C.6. Reference
Fujita K, Fukuda M, Endoh S, Kato H, Maru J, Nakamura A, Uchino K, Shinohara N, Obara S, Nagano R, Horie
M, Kinugasa S, Hashimoto H, Kishimoto A. Physical properties of single-wall carbon nanotubes in cell culture
and their dispersal due to alveolar epithelial cell response. Toxicol Mech Methods. 2013, 23(8):598-609.

68

Chapter VII: Animal Testing Using Dispersion Liquid Samples of Carbon
Nanomaterials
VII-1. Intratracheal Instillation Test
Introduction
This section describes the method to be used when conducting intratracheal instillation tests that are not impededby carbon nanomaterials that were prepared and dispersed during instillation in cultured cells when using thedispersion samples prepared according to the procedure described in Chapter III "Preparation of Samples for
Carbon Nanomaterials" of this document as test materials, as well as when selecting animal indices that reflect
the inflammation of lungs due to inhalation exposure, with humans as well as biomarkers (endpoints) as test
items.

1. Scope of Application
This section describes the method for performing the intratracheal instillation test using animals for conducting
safety evaluations, by using an instillation liquid of carbon nanomaterials dispersed for the intratracheal
instillation tests.

2. Referenced Standards and Regulations
None.

3. Terminology, Definitions, and Symbols
3.1 Intratracheal Instillation Test
Test intended to perform impact evaluation primarily on pulmonary tissues and living organisms after instillation,by inserting an instillation instrument into the trachea through the oral cavity of anesthetized animals toadminister carbon nanomaterials dispersed in liquid on either a single occasion or on multiple occasions. This
test can be performed relatively easily and at low cost, since there is no need for large equipment or facilities,
and the maintenance work that they would incur, when compared with an inhalation exposure test. The
verification of size is necessary to ensure that samples are not contaminated with non-inhalant particles, since
the carbon nanomaterials are forcibly injected.
3.2 Suspension
Suspension prepared by dispersing carbon nanomaterials in media such as aqueous BSA solution. The solution
is prepared by diluting to a prescribed concentration.

4. Test Methods
4.1 Animals
Rodents that can be used as models for evaluating inflammation of the lung through inhalation exposure of69

carbon nanomaterials are used. These tests are widely used for safety tests, with rats of the CD (SD) lines, theWistar lines, or F344 lines, for instance, being used due to their resistivity to sensitivity to known chemical
substances and sensory ailments, genetic stability, and ease of implementation (Kobayashi et al., 2010; Fujita etal., 2015). Animals are handled according to the prescribed animal testing related regulations.
4.2 Intratracheal Instillation
Intratracheal instillation is performed by directly injecting carbon nanomaterials suspended in a liquid with afeeding needle or spray needle to sufficiently anesthetized rodents such as rats.
4.3 General State Observations of Animals
The general state of the animals is observed once a day after an intratracheal instillation, throughout the periodof animal observation.
4.4 Animal Body Weight Measurements
Animal body weight measurements are conducted daily or once a week and recorded prior to and after the
intratracheal instillation and during the observation period. The body weight of animals that are subjected to
autopsy will be measured on the day of the autopsy, while the body weight is measured and recorded when an
animal is found with an animal that experienced a sudden death or an otherwise dead animal.
4.5 Bronchoalveolar Lavage Fluid (BALF) Inspection
4.5.1 Collection of BALF
Insert a cannula into the trachea and repeatedly inject and suction out physiological saline solution or a phosphatebuffer heated to about 37 °C. The collected liquid is considered to be BALF. Repeat this operation several times
and record the amount of BALF collected. Handle the collected BALF by storing it in ice.
4.5.2 Cell Examination of BALF
Centrifuge the collected BALF and use the sediments for the cell examination. Add measurement reagent to thesediment and prepare a suspension of constant volume and use general hematology examination equipment tomeasure the number of nucleated cells in the BALF. Add a phosphate buffer to the acquired sediment set aside
for the calculation of the cell ratio and use the constant-volume liquid to prepare a suspension for use in the
preparation of smear samples. Perform Pappenheim staining or the like, and then conduct a microscopic
examination, calculate the cell ratios, and count the respective numbers of cells of heterophilic leucocytes,
lymphoid corpuscles, macrophages, acidocytes, basocytes, and the like.
4.5.3 Biochemical Examination of BALF
Centrifuge the collected BALF and use the supernatant for biochemical examination.
4.5.3.1 Total Protein
The total protein concentration in the BALF serves as a useful index for a variety of inflammations in thepulmonary tissue. Measure the total protein concentration in the BALF by using colorimetric analysis according
to the Lowry method or the like, as well as infrared analysis equipment.
4.5.3.2 Lactate Dehydrogenase Activity
The lactate dehydrogenase (LDH) in the BALF serves as a useful index for a variety of cell damage in thepulmonary tissue. Measure the LDH activity isolated in the BALF using colorimetric analysis or the like.
4.5.3.3 Inflammatory Cytokine Measurement

70Carbon nanomaterials have been reported to produce inflammatory cytokines (Herzog et al., 2009). Inflammatory
cytokines can be a useful index as they are a causal factor that triggers a variety of inflammatory symptoms inan organism. Furthermore, such inflammatory cytokines can be used as a common biomarker for validating thesafety evaluation method applied to tests on cell cultures derived from rodents such as rats and mice. There are
a number of different inflammatory cytokines (IL-1α, MCP-1, MIP-1α, IL-1β, IFN-γ, IL-18, GRO/KC/CINC,
TNF-α, SPP-1, etc.) that depend on the animal species. Select the most suitable from among these and use asingle type or multiple types of cytokines to take measurements for respective types of inflammatory cytokine
in the BALF, either independently or simultaneously.
4.6 Pleural Cavity Lavage Fluid (PCLF) Examination
4.6.1 Collection of PCLF
Open a section of the diaphragm on the sternum side and use a cannula to inject and suction out phosphate buffer
heated to about 37 °C. The collected liquid is considered to be pleural cavity lavage fluid (PCLF). Record theamount of PCLF collected. Handle the collected PCLF by storing it on ice. Set aside 1 mL of the collected PCLF
to measure the number of nucleated cells and retain the remainder to calculate the cell ratio.
4.6.2 Cell Examination of PCLF
Centrifuge the collected PCLF and use the sediments for cell examination. Add the measurement reagent to thesediment to prepare a suspension of constant volume and use general hematology examination equipment tomeasure the number of nucleated cells in the PCLF. Add the phosphate buffer to the acquired sediment set aside
for the calculation of the cell ratio and use a liquid of constant volume to prepare the suspension needed toprepare the smear samples. Perform Pappenheim staining or the like, and then conduct a microscopic examination,
calculate the cell ratios, and count the respective number of cells of heterophilic leucocytes, lymphoid corpuscles,
macrophages, mastocytes, acidocytes, basocytes, and the like.
4.6.3 Biochemical Examination of PCLF
Centrifuge the collected BALF and use the supernatant for the biochemical examination.
4.6.3.1 Total Protein Concentration Measurement
The concentration of total protein in the PCLF serves as a useful index for a variety of inflammations in thepulmonary tissue. Measure the total amount of protein in the PCLF by using colorimetric analysis according to
the Lowry method or the like, as well as infrared analysis equipment.
4.6.3.2 Lactate Dehydrogenase Activity
The released LDH in the PCLF serves as a useful index for a variety of types of cell damage in the pleural area.
Measure the LDH isolated in the PCLF using colorimetric analysis or the like.
4.6.3.3 Inflammatory Cytokine Measurement
Carbon nanomaterials have been reported to produce inflammatory cytokines (Herzog et al., 2009). Inflammatory
cytokines can be a useful index as they are a causal factor that triggers a variety of inflammatory symptoms inan organism. Furthermore, such inflammatory cytokines can be used as a common biomarker for validating thesafety evaluation method applied in tests using cell cultures derived from rodents such as rats and mice. There
are a number of different inflammatory cytokines (IL-1α, MCP-1, MIP-1α, IL-1β, IFN-γ, IL-18, GRO/KC/CINC,
TNF-α, SPP-1, etc.) that depend on the animal species. Select the most suitable from among these and use a71

