Petition for Determination of Nonregulated Status

for Rootworm-Resistant Event 5307 Corn

Petition Number 10-336-01p

OECD Unique Identifier: SYN-Ø53Ø7-1

Submitted By:

Demetra Vlachos

Syngenta Biotechnology, Inc.

P.O. Box 12257

3054 E. Cornwallis Road

Research Triangle Park, NC 27709

Submission Date:

April 22, 2011

Authors:

Demetra Vlachos and Scott A. Huber

Contributors:

Mark Bednarcik, Anic de Framond, Gerson Graser, Brian Harper, Hope Hart, 

Wendelyn Jones, Karen Launis, Andrew Noe, Lisa McCormick, Moez Meghji, 

Linda Meyer, Heather Moore, Andrea Nelson, Stephen New, Narendra Palekar, 

Katie Pence, Alan Raybould, Alaina Sauvé, Laura Seastrum, Shuang Song, 

Frederick Walters, Dennis Ward, Keith Ward, and James White

Syngenta Petition ID:

5307-USDA-1

Page 1 of 211
5307-USDA-1 Page 2 of 211

Petition for Determination of Nonregulated Status

The undersigned submits this petition under 7 CFR § 340.6 to request that the Administrator

make a determination that the article should not be regulated under 7 CFR § 340.

Certification

The undersigned certifies that, to the best knowledge and belief of the undersigned, this 

petition includes all information and views on which to base a determination, and that it 

includes relevant data and information known to the petitioner that are unfavorable to the 

petition.

Petitioner:

Demetra Vlachos, M.S.

Regulatory Affairs Manager

Mailing Address: Syngenta Biotechnology, Inc.

P.O. Box 12257

3054 East Cornwallis Road

Research Triangle Park, NC 27709

USA

Telephone: 919.226-7383

Facsimile: 919.226-7462

Email: demetra.vlachos@syngenta.com

© 2010, 2011 Syngenta. All Rights Reserved.

This document is protected under copyright law. This document is for use only by the 

regulatory authority to which this has been submitted by Syngenta, and only in support of 

actions requested by Syngenta. Any other use of this material, without prior written consent 

of Syngenta, is strictly prohibited. By submitting this document, Syngenta does not grant 

any party or entity any right or license to the information or intellectual property described 

in this document.
5307-USDA-1 Page 3 of 211

Release of Information

Syngenta Biotechnology, Incorporated (Syngenta) is submitting the information in this 

petition for review by the United States Department of Agriculture (USDA) as part of a 

federal regulatory process. Except in accordance with the following, Syngenta does not 

authorize the release, publication, or other distribution of this information (including internet 

posting) to any third party without prior notice and Syngenta’s consent. In responding to a 

request under the Freedom of Information Act (FOIA), 5 U.S.C. §552 and 7 CFR § 1, 

relating to all or some of the information in this petition, Syngenta expects that, in advance 

of the release of the information, USDA will provide Syngenta with a copy of the FOIA 

request and the material proposed to be released, and the opportunity to object to the release 

of information based on appropriate legal grounds (e.g., responsiveness, trade secret, and/or 

commercial concerns). Syngenta expects that no information submitted with this petition 

and identified as Confidential Business Information (CBI) will be disclosed to any third 

party. 
5307-USDA-1 Page 4 of 211

Petition for Determination of Nonregulated Status

for Rootworm-Resistant Event 5307 Corn

Summary of the Petition

Using the techniques of modern molecular biology, Syngenta has transformed corn (maize, 

Zea mays L.), to produce Event 5307 corn (also referred to hereafter to as “5307 corn”), a 

new cultivar that is highly resistant to larval feeding damage by western corn rootworm

(Diabrotica virgifera virgifera Le Conte), northern corn rootworm (D. longicornis barberi 

Smith and Lawrence) and Mexican corn rootworm (D. virgifera zeae Krysan and Smith). 

These important coleopteran pests cause significant damage to the U.S. corn crop annually. 

Event 5307 corn plants contain the transgene ecry3.1Ab encoding a novel rootworm-control 

protein, eCry3.1Ab, and the transgene pmi (also known as manA) encoding the enzyme 

phosphomannose isomerase (PMI). The eCry3.1Ab protein is an engineered chimera of the 

modified Cry3A (mCry3A) and Cry1Ab proteins, members of a class of insecticidal proteins 

derived from Bacillus thuringiensis (Bt). The gene pmi was obtained from Escherichia coli

strain K-12 and the protein it encodes was utilized as a plant selectable marker during 

development of 5307 corn.

Event 5307 corn was produced by Agrobacterium tumefaciens-mediated transformation of 

immature corn embryos using plasmid vector pSYN12274. The region between the left and 

right borders of the transformation plasmid included ecry3.1Ab and pmi gene expression 

cassettes; this DNA was transferred into the corn genome during transformation. The 

ecry3.1Ab expression cassette consisted of the ecry3.1Ab coding region regulated by the 

CMP promoter region from the cestrum yellow leaf virus and the nopaline synthase (NOS) 

terminator sequence. The pmi expression cassette consisted of the pmi coding region 

regulated by the ZmUbiInt promoter and the NOS terminator sequence.

Southern blot analyses demonstrate that 5307 corn (1) contains, at a single locus within the 

corn genome, a single copy each of the gene ecry3.1Ab, its CMP promoter sequence, the 

marker gene pmi, its ZmUbiInt promoter sequence, and the two expected copies of the NOS 

terminator sequence, one NOS terminator sequence regulating ecry3.1Ab and one NOS 

terminator sequence regulating pmi; (2) does not contain any extraneous DNA fragments of 

these functional elements inserted elsewhere in the corn genome; and (3) does not contain 

backbone sequence from the transformation plasmid, pSYN12274.

Nucleotide sequence analysis of the transferred DNA (T-DNA) insert in 5307 corn confirms 

that the insert is intact and that the organization of the functional elements therein is 

identical to their organization within pSYN12274. One nucleotide change from the 

sequence of pSYN12274 was identified 48 base pairs (bp) upstream of the CMP promoter in 

a noncoding region of the Event 5307 insert in corn. However, this nucleotide change had 

no effect on the functionality of the insert. Additionally, the analysis indicates that some 

truncation of the nucleotide sequence occurred at the 5' and 3' ends of the T-DNA during the 

transformation process that resulted in Event 5307 corn; such truncation occurs commonly 

in transformation via Agrobacterium. The entire right border and three bp of noncoding 
5307-USDA-1 Page 5 of 211

sequence at the 5′ end of the insert, and eight bp of the left border were truncated; however, 

these deletions had no effect on the functionality of the insert. 

Sequence analysis of the T-DNA insertion site demonstrated that 33 bp of corn genomic 

sequence were deleted when the 5307 insert integrated into the corn genome. Bioinformatic 

analyses indicated that the insert does not disrupt any known endogenous corn gene. A 

putative 243-bp novel open reading frame (ORF) spanning the junction between corn

genomic sequence and the 3′ region of the 5307 corn insert was identified. The translated 

81-amino-acid sequence encoded by the putative ORF showed no biologically relevant 

sequence similarity to known or putative toxins or allergens. These data collectively 

demonstrate that there are no deleterious changes in the 5307 corn genome as a result of the 

T-DNA insertion. 

Observations of ecry3.1Ab and pmi segregation ratios over several generations of 5307 corn

plants are consistent with linkage of these transgenes at a single locus in the corn genome. 

These data and the results from Southern blot analyses of several generations of 5307 corn

plants indicate that the T-DNA insert has integrated into the nuclear genome and that the 

transgenic locus is stably inherited during conventional breeding.

These genetic characterization data demonstrate that, apart from a single nucleotide change 

in a noncoding region of the T-DNA insert, there are no unintended changes in the 5307 

corn genome as a result of the T-DNA insertion. 

Laboratory, greenhouse, growth chamber, and field investigations with 5307 corn confirmed 

that there were no changes in seed, pollen, plant phenotypic, or composition parameters 

suggestive of increased plant pest risk. Compositional assessment of the grain and forage 

from multiple U.S. field sites demonstrate that 5307 corn is nutritionally and 

compositionally equivalent to, and as safe and nutritious as, its conventional counterpart. 

Corn does not possess weedy properties or outcross to wild relatives in the U.S.; these 

properties of corn have not been altered in 5307 corn. 

Well-characterized modes of action, physicochemical properties, and results of safety 

studies demonstrate that the eCry3.1Ab and PMI proteins present in 5307 corn present no 

risk of harm for mammalian species.

Laboratory testing has shown no adverse effects on survival associated with exposures of 

eCry3.1Ab in a range of nontarget indicator species appropriate for a corn ecosystem. There 

was a 20% reduction in adult ground beetle weight observed after larvae of Poecilus cupreus

were exposed to 400 μg eCry3.1Ab/g diet throughout their development, but because the 

larvae were tested at extreme exposure concentrations with no adverse effects on survival 

and only minor effects on growth, the effects of eCry3.1Ab on ground beetles are likely to 

be negligible under field exposure conditions. The eCry3.1Ab exposures in all studies were 

in excess of estimated environmental exposure levels for the nontarget organism groups 

represented, indicating a low probability of harm for nontarget organisms inhabiting corn

ecosystems. 
5307-USDA-1 Page 6 of 211

The narrow spectrum of insecticidal activity observed for eCry3.1Ab indicates with high 

certainty that no endangered or threatened species, with the potential exception of those 

belonging to the order Coleoptera, could be harmed by eCry3.1Ab via 5307 corn if 

opportunities for exposure existed. However, none of the 17 species of endangered or 

threatened Coleoptera listed by the US Fish and Wildlife Service is a member of the 

Chrysomelidae family, which is the only family of Coleoptera shown to be susceptible to 

eCry3.1Ab at the concentrations in 5307 plants. Moreover, due to their feeding habits and 

non-agricultural habitats, there is negligible opportunity for endangered or threatened 

Coleoptera to be exposed to eCry3.1Ab via 5307 corn cultivation.

Syngenta knows of no study results or observations associated with 5307 corn that are 

anticipated to result in adverse consequences to the quality of the human environment, 

directly, indirectly, or cumulatively. This includes a lack of anticipated adverse effects on 

endangered or threatened species listed by the U.S. Fish and Wildlife Service, unique 

geographic areas, critical habitats, public health and safety (including children and 

minorities), genetic diversity of corn, farmer or consumer choice, insect resistance, or the 

economy, either within or outside the U.S. In the near future, Syngenta intends to submit an 

Environmental Report containing additional information and analysis of potential 

environmental impacts that is not required by the regulations governing petitions for nonregulated status, but which is intended to assist APHIS in fulfilling its obligations under the 

National Environmental Policy Act (NEPA), 42 U.S.C. § 4321, et seq., as well as other 

applicable statutes and regulations.

Event 5307 corn will not be commercialized as a stand-alone product. Rather, it will be 

combined via conventional plant breeding with other insect-control traits as well as 

herbicide-tolerance traits in hybrid corn product offerings to growers. These hybrids will 

offer high efficacy, convenience, and an additional choice for protection of corn crops from 

feeding damage caused by important corn pests. As such, the use of 5307 corn as a 

component of these corn hybrids is expected to produce beneficial effects similar to 

previously deregulated Bt corn products that are commercially available. These benefits 

include reduced insecticide use, improved worker safety, reductions in the use of fossil fuels 

to apply chemical insecticides, economic benefits for growers, and increased competition in 

the marketplace for insect-protected seed products. Moreover, the novel mode of action of 

the eCry3.1Ab protein is expected to extend the useful life of Bt corn technology, as well as 

other methods, for corn rootworm control in general, by reducing the selection pressure for 

resistance among target pests. 

The combination of eCry3.1Ab and modified Cry3A (via Syngenta’s deregulated Event 

MIR604 corn) in the same corn hybrids will also justify a reduction in the size of the 

required on-farm refuge from a minimum of 20% of a grower’s corn acres to 5%. This will 

have additional economic benefits for the grower, will further reduce insecticide use for 

rootworm control, and will promote grower compliance with refuge requirements. 