single type or multiple types of cytokines to take measurements of the respective types of inflammatory cytokine
in the PCLF, either independently or simultaneously.
4.7 Pathological Examinations
Perform observations of animal organs and tissues with the naked eye (autopsy) as well as taking organ weightmeasurements and performing pathological tissue examinations as pathological examinations. Cut the abdominal
aorta of anesthetized animals scheduled for dissection to attain euthanasia through bleeding, and then conduct
the autopsy of the animal.
Prepare pathological samples for pulmonary tissues according to the usual procedure, that is, performing paraffin
embedding, slicing thinly, and then performing hematoxylin-eosin staining. Use such samples for pathologicaltissue examinations to identify and record respective observations, including the types and extents of the lesions.
4.8 Gene Expression Analysis
Genes activated or regressed by carbon nanomaterials are regarded as being useful for estimating biomarkers for
inflammation of pulmonary tissues. Using cells that have been cultivated over prescribed times in a culture
medium preparation solution, the total RNA is selected by using pulmonary tissue from which the blood has been
drained and are used to analyze specific or comprehensive gene expressions based on the qRT-PCR and DNA
microarrays.
4.9 Biotissue and Cell Sample Observation by TEM
The incorporation of carbon nanomaterials into biotissues such as lungs or cells in alveoli, as well as
characteristics such as the shapes of incorporated carbon nanomaterials, are regarded as being useful forevaluating the safety of carbon nanomaterials. Use biotissues as well as the cells in the BALF and PCLF, by
washing with a phosphate buffer, prefixing with glutaraldehyde, washing and postfixing with osmium tetraoxide,
followed by dehydration treatment. Then, embed the cells in resin, prepare ultrathin slices, stain, and thenreinforce. Then, observe these biotissues and cell samples using an TEM.

5. Reports
The following items shall be reported.
5.1 Generala) Detailed information for identifying dispersed carbon nanomaterial samples after performing an intratracheal
instillation test (example: information on particle samples, the dispersion preparation method, information on
the dispersion medium, acquisition date of the dispersion samples, transportation methods, characterization of
the dispersion samples in solution)b) Measurement date, name of person performing the measurements, and name of measurement organizationc) Date on which the equipment was validatedd) Storage conditions of dispersion sample (example: Storage temperature, storage location, and storage period)e) Results of visual observations of precipitate formation (example: Images taken by a digital camera)
5.2 Equipment and Measurement Reagents, Experiment and Analysis Conditionsa) Equipment name, model name and manufacturer name.
b) Positive control substances used for validation and results of verification

72c) Measurement reagent name and manufacturer named) Name of software used for analysis, as well as manufacturer name
5.3 General State Observations for Animalsa) The general state of animals shall be observed and recorded once a day after an intratracheal instillation,
throughout the period of animal observation.
5.4 Animal Body Weight Measurementsa) Measure and record the animal body weight daily or once a week, prior to and after the intratracheal instillationand during the observation period.
b) Measure the body weight of animals that are subjected to autopsy on the day of the autopsy, and record themeasurements when an animal is found with animals that have experienced a sudden death or otherwise deadanimals.
5.5 BALF Examinationsa) Measure the number of nucleated cells in the BALF, using a general hematology examination system.
b) Perform Pappenheim staining or the like on smear samples, and then conduct a microscopic examination.
Calculate the cell ratios and count the number of respective cells of heterophilic leucocytes, lymphoid corpuscles,
macrophages, acidocytes, basocytes, and the like.
c) Measure the total protein in the BALF by using colorimetric analysis according to the Lowry method or the
like, as well as by using infrared analysis equipment.
d) Measure the LDH isolated in the BALF by using a colorimetric analysis or the like.
e) Measure the production of inflammatory cytokines in the BALF.
5.6 PCLF Examinationsa) Measure the number of nucleated cells in the PCLF, using a general hematology examination system.
b) Perform Pappenheim staining or the like on smear samples, and then conduct a microscopic examination.
Calculate the cell ratios and count the respective numbers of cells of heterophilic leucocytes, lymphoid corpuscles,
macrophages, mastocytes, acidocytes, basocytes, and the like.
c) Measure the total protein in the PCLF by using colorimetric analysis according to the Lowry method or the
like, as well as by using infrared analysis.
d) Measure the LDH isolated in the BALF by using colorimetric analysis or the like.
e) Measure the production of various inflammatory cytokines in the PCLF.
5.7 Pathological Examinations
Record the respective observations, including the types and extents of lesions, using pathological tissue samples.
5.8 Gene Expression Analysis
Calculate the gene expression variable ratio for the carbon nanomaterial treatment group, relative to that of thenegative control group. Analyze any significant difference in the expression gene functional group analysis,clustering such as hierarchical clustering, or otherwise analyze the network with the pathway database whenneeded.
5.9 TEM Observation
Observation records of biotissues and cell samples in all groups.

73

6. References
Kobayashi N, Naya M, Ema M, Endoh S, Maru J, Mizuno K, Nakanishi J. Biological response and morphologicalassessment of individually dispersed multi-wall carbon nanotubes in the lung after intratracheal instillation in
rats. Toxicology. 2010, 276(3):143-53.
Fujita K, Fukuda M, Endoh S, Maru J, Kato H, Nakamura A, Shinohara N, Uchino K, Honda K. Pulmonary andpleural inflammation after intratracheal instillation of short single-walled and multi-walled carbon nanotubes.
Toxicol Lett. 2016, 257(22):23-37.
Herzog E, Byrne HJ, Casey A, Davoren M, Lenz AG, Maier KL, Duschl A, Oostingh GJ. SWCNT suppress
inflammatory mediator responses in human lung epithelium in vitro. Toxicol Appl Pharmacol. 2009, 234(3):378390.

74Appendix A

Outline of Intratracheal Instillation

Inhalation anesthesia
Intratracheal Instillation

75Appendix B

Equipment Used for Intratracheal Instillationa) Laryngoscopeb) Intubation tubec) Boardd) Simple inhalation anesthesia apparatus for small animalse) Box for induction of anesthesia

76Appendix C

Practical Example: Examination of Intratracheal Instillation Technique that Impacts Lungs

C.1 Outline
The gold standard test for the hazard evaluation of inhaled chemical substances, including nanomaterials forindustrial applications, is the inhalation exposure test. It is a costly test as it requires the use of larger-scaleequipment and skilled operators. For that reason, it is not practical to implement hazard tests on all nanomaterials
for industrial applications by conducting inhalation exposure tests. On the other hand, the intratracheal
instillation test injects known substances directly into the lungs via the trachea and, as such, enables theidentification of dose-dependent relationships. Therefore, it is hoped that this test will provide a means for thehazard evaluation screening of nanomaterials for industrial applications. There are, however, a variety of
instillation methods for intratracheal instillation tests, including the use of a cannula that is retained inside thetrachea, a feeding needle, or a spray needle. All these have an impact on the distribution of the samples in thelungs. Since the impact of the body positions of animals at the time of instillation also affects the outcomes, anexamination was performed to examine whether there is any variation in the inflammation caused by the
intratracheal instillation of nanomaterials in the lungs, according to the cannula and animal body positions.

2. Test methods
C.2.1 Samples
MWCNTs suspended in liquid based on BSA or the like were used as samples. The mass concentration was set
to 1.0 mg/mL as well as 2.5 mg/mL.
C.2.2 Animals
Fischer 344 male rats (free of virus antibody (SPF)), 12 weeks old, were used as the animal test subjects. To
acclimatize the animals, they were purchased two weeks prior to the instillation and kept in sterilized cages at
the animal facility. The temperature inside the facility was 24 ± 1 °C and the humidity was 50 + 20% RH. The
lighting was controlled by a timer, with light and dark cycles set to a 12:12 ratio.
C.2.3 Intratracheal Instillation
Isoflurane was injected into the simple handling inhalation anesthesia apparatus for small animals and the Fischer
344 male rats were placed in the box to induce anesthesia. Isoflurane was passed into the box to induce anesthesia
and a check was made to ensure that the animals were sufficiently anesthetized.
Three methods were used for the intratracheal instillation, namely, (1) an ordinary feeding tube with the board
oriented vertically for injection; (2) a spray tube with the board erected vertically for injection; and (3) a spraytube with board inclined at 45°. A rat was set on the board and then its mouth was opened using a laryngoscope.
The glottis located under the epiglottis was verified and a suspension of MWCNTs was injected by inserting afeeding tube or spray tube. A suspension of nanomaterials for industrial applications was then injected via a tube.
The amount of the injection was set to two doses, that is, 0.04 mg and 0.2 mg per rat. A 10% BSA solution was77

used as the negative control. Once the animal recovered from the anesthetic, it was returned to its cage. The
animals were dissected one day after the injection, as well as three days after the injection.
The suspension was verified on the day of the intratracheal instillation to ensure that there were no aggregatesand ultrasonic treatment was conducted for a few minutes immediately prior to the instillation.

Figure C.1 Intratracheal instillation methods with varying instillation techniques

C.2.4 Dissection
The rats were abdominally administered with anesthetic, and then verified to ensure that they were sufficiently
anesthetized (based on nociceptive stimuli) before being bled to death. A hole was made in the diaphragm and afeeding tube fitted to a syringe containing 5 mL of physiological saline solution. This syringe was used to inject
the solution into both the left and right pleural cavities. The same feeding tube was used to recover thephysiological saline solution from the pleural cavities. The recovery rate was about 90%. The lungs were thenextracted and cleaned. The bronchus of the left lung was clamped, while bronchoalveolar lavage was performedon the right lung. A total of 15 mL of physiological saline solution was injected and collected, using two or threeoperations. A 10% formaldehyde solution was dripped from a water column height of about 25 cm and thenstabilized at a specific pressure. The pulmonary tissue could be observed under conditions in which thepulmonary alveoli were naturally spread. Once the fixing solution was injected, the trachea was ligated andimpregnated with the fixing solution by immersing it in the solution for 24 h. The recovered BALF wascentrifuged for 15 min at 1500 rpm and the supernatant was collected. The cell pellet was again suspended in 1
mL of PBS and the total number of cells was measured using a cell counter.
C.2.5 BALF Examinations
A smear sample was prepared from 100 µL of resuspension using a Cytospin (5 min centrifugation at 1300 rpm)
and then Diff-Quik stain was used to determine the cell fractionation. The recovered pleural cleaning solvent
was also centrifuged for 15 min at 1500 rpm, after which the supernatant was collected. The cell pellet was again
suspended in 1 mL of PBS and the total number of cells was measured using a cell counter. Furthermore, a smear
sample was prepared from 100 µL of the resuspension using the Cytospin (5 min centrifugation at 1300 rpm),
after which Diff-Quik stains were used to calculate the cell fractionation.
a) Total cell count in BALF

78

This figure generally increases with particles that have a high pulmonary toxicity. Care shall be taken, however,since the increased number of cells may not be confirmed in some instances when there is extensive cell damage
due to the excessive pulmonary toxicity. A high leucocyte ratio is often indicated in such instances, which canbe used as a reference.
b) Neutrophil cell count in BALF
This figure generally increases with particles that have a high pulmonary toxicity. Care shall be taken, however,since the number can rapidly increase regardless of the toxicity when the particles have a high level of solubility.
The strength of the toxicity is related to the sustained increase in the number of neutrophils and, as such, it shallbe observed until the chronic phase (3 to 6 months after injection).
c) Percentage of neutrophils in BALF
This ratio generally increases with particles that have a high pulmonary toxicity. Care shall be taken, however,since the number can rapidly increase regardless of the level of toxicity with particles that have a high solubility.
The intensity of the toxicity is related to the sustained increase in the percentage of neutrophils and, as such, it
shall be observed until the chronic phase (3 to 6 months after injection).
C.2.6 Pulmonary Pathological Observations
Wash the fixing liquid off those samples fixed for the preparation of pathological tissue samples of the lungs,
and then dehydrate and degrease with ethanol or the like. Then, dealcoholize with a mediator (such as xylene,
chloroform, or the like) prior to paraffin infiltration. Allow the paraffin to impregnate the sample, and then embedthe sample as a block. Place a section of lung tissue, 3 to 5 μm thick and embedded in paraffin, on a microscopeslide, use xylene and alcohol to remove the paraffin, and then perform HE staining.
The inflammatory cell infiltration can be confirmed, primarily with the neutrophils and alveolar macrophages in
the alveoli region, around the peripheral airway. Care shall be taken, however, since in the same way as with thenumber of neutrophils in the BALF or percentage of neutrophils, a rapid increase can occur during the acutephase, regardless of the toxicity of those particles that have a high level of solubility and since the degree of the
toxicity is related to the sustained inflammation, it shall be observed until the chronic phase (3 to 6 months after
injection).
The variations in the inflammation in the lungs according to the method of intratracheal injection, and theevaluation of the hazard presented by the targeted nanomaterials, is regarded as being possible when basic data
is established for the approaches by comprehensively judging the observations of the BALF and pulmonary
pathology.
C.2.7 Precautions Related to Bronchoalveolar Lavage and Pathological Observations
Inflammation observations related to the intratracheal instillation test are similar in terms of the responses toapproaches taken for the intratracheal instillation. This does not indicate similarities in the results for theinhalation exposure tests. Acute reactions tend to occur with the intratracheal instillation tests, relative tocomparison with inhalation exposure tests, and the tests are often subject to the effect of non-inhalant particles.
This means that determining whether the injected particles in a suspension can be inhaled when conducting an
intratracheal instillation test, and then performing injection and evaluation during the chronic phase with thephysiological instillation dose, would make it possible to reflect the findings on the results of the inhalation79

exposure tests.
Among the three approaches, the use of the spray tube results in the confirmation of nanomaterials that havearrived in the pleural cavity starting one day after injection. The possibility of nanomaterials being able topenetrate the pleural cavity if the positive pressure of the spray were high enough cannot be denied. The reactionsin the pleural cavity shall be reexamined, since there is the potential for variance depending on the selected
approach.