Appropriate refuge requirements will be implemented in the context of a comprehensive 

insect resistance management program mandated by the U.S. Environmental Protection 

Agency. 
5307-USDA-1 Page 7 of 211

Table of Contents

Page

Petition for Determination of Nonregulated Status ...................................................... 2

Certification ................................................................................................................. 2

Release of Information................................................................................................. 3

Summary of the Petition............................................................................................... 4

List of Tables.............................................................................................................. 12

List of Figures ............................................................................................................ 14

Abbreviations and Acronyms...................................................................................... 16

I. Rationale for Submission of Request for Deregulation ....................................... 19

I.A. Basis for the Request for a Determination of Nonregulated Status ............................. 19

I.B. Rationale for Development of Event 5307 Corn ....................................................... 20

I.C. Regulatory Process .............................................................................................. 21

I.C.1. U.S. Environmental Protection Agency ........................................................ 22

I.C.2. U.S. Food and Drug Administration............................................................. 23

I.C.3. Foreign Governments................................................................................ 23

II. The Biology of Corn............................................................................................ 25

II.A. OECD Consensus Document on the Biology of Zea mays subsp. mays....................... 25

II.B. Characteristics of the Recipient Germplasm ........................................................... 25

III. Transformation and Development of Event 5307 Corn ....................................... 26

III.A. Description of the Transformation System ............................................................ 26

III.B. Development of Event 5307 Corn........................................................................ 27

III.C. Production of Test and Control Materials .............................................................. 29

III.D. Quality Control Testing of Seed Materials ............................................................. 32

IV. Donor Genes and Regulatory Sequences............................................................ 33

V. Genetic Characterization of Event 5307 Corn ..................................................... 38

V.A. Nucleotide Sequence of the T-DNA Insert .............................................................. 38

V.B. Copy Number of Functional Elements .................................................................... 38

V.B.1. Copy Number of Functional Elements: ecry3.1Ab Gene................................ 40

V.B.2. Copy Number of Functional Elements: CMP promoter .................................. 44

V.B.3. Copy Number of Functional Elements: pmi Gene......................................... 47

V.B.4. Copy Number of Functional Elements: ZmUbiInt promoter ........................... 50

V.B.5. Copy Number of Functional Elements: NOS terminator ................................ 55

V.C. Absence of Plasmid Backbone Elements................................................................. 58

V.D. Genetic Stability of 5307 Corn Over Four Generations ............................................. 61

V.D.1. Stability of the T-DNA Using a Full-Length T-DNA-specific Probe.................... 61

V.D.2. Confirmation of Absence of Plasmid Backbone DNA Using a Backbone-Specific ...

 Probe................... ...................................................................................... 69

V.E. Mendelian Inheritance of the T-DNA Insert............................................................. 73
5307-USDA-1 Page 8 of 211

V.F. Flanking Sequence Analysis to Determine if T-DNA Inserted into a Known Corn Gene .. 74

V.G. Analysis of Putative Open Reading Frames Spanning the Genome to Insert Junction ... 76

V.H. Summary of the Genetic Characterization of Event 5307 Corn.................................. 76

VI. Characterization of the eCry3.1Ab and PMI Proteins.......................................... 78

VI.A. eCry3.1Ab – Origin, Mode of Action, and Insecticidal Specificity............................... 78

VI.A.1. Characterization of eCry3.1Ab.................................................................. 79

VI.A.1.a. Production of eCry3.1Ab for Safety Testing........................................ 79

VI.A.1.b. Equivalence of eCry3.1Ab in Test Substance and in 5307 Plants........... 80

VI.A.2. Safety Assessment for eCry3.1Ab ............................................................. 81

VI.B. Phosphomannose Isomerase – Origin and Function................................................ 83

VI.B.1. Mechanism of Action ............................................................................... 83

VI.B.2. Characterization of Phosphomannose Isomerase ........................................ 83

VI.B.1.a. Production of PMI for Safety Testing ................................................. 83

VI.B.1.b. Equivalence of PMI in Test Substance and in 5307 Plants .................... 84

VI.B.3. Safety Assessment for Phosphomannose Isomerase.................................... 84

VI.C. eCry3.1Ab and PMI Concentrations in 5307 Corn ................................................... 86

VII. Phenotypic and Compositional Evaluation.......................................................... 90

VII.A. Phenotypic Assessment of 5307 Plants ................................................................ 90

VII.A.1. Seed Dormancy and Germination ............................................................ 92

VII.A.2. Field Agronomic Performance.................................................................. 96

VII.A.3. Plant Disease Trials ..............................................................................102

VII.A.4. General Observations from Field Trials ....................................................102

VII.A.5. Pollen Viability and Morphology..............................................................103

VII.A.6. Seed Dispersal.....................................................................................105

VII.B. Compositional Assessment of 5307 Forage and Grain...........................................105

VII.B.1. Design and methods used in compositional analysis study .........................105

VII.B.1.a. Statistical analysis for across-location comparisons ..........................106

VII.B.1.b. Statistical analysis for individual-location comparisons......................106

VII.B.1.c. Comparison with ILSI Crop Composition Database............................106

VII.B.2. Results of statistical analysis for forage...................................................107

VII.B.3. Results of statistical analysis for grain.....................................................108

VII.B.4. Conclusion of compositional analyses......................................................108

VII.C. Summary of Phenotypic and Compositional Evaluations........................................127

VIII. Environmental Consequences of Introduction............................................... 128

VIII.A. Spectrum of eCry3.1Ab Insecticidal Activity.......................................................128

VIII.B. Activity of eCry3.1Ab and 5307 Corn Against Target Insects ................................131

VIII.C. Estimated Environmental Concentrations of eCry3.1Ab .......................................134

VIII.C.1. Concentrations of eCry3.1Ab in 5307 Corn .............................................134

VIII.C.2. Fate of eCry3.1Ab in Soil......................................................................135

VIII.C.3. Expected eCry3.1Ab Environmental Concentrations for Nontarget 

Organisms .....................................................................................135

VIII.C.3.a. EEC for Wild Birds .......................................................................135
5307-USDA-1 Page 9 of 211

VIII.C.3.b. EEC for Wild Mammals.................................................................136

VIII.C.3.c. EEC for Pollinators.......................................................................137

VIII.C.3.d. EEC for Above-Ground Nontarget Arthropods .................................137

VIII.C.3.e. EEC for Soil-Dwelling Nontarget Invertebrates................................138

VIII.C.3.f. EEC for Aquatic Organisms ...........................................................139

VIII.C.3.g. EEC for Farmed Fish....................................................................140

VIII.C.3.h. Summary of Environmental Exposure Estimates .............................140

VIII.D. Impact on Nontarget Organisms ......................................................................141

VIII.D.1. Effect of eCry3.1Ab on Wild Birds..........................................................142

VIII.D.1.a Effect of eCry3.1Ab on bobwhite quail ............................................142

VIII.D.1.b Effect of eCry3.1Ab on broiler chickens...........................................142

VIII.D.2. Effect of eCry3.1Ab on Wild Mammals ...................................................143

VIII.D.3. Effect of eCry3.1Ab on Pollinators .........................................................143

VIII.D.4. Effect of eCry3.1Ab on Above-ground Arthropods....................................145

VIII.D.4.a. Ladybeetles ...............................................................................145

VIII.D.4.b. Flower bugs ...............................................................................146

VIII.D.5. Effect of eCry3.1Ab on Soil-dwelling Invertebrates ..................................146

VIII.D.5.a. Carabid beetles ..........................................................................146

VIII.D.5.b. Rove beetles ..............................................................................147

VIII.D.5.c. Earthworms ...............................................................................147

VIII.D.6. Effect of eCry3.1Ab on Aquatic Organisms .............................................148

VIII.D.6.a. Freshwater shrimp......................................................................148

VIII.D.6.b. Channel catfish...........................................................................148

VIII.E. Toxicity Exposure Ratios for Nontarget Organisms ..............................................149

VIII.F. Safety Assessment for Endangered and Threatened Species ...............................150

VIII.G. Conclusion of Low Environmental Risk ..............................................................151

VIII.H. Gene Flow Assessment ...................................................................................152

VIII.I. Gene Flow to Wild Species...............................................................................152

VIII.J. Potential for Horizontal Gene Transfer ..............................................................153

IX. Insect Resistance Management........................................................................ 154

X. Adverse Consequences of Introduction............................................................ 156

XI. References....................................................................................................... 157

Acknowledgements .................................................................................................. 169

Appendix A. USDA Notifications for Field Trials with Event 5307 Corn .................... 170

Appendix B. Materials and Methods Used in the Genetic Characterization of 

Event 5307 Corn .............................................................................................. 171

B.1. Plant Material ..................................................................................................171

B.2. Real-Time PCR Analysis.....................................................................................171

B.3. Genomic DNA Extraction ...................................................................................172

B.4. DNA Quantitation .............................................................................................173

B.5. Nucleotide Sequence of the T-DNA Insert............................................................173
5307-USDA-1 Page 10 of 211

B.6. Southern Blot Analyses .....................................................................................174

B.7. Nucleotide Sequencing of T-DNA Flanking Regions in Corn Genome........................176

B.8. Flanking Sequence Analysis to Determine if T-DNA Inserted into a Known Corn 

Gene ..............................................................................................................177

B.9. Amino Acid Sequence Comparison of Query Peptide to Known or Putative Toxins .....177

B.10. Amino Acid Sequence Comparison of Query Peptide to Known or Putative 

Allergens.........................................................................................................178

Appendix C. Materials, Methods and Results of Characterization Studies on the 

eCry3.1Ab and PMI Proteins ............................................................................ 180

C.1. Materials and Methods for Comparison of eCry3.1Ab Produced in 5307 Corn Plants 

and Recombinant E. coli.....................................................................................180

Event 5307 Corn Leaf Tissue and Negative Control Corn Leaf Tissue........................180

Extracts of 5307 Corn and Control Corn Leaf Tissue for Western Blot Analysis ..........180

Extracts of 5307 Corn and Control Corn Leaf Tissue for Insect Bioassays..................180

Immunoaffinity-Purified Plant-Produced Protein ....................................................181

Microbially Produced Test Substance ECRY3.1AB-0208...........................................182

eCry3.1Ab Quantification....................................................................................182

Total Protein Determination................................................................................182

Immunoreactivity and Molecular Weight Determination..........................................182

Insecticidal Activity .....................................................................................183

Glycosylation Analysis .....................................................................................183

Peptide Mass Mapping Analysis ...........................................................................184

N-Terminal Amino Acid Sequence Analysis ...........................................................184

Statistical Methods .....................................................................................184

C.2. Results of Comparison of eCry3.1Ab Produced in 5307 Corn Plants and 

Recombinant E. coli...........................................................................................185

Immunoreactivity and Molecular Weight...............................................................185

Insecticidal Activity .....................................................................................186

Glycosylation Analysis .....................................................................................186

Peptide Mass Mapping .....................................................................................188

N-Terminal Amino Acid Sequence Analysis ...........................................................189

C.3. Materials and Methods for Comparison of PMI Produced in 5307 Corn Plants and 

Recombinant E. coli...........................................................................................190

Event 5307 Corn Leaf Tissue and Negative Control Corn Leaf Tissue........................190

Extracts of 5307 and Control Corn Leaf Tissue ......................................................190

Extract of Control Leaf Tissue Fortified with Test Substance PMI-0105 .....................190

PMI Protein Quantification ..................................................................................190

Total Protein Determination................................................................................191

Immunoreactivity and Molecular Weight Determination..........................................191

Enzymatic Activity ......... .....................................................................................192

C.4. Results of Comparison of PMI Produced in 5307 Corn and Recombinant E. coli..........193

Immunoreactivity and Molecular Weight Determination..........................................193
5307-USDA-1 Page 11 of 211

Appendix D. Quantification of eCry3.1Ab and PMI in 5307 Corn.............................. 196

D.1. Plant Tissue Production ......................................................................................196

D.2. Plant Tissue Processing ......................................................................................196

D.3. Tissue Extraction and Analysis.............................................................................196

D.4. eCry3.1Ab Quantification – Extraction and ELISA Procedures ..................................196

D.5. PMI Quantification –Extraction and ELISA Procedures.............................................198

Appendix E. Compositional Analysis of 5307 Forage and Grain ............................... 200
5307-USDA-1 Page 12 of 211

List of Tables

Page

Table III-1. Event 5307 and control seed materials used in studies described in this 

Petition. ................................................................................................... 30

Table IV-1. Description of genetic elements in vector pSYN12274. ................................... 34

Table V-1. Expected and observed hybridization band sizes in Southern blot analysis of 

5307 corn, using an ecry3.1Ab-specific probe and restriction enzymes KpnI, 

NcoI, and SmaI + PmeI. ............................................................................ 43

Table V-2. Expected and observed hybridization band sizes in Southern blot analysis of 

5307 corn, using a CMP promoter-specific probe and restriction enzymes 

KpnI, SpeI, and SmaI + PmeI..................................................................... 47

Table V-3. Expected and observed hybridization band sizes in Southern blot analysis of 

5307 corn, using a pmi-specific probe and restriction enzymes BstEII, SpeI, 

and SmaI + PmeI...................................................................................... 50

Table V-4. Expected and observed hybridization band sizes in Southern blot analysis of 

5307 corn, using a ZmUbiInt promoter-specific probe and restriction 

enzymes BstEII, SpeI, and SmaI + PmeI...................................................... 53

Table V-5. Expected and observed hybridization band sizes in Southern blot analysis of 

5307 corn, using a NOS terminator-specific probe and restriction enzymes 

KpnI, NcoI, and SmaI + PmeI..................................................................... 58

Table V-6. Expected and observed hybridization band sizes in Southern blot analysis of 

5307 corn, using a plasmid pSYN12274 backbone-specific probe and 

restriction enzymes BstEII, SpeI, and SmaI + PmeI. .................................... 61

Table V-7. Expected and observed hybridization band sizes in Southern blot analysis of 

5307 corn, using a full length T-DNA-specific probe and restriction enzymes 

BstEII, SpeI, and SmaI + PmeI................................................................... 66

Table V-8. Expected and observed hybridization band sizes in Southern blot analysis of 