C.3 Results
C.3.1 Percentage of neutrophils in BALF
The percentage of neutrophils in the BALF increased one day after the instillation using all three approaches.
While it was significantly higher than the positive control three days after the instillation, there was a declining
trend compared to one day after the instillation. The percentage of neutrophils for all three approaches indicatedsimilar trends and therefore did not reveal any clear difference between these approaches.
C.3.2 Physiological Observations of Lungs
The physiological observation of the lungs using the three approaches, one day after the instillation, revealed
that the inflammatory cell infiltration can be confirmed, primarily from the neutrophils and alveolar macrophages.
There was also a slight hypertrophy with the peripheral interstitial tissues. A similar trend was indicated threedays after the instillation. Regarding the distribution in the lungs, rats that were injected with MWCNTs throughan ordinary feeding tube with the board set in a vertical position did not have any carbon nanomaterials in thevicinity of the pleural cavity, but there was a uniform distribution both in the upper and lower lungs. Rats thatwere injected with MWCNTs using a spray tube, with the board oriented either vertically or at 45°, indicated that
MWCNTs reached only the alveoli in the direction of the injection, and reached the pleural cavity one day after
instillation.
The total cell count in the BALF obtained from the rats that had MWCNTs injected through an ordinary feedingtube with the board oriented vertically, as well as those rats that had MWCNTs injected with a spray tube withthe board oriented either vertically or at 45°, exhibited an increase one day after the instillation. A declining trend
was observed with all three approaches, three days after the instillation. This means that the total number of cells
exhibited an increasing pattern in all three cases, and no clear difference was observed between the approaches.

C.4 Conclusion
No difference in the inflammation cells in the alveolar space was confirmed with those rats that wereadministered nanomaterials through an ordinary feeding tube while the board was oriented vertically, or withthose rats that were administered with nanomaterials using a spray tube with the board oriented either verticallyor at 45°. This means that no difference was confirmed with regards to the inflammation reactions in the lungs,
regardless of the technique used.

C.5 References
Morimoto Y, Izumi H, Yoshiura Y, Fujisawa Y, Fujita K. Significance of intratracheael instillation tests for the80

screening of pulmonary toxicity of nanomaterials. J UOEH 2017, 39(2): 123-132.
Morimoto Y, Izumi H, Yoshiura Y, Fujisawa Y, Yatera K, Fujita K, Maru J, Endoh S, Honda K. Basic study of
intratracheal instillation study of nanomaterials for the estimation of the hazards of nanomaterials. (Submitted)

81

Appendix D

Practical Example: Intratracheal Instillation of SWCNTs and MWCNTs Into Rats

D.1 Outline
This section describes an example of a rat intratracheal instillation test using an instillation liquid of SWCNTs
and MWCNTs as test materials. The instillation liquid of SWCNTs and MWCNTs (concentration: low dosage of
0.08 mg mL; high dosage of 0.8 mg mL) was intratracheally administered to rats. A BALF examination, PCLF
examination, physiological examination of the lungs, gene expression analysis of the lungs, as well as TEM
observations of the mediastinal lymph node, were conducted up to the 90th day after the instillation (Fujita et al.,2016).

D.2 Test methods
D.2.1 Samples
The SWCNTs and MWCNTs suspended in liquid based on BSA or the like were used as samples. The instillation
liquid was prepared according to the method described in Chapter III "Preparation of Samples for Carbon
Nanomaterials" of this document. The results of the respective characterizations are listed in Table D.1. A BSA
solution of the same concentration, prepared with carbon nanomaterials, was used for the Vehicle control groupof intratracheal instillation.

Table D.1 Characterization of intratracheal instillation liquid
Tube

CNT
Sampleconcentration

G/D ratio

Particle

Lengthsize (nm)(nm)

diameterFe (µg/mL)(nm)(mg/mL)
SWCNT
0.08

NT

NT

NT

NT

1.7-2.1

0.81

10.7

49

557

0.5

NT

0.08

NT

NT

NT

NT

60-100

0.84

8.8

3.9

622

1.81

NT

Low-dose (0.15 mg/kg)
SWCNT
High-dose (1.5 mg/kg)
MWCNT
Low-dose (0.15 mg/kg)
MWCNT
High-dose (1.5 mg/kg)
NT: not tested

D.2.2 Animals
Wistar male rats, 9 weeks old, were used as the animal test subjects. The temperature inside the facility was 22.5
± 0.6 °C and the humidity was 45.5–65.9%. The lighting was controlled by a timer, with the light and dark cycles

82set to a 12:12 ratio.
D.2.3 Intratracheal Instillation
The instillation of the test materials was performed rapidly after anesthetization with Isoflurane, using disposable
syringes and feeding tubes for the intratracheal instillation. The dose was set to 0.4 mL per animal (low dose:
Approx. 0.15 mg/kg; high dose: Approx. 1.5 mg/kg). The suspension was verified on the day of the intratracheal
instillation, immediately before instillation, to ensure that there were no aggregates and ultrasonic treatment was
conducted for a few minutes immediately prior to the instillation. Furthermore, the solution was agitated byrotating to prevent bubbling at the time the instillation liquid was collected.
D.2.4 Intratracheal Instillation
The animals were kept for 90 days after the intratracheal instillation, and autopsies were conducted 1 day, 3 days,
7 days, 30 days, and 90 days after the instillation, involving BLF examination, PCLF examination, aphysiological examination of the lungs, a gene expression analysis of the lungs, as well as TEM observations of
the mediastinal lymph node.

D.3 Results
D.2.5 BALF Examinations
The inflammation reaction caused by the contamination was assumed to be caused by an increase in the numberof nucleated cells in the leucocytes and macrophages of the low-dose group of SWCNTs, as well in as the highdose group. There was an increasing trend with the acidocyte, as well as the number of lymphoid corpuscles andmacrophages from 30 days after the instillation, which suggested the potential of a delayed immune response. A
significant elevation in comparison with the vehicle control group with the addition of MIP-1a, MCP-1, IL-18,
and SPP-1 was confirmed with the high-dose group. No significant elevation in the total number of nucleatedcells or the leucocytes was confirmed in either the low-dose or high-dose groups of the MWCNTs, whichsuggested the possibility of a lymphocyte response immune reaction. A significant elevation, relative to the
Vehicle control group, of the SPP-1 was confirmed with the high-dose group of MWCNTs; however, nosignificant elevation was confirmed with the MIP-1a or the MCP-1.
D.3.2 PCLF Examinations
A significant elevation, relative to the Vehicle control group, in the total number of nucleated cells in the PCLF,
as well as in the number of lymphocytes or leucocytes was not confirmed with either the low-dose group or thehigh-dose group of SWCNTs. However, no significant elevation in the MIP-1a or the MCP-1 was confirmed. A
significant elevation, in comparison with the vehicle control group, in the total number of nucleated cells, as wellas the lymphocytes, leucocytes, or macrophages was confirmed with both the low-dose and high-dose groups of
MWCNTs. No significant elevation in the total proteins, IL-18, or SPP-1 was confirmed with the high-dose groupof SWCNTs. A significant elevation in these was confirmed with the high-dose group of MWCNTs.
D.3.3 Pathological Examinations of Lungs
A change in the local inflammation (inflammatory cell infiltration in alveoli, fibrosis and hyperplasia ofsurrounding alveoli walls, and the like), as well as neutrophilic infiltration in the alveoli and eosinophil
infiltration in the surroundings of the blood vessels, foaming macrophages, and granuloma were confirmed from83

7 days after the instillation, with the high-dose group of SWCNTs not exhibiting full dissipation until 90 days
after the instillation. Furthermore, foaming macrophages were observed from 30 days after the instillation. No
alveolitis (localized inflammation) or infiltration of the leucocytes into the alveoli was confirmed until 3 days
after the instillation with the high-dose group of MWCNTs. Foaming macrophages were observed from 7 days
after instillation, but no granuloma was seen.
D3.4 Gene Expression Analysis of Lungs
High levels of various genetic expressions relating to inflammatory reactions (Ccl2, Ccl7, Ccl9, and Ccl12)
occurred, in addition to matrix metalloproteinase (Mmp7, Mmp12, and Spp1) after instillation. Their increases
with time were confirmed with the high-dose group of SWCNTs. High levels of such genetic expressions
occurred with the high-dose group of MWCNTs up to 3 days after the instillation. However, the level gradually
declined thereafter.
D.3.5 Electron Microscope Observation of Mediastinal Lymph Node
The localized presence of mediastinal lymph nodes was confirmed on the 90th day after instillation with thehigh-dose group of SWCNTs, as well as with the MWCNTs.

D.4 Conclusion
SWCNTs and MWCNTs, prepared with the same weight concentration and of about the same short length, wereadministered intratracheally to rats. A BLF examination, PCLF examination, physiological examination, gene
expression analysis of the lungs, as well as TEM observations of the mediastinal lymph node were conducted up
to the 90th day after the instillation. The results confirmed an accentuation of the inflammation in the lungs due
to chronological contamination reactions following the instillation of the SWCNTs. The inflammation in thepleural cavity can be considered small. On the other hand, inflammation of the lungs was confirmed with
MWCNTs immediately after instillation but a gradual chronological recovery was also confirmed. Furthermore,
the accentuation of the inflammation was confirmed in the pleural cavity. SWCNTs and MWCNTs, of shorter
lengths, are assumed to give rise to inhalation effects due to the effects of a different mechanism. The SWCNTs
and MWCNTs were found to be present in the mediastinal lymph node after the instillation, suggesting that theymigrate to other organs from the lungs via the lymphatic system.

D.5 Reference
Fujita K, Fukuda M, Endoh S, Maru J, Kato H, Nakamura A, Shinohara N, Uchino K, Honda K. Pulmonary andpleural inflammation after intratracheal instillation of short single-walled and multi-walled carbon nanotubes.
Toxicol Lett. 2016, 257(22):23-37.

84

Appendix E

Practical Example: Intratracheal Instillation of Semiconducting and Metallic SWCNTs, and MWCNTs
Using Rats

E.1 Outline
The project consigned by NEDO, entitled "Innovative carbon nanotubes composite materials project towardachieving a low-carbon society" (P10024) was conducted to perform research and development on the topic of"Technology for Efficient Separation of Metallic and Semiconducting Metallic SWCNTs". This is intended toestablish leading-edge materials technology by developing a technology for separating semiconducting andmetallic SWCNTs with a high degree of purity and with a great yield, while doing so at low cost and in large
volumes, based on the gel column chromatography separation method. This is a completely new separation
method for SWCNTs that was developed by AIST. This makes it possible to use pure semiconducting SWCNTs
as a raw material for transistors and sensors, while metallic SWCNTs can be used for transparent conductive
films. Significant energy and resource savings are expected, particularly through applications to printableelectronics.
The amount of available information relating to the hazards associated with semiconducting- and metallicSWCNTs is very limited at present (Wang et al., 2016). Verifying the differences in the hazards presented bysemiconducting and metallic SWCNTs shall be done at an early stage in response to the demands of society.
Furthermore, doing so will encourage innovation by business operators such as manufacturers developing
products, so that application to industrial use can proceed with peace of mind.
This section describes a case example of a rat intratracheal instillation test using an instillation liquid containing
semiconducting and metallic SWCNTs. The instillation liquid of the semiconducting and metallic SWCNTs and
MWCNTs (concentration: 1.0 mg mL) was intratracheally administered to rats. A BALF examination, PCLF
examination, physiological examination of the lungs, gene expression analysis of the lungs, as well as TEM
observations of the mediastinal lymph node were conducted up to the 180th day after the instillation.

E.2 Test methods
E.2.1 Samples
Semiconducting and metallic SWCNTs suspended in a liquid based on BSA were used as samples. The instillation
liquid was prepared according to the method described in Chapter III "Preparation of Samples for Carbon
Nanomaterials" of this document. The respective characterizations are listed in Table E.1. A BSA solution withsame concentration as that used to prepare the CNTs was used for the vehicle control group of intratracheal
instillation.

85

Semiconductin
g SWCNTs

Metallic
SWCNTsFigure E.1 Semiconducting and metallic SWCNTs prior to preparation

Table E.1 Characterization of intratracheal instillation liquid
CNT concentration

Fe

Particle size

LengthTube diameter(mg/mL)(μg/mL)

(nm)

(nm)

(nm)

SampleSemiconducting
1.0

33

361

0.547

NT

1.0

44

533

0.927

1.7-2.1

SWCNTs
Metallic
SWCNTs
NT: not tested

E.2.2 Animals
Wistar male rats, nine weeks old, were used as the animal test subjects. The temperature inside the facility was
22.5 ± 0.6 ℃ and the humidity was 45.5–65.9%. The lighting was controlled by a timer, with the light and darkcycle set to a 12:12 ratio.