5307 corn, using a plasmid backbone-specific probe and restriction enzymes 

BstEII, SpeI, and SmaI + PmeI................................................................... 72

Table V-9. Observed versus expected frequencies for ecry3.1Ab across generations.......... 73

Table V-10. Observed versus expected frequencies for pmi across generations................... 74

Table VI-1. Comparison of Colorado potato beetle larvae LC50 values for eCry3.1Ab 

from 5307 plants and test substance ECRY3.1AB-0208. ................................. 81

Table VI-2. Mean tissue concentrations of eCry3.1Ab in 5307 plants................................. 88

Table VI-3. Mean tissue concentrations of PMI in 5307 plants.......................................... 89

Table VII-1. Phenotypic characteristics evaluated for 5307 corn hybrids............................. 90

Table VII-2. Event 5307, control, and reference seed varieties used in seed germination 

and dormancy tests. .................................................................................. 92

Table VII-3. Summary of 5307 corn seed germination and dormancy frequencies at 

nonoptimal temperatures. .......................................................................... 94

Table VII-4. Summary of 5307 corn seed germination and dormancy frequencies at 

optimal temperatures................................................................................. 95

Table VII-5. Event 5307 and control hybrids evaluated for agronomic performance. ............ 97

Table VII-6. Locations and dates of agronomic performance trials (2007 – 2008)................ 97

Table VII-7. 2007 agronomic performance trials: Comparisons for variates subjected to 

statistical comparisons............................................................................. 100

Table VII-8. 2007 agronomic performance trials: Comparisons for variates not subjected 

to formal statistical comparisons. .............................................................. 100

Table VII-9. 2008 agronomic performance trials: Comparisons for variates subjected to 

statistical comparisons............................................................................. 101
5307-USDA-1 Page 13 of 211

Table VII-10. 2008 agronomic performance trials: Comparisons for variates not subjected 

to formal statistical analysis...................................................................... 101

Table VII-11. Plant Disease Ratings in Field Trials ........................................................... 102

Table VII-12. Pollen viability and diameter measurements. .............................................. 103

Table VII-13. Forage and grain components measured in 5307 and conventional corn......... 107

Table VII-14. Proximate composition of forage from 5307 corn and nontransgenic corn....... 109

Table VII-15. Calcium and phosphorus composition of forage from 5307 cornand 

nontransgenic corn.................................................................................. 111

Table VII-16. Proximate and starch composition of grain from 5307 corn and 

nontransgenic corn.................................................................................. 113

Table VII-17. Mineral composition of grain from 5307 corn and nontransgenic corn............. 115

Table VII-18. Vitamin composition of grain from 5307 corn and nontransgenic corn. ........... 117

Table VII-19. Amino acid composition of grain from corn 5307 corn and nontransgenic 

corn....................................................................................................... 119

Table VII-20. Fatty acid composition of grain from 5307 corn and nontransgenic corn. ........ 123

Table VII-21. Secondary metabolite and antinutrient composition of grain from 5307 corn 

and nontransgenic corn............................................................................ 125

Table VIII-1. Insect species screened for sensitivity to eCry3.1Ab. ................................... 129

Table VIII-2. Bioassays of coleopteran and lepidopteran pest larvae with eCry3.1Ab........... 130

Table VIII-3. Bioassays of lepidopteran pest larvae with leaf pieces from 5307 corn. .......... 131

Table VIII-4. Tissue concentrations of eCry3.1Ab used for computation of EECs. ................ 134

Table VIII-5. Tabulation of EEC and DDD values for nontarget organisms.......................... 141

Table VIII-6. Source of eCry3.1Ab used to assess the hazard to NTOs. ............................. 142

Table VIII-7 Nontarget organism TER values for eCry3.1Ab. ........................................... 150

Table VIII-8. Threatened or endangered Coleoptera listed by the U.S. Fish and Wildlife 

Service................................................................................................... 151

Table A-1. List of USDA-APHIS field release permits and notifications under which 

plantings of Event 5307 corn have occurred................................................ 170

Table B-1. Real-time PCR primers and probes used for the detection of ecry3.1Ab, pmi,

and adh1................................................................................................ 172

Table B-2. Primers used to amplify the insert of 5307 corn........................................... 173

Table B-3. Cycling parameters for PCR amplification of insert Fragment 1 ...................... 174

Table B-4. Cycling parameters for PCR amplification of insert Fragment 2 ...................... 174

Table B-5. Primers used to amplify the flanking regions of 5307 DNA insert ................... 176

Table B-6. PCR cycling parameters for the flanking regions of 5307 DNA insert............... 176

Table C-1. Enzymatic activity of PMI in 5307 corn leaf extract, control corn leaf extract 

fortified with test substance PMI-0105, test substance PMI-0105, and 

control corn leaf extract. .......................................................................... 195
5307-USDA-1 Page 14 of 211

List of Figures

Page

Figure III-1. Plasmid map for vector pSYN12274. ............................................................ 27

Figure III-2. Steps in the development of 5307 corn. ....................................................... 28

Figure III-3. Pedigree diagram of Event 5307 and control seed materials............................ 31

Figure IV-1. A. Schematic illustrating the origin of the amino acid residues present in 

eCry3.1Ab. 

B. Nucleotide alignment between ecry3.1Ab and mcry3A and corresponding 

amino acids present at the N-termini of eCry3.1Ab and mCry3A...................... 37

Figure V-1. Map of plasmid pSYN12274 indicating the restriction sites used in the 

Southern blot analyses (shown in bold type)................................................. 40

Figure V-2. Location of the KpnI, NcoI, SmaI, and PmeI restriction sites and position of 

the 1962-bp ecry3.1Ab-specific probe in the T-DNA region of the 

transformation plasmid pSYN12274............................................................. 41

Figure V-3. Southern blot analysis of 5307 corn for copy number of functional elements: 

1962-bp ecry3.1Ab-specific probe, using restriction enzymes KpnI, NcoI, 

and SmaI + PmeI...................................................................................... 42

Figure V-4. Location of the KpnI, SpeI, SmaI, and PmeI restriction sites and position of 

the 346-bp CMP promoter-specific probe in the T-DNA region of the 

transformation plasmid pSYN12274............................................................. 44

Figure V-5. Southern blot analysis of 5307 corn for copy number of functional elements: 

346-bp CMP promoter-specific probe, using restriction enzymes KpnI, SpeI, 

and SmaI + PmeI...................................................................................... 46

Figure V-6. Location of the BstEII, SpeI, SmaI, and PmeI restriction sites and position 

of the 1176-bp pmi-specific probe in the T-DNA region of the transformation 

plasmid pSYN12274................................................................................... 48

Figure V-7. Southern blot analysis of 5307 corn for copy number of functional elements: 

1176-bp pmi-specific probe, using restriction enzymes BstEII, SpeI, and 

SmaI + PmeI............................................................................................ 49

Figure V-8. Location of the BstEII, SpeI, SmaI, and PmeI restriction sites and position 

of the 1993-bp ZmUbiInt promoter-specific probe in the T-DNA region of the 

transformation plasmid pSYN12274............................................................. 51

Figure V-9. Southern blot analysis of 5307 corn for copy number of functional elements: 

1993-bp ZmUbiInt promoter-specific probe, using restriction enzymes 

BstEII, SpeI, and SmaI + PmeI................................................................... 52

Figure V-10. Location of the KpnI, NcoI, SmaI, and PmeI restriction sites and position of 

the 253-bp NOS terminator-specific probe in the T-DNA region of the 

transformation plasmid pSYN12274............................................................. 55

Figure V-11. Southern blot analysis of 5307 corn for copy number of functional elements: 

253-bp NOS terminator-specific probe, using restriction enzymes KpnI, 

NcoI, and SmaI + PmeI. ............................................................................ 57

Figure V-12. Location of the BstEII, SpeI, SmaI, and PmeI restriction sites and position 

of the 5312-bp plasmid backbone-specific probe in the transformation 

plasmid pSYN12274................................................................................... 59

Figure V-13. Southern blot analysis of 5307 corn for copy number of functional elements: 

5312-bp plasmid backbone-specific probe, using restriction enzymes BstEII, 

SpeI, and SmaI + PmeI. ............................................................................ 60

Figure V-14. Location of the BstEII, SpeI, SmaI, and PmeI restriction sites and position 

of the 6423-bp full-length T-DNA-specific probe in the T-DNA region of the 

transformation plasmid pSYN12274............................................................. 63
5307-USDA-1 Page 15 of 211

Figure V-15. Genetic stability Southern blot analysis of 5307 corn with the 6423-bp fulllength T-DNA-specific probe, using restriction enzymes BstEII, SpeI, and 

SmaI + PmeI............................................................................................ 64

Figure V-16. Genetic stability Southern blot analysis of 5307 corn with the 5312-bp 

plasmid backbone-specific probe, using restriction enzymes BstEII, SpeI, 

and SmaI + PmeI...................................................................................... 70

Figure VII-1. Photographs of stained pollen collected from control and 5307 plants. ........... 104

Figure VIII-1. Root mass of a 5307 hybrid compared to a control hybrid under high 

western corn rootworm pressure. .............................................................. 132

Figure VIII-2. Rootworm efficacy of 5307, MIR604 x 5307, and MIR604 corn hybrids; 

Illinois and Minnesota trials, 2005-2009. .................................................... 133

Figure B-1. Locations of real-time PCR primers and probes in the plasmid pSYN12274 TDNA....................................................................................................... 172

Figure B-2. Map of the 5307 corn insert and location of PCR-amplified fragments from 

5307 corn to determine insert sequence..................................................... 173

Figure C-3. Predicted amino acid sequence of eCry3.1Ab and sequence identified by

peptide mass mapping analysis of eCry3.1Ab from immunopurified plantproduced sample IAP5307. ....................................................................... 188

Figure C-4. Predicted amino acid sequence of eCry3.1Ab and sequence identified by 

peptide mass mapping analysis of eCry3.1Ab from microbially produced test 

substance ECRY3.1AB-0208...................................................................... 188

Figure C-5. Western blot analysis for PMI in LP5307, LP-NEG + PMI-0105, test 

substance PMI-0105, and LP-NEG.............................................................. 194
5307-USDA-1 Page 16 of 211

Abbreviations and Acronyms

5307 Event 5307; derived from corn transformation event 5307

ADF acid detergent fiber

AEBSF 4-(2-aminoethyl)-benzenesulfonylfluoride HCl

AOAC Association of Analytical Communities

AOSA Association of Seed Analysts

APHIS Animal and Plant Health Inspection Service

ATG translation start codon consisting of adenine, thymine, and guanine

BC backcross

BCA bicinchoninic acid

BCW black cutworm (Agrotis ipsilon)

BCIP/NBT 5-bromo-4-chloro-3-indolyl phosphate/nitro blue tetrazolium

bp base pair

BME beta-mercaptoethanol

BSA bovine serum albumin

Bt Bacillus thuringiensis

bw body weight

Bt11 transformation event designation for lepidopteran-resistant corn 

producing a Cry1Ab protein

CEW corn earworm (Helicoverpa zea)

CFR U.S. Code of Federal Regulations

cm centimeter

CMP cestrum yellow leaf curling virus promoter

CmYLCV cestrum yellow leaf curling virus 

CPB Colorado potato beetle (Leptinotarsa decemlineata)

Cry crystal protein from B. thuringiensis

CTAB cetyltrimethyl ammonium bromide

Da daltons

dCTP deoxycytidine triphosphate

DDD daily dietary dose

DNA deoxyribonucleic acid

dsDNA double-stranded deoxyribonucleic acid

DTT dithiothreitol

dw dry weight

ECB European corn borer (Ostrinia nubilalis)

EDTA ethylenediamine tetraacetic acid

EEC estimated environmental concentration

ELISA enzyme-linked immunosorbent assay

EPA United States Environmental Protection Agency

F1 first generation of progeny from a breeding cross

Fig. figure

FARRP Food Allergy Research and Resource Program

FAW fall armyworm (Spodoptera frugiperda)
5307-USDA-1 Page 17 of 211

FDA United States Food and Drug Administration

FFDCA Federal Food, Drug and Cosmetic Act

FIFRA Federal Insecticide, Fungicide and Rodenticide Act

fw fresh weight

G6PDH glucose 6-phosphate dehydrogenase

GA21 transformation event designation for glyphosate-tolerant corn producing

a double mutated 5-enolpyruvyl shikimate-3-phosphate synthase

enzyme

ha hectare

IgG immunoglobulin G

ILSI International Life Sciences Institute

IRM insect resistance management

kb kilobase

kilodaltons kDa

LB left border

LC50 median lethal concentration

LOD limit of detection

LOQ limit of quantification

LTR long terminal repeat

m meter(s)

MES 2-(N-morpholino)ethanesulfonic acid

MIR162 transformation event designation for insect resistant corn producing a 

Vip3Aa20 protein for lepidopteran control

MIR604 transformation event designation for insect resistant corn producing a 

modified Cry3A protein for corn rootworm control

MW molecular weight

N number of samples

N/A not analyzed

NADP β-nicotinamide adenine dinucleotide phosphate

NADPH β-nicotinamide adenine dinucleotide phosphate reduced

NCBI National Center for Biotechnology Information

NDF neutral detergent fiber

No. number

NOAEC no-observable-adverse-effect concentration

NOAEL no-observable-adverse-effect level

NOS nopaline synthase

OD optical density

OECD Organisation for Economic Co-operation and Development

ORF open reading frame

PBS phosphate buffered saline

PBW pink bollworm (Pectinophora gossypiella)