E.2.3 Intratracheal Instillation
The test materials were instilled rapidly after the animals were anesthetized with Isoflurane, using disposable
syringes and feeding tubes for the intratracheal instillation. The dose was set to 0.4 mL per animal (Approx. 1.8
mg/kg). The suspension was verified on the day of the intratracheal instillation, immediately before instillation,
to ensure that there were no aggregates. Ultrasonic treatment was conducted for a few minutes immediately prior
to the instillation. Furthermore, the solution was agitated by rotating to prevent bubbling at the time theinstillation liquid was collected.
E.2.4 Intratracheal Instillation
The animals were kept for 180 days after the intratracheal instillation and autopsies were conducted after 1 day,
3 days, 7 days, 30 days, 90 days, and 180 days after the instillation. The autopsy involved a BLF examination,
PCLF examination, physiological examination of the lungs, gene expression analysis of the lungs, as well as
TEM observations of the mediastinal lymph node.

E.3 Results
E.3.1 BALF Examinations
A chronological increase in the total protein was confirmed with the semiconducting and metallic SWCNT groups,

86relative to the vehicle control group. Furthermore, high values were indicated for the inflammatory cytokine forboth instillation groups. A sustained effect is believed to occur up to 180 days after the instillation, based on the
results described above.
E.3.2 PCLF Examinations
The leucocyte ratio was found to increase slightly, 1 day after the instillation, relative to other examination days
with the negative control group, as well as the semiconducting and metallic SWCNT instillation groups. Highvalues were confirmed for the number of macrophages from 1 day to 30 days after the instillation with thesemiconducting and metallic SWCNT instillation groups, as a result of a comparison with the negative control
group.
E.3.3 Pathological Examinations of Lungs
A change in the local inflammation (inflammatory cell infiltration in alveoli, fibrosis and hyperplasia ofsurrounding alveoli walls and the like), as well as neutrophilic infiltration in the alveoli and eosinophil infiltrationin the surroundings of the blood vessels, an increased number of alveoli macrophages, aggregation of foaming
macrophages and cell debris, as well as test-substance-devouring macrophages were observed in all thesemiconducting and metallic SWCNT instillation groups. A change in the local inflammation was confirmed in
all cases on the day after instillation and the extent intensified chronologically. Intra-alveolar neutrophilic
infiltration, as well as perivascular neutrophilic infiltration, was confirmed in all cases in the early phases
following the instillation, and between 1 and 7 days after the instillation. All instances of the test-subjectdevouring macrophages were observed upon autopsy from 3 days after the instillation. Practically all instancesof the increase in the number of alveoli macrophages occurred from 7 days after the instillation, while
aggregation of the foaming macrophages and cell debris were observed 30 days after the instillation.
E3.4 Gene Expression Analysis of Lungs
High levels of genetic expressions relating to inflammatory reactions (Ccl2, Ccl7, Ccl9, Ccl12, Cxcl2, Cxcl6,
Cxcl10, etc.) and matrix metalloproteinase (Mmp7, Mmp12, and Spp1) were confirmed with all the CNT groups.
No significant difference in the expression patterns is thought to exist between the semiconducting and metallic
SWCNTs.

E.4 Conclusion
Semiconducting SWCNTs and metallic SWCNTs, prepared with the same weight concentration and of about thesame length, were administered intratracheally to rats. A BLF examination, PCLF examination, physiologicalexamination, gene expression analysis of the lungs, as well as TEM observations of the mediastinal lymph node
were conducted up to the 180th day after the instillation. The results confirmed an accentuation of theinflammation in the lungs due to chronological contamination reactions, similar to the instillation of SWCNTs
conducted previously, occurring with semiconducting and metallic SWCNT instillation.

E.5 Reference87Wang X, Mansukhani ND, Guiney LM, Lee JH, Li R, Sun B, Liao YP, Chang CH, Ji Z, Xia T, Hersam MC, Nel
AE. Toxicological Profiling of Highly Purified Metallic and Semiconducting Single-Walled Carbon Nanotubes
in the Rodent Lung and E. coli., ACS Nano. 2016,10(6):6008-6019.

88

VII-2. Genotoxicity Test
Introduction
In 2016, MWNT-7 and NT-7K, which are MWCNTs, were distinguished from other CNTs and added to the listof designated substances under the "Guideline for Prevention of Health Impairment Due to Chemical Substances
Designated by Minister of Health, Labour and Welfare Base on Stipulations Under Section 3 in Article 28 of theIndustrial Safety and Health Law" (the so-called "Carcinogenicity Guidelines"). One of the reasons why thesehave been determined as presenting a "threat of causing severe health impairments such as cancer and others" isbecause, according to the carcinogenicity evaluation by the International Agency for Research on Cancer
conducted in 2014, MWNT-7 and NT-7K are classified as Class 2B (posing carcinogenic threat) while other
CNTs are classified as Class 3 (no classification available for carcinogenicity) (Grosse et al., 2014). The otherreason is a research report announced at a review meeting conducted by the Ministry of Health, Labour andWelfare in 2015, which indicated that a portion of rats, kept over two years in an environment with a highconcentration of MWNT-7, developed lung cancer (Kasai et al., 2016). There is still insufficient research data onother CNTs, as well as carbon nanomaterials, although a consensus has been formed that dictates that caution isneeded with regards to carcinogenicity with certain MWCNTs, although the effect on humans remains uncertain.
Various genotoxicity tests have been developed to examine the carcinogenicity of chemical substances. The
Organization for Economic Co-operation and Development (OECD) has established safety evaluation test
methods that are common internationally and for which many test methods for genotoxicity have been stipulated(http://www.oecd.org/env/ehs/testing/). Each of these genotoxicity tests are implemented using the endpoints ofdifferent species. Thus, individual tests are not able to determine all aspects of genotoxicity but rather, several
genotoxicity tests are generally combined to detect the genotoxicity of chemical substances (this is referred to asbattery testing). This section describes standard battery testing, consisting of a selection including a reverse
mutation test using bacteria (Ames test) included in the OECD test guidelines, as well as a test addressing
chromosomal aberration with mammalian cultured cells, as well as a genotoxicity test using samples of carbon
nanomaterial dispersed in liquid as a test material, by selecting a micronucleus test using mammalia as agenotoxicity test using a dispersion sample of carbon nanomaterials in liquid as a test sample. It should be notedthat the reverse mutation test using bacteria is a type of cell culture test but, for convenience in this document, it
has been featured in the section that covers animal testing using carbon nanomaterials dispersed in liquid as atest material, in Chapter VII.

1. Scope of Application
The administration liquid of carbon nanomaterials in a dispersed preparation is used to perform the reverse
mutation test using bacteria test on chromosomal aberration with mammalian cultured cells, as well as a
micronucleus test using mammalia, to evaluate safety.

2. Referenced Standards and Regulations
The reverse mutation test using bacteria complies with OECD Test Guideline 471, the test on chromosomal

89

aberration with mammalian cultured cell complies with OECD Test Guideline 473, and the micronucleus test
using mammalia complies with OECD Test Guideline 474.

3. Terminology, Definitions, and Symbols
3.1 Preparation Liquid
Suspension containing dispersed carbon nanomaterials in a medium. The solution is prepared by diluting to aprescribed concentration and is then used in the genotoxicity tests.

4. Test Methods
4.1 Reverse Mutation Test Using Bacteria (Ames Test)
This test is conducted in compliance with OECD Test Guideline 471 (OECD Guideline for the Testing ofChemicals 471 (21 July 1997:

Bacterial Reverse Mutation Test, DOI:

10.1787/9789264071247-en). 11.10.