PCR polymerase chain reaction

PMI phosphomannose isomerase

Prob. probability

PVDF polyvinylidene difloride
5307-USDA-1 Page 18 of 211

PVP polyvinylpyrrolidone

RB right border

repA pVS1 replication gene from Pseudomonas aeruginosa

SD standard deviation

SCR southern corn rootworm (Diabrotica undecimpunctata

 howardi)

SDS sodium dodecylsulfate

SDS-PAGE sodium dodecylsulfate polyacrylamide gel electrophoresis

SEM standard error of the mean

spec streptomycin adenylyltransferase gene from Escherichia coli

SSC saline-sodium citrate buffer

TAA translation stop codon consisting of the nucleotides thymine, adenine, 

and adenine

TAG translation stop codon consisting of the nucleotides thymine, adenine, 

and guanine

TC1507 transformation event designation for lepidopteran-resistant corn 

producing a Cry1F protein

TDF total dietary fiber

T-DNA transfer DNA, transferred DNA

TER toxicity exposure ratio

TGA translation stop codon consisting of the nucleotides thymine, guanine, 

and adenine

TMB tetramethylbenzidine

Tris tris(hydroxymethyl)aminomethane

U.S. United States

U.S.C. United States Code

USDA United States Department of Agriculture

vir virulence regulon in Agrobacterium tumefaciens

v/v volume per volume

WCR western corn rootworm (Diabrotica virgifera virgifera)

w/v weight per volume

w/w weight per weight

ZmUbiInt Zea mays ubiquitin promoter with intron
5307-USDA-1 Page 19 of 211

I. Rationale for Submission of Request for Deregulation

The introduction of crops improved through modern biotechnology has been the single most 

important technological innovation brought to United States (U.S.) agriculture in the past 25 

years. Adoption of genetically engineered crops with insect resistance and herbicide 

tolerance traits has increased dramatically since the the first commercial introductions of 

transgenic corn, cotton and soybeans in 1996. Net economic benefits at the farm level have 

been substantial (Brookes and Barfoot, 2006; Hutchison et al., 2010). Improved insect and 

weed control have led to increased crop yields, reductions in conventional pesticide 

applications, and environmental benefits (Brookes and Barfoot, 2010). The continued 

development and introduction of transgenic crop varieties with novel traits will benefit 

growers, consumers and the environment. 

Corn (Zea mays L., maize) derived from Syngenta’s transformation event 5307, hereafter 

referred to as “Event 5307 corn” or “5307 corn,” contains an engineered insecticidal protein, 

eCry3.1Ab, that is active on three economically important corn rootworm (Diabrotica) 

species. Event 5307 corn demonstrates excellent efficacy in controlling these damaging 

pests. As future product offerings to U.S. growers, the rootworm-control trait in 5307 corn 

will be combined via conventional corn breeding methods with other coleopteran-control, 

lepidopteran-control and herbicide-tolerance traits in previously deregulated corn cultivars; 

5307 corn will not be deployed as a stand-alone product. 

I.A. Basis for the Request for a Determination of Nonregulated Status

The Animal and Plant Health Inspection Service (APHIS) of the U.S. Department of 

Agriculture (USDA) has responsibility under the Plant Protection Act (Title IV Public Law 

106-224, 114 Statute 438, 7 U.S.C. § 7701-7772) and the Plant Quarantine Act (7 U.S.C. § 

151-167) to prohibit or restrict the importation, exportation, and interstate movement of 

plants, plant products, certain biological control organisms, noxious weeds, and plant pests. 

APHIS regulations under 7 CFR § 340.1 stipulate that any organism that has been altered or 

produced through genetic engineering is considered a regulated article if the donor 

organism, recipient organism, or vector or vector agent belongs to any genera or taxa 

designated under §340.2 and meets the definition of a plant pest, or is an unclassified 

organism and/or an organism whose classification is unknown, or any product that contains 

such an organism, or any other organism or product altered or produced through genetic 

engineering that the Administrator determines is a plant pest or has reason to believe is a 

plant pest. The vector agent used to produce Event 5307 corn was from the genus 

Agrobacterium, an organism listed under 7 CFR § 340.2. Additionally, regulatory 

sequences from Agrobacterium tumefaciens and a plant virus, the cestrum yellow yellow 

leaf curling virus (CmYLCV), were introduced in the production of Event 5307 corn. 

The APHIS regulation 7 CFR § 340.6 provides that any person may petition APHIS seeking 

a determination that an article should no longer be regulated. Syngenta herein presents data 

and justification for an APHIS determination of nonregulated status for Event 5307 corn

based on an absence of plant pest risk.
5307-USDA-1 Page 20 of 211

Although the vector agent, Agrobacterium tumefaciens, is a plant pathogen, the 

transformation process that created 5307 corn used a disarmed strain. Further, no nucleotide 

sequences from A. tumefaciens imparting plant pest properties were transferred to 5307 

corn. The A. tumefaciens sequences transferred to corn in the transformation process 

consisted of the right border region of T-DNA from the nopaline Ti plasmid and the NOS 

terminator sequence from the nopaline synthase gene.

CmYLCV is a double-stranded DNA plant pararetrovirus belonging to the Caulimoviridae 

family, and has an extremely narrow host range among the Solanaceae (Stavolone et al., 

2003a). Although the CMP (CmYLCV) promoter (Stavolone et al., 2003b) from this virus 

is present in 5307 corn plants, this regulatory sequence per se does not impart plant pest 

properties. 

I.B. Rationale for Development of Event 5307 Corn

Corn rootworm larvae feed on the roots of growing corn plants and are widespread and 

major pests of U.S. corn. Prior to the recent introduction of transgenic corn cultivars for 

rootworm control, the average economic costs of rootworm damage to the U.S. corn crop 

were estimated at $1 billion annually (Metcalf, 1986; Chandler, 2003). The damage 

inflicted by rootworm larvae can significantly reduce grain yield by interfering with 

photosynthetic rates, limiting the uptake of water and nutrients, and by increasing the plant's 

susceptibility to lodging (Oleson et al., 2005). Lodging (leaning) further reduces the 

effective grain yield by making the plants more susceptible to breaking, reducing their 

access to sunlight, and increasing the difficulty with which the grain can be harvested 

efficiently. 

Syngenta scientists (Walters et al., 2010) engineered a novel gene, ecry3.1Ab, by combining 

portions of two existing Cry genes, modified cry3A (mcry3A) and cry1Ab, each of which is 

derived from a native gene of Bacillus thuringiensis, a ubiquitous soil bacterium. Using the 

tools of modern biotechnology, the gene ecry3.1Ab was introduced into an elite corn

cultivar, along with the gene pmi (also known as manA) from Escherichia coli strain K-12, 

which encodes a selectable marker. The phosphomannose isomerase (PMI) enzyme 

encoded by pmi allows transformed cells to survive on mannose as the primary carbon 

source (Negrotto et al., 2000); it serves no agronomic purpose in transformed plants (e.g., it 

does not confer herbicide tolerance). 

The eCry3.1Ab protein produced in 5307 corn is highly effective in controlling three of the 

major rootworm pests of corn in the U.S., specifically: Diabrotica virgifera virgifera 

LeConte (western corn rootworm), D. longicornis barberi Smith and Lawrence (northern 

corn rootworm), and D. virgifera zeae Krysan and Smith (Mexican corn rootworm). 

Expressing the ecry3.1Ab gene at adequate levels in corn plants is a logical approach for 

limiting crop losses attributable to these pests, especially considering the limitations of 

conventional insecticides in controlling corn rootworms. 

In hybrids offered for sale to U.S. growers, the gene ecry3.1Ab in 5307 corn will be 

combined through traditional breeding with the transgenes of other deregulated corn events

containing insect-protection traits as well as herbicide-tolerance traits. The hybrid offerings 
5307-USDA-1 Page 21 of 211

currently planned represent breeding “stacks” of events Bt11 × MIR604 × TC1507 × 5307 ×

GA21 and Bt11 × MIR162 × MIR604 × TC1507 × 5307 × GA21. One of the stack 

components, Syngenta’s MIR604 corn, also produces a rootworm-control protein, mCry3A, 

that is active on the same three rootworm pests targeted by eCry3.1Ab. 

The combination of eCry3.1Ab and mCry3A in the same corn hybrids offers important 

advantages for insect resistance management. It has been demonstrated that eCry3.1Ab and 

mCry3A have unique properties that, when combined, will serve to prevent, delay, or 

mitigate the evolution of target pest resistance to either protein. Although the proteins act 

by the same general mechanism, i.e., pore formation in the target pest gut, the evidence 

indicates that they have unique gut binding sites in the target pest, thus effectively 

representing different modes of action (Walters et al., 2010). The concurrent deployment of 

both eCry3.1Ab and mCry3A in the same hybrid offerings to growers is expected to help 

preserve pest susceptibility to both proteins. Additionally, by reducing the selection 

pressure on target pest populations to evolve resistance to any single method of rootworm 

control, this strategy is predicted to help prolong pest susceptibility to other B. thuringiensisderived proteins in transgenic corn cultivars used for rootworm control, as well as to other 

traditional control methods (e.g., insecticides and crop rotation). 

Corn is the most widely cultivated U.S. crop, in terms of acreage planted and net value. 

Transgenic corn hybrids delivering targeted rootworm control have been available in the 

U.S. since 2003. Prior to their introduction, control of Diabrotica rootworms accounted for 

the largest single use of conventional insecticides in the U.S. (Ward et al., 2005). 

Transgenic corn hybrids have significantly improved growers’ ability to control these pests 

effectively and easily, while dramatically reducing their use of broad-spectrum soil-applied 

insecticides for rootworm control. The attendant benefits of the current transgenic hybrids 

on the market include higher and more consistent grain yield, economic benefits to growers, 

healthier plants, improved worker safety, and reduced use of fossil fuels to apply insecticide 

treatments. The deployment of 5307 corn (in hybrid combinations with other agronomically 

important traits) will offer similar benefits as well additional choices in pest control, thus 

promoting marketplace competition and higher adoption rates, and helping to preserve target 

pest susceptibility to current rootworm control methods. 

I.C. RegulatoryProcess

Syngenta is actively pursuing regulatory approvals for 5307 corn cultivation in the U.S. and 

Canada, and may seek additional cultivation approvals in the future. In hybrid offerings to 

growers, 5307 corn will not be marketed as a stand-alone product, but will be combined via 

traditional breeding with other approved corn cultivars containing additional insectprotection traits as well as herbicide-tolerance traits, i.e., as Bt11 × MIR604 × TC1507 ×

5307 × GA21 and Bt11 × MIR162 × MIR604 × TC1507 × 5307 × GA21 corn 

hybrids. Syngenta is also actively seeking regulatory approvals of products containing 5307 

corn in countries that import corn from the U.S. or Canada and have functioning systems for 

regulating imports of genetically modified crops. 

Under the Federal Coordinated Framework for the Regulation of Biotechnology, 

commercial biotechnology products like 5307 corn are subject to the regulatory authority of 
5307-USDA-1 Page 22 of 211

multiple federal agencies, whose regulatory processes can operate simultaneously along 

parallel tracks. This section describes Syngenta’s plan for obtaining regulatory approval 

from all of the relevant agencies. This information is intended to assist the agencies in 

coordinating their efforts where it is appropriate.

Syngenta will not offer hybrids containing the 5307 transgenes for sale in the U.S. or 

Canada until the necessary approvals in key export markets with functioning regulatory 

systems have been granted. 

I.C.1. USDA-APHIS

Under the Plant Protection Act, APHIS has regulatory oversight over products of modern 

biotechnology to the extent that they could pose a plant pest risk. Under this system, any 

plant that has been altered or produced through genetic engineering starts out as a “regulated 

article.” APHIS regulates the import, handling, interstate movement, and release into the 

environment of regulated articles, including genetically engineered plants that are 

undergoing confined experimental use or field trials.

APHIS regulations allow companies like Syngenta to petition the agency for a determination 

of non-regulated status. 7 CFR § 340.6. If APHIS grants that petition, the product of 

biotechnology at issue will no longer be subject to oversight as a regulated article. To 

determine whether non-regulated status is appropriate, APHIS evaluates a variety of issues 

including the potential for plant pest risk; disease and pest susceptibilities; the expression of 

gene products, new enzymes, or changes to plant metabolism; weediness and impact on 

sexually compatible plants; agricultural or cultivation practices; effects on non-target 

organisms; and the potential for gene transfer to other types of organisms.

This Petition is being submitted in compliance with APHIS regulations as a request for a 

determination of non-regulated status for 5307 corn. In the near future, Syngenta intends to 

submit an Environmental Report containing additional information and analysis of potential 

environmental impacts that is not required by the regulations governing petitions for nonregulated status, but which is intended to assist APHIS in fulfilling its obligations under the 

National Environmental Policy Act (NEPA), 42 U.S.C. § 4321, et seq., as well as other 

applicable statutes and regulations.

I.C.2. U.S. Environmental Protection Agency

Substances that are pesticides as defined under the Federal Insecticide, Fungicide, and 

Rodenticide Act (FIFRA) are subject to regulation by the Environmental Protection Agency

(EPA). The eCry3.1Ab protein encoded by the genetic insert in 5307 corn has insecticidal 

properties and is, therefore, regulated by EPA. The EPA regulatory process includes 

issuance of Experimental Use Permits for field testing and “registration” of pesticidal 

products prior to their sale and distribution. As part of the registration process, EPA may 

establish conditions on the use of the product. EPA also sets “tolerance limits” for the 

presence of pesticide residues on and in food and animal feed. In some cases, EPA may 

establish an exemption from the tolerance limits under the Federal Food, Drug and Cosmetic 

Act.
5307-USDA-1 Page 23 of 211

Syngenta has obtained an Experimental Use Permit (67979-EUP-8) from EPA that allows

for broad-scale field testing of 5307 corn and various breeding stack combinations that 

include 5307 corn. This permit was initially granted on June 1, 2010 with effect through

February 28, 2012 (EPA, 2010f) and was extended on March 3, 2011 with effect through 

December 31, 2013 (EPA, 2011a). In connection with this Experimental Use Permit, EPA 

established and extended a temporary exemption from the requirement of a tolerance for 

eCry3.1Ab residues in corn commodities, pursuant to §408(d) of the Federal Food, Drug, 

and Cosmetic Act, 21 U.S.C. § 346a(d) (EPA, 2010a, 2011b). Phosphomannose isomerase 

(PMI), the selectable marker protein produced by 5307 corn plants, is exempt from food and 

feed tolerances (EPA, 2007).

Pursuant to FIFRA §3(c)(5), in April 2011 Syngenta submitted applications to the U.S. EPA

for registration of the eCry3.1Ab plant-incorporated protectant in 5307 corn (file symbol 

67979-EE) and in two breeding stacks thereof, specifically Bt11 × MIR604 × TC1507 ×

5307 × GA21 and Bt11 × MIR162 × MIR604 × TC1507 × 5307 × GA21 corn. The 

registration sought for the plant-incorporated protectant in 5307 corn as a stand-alone 

cultivar will be for a manufacturing-use product (40 CFR § 152.3); Syngenta will not seek 

an end-use product registration for 5307 corn, per se. Rather, commercial registrations will 

be sought for the two breeding stack products, described above, that include 5307 corn. 

Concurrently, Syngenta also submitted a petition (Petition No. 1F7857) to the EPA to 

establish a nonexpiring exemption from the requirement of a tolerance for eCry3.1Ab

residues in food and feed commodities.

I.C.3. U.S. Food and Drug Administration

The Coordinated Framework for the Regulation of Biotechnology gives FDA the 

responsibility to regulate the safety and proper labeling of plant-derived foods and feeds that 

are developed using the techniques of modern biotechnology. Under the Federal Food, 

Drug, and Cosmetic Act, food and feed manufacturers must ensure that the products they 

market are safe and properly labeled. The FDA helps sponsors of foods and feeds derived 

from genetically engineered crops comply with their obligations by encouraging them to 

participate in a voluntary consultation process.

Event 5307 corn falls within the scope of the Food and Drug Administration (FDA) policy 

statement concerning regulation of food products derived from new plant varieties, 

including those developed by recombinant DNA techniques (FDA, 1992). Syngenta 

initiated a voluntary pre-market consultation process with FDA and submitted a safety and 

nutritional assessment for 5307 corn in January 2011 (File BNF 000128).

I.C.4. Foreign Governments

Syngenta intends to commercialize 5307 corn, as part of the breeding-stack combinations

Bt11 × MIR604 × TC1507 × 5307 × GA21 and Bt11 × MIR162 × MIR604 × TC1507 ×

5307 × GA21 corn, for cultivation in Canada and will concurrently seek regulatory

approvals to enable this. In April 2011, Syngenta submitted an application to the Canadian 

Food Inspection Agency (CFIA) for unconfined environmental release of 5307 corn. 
5307-USDA-1 Page 24 of 211

Additional applications to Health Canada and CFIA for food and feed use approval, 

respectively, of 5307 corn will be submitted in May 2011. 

Syngenta is also pursuing regulatory approvals for importation of corn commodities and 

processed goods containing 5307 corn in key export markets for U.S. and Canadian corn.

Regulatory filings for 5307 corn import approvals have been made in Japan, South Korea, 

Taiwan, Australia/New Zealand and the European Union. Applications are currently 

planned for additional countries including Mexico, Colombia, China, the Philippines, 

Indonesia, South Africa, and Russia.

In June 2010, the Ministry of Agriculture, Forestry and Fisheries of Japan granted Syngenta 

approval to conduct a local field trial of 5307 corn under isolated conditions as a prerequisite 

for future cultivation/import approval from an environmental safety perspective. This 5307 

corn was successfully harvested in October 2010.
5307-USDA-1 Page 25 of 211

II. The Biology of Corn

II.A. OECD Consensus Document on the Biology of Zea mays subsp. mays

The Consensus Document on the Biology of Zea mays subsp. mays (Maize), published by 

the Organisation for Economic Co-operation and Development (OECD, 2003), provides 

comprehensive information regarding the biology of corn. This Consensus Document is 

referenced in support of this Petition, and includes the following information: 

• Uses of corn as a crop plant

• Taxonomic status of the genus Zea

• Identification methods among races of Zea mays and wild species

• Centers of origin and diversity of corn

• Reproductive biology of corn

• Intra-specific and inter-specific crosses of corn and gene flow

• Agro-ecology of corn, including cultivation, volunteers, weediness, soil ecology and 

corn-insect interactions

• Corn biotechnology

• Common diseases and insect pests of corn 

II.B. Characteristics of the Recipient Germplasm

The recipient germplasm for transformation to produce Event 5307 corn was an elite 

Syngenta inbred corn line, NP2222 (Plant Variety Protection certificate 200200071, issued 

November 2004; USDA-AMS, 2010). This inbred line was used because it is well-suited to 

Agrobacterium transformation and regeneration from tissue culture. NP2222 is a Stiff-Stalk 

family, yellow dent inbred.
5307-USDA-1 Page 26 of 211

III. Transformation and Development of Event 5307 Corn

III.A. Description of the Transformation System

Transformation of Z. mays to produce 5307 corn was accomplished via Agrobacterium 

tumefaciens-mediated transformation (as described in Negrotto et al., 2000) using immature 

embryos of Syngenta inbred corn line NP2222. Agrobacterium-mediated transformation is 

an efficient method for generating transformants containing simple and low-copy-number 

insertions with stable inheritance at a high frequency (Grimsley et al., 1987; Ishida et al., 

1996). Using this method, DNA between the left border (LB) and right border (RB) of a 

transformation plasmid, referred to as the transferred DNA (T-DNA), is efficiently 

transferred integrated into the genome of the plant cell, while genetic elements beyond the 

plasmid borders are generally not transferred. 

Event 5307 corn transformation employed a binary vector system (de Framond et al., 1983). 

A. tumefaciens strain LBA4404 carries a disarmed Ti plasmid from which the native T-DNA 

has been removed (Ooms et al., 1982). The Ti plasmid carries the vir genes which encode 

proteins that are required for release of the T-DNA from the transformation plasmid and its 

integration into the corn nuclear genome. The transformation plasmid used to create 5307 

corn was p SYN12274 (see Figure III-1).

Immature embryos were excised from 8-12 day old corn ears and rinsed with fresh culture 

medium in preparation for transformation. Embryos were mixed with a suspension of A. 

tumefaciens strain LBA4404 harboring plasmid pSB1 (Komari et al., 1996) and the 

transformation plasmid pSYN12274, vortexed for 30 seconds, and allowed to incubate for 

an additional five minutes. Excess A. tumefaciens suspension was aspirated, and embryos 

were moved to plates containing a nonselective culture medium. Embryos were co-cultured

with the remaining A. tumefaciens at 22°C for two to three days in the dark. Embryos were 

then transferred to culture medium supplemented with ticarcillin (200 mg/l) and silver 

nitrate (1.6 mg/l), and incubated in the dark for 10 days. Embryos producing embryogenic 

callus were transferred to cell culture medium containing mannose. The gene pmi was used 

as a selectable marker during the transformation process (Negrotto et al., 2000). It encodes 

the enzyme phosphomannose isomerase (PMI), which enables transformed cells to survive 

on a mannose substrate (Negrotto et al., 2000). 

After initial incubation with A. tumefaciens, transformed tissue was transferred to selective

media containing 500 mg/l of the broad-spectrum antibiotic cefotaxime and grown for four 

months, ensuring that the A. tumefaciens was cleared from the transformed tissue. 

Cefotaxime has been shown to kill A. tumefaciens at this concentration (Xing et al., 2008). 

Regenerated plantlets were tested for the presence of both ecry3.1Ab and pmi, and for the 

absence of the spectinomycin (spec) resistance gene present on the vector backbone, by 

TaqMan polymerase chain reaction (PCR) analysis (Ingham et al., 2001). This screen 

allows for the selection of transformants that carry the T-DNA and are free of vector 

backbone DNA. Plants that tested positive for both ecry3.1Ab and pmi but negative for spec 

were transferred to a greenhouse for further propagation.
5307-USDA-1 Page 27 of 211

Figure III-1. Plasmid map for vector pSYN12274.

III.B. Development of Event 5307 Corn

Progeny of the original transformants (T0 plants) were field tested for resistance to insect 

feeding damage and for agronomic performance after introgression of the transgenes into 

multiple elite lines of corn. Event 5307 corn was selected as the lead commercial candidate 

and underwent further field testing and development. A schematic showing the steps in 

development of 5307 corn is shown in Figure III-2. All interstate movements and field 

plantings of 5307 seed were conducted under USDA APHIS notifications; these are listed in 

Appendix A.

pSYN12274

11769 bp

pmi (1176 bp)

spec (789 bp)

virG (726 bp)

repA (1074 bp)

ecry3.1Ab (1962 bp)

CMP promoter (346 bp)

VS1 ori (405 bp)

ColE1 ori (807 bp)

NOS terminator (253 bp)

NOS terminator (253 bp)

LB (25 bp)

RB (25 bp)

ZmUbiInt promoter (1993 bp)
5307-USDA-1 Page 28 of 211

Figure III-2. Steps in the development of 5307 corn.

Synthetic gene ecry3.1Ab engineered 

from parts of mcry3A and cry1Ab

Assembly of ecry3.1Ab and pmi genes and regulatory 

elements in plasmid vector pSYN12274 in E. coli

Transformation of elite inbred NP2222 embryos with 

A. tumefaciens containing plasmid vector pSYN12274

Selection of transformation events on 

culture medium containing mannose

Regeneration of transformed 

cells into maize plants

Evaluation of transformants 

for insecticidal efficacy

Introgression of transformation events into elite inbred 

lines for evaluation of agronomic performance

Selection of Event 5307 maize as 

lead candidate for development

Introgression of 5307 transgenes into 

commercial breeding lines; field tests

Regulatory studies to assess

human and environmental risks
5307-USDA-1 Page 29 of 211

III.C. Production of Test and Control Materials

Table III-1 lists the genotypes and descriptions of the various 5307 corn and nontransgenic 

control corn seed genotypes used in the studies described within this Petition. The breeding 

pedigree diagram in Figure III-3 indicates how each of the 5307 genotypes was derived via 

conventional breeding crosses from the original Event 5307 T0

Several Syngenta studies described in this Petition were conducted using 5307 hybrid corn 

of genotype NP2171 x NP2460(5307), which was hemizygous for the transgenes; a 

hemizygous genotype is representative of future hybrids containing the 5307 transgenes that 

would be grown commercially. This 5307 hybrid is indicated by the letter code “E” in the 

breeding diagram (Figure III-3), and is alternatively referred to within this Petition as 

“NP2171 x BC5F

transformant. Figure III-3 

also indicates the derivation of related control seed materials of genotypes that were nearisogenic to the 5307 hybrid seed genotypes. Seed genotypes used in studies described 

herein are identified in the pedigree diagram by a single letter code (A through J); these 

correspond to seed lot identifiers in Table III-1. In Figure III-3, genotypes enclosed in ovals 

represent transgenic 5307 corn genotypes that were used in studies described herein; 

genotypes enclosed in rectangles represent nontransgenic, near-isogenic control genotypes. 

The goal in producing all control hybrids was to match their genetic background with that of 

the 5307 hybrids so that the effect of the transformation event could be assessed in an 

unbiased manner.