4.2 Chromosomal Aberration with Mammalian Cultured Cells
The test is conducted in compliance with OECD Test Guideline 473 (OECD Guideline for the Testing ofChemicals

473

(26

Sep.

2014:

In

Vitro

Mammalian

Chromosome

Aberration

Test,

DOI:

10.1787/9789264224223-en).
4.3 Micronucleus Test Using Mammalia Mammalian erythrocyte micronucleus test
The test is conducted in compliance with OECD Test Guideline 474 (OECD Guideline for the Testing ofChemicals 474 (26th Sep. 2014:

Mammalian Erythrocyte Micronucleus Test, DOI:

10.1787/9789264224292-

en).

5. Reports
Reports are made in compliance with the OECD Test Guidelines.

6. References
Grosse Y, Loomis D, Guyton KZ, Lauby-Secretan B, El Ghissassi F, Bouvard V, Benbrahim-Tallaa L, Guha N,
Scoccianti C, Mattock H, Straif K; International Agency for Research on Cancer Monograph Working Group.
Carcinogenicity of fluoro-edenite, silicon carbide fibres and whiskers, and carbon nanotubes. Lancet Oncol. 201415(13):1427-1428.
Kasai T, Umeda Y, Ohnishi M, Mine T, Kondo H, Takeuchi T, Matsumoto M, Fukushima S. Lung carcinogenicity
of inhaled multi-walled carbon nanotube in rats. Part Fibre Toxicol., 2016 13:54.

90

Appendix A

Practical Example: Reverse Mutation Test Using Bacteria for Exfoliated Graphene

A.1 Outline
This section describes an example of a reverse mutation test that used Salmonella typhimurium TA100, TA1535,
TA98, and TA1537 strains, and Escherichia coli (E. coli) WP2uvrA strain to examine the genetic mutagenicity
of exfoliated graphene developed by the TASC. The test was compliant with OECD Test Guideline 471 and was
conducted using the preincubation method that involved both the metabolic activation system non-existentprocess using rat liver S9 (-S9 treatment) and the metabolic activation system existent process (+9S treatment).
Exfoliated graphenes vary in their physiochemical characteristics, depending on the solvent used. For this reason,
two different types of solvents were used to perform the dispersion treatment to prepare the stock suspension for
the reverse mutation tests.

A.2 Preparation and Characterization of Samples
The exfoliated graphenes, dissolved and dispersed using solvent A0 and solvent B0 and respectively referred toas preparation the stock suspension Grp-A0 and Grp-B0, respectively, were used for the reverse mutation test.
The stability evaluation of the stock suspension was performed by conducting measurements on the particle size
distributions of exfoliated graphenes over time, by using a laser diffraction particle diameter distribution
measurement system (SALD-2300; Shimadzu Co., Kyoto, Japan) up to 72 h after preparation. The results
indicated that the particle size distributions for Grp-A0 and Grp-B0 were the same up to 72 h after preparation
and both were determined to be stable.

A.3 Test methods
Bacterial reverse mutation test was conducted according to the OECD Guideline for Testing of Chemicals 471‘Bacterial Reverse Mutation Test’ (OECD, 1997). The histidine-requiring Salmonella typhimurium strains TA98,
TA100, TA1535, and TA1537 and the tryptophan-requiring E. coli mutant WP2uvrA were cultured in a nutrient
broth at 37 °C with shaking. The test was performed with pre-incubation in the presence and absence of metabolic
activation using a rat liver S9 fraction pretreated with the enzyme-inducing agents phenobarbital and 5, 6benzoflabone and mixed with cofactor-I (Oriental Yeast Co. Ltd., Tokyo, Japan), to give a final concentration of
10% (v/v) S9. In a preliminary cytotoxicity test, all strains were tested at concentrations ranging 0.313, 0.625,
1.25, 2.5, 5.0 and 10.0 μg per plate of exfoliated graphene to determine the appropriate concentration range. The
main test was conducted at concentrations ranging 0.625, 1.25, 2.5, 5.0 and 10.0 μg per plate based on the resultsof the preliminary test. The preliminary and main test were conducted using duplicate plates for eachconcentration, respectively. The results were judged positive if a 2-fold or more increase above the concurrent
negative control in the number of revertant colonies was observed in the exfoliated graphene-treated groups witha dose–response relationship.

91

A.3.1 Strains
The following five strains were used.
No.

StrainMutation type1

Salmonella typhimurium

TA100

Histidine-requiring base substitution type2

Salmonella typhimurium

TA1535Histidine-requiring base substitution type3

Escherichia coli

WP2uvrA

Tryptophan-requiring base substitution type4

Salmonella typhimurium

TA98

Histidine-requiring frame shift type5

Salmonella typhimurium

TA1537

Histidine-requiring frame shift type

A.3.2 Positive Control
The following positive control substance solutions, prepared in advance, were used: AF-2, 9-AA, and 2-AA
solutions were prepared using dimethyl sulfoxide (DMSO) and a NaN3 solution was prepared using water for
injection. The respective prepared solutions were injected in quantities of 0.5 mL each, then frozen for storage(at -80 °C). Those that were confirmed as being within the period for which the effectiveness has been verified
were used for the test.

Metabolic activation system non-existent: -S9 treatment
No.

Positive control

Concentration

Strain(µg/plate)1AF-2

2-(2-furyl)-3-(5-nitro － 2 －0.01

Salmonella typhimurium: TA100

furyl) acrylamide
2

NaN3

Sodium azide

0.5

Salmonella typhimurium: TA1535

3

AF-2

2-(2-furyl)-3-(5-nitro － 2 －0.01

Escherichia coli: WP2uvrA

0.1

Salmonella typhimurium: TA98

80

Salmonella typhimurium: TA1537

furyl) acrylamide
4AF-2

2-(2-furyl)-3-(5-nitro － 2 －furyl) acrylamide

5

9-AA

9-aminoacridine hydrochloride

Metabolic activation system existent: +S9 treatment
No.

Positive control

Concentration

Strain(µg/plate)
1

2-AA

2-Aminoanthracene

1

Salmonella typhimurium: TA100

2

2-AA

2-Aminoanthracene

2

Salmonella typhimurium: TA1535

3

2-AA

2-Aminoanthracene

10Escherichia coli: WP2uvrA

4

2-AA

2-Aminoanthracene

0.5

Salmonella typhimurium: TA98

5

2-AA

2-Aminoanthracene

2

Salmonella typhimurium: TA1537

92

A.4 Results
The maximum dose was set to 10.0 µg/plate and dose setting tests were conducted with six doses of between
0.313 and 10.0 µg. No increase in the reverse mutation colonies of double or more than the negative control
group was confirmed with the exfoliated graphene dispersed in solvent A0 and solvent B0 for both the -S9 and+S9 treatments. The test was performed with five doses between 0.625 and 10.0 µg/plate for all strains, basedon this result. No increase in the reverse mutation colonies to double or more of that of the negative control
group was confirmed with the exfoliated graphene dispersed in solvent A0 or solvent B0 for both the -S9 and+S9 treatments as a result of the test. This confirmed the reproducibility of the test results. The positive control
substances indicated clear mutation-inducing effects on the respective test strains. Exfoliated graphene dispersedin solution A0 and solution B0 (Grp-0A and Grp-B0) was determined not to indicate any genetic mutationinductibility (negative) for bacteria under the applicable test conditions, based on the results described above.