3.” As indicated in Figure III-3, it was produced by crossing a 

nontransgenic inbred parent, NP2171, with the F3 (third generation) transgenic progeny of 

self-pollinated plants following five successive generations of backcross (BC) breeding of 

the transgenes into to a recurrent NP2460 inbred. This backcross process fully introgressed 

the transgenes from the initial transformed germplasm (inbred line NP2222) into NP2460 

germplasm. The corresponding nontransgenic control seed material was produced by 

crossing nontransgenic inbreds NP2171 and NP2460. Except for the presence of the 

transgenes, control hybrid NP2171 × NP2460 is nearly genetically identical to the 

corresponding transgenic hybrid; thus, this control is considered near-isogenic to the 

NP2171 × NP2460(5307) hybrid. The NP2171 × NP2460 seed material (indicated by the 

letter code “F” in Figure III-3) served as a control for two NP2171 x NP2460(5307) hybrids, 

one created using the 5307 BC5F3 generation (letter code “E”) and one created using the 

preceding 5307 generation, BC5F2

The NP2391 × NP2222 control hybrid seed material (letter code “H” in Figure III-3), which 

corresponds to the transgenic hybrid seed genotype NP2391 × NP2222(5307) (letter code 

G), was not produced by direct crossing of the nontransgenic inbreds NP2391 × NP2222. 

Rather, it was derived from the null segregants of the hemizygous F

(letter code “D”).

2 progeny of the initial 

T0

Two genetic characterization studies described in this Petition (genetic stability studies and 

Mendelian inheritance studies) required seed from multiple generations in the 5307 breeding 

pedigree, as indicated in Table III-1. 

transformant, that is, those progeny that did not inherit the transgenes from a transgenic 

parent as a consequence of Mendelian gene segregation. This material is also considered a 

suitable nontransgenic control for the corresponding 5307 hybrid material. 
5307-USDA-1 Page 30 of 211

Table III-1. Event 5307 and control seed materials used in studies described in this 

Petition.

The female parent germplasm is shown first in each hybrid genotype description; the male parent germplasm 

is listed second. The pedigree diagram in Figure VIII-3 indicates the origin of Event 5307 seed and control 

seed materials of these genotypes by seed lot identifier (Lot ID). 

Study Description

(Relevant Part of 

Petition)

Event 5307 Seed Material Nontransgenic Control Seed Material

Lot 

ID Genotype

Lot 

ID Genotype

Nucleotide sequence 

inserted (Part V.A.)

E NP2171 × NP2460(5307)(BC5F3)* None

Southern blots for copy 

no. of functional 

elements (Part V.B.)

E NP2171 × NP2460(5307)(BC5F3)* F NP2171 × NP2460

+ parental inbred lines NP2222, 

NP2460, NP2171

Southern blot analysis 

of genetic stability 

(Part V.D.)

A

B

C

E

F1

BC6

BC7

NP2171 × NP2460(5307)(BC5F3)* F

Parental inbred lines NP2222, 

NP2460, and NP2171

NP2171 × NP2460

Mendelian inheritance 

analysis (Part V.E.)

A

B

C

F1

BC6

BC7

None

Determination of insert 

flanking sequences

(Part V.F., Appendix B)

E NP2171 × NP2460(5307)(BC5F3)* None

Equivalence of 

eCry3.1Ab produced in 

5307 corn and 

recombinant E. coli 

(Part VI.A.1.b.)

E NP2171 × NP2460(5307)(BC5F3)* F NP2171 × NP2460

eCry3.1Ab and PMI 

concentrations in 5307 

corn tissues (Part VI.C.)

E NP2171 × NP2460(5307)(BC5F3)* F NP2171 × NP2460

Seed germination and 

dormancy evaluation

(Part VII.A.1.)

E

G

NP2171 × NP2460(5307)(BC5F3)*

NP2391 × NP2222(5307)

F

H

NP2171 × NP2460

NP2391 × NP2222

Field agronomic 

performance – 2007 

(Part VII.A.2.)

D NP2171 × NP2460(5307)(BC5F2) F NP2171 × NP2460

Field agronomic 

performance – 2008 

(Part VII.A.2.)

E NP2171 × NP2460(5307)(BC5F3)* F NP2171 × NP2460

Plant disease trials 

(Part VII.A.3)

I 5XH751 × NP2222(5307) J 5XH751 × NP2222

Pollen viability and 

morphology evaluation 

(Part VII.A.5.)

E NP2171 × NP2460(5307)(BC5F3)* F NP2171 × NP2460

Compositional 

assessment of forage 

and grain (Part VII.B.)

E NP2171 × NP2460(5307)(BC5F3)* F NP2171 × NP2460

Broiler chicken and 

catfish feeding studies 

with grain (Parts 

VIII.D.2 & VIII.D.6.b., 

respectively)

E NP2171 × NP2460(5307)(BC5F3)* F NP2171 × NP2460

* This 5307 hybrid is alternatively referred to within this Petition as “NP2171 x BC5F3” or “NP2171 x NP2460(5307).
5307-USDA-1 Page 31 of 211

⊗

× NP2391*

⊗

⊗ F2

F3

F4

⊗

homozygotes

⊗

F5 × NP2391*

NP2391 × NP2222(5307)

F3

F4

⊗

⊗

F5

Nontransgenic

Control Hybrid

NP2391 × NP2222

negative segregants

 ×NP2460*

 ×NP2460*

× NP2460*

× NP2460*

NP2222* × 5307 

F1

BC1

BC5

× NP2460*

⊗

× NP2222*

5307 T0 (NP2222*)

× NP2460*

BC2

BC3

× NP2460*

BC4

BC5F2

BC5F3

NP2171* × homozygotes

NP2171 x NP2460(5307)(BC5F3)

⊗ homozygotes

BC6 BC7

A

B

 C

G

Nontransgenic

Control Hybrid 

NP2171 × NP2460

NP2171* × NP2460*

× NP2460*

NP2171* × homozygotes 

E

D

NP2171 x NP2460(5307)(BC5F2)

F

H

F6

F7 F8 x 5XHY751*

5XHY751 × NP2222(5307)

Nontransgenic 

Control Hybrid

5XHY751 × NP2222

J

5XHY751* × NP2222*

⊗

⊗

⊗

I 

Figure III-3. Pedigree diagram of Event 5307 and control seed materials

Generations in ovals were Event 5307 materials used in studies described in this Petition. Generations in 

rectangles were used as controls. Boxed letter codes correspond to specific seed lots used in studies listed in 

Table III-1. A backcross (BC) is a cross of an individual with one of its parents. The initial Event 5307 F1

generation was crossed with one of its inbred parents, NP2460, to create generation BC1. Likewise, BC2 

originated from a cross of the BC1 with the parental line NP2460. Successive backcrosses with the recurrent 

parent followed similarly to introgress the transgenes into NP2460 germplasm.

T0 = original transformant

x = cross

BC = backcross

⊗ = self-pollination

* = field corn inbred
5307-USDA-1 Page 32 of 211

III.D. Quality Control Testing of Seed Materials

All test and control seed lots were analyzed for the presence of Event 5307 DNA and 

adventitious DNA from other transformation events using the real-time PCR method 

described in Appendix B. All Event 5307 seed lots were confirmed to contain the genes 

ecry3.1Ab and pmi based on nucleotide sequence. Additionally, all Event 5307 seed lots 

were confirmed to contain Event-5307-specific DNA based on nucleotide sequences at the 

junction of the T-DNA insert and the corn genome. The analyses did not detect these 

components in control seed lots. All test and control seed lots had no detectable sequences 

that would be indicative of DNA from other regulated events under development at 

Syngenta, or deregulated events for which testing methodology is available.
5307-USDA-1 Page 33 of 211

IV. Donor Genes and Regulatory Sequences

Event 5307 corn was produced by Agrobacterium tumefaciens-mediated transformation of 

immature corn embryos using the transformation plasmid vector pSYN12274. The DNA 

region between the left and right borders of the transformation plasmid included gene 

expression cassettes for ecry3.1Ab and pmi (also known as manA); this T-DNA was 

transferred into the corn genome during transformation. The ecry3.1Ab expression cassette 

consisted of the ecry3.1Ab coding region regulated by a cestrum yellow leaf curling virus 

promoter (CMP) and a nopaline synthase (NOS) polyadenylation (terminator) sequence. 

The pmi expression cassette consisted of the pmi coding region regulated by a Zea mays

polyubiquitin (ZmUbiInt) promoter and the NOS terminator sequence. A schematic of the 

plasmid vector is shown in Figure III-1. The size and description of each genetic element in 

the vector are shown in Table IV-1 below.
5307-USDA-1 Page 34 of 211

Table IV-1. Description of genetic elements in vector pSYN12274.

Genetic 

element

Size 

(bp) Position Description

Active ingredient cassette

Intervening 

sequence

203 26 to 228 Noncoding intervening sequence with restriction sites used for cloning 

CMP 

promoter

346 229 to 574 Cestrum Yellow Leaf Curling Virus promoter region (Hohn et al., 

2007; Stavolone et al., 2003b). Provides constitutive expression in 

corn.

Intervening 

sequence

9 575 to 583 Noncoding ntervening sequence with restriction sites used for cloning 

ecry3.1Ab 1962 584 to 2545 An engineered Cry gene active against certain corn rootworm 

(Diabrotica) species (Entrez® Accession No. GU327680 [NCBI, 

2010a]). The gene ecry3.1Ab (Walters et al., 2010) consists of a 

fusion between the 5′ end (Domain I, Domain II and 15 amino acids of 

Domain III) of a modified Cry3A gene (mcry3A) and the 3′ end 

(Domain III and Variable Region 6 [Höfte and Whiteley, 1989]) of a 

synthetic Cry1Ab gene (see descriptions of mcry3A and cry1Ab and 

Figure IV-1 below). Upstream of the mcry3A domain, the gene 

ecry3.1Ab carries a 67-bp-long oligomer extension at its 5′ end, which 

was introduced during the engineering of the variable regions and is 

translated into the following 22 amino acid residues: 

MTSNGRQCAGIRPYDGRQQHRG. The next 459 amino acid 

residues are identical to a portion of mCry3A, followed by 172 

residues that are identical to a portion of Cry1Ab. Figure IV-1 

illustrates the origins of the corresponding amino acid sequences in 

eCry3.1Ab.

Description of mcry3A: a corn-optimized cry3A was synthesized to 

accommodate the preferred codon usage for corn (Murray et al., 

1989). The synthetic sequence was based on the native Cry3A 

protein sequence from Bacillus thuringiensis subsp. tenebrionis

(Sekar et al., 1987). The corn-optimized gene was then modified to 

incorporate a consensus cathepsin-G protease recognition site within 

the expressed protein. The amino acid sequence of the encoded 

mCry3A corresponds to that of the native Cry3A, except that (1) its Nterminus corresponds to methionine 48 of the native protein and (2) a 

cathepsin G protease recognition site has been introduced, beginning 

at amino acid residue 155 of the native protein. This cathepsin-G 

recognition site has the sequence alanine-alanine-prolinephenylalanine, and has replaced the amino acids valine-155, serine156, and serine-157 in the native protein (Chen and Stacy, 2003). 

Description of cry1Ab: The gene cry1Ab was originally cloned from 

Bacillus thuringiensis subsp. kurstaki strain HD-1 (Geiser et al., 

1986). Its sequence was codon-optimized (Koziel et al., 1997) to 

accommodate the preferred codon usage for corn (Murray et al., 

1989). 

Intervening 

sequence

30 2546 to 2575 Noncoding intervening sequence with restriction sites used for cloning 

NOS 253 2576 to 2828 Terminator sequence from the nopaline synthase gene of 

Agrobacterium tumefaciens (Entrez Accession Number V00087 

[NCBI, 2010a]). This sequence provides a polyadenylation site 

(Depicker et al., 1982).
5307-USDA-1 Page 35 of 211

Table IV-1 (Continued). Description of genetic elements in vector pSYN12274

Genetic 

element

Size 

(bp) Position Description

Selectable marker cassette

Intervening 

sequence

25 2829 to 2853 Noncoding intervening sequence with restriction sites used for 

cloning 

ZmUbiInt 

promoter

1993 2854 to 4846 Promoter region from the maize polyubiquitin gene which contains 

the first intron (Entrez® Accession Number S94464 [NCBI, 2010a]). 

Provides constitutive expression in monocots (Christensen et al., 

1992)

Intervening 

sequence

12 4847 to 4858 Noncoding intervening sequence with restriction sites used for 

cloning 

pmi 1176 4859 to 6034 Escherichia coli strain K-12 gene pmi encoding the enzyme 

phosphomannose isomerase (PMI) (Entrez Accession Number 

M15380 [NCBI, 2010a]); this gene is also known as manA. 

Catalyzes the isomerization of mannose-6-phosphate to fructose-6-

phosphate (Negrotto et al., 2000).

Intervening 

sequence

60 6035 to 6094 Noncoding intervening sequence with restriction sites used for 

cloning 

NOS 253 6095 to 6347 Terminator sequence from the nopaline synthase gene of 

Agrobacterium tumefaciens (Entrez Accession Number V00087 

[NCBI, 2010a]). This sequence provides a polyadenylation site 

(Depicker et al., 1982).

Intervening 

sequence

88 6348 to 6435 Noncoding intervening sequence with restriction sites used for 

cloning 

Plasmid backbone

Left border 

(LB)

25 6436 to 6460 Left border region of T-DNA from Agrobacterium tumefaciens

nopaline Ti-plasmid (Entrez® Accession Number J01825 [NCBI, 

2010a]). Short direct repeat sequence that flanks the T-DNA and is 

required for the transfer of the T-DNA into the plant cell (Zambryski 

et al., 1982)

Intervening 

sequence

349 6461 to 6809 Noncoding intervening sequence with restriction sites used for 

cloning 

spec 789 6810 to 7598 Streptomycin adenylyltransferase gene, aadA, from Escherichia coli

transposon Tn7 (similar to Entrez® Accession Number X03043 

[NCBI, 2010a]). Confers resistance to streptomycin and 

spectinomycin and is used as a bacterial selectable marker (Fling et 

al., 1985)

Intervening 

sequence

299 7599 to 7897 Noncoding intervening sequence with restriction sites used for 

cloning 

virG 726 7898 to 8623 The VirGN54D gene (virG) from pAD1289 (similar to Entrez® 

Accession Number AF242881 [NCBI, 2010a). The N54D substitution 

results in a constitutive virG phenotype. VirG is part of the twocomponent regulatory system for the virulence (vir) regulon in 

Agrobacterium tumefaciens (Hansen et al., 1994).

Intervening 

sequence

29 8624 to 8652 Noncoding intervening sequence with restriction sites used for 

cloning 
5307-USDA-1 Page 36 of 211

Table IV-1 (Continued). Description of genetic elements in vector pSYN12274

Genetic 

element

Size 

(bp) Position Description

Plasmid backbone (continued)

repA 1074 8653 to 9726 Gene encoding the pVS1 replication protein from Pseudomonas 

aeruginosa (similar to Entrez® Accession Number AF133831 [NCBI, 

2010a]), which is a part of the minimal pVS1 replicon that is 

functional in Gram-negative, plant-associated bacteria (Heeb et al., 

2000)

Intervening 

sequence

42 9727 to 9768 Noncoding intervening sequence with restriction sites used for 

cloning 

VS1 ori 405 9769 to 10173 Consensus sequence for the origin of replication and partitioning 

region from plasmid pVS1 of Pseudomonas aeruginosa (Entrez® 

Accession Number U10487 [NCBI 2010a]). Serves as origin of 

replication in Agrobacterium tumefaciens host (Itoh et al., 1984)

Intervening 

sequence

677 10174 to 

10850

Noncoding intervening sequence with restriction sites used for 

cloning 

ColE1 ori 807 10851 to 

11657

Origin of replication (similar to Entrez® Accession Number V00268 

[NCBI 2010a]) that permits replication of plasmids in Escherichia coli

(Itoh and Tomizawa, 1979)

Intervening 

sequence

112 11658 to 

11769

Noncoding intervening sequence with restriction sites used for 

cloning 

Right border 

(RB)

25 1 to 25 Right border region of T-DNA from Agrobacterium tumefaciens 

nopaline Ti-plasmid (Entrez® Accession Number J01826 [NCBI 

2010a]). Short direct repeat that flanks the T-DNA and is required 

for the transfer of the T-DNA into the plant cell (Wang et al., 1984)
5307-USDA-1 Page 37 of 211

A.

B.

ecry3.1Ab ATG ACT AGT AAC GGC CGC CAG TGT GCT GGT ATT CGC CCT TAT GAC GGC CGA

eCry3.1Ab M T S N G R Q C A G I R P Y D G R 

mcry3A .....................................................ATG ACG GCC GAC

mCry3A M T A D

 

ecry3.1Ab CAA CAA CAC CGA GGC C-TG GAC AGC AGC ACC ACC AAG GAC GTG

eCry3.1Ab Q Q H R G L D S S T T K D V

mcry3A AAC AAC ACC GAG GCC CTG GAC AGC AGC ACC ACC AAG GAC GTG 

mCry3A N N T E A L D S S T T K D V

Figure IV-1. A. Schematic illustrating the origin of the amino acid residues present in 

eCry3.1Ab. B. Nucleotide alignment between ecry3.1Ab and mcry3A and 

corresponding amino acids present at the N-termini of eCry3.1Ab and mCry3A.

(A) The black rectangles represent the variable regions 1 through 6 (V1 through V6) of Cry1Ab; the rectangles 

with diagonal lines represent the conserved blocks 1 through 5 (CB1 through CB5) of Cry1Ab; the gray 

rectangles represent the Cry1Ab tail sequence. The white rectangles represent the variable regions 1 through 5 

of mCry3A; the rectangles with crosshatch lines represent the conserved blocks 1 through 5 of mCry3A. The 

vertically striped portion of eCry3.1Ab represents the N-terminal amino-acids unique to eCry3.1Ab (see Figure 

IV-1B).

(B) The dotted line symbolizes sequence absent from mCry3A; the dash indicates a one-base-pair deletion in 

ecry3.1Ab. The first 40 nucleotides of ecry3.1Ab (and the 13 amino acids they encode) are in bold text to 

highlight their addition during the engineering of the gene. The 9 amino acids LDSSTTKDV shown for both 

proteins in bold text indicate where the amino acid sequence of eCry3.1Ab is restored to that of mCry3A. 

V1 V2 V3 V4 V5 V6

CB1 CB2 CB3 CB4 CB5

Domain I Domain II Domain III

V1 V2 V3 V4 V5

CB1 CB2 CB3 CB4 CB5

V1 V2 V3 V4 V5

CB1 CB2 CB3 CB4 CB5

Cry1Ab

mCry3A

eCry3.1Ab

V6
5307-USDA-1 Page 38 of 211

V. Genetic Characterization of Event 5307 Corn

An extensive genetic characterization of the T-DNA insert in Event 5307 corn was 

conducted by Southern blot analyses and nucleotide sequencing. Further, the genetic 

stability of the insert was assessed both by Southern blot analyses and by examining the 

inheritance patterns of the transgenes over multiple generations of 5307 plants. 

Additionally, the corn genomic sequences flanking the Event 5307 insert were identified and 

characterized. Finally, it was determined that the Event 5307 T-DNA insertion into the corn

genome did not disrupt the function of any known corn gene. These data collectively 

demonstrate that there are no deleterious changes in the 5307 corn genome as a result of the 

T-DNA insertion. 

Descriptions, results and conclusions of each genetic characterization study are provided in 

Parts V.A to V.G., below. Details of the materials and methods used in these studies are 

provided in Appendix B. A general summary of the conclusions of these studies is provided 

in Part V.H., below.

V.A. Nucleotide Sequence of the T-DNA Insert

Two overlapping DNA fragments that span the 5307 corn insert were amplified from 

genomic DNA extracted from 5307 corn using a polymerase chain reaction method. These 

fragments were cloned, and sequences of the clones were aligned to create a consensus of 

the T-DNA sequence. The consensus nucleotide sequence data for the 5307 corn insert were

compared to the sequence of the transformation plasmid pSYN12274 (Figure III-1). The 

data demonstrated that the insert was intact and that the organization of the functional 

elements within the insert, as present in plasmid pSYN12274, was maintained. The 

functional elements ecry3.1Ab, pmi, the CMP promoter, the ZmUbiInt promoter, and the 

NOS terminators in 5307 corn were identical to those in the transformation plasmid 

pSYN12274. 

One nucleotide change was identified in the 5307 corn insert 48 bp upstream of the CMP 

promoter in a non-coding region of the T-DNA (Figure III-1). This nucleotide change has 

no effect on the transgenes encoded by 5307 corn.

Sequence analysis revealed that some truncation occurred at the right border (RB) and left 

border (LB) ends of the T-DNA during the transformation process. The entire RB, three bp 

of non-coding sequence at the 5′ end of the insert, and eight bp of the LB were truncated. 

These deletions had no effect on the functionality of the insert; similar deletions have 

previously been observed in transformations with Agrobacterium tumefaciens (Tinland and 

Hohn, 1995; Brunaud et al., 2002; Chilton and Que, 2003).

V.B. Copy Number of Functional Elements

Southern blot analyses demonstrated that 5307 corn contains a single copy of ecry3.1Ab, 

pmi, the CMP promoter sequence, and the ZmUbiInt promoter sequence and two copies of 

the NOS terminator sequence, as expected for a single insertion site. Results also indicated 

that there are no extraneous DNA fragments of the functional elements elsewhere in the 
5307-USDA-1 Page 39 of 211

5307 corn genome, and that 5307 corn is free of backbone sequence from the transformation 

plasmid pSYN12274.

Southern blot analyses to establish the copy number of each functional element utilized five 

element-specific probes (the ecry3.1Ab-specific probe, the pmi-specific probe, the CMP 

promoter-specific probe, the ZmUbiInt promoter-specific probe, and the NOS terminatorspecific probe). Southern blot analyses included genomic DNA extracted from 5307 plants 

of genotype 5307 NP2171 × BC5F3

For these experiments, genomic DNA was analyzed using two restriction enzyme digestion 

strategies to assess the presence, size, intactness, and copy number of each functional 

element. The locations of restriction endonuclease sites are indicated in Figure V-1. In the 

first strategy, the corn genomic DNA was digested with an enzyme that cut once within the 

5307 corn insert. The other recognition sites for this enzyme were located in the corn

genome flanking the 5307 corn insert. This first strategy was used twice with two different 

enzymes to determine the copy number of the functional element and the presence or 

absence of extraneous DNA fragments of the functional elements of plasmid pSYN12274 in 

other regions of the 5307 corn genome. For Southern blot analyses with the ecry3.1Abspecific probe, enzymes KpnI and NcoI were used; for Southern blot analyses with the pmispecific probe, enzymes BstEII and SpeI were used; for Southern blot analyses with the 

CMP promoter-specific probe, enzymes KpnI and SpeI were used; for Southern blot 

analyses with the ZmUbiInt promoter-specific probe, enzymes BstEII and SpeI were used;

and for Southern blot analyses with the NOS terminator-specific probe, enzymes KpnI and 

NcoI were used. 

and the near-isogenic control plants of genotype 

NP2171 × NP2460 (see breeding pedigree in Figure III-3). Each Southern blot contained a 

positive control and a negative control. The positive control, representing one copy of a 

fragment of known size in the corn genome, was included to demonstrate the sensitivity of 

each experiment. The negative control, DNA extracted from plants grown from 

nontransgenic corn seed, was included to identify possible endogenous DNA sequences that 

hybridize with the probe. The ZmUbiInt promoter-specific probe cross-hybridizes to 

genomic DNA fragments of different sizes in the different corn genotypes due to restriction 

fragment length polymorphism of the genomic DNA that carries the endogenous maize 

polyubiquitin promoter. For the Southern blot analyses with the ZmUbiInt promoterspecific probe, genomic DNA extracts from control plants of inbred genotypes NP2222, 

NP2460, and NP2171 were also needed because the 5307 corn generation analyzed was 

created by crossing with these corn lines. 

For Southern blot analyses with the ecry3.1Ab-specific probe, the pmi-specific probe, the 

CMP promoter-specific probe, and the ZmUbiInt promoter-specific probe, these digests 

were expected to result in only one hybridization band specific to the corresponding 

functional element. More than one band with either digest would have indicated that there 

were multiple copies of the corresponding functional element in the plant genome. For 

Southern blot analyses with the NOS terminator-specific probe, the digests used were 

expected to result in two hybridization bands corresponding to the two NOS terminator 

sequences in the 5307 corn insert (the NOS terminator sequence regulating ecry3.1Ab and
5307-USDA-1 Page 40 of 211

Figure V-1. Map of plasmid pSYN12274 indicating the restriction sites used in the 

Southern blot analyses (shown in bold type).

the NOS terminator sequence regulating pmi). More than two bands with either digest 

would have indicated additional copies of the NOS terminator sequence in the plant genome. 

In the second strategy, the corn genomic DNA was digested with two enzymes, which 

released a DNA fragment of predictable size. This strategy was used to determine the 

presence or absence of any closely linked extraneous DNA fragments of the functional 

elements in plasmid pSYN12274. For this strategy, enzymes SmaI + PmeI were used for all 

Southern blot analyses with element-specific probes. 

Details of each Southern blot analysis are described below. For each analysis, there is a map 

showing the location of the restriction endonuclease sites in relation to each element probe 

used. 

V.B.1. Copy Number of Functional Elements: ecry3.1Ab Gene

A probe containing the entire sequence of ecry3.1Ab was used for the ecry3.1Ab Southern 

blot analyses. A map of the T-DNA region in plasmid pSYN12274 indicating locations of 

the ecry3.1Ab coding sequence and the restriction endonuclease sites targeted in these 

Southern blot analyses is shown in Figure V-2. The results of these analyses are displayed 

in Figure V-3. Table V-1 shows a comparison of expected versus observed hybridization 

band sizes.
5307-USDA-1 Page 41 of 211

For Southern blot analysis of genomic DNA digested with KpnI and probed with the 

ecry3.1Ab-specific probe, one hybridization band of approximately 8.5 kb was observed in 

the lane containing DNA extracted from 5307 NP2171 × BC5F3 

For Southern blot analysis of genomic DNA digested with NcoI and probed with the 

ecry3.1Ab-specific probe, one hybridization band of approximately 19 kb was observed in 

the lane containing DNA extracted from 5307 NP2171 × BC5F

plants (Figure V-3A, Lane 

A3) (Table V-1). This hybridization band was absent in the lane containing DNA extracted 

from the control plants (Figure V-3A, Lane A4) and was, therefore, specific to the 5307 corn

insert. One hybridization band of approximately 6.3 kb was observed in the lane containing 

the positive control (16.53 pg of plasmid pSYN12274 DNA digested with SmaI + PmeI and 

loaded with DNA extracted from NP2171 × NP2460 plants) (Figure V-3A, Lane A5). 

3 plants (Figure V-3B, Lane 

B3) (Table V-1). This hybridization band was absent in the lane containing DNA extracted 

from the control plants (Figure V-3B, Lane B4) and was, therefore, specific to the 5307 corn

insert. One hybridization band of approximately 3.9 kb was observed in the lane containing 

the positive control (16.53 pg of plasmid pSYN12274 DNA digested with SmaI + PmeI + 

NcoI and loaded with DNA extracted from NP2171 × NP2460 plants) (Figure V-3B, Lane

B5).

Figure V-2. Location of the KpnI, NcoI, SmaI, and PmeI restriction sites and position of 

the 1962-bp ecry3.1Ab-specific probe in the T-DNA region of the transformation 

plasmid pSYN12274.
5307-USDA-1 Page 42 of 211

(A) KpnI

Lane A1 = molecular weight markers

Lane A2 = blank

Lane A3 = 5307 NP2171 × BC5F3

Lane A4 = NP2171 × NP2460 digested with KpnI

digested with KpnI

Lane A5 = Positive control (NP2171 × NP2460

digested with KpnI and 16.53 pg of 

pSYN12274 digested with SmaI + PmeI)

(B) NcoI

Lane B1 = molecular weight markers

Lane B2 = blank

Lane B3 = 5307 NP2171 × BC5F3

Lane B4 = NP2171 × NP2460 digested with NcoI

digested with NcoI

Lane B5 = Positive control (NP2171 × NP2460 

digested with NcoI and 16.53 pg of 

pSYN12274 digested with SmaI + PmeI + 

NcoI)

(C) SmaI + PmeI

Lane C1 = molecular weight markers

Lane C2 = blank

Lane C3 = 5307 NP2171 × BC5F3

Lane C4 = NP2171 × NP2460 digested with SmaI + 

PmeI

digested with 

SmaI + PmeI

Lane C5 = Positive control (NP2171 × NP2460

digested with SmaI + PmeI and 16.53 pg 

of pSYN12274 digested with SmaI + PmeI)

Figure V-3. Southern blot analysis of 5307 corn for copy number of functional elements: 1962-bp ecry3.1Ab-specific probe, 

using restriction enzymes KpnI, NcoI, and SmaI + PmeI
5307-USDA-1 Page 43 of 211

Table V-1. Expected and observed hybridization band sizes in Southern blot analysis of 

5307 corn, using an ecry3.1Ab-specific probe and restriction enzymes KpnI, NcoI, and 

SmaI + PmeI.

1 Digestion of pSYN12274 with NcoI was the result of addition to NP2171 × NP2460 digested with NcoI

For Southern blot analysis of genomic DNA digested with SmaI + PmeI and probed with the 

ecry3.1Ab-specific probe, one hybridization band of approximately 6.3 kb was observed in 

the lane containing DNA extracted from 5307 NP2171 × BC5F3 

For Southern blot analyses with the ecry3.1Ab-specfic probe, detection of only one 

hybridization band of the expected size for each restriction enzyme digestion strategy 

demonstrated that the 5307 corn insert contains a single copy of ecry3.1Ab at a single locus. 

No unexpected bands were detected, indicating that there were no extraneous DNA 

fragments of ecry3.1Ab in the 5307 corn genome. 

plants (Figure V-3C, Lane 

C3) (Table V-1). This hybridization band was absent in the lane containing DNA extracted 

from the control plants (Figure V-3C, Lane C4) and was, therefore, specific to the 5307 corn

insert. One hybridization band of approximately 6.3 kb was observed in the lane containing 

the positive control (16.53 pg of plasmid pSYN12274 DNA digested with SmaI + PmeI and 

loaded with DNA extracted from NP2171 × NP2460 plants) (Figure V-3C, Lane C5).

Figure &

Lane No. Source of DNA

Restriction 

enzyme

Expected 

number of 

bands

Expected 

band size 

(kb)

Observed 

band size 

(kb)

Fig. V-3A,

Lane A3 5307 NP2171 × BC5F3 KpnI 1 > 2.8 ~ 8.5

Fig. V-3A,

Lane A4 NP2171 × NP2460 KpnI none none none

Fig. V-3A,

Lane A5

Positive control (16.53 pg of 

pSYN12274 mixed with NP2171 ×

NP2460 digested with KpnI) SmaI + PmeI 1 ~ 6.3 ~ 6.3

Fig. V-3B,

Lane B3 5307 NP2171 × BC5F3 NcoI 1 > 3.9 ~ 19

Fig. V-3B,

Lane B4 NP2171 × NP2460 NcoI none none none

Fig. V-3B,

Lane B5

Positive control (16.53 pg of 

pSYN12274 mixed with NP2171 × 

NP2460 digested with NcoI)

SmaI + PmeI 

+ NcoI 1 1 ~ 3.9 ~ 3.9

Fig. V-3C, 

Lane C3 5307 NP2171 × BC5F3 SmaI + PmeI 1 ~ 6.3 ~ 6.3

Fig. V-3C,

Lane C4 NP2171 × NP2460 SmaI + PmeI none none none

Fig. V-3C,

Lane C5

Positive control (16.53 pg of 

pSYN12274 mixed with NP2171 × 

P2460 digested with SmaI + 

PmeI) SmaI + PmeI 1 ~ 6.3 ~ 6.3
5307-USDA-1 Page 44 of 211

V.B.2. Copy Number of Functional Elements: CMP promoter

A probe containing the entire sequence of the CMP promoter was used for the CMP 

promoter Southern blot analyses. A map of the T-DNA region in plasmid pSYN12274 

indicating locations of the CMP promoter sequence and the restriction endonuclease sites 

targeted in these Southern blot analyses is shown in Figure V-4. The results of these 

analyses are displayed in Figure V-5. Table V-2 shows a comparison of expected versus 

observed hybridization band sizes.

Figure V-4. Location of the KpnI, SpeI, SmaI, and PmeI restriction sites and position of 

the 346-bp CMP promoter-specific probe in the T-DNA region of the transformation 

plasmid pSYN12274.
5307-USDA-1 Page 45 of 211

For Southern blot analysis of genomic DNA digested with KpnI and probed with the CMP 

promoter-specific probe, one hybridization band of approximately 8.5 kb was observed in 

the lane containing DNA extracted from 5307 NP2171 × BC5F3 

For Southern blot analysis of genomic DNA digested with SpeI and probed with the CMP 

promoter-specific probe, one hybridization band of approximately 2.6 kb was observed in 

the lane containing DNA extracted from 5307 NP2171 × BC5F

plants as expected (Figure 

V-5A, Lane A3) (Table V-2). This hybridization band was absent in the lane containing 

DNA extracted from the control plants (Figure V-5A, Lane A4) and was therefore, specific 

to the 5307 corn insert. One hybridization band of approximately 6.3 kb was observed in 

the lane containing the positive control (16.53 pg of plasmid pSYN12274 DNA digested 

with SmaI + PmeI and loaded with DNA extracted from NP2171 × NP2460 plants) (Figure 

V-5A, Lane A5). 

3 

For Southern blot analysis of genomic DNA digested with SmaI + PmeI and probed with the 

CMP promoter-specific probe, one hybridization band of approximately 6.3 kb was 

observed in the lane containing DNA extracted from 5307 NP2171 × BC5F

plants as expected (Figure 

V-5B, Lane B3) (Table V-2). This hybridization band was absent in the lane containing 

DNA extracted from the control plants (Figure V-5B, Lane B4) and was therefore, specific 

to the 5307 corn insert. One hybridization band of approximately 6.3 kb was observed in 

the lane containing the positive control (16.53 pg of plasmid pSYN12274 DNA digested 

with SmaI + PmeI and loaded with DNA extracted from NP2171 × NP2460 plants) (Figure 

V-5B, Lane B5). 

3 

For Southern blot analyses with the CMP promoter-specfic probe, detection of only one 

hybridization band of the expected size for each restriction enzyme digestion strategy 

demonstrated that the 5307 corn insert contains a single copy of the CMP promoter 

sequence at a single locus. No unexpected bands were detected, indicating that there were 

no extraneous DNA fragments of the CMP promoter sequence in the 5307 corn genome. 

plants as 

expected (Figure V-5C, Lane C3) (Table V-2). This hybridization band was absent in the 

lane containing DNA extracted from the control plants (Figure V-5C, Lane C4) and was 

therefore, specific to the 5307 corn insert. One hybridization band of approximately 6.3 kb 

was observed in the lane containing the positive control (16.53 pg of plasmid pSYN12274 

DNA digested with SmaI + PmeI and loaded with DNA extracted from NP2171 × NP2460 

plants) (Figure V-5C, Lane C5). 
5307-USDA-1 Page 46 of 211

(A) KpnI

Lane A1 = molecular weight markers

Lane A2 = blank

Lane A3 = 5307 NP2171 × BC5F3

Lane A4 = NP2171 × NP2460 digested with KpnI

digested with KpnI

Lane A5 = Positive control (NP2171 × NP2460 digested 

with KpnI and 16.53 pg of pSYN12274 digested 

with SmaI + PmeI)

(B) SpeI

Lane B1 = molecular weight markers

Lane B2 = blank

Lane B3 = 5307 NP2171 × BC5F3

Lane B4 = NP2171 × NP2460 digested with SpeI

digested with SpeI

Lane B5 = Positive control (NP2171 × NP2460 digested 

with SpeI and 16.53 pg of pSYN12274 digested 

with SmaI + PmeI)

(C) SmaI + PmeI

Lane C1 = molecular weight markers

Lane C2 = blank

Lane C3 = 5307 NP2171 × BC5F3

Lane C4 = NP2171 × NP2460 digested with SmaI + PmeI

digested with SmaI + 

PmeI

Lane C5 = Positive control (NP2171 × NP2460 digested 

with SmaI + PmeI and 16.53 pg of pSYN12274 

digested with SmaI + PmeI)

Figure V-5. Southern blot analysis of 5307 corn for copy number of functional elements: 346-bp CMP promoter-specific probe, 

using restriction enzymes KpnI, SpeI, and SmaI + PmeI
5307-USDA-1 Page 47 of 211

Table V-2. Expected and observed hybridization band sizes in Southern blot analysis of 

5307 corn, using a CMP promoter-specific probe and restriction enzymes KpnI, SpeI, 

and SmaI + PmeI.

Figure & 

Lane No.

Source of DNA Restriction 

enzyme

Expected 

number of 

bands

Expected 

band size 

(kb)

Observed 

band size 

(kb)

Fig. V-5A,

Lane A3 5307 NP2171 × BC5F3 KpnI 1 > 2.8 ~ 8.5

Fig. V-5A,

Lane A4 NP2171 × NP2460 KpnI none none None

Fig.V-5A,

Lane A5

Positive control (16.53 pg of 

pSYN12274 mixed with NP2171 × 

NP2460 digested with KpnI)

SmaI + PmeI 1 ~ 6.3 ~ 6.3

Fig. V-5B,

Lane B3 5307 NP2171 × BC5F3 SpeI 1 > 0.6 ~ 2.6

Fig. V-5B, 

Lane B4 NP2171 × NP2460 SpeI none none none

Fig. V-5B,

Lane B5

Positive control (16.53 pg of 

pSYN12274 mixed with NP2171 × 

NP2460 digested with SpeI)

SmaI + PmeI 1 ~ 6.3 ~ 6.3

Fig. V-5C,

Lane C3 5307 NP2171 × BC5F3 SmaI + PmeI 1 ~ 6.3 ~ 6.3

Fig. V-5C,

Lane C4 NP2171 × NP2460 SmaI + PmeI none none none

Fig. V-5C,

Lane C5

Positive control (16.53 pg of 

pSYN12274 mixed with NP2171 × 

NP2460 digested with SmaI + 

PmeI)

SmaI + PmeI 1 ~ 6.3 ~ 6.3

V.B.3. Copy Number of Functional Elements: pmi Gene

A probe containing the entire sequence of pmi was used for the pmi Southern blot analyses. 

Figure V-6 shows a map of the T-DNA of 5307 corn transformation plasmid pSYN12274, 

indicating the location of the pmi-specific probe and restriction sites for BstEII, SpeI, SmaI, 

and PmeI. Figure V-7 depicts the results of the corresponding Southern blot analyses, and 

Table V-3 provides the expected and observed sizes of the hybridization bands.

For Southern blot analysis of genomic DNA digested with BstEII and probed with the pmispecific probe, one hybridization band of approximately 7.2 kb was observed in the lane 

containing DNA extracted from 5307 NP2171 × BC5F3 

For Southern blot analysis of genomic DNA digested with SpeI and probed with the pmispecific probe, one