A.5 ReferenceOECD guidelines for the testing of chemicals. Test No. 471: Bacterial reverse mutation test. 1997. (adopted on
July 21, 1997). DOI: 10.1787/9789264071247-en

93Appendix B

Practical Example: Mammalian erythrocyte micronucleus test of exfoliated graphene

B.1 Outline
Graphene and related materials (GRM) have novel optical and thermal characteristics and are expected to be
adopted for industrial applications; however, there are concerns with respect to the safety of carbon nanomaterials.
In addition to direct interaction with the cell membrane, the proposed mechanisms of toxicity development
include ROS generation and direct action on the DNA, but these remain to be clarified. A report on the
genotoxicity of graphene oxide has been published, based on mammalian erythrocyte micronucleus test using
mouse bone marrow cells (Liu et al., 2013). ISO/TS 12901-2:2014 is a guideline for managing the risks
associated with nano substances as well as aggregates of nano substances measuring 100 nm or greater andoccupational exposure to aggregates, by control banding that can be applied even when knowledge pertaining to
the toxicity or quantitative exposure estimates are limited or even non-existent. In cases where positive results
are found through in vivo genotoxicity tests, the hazard classification (Hazard Group Allocation) becomes HB5(Hazard band 5: very high_Severe hazard requiring a full hazard assessment by an expert) and the control bandingthat corresponds to that is CB4 (Control band 4: full containment) or CB5 (Control band 5: full containment andreview by a specialist). The recommended environment for use, therefore, becomes extremely difficult toconsider. An exfoliated graphene dispersed preparation solution, developed by the Graphene Division at TASC,
was used as the test material in compliance with OECD Test Guideline 474 to verify the presence of thechromosomal damage inductibility of the test substance in living organisms, based on the micronucleus
inductibility in mouse bone marrow cells. Exfoliated graphenes vary in their physiochemical characteristics,
depending on the solvent used. For this reason, two different solvents were used to perform the dispersion
treatment for the working solution. These were used to conduct the mammalian erythrocyte micronucleus test.

B.2 Preparation and Characterization of Samples
The exfoliated graphenes dissolved and dispersed using solvents A0 and B0 were respectively referred to as thestock suspension Grp-A0 and Grp-B0 for the mouse red blood cell micronucleus test. A stability evaluation of
the exfoliated graphene preparation liquid was performed by conducting measurements of the particle size
distributions of exfoliated graphenes over time, by using a laser diffraction particle diameter distribution
measurement system (SALD-2300; Shimadzu Co., Kyoto, Japan) up to 72 h after the preparation. The results
indicated that the particle size distributions for Grp-A0 and Grp-B0 were the same up to 72 h after preparation
and both were determined to be stable.

B.3 Test methods
Mammalian erythrocyte micronucleus test were conducted according to the OECD Guideline for Testing ofChemicals 474 ‘Mammalian Erythrocyte Micronucleus Test’ (OECD, 2014). Eight-week-old Crlj:CD1 (ICR)

94

mice purchased from Charles River Laboratories, Japan, Inc. (Yokohama, Japan) were divided into 5
experimental groups of six male animals each, and housed within metal cages at a controlled temperature of
23 °C (52 ± 10% humidity) and fed a chow diet ad libitum. We determined that male mice were used for theexperiments because no clear gender difference was observed in the toxic action in a preliminary test. Threegroup mice were administered intravenously with exfoliated graphene working solution at 0.5, 1.0 and 2.0 mg/kg
once a day for five consecutive days, corresponding respectively to the total doses of 2.5, 5.0 and 10 mg/kg. The
other two group mice were respectively received 0.4 wt% Tween-20® and cyclophosphamide (50 mg/kg) as thenegative and positive controls. Femur bones of mice were excised and the bone marrow flushed into test tubes,
and then the micronucleus assay was performed following standard protocols. The frequency of micronucleatedpoychromatic erythrocytes (MNPCE) was calculated based on observations of 2000 polychromatic erythrocytes(PCE) per animal. The proportion of PCE among all erythrocytes was determined by counting 500 erythrocytes
for each mouse. Significant differences in the frequency of MNPCE between the negative control and the othergroups were determined using comparison of the Kastenbaum-Bowman test. The proportion of PCE among thetotal erythrocyte population was analyzed by Dunnett’s test. All procedures and animal handling were approvedby the Institutional Animal Care and Use Committee of TASC, AIST, and the Public Interest Incorporated
Foundation at the BioSafety Research Center (Shizuoka, Japan).

B.4 Results
No statistically significant increase in the emergence frequency of the MNPCE was confirmed in comparison
with the respective negative control group in all those groups to which the Grp-A0 and Grp-B0 administration
liquids were administered (2.5, 5, and 10 mg/kg). No statistically significant reduction in the ratio of thepolychromatic erythrocyte (PCE) was confirmed relative to the negative control groups, for both administration
liquid A and administration liquid B. The emergence frequency of the MNPCE for the untreated control groupwas within the standard value derived from the background data and the MNPCE for the positive control group
was confirmed to exhibit a statistically significant increase in comparison with the untreated control group. Thus,
the test was deemed to have been conducted appropriately. Exfoliated graphene materials (administration liquid
Grp-0A and Grp-B0) were determined not to exhibit any micronucleus induction to mouse bone marrow cells
under the applicable test conditions, based on the results described above.

B.5 References
Liu Y, Luo Y, Wu J, Wang Y, Yang X, Yang R, Wang B, Yang J, Zhang N. Graphene oxide can induce in vitro
and in vivo mutagenesis. Sci Rep. 2013 3:3469
OECD guidelines for the testing of chemicals. Test No. 474: Mammalian erythrocyte micronucleus test. 2014.
(adopted on September 26, 2014). DOI: 10.1787/9789264224292-en

95General Procedure for Safety Tests on Carbon Nanomaterials
Procedures for Sample Preparation, Characterization, In Vitro Cell-Based Assays and Animal Tests on Carbon
Nanomaterials

October 10, 2017

Technology Research Association for Single Wall Carbon Nanotubes (TASC)
Research Institute of Science for Safety and Sustainability (RISS), National Institute of Advanced Industrial Scienceand Technology (AIST)

Please contact AIST about any opinions or requests regarding the replication, reprinting, and content of this document.
E-mail: tasc3-ml@aist.go.jp

This document has been drafted based on results obtained from a project commissioned by the New Energy andIndustrial Technology Development Organization (NEDO), "Innovative carbon nanotubes composite materials project
toward achieving a low-carbon society (P10024)".

This document is based on results obtained from a project commissioned by the New Energy and Industrial
Technology Development Organization (NEDO), “Innovative carbon nanotubes composite materials project towardachieving a low-carbon society (P10024)”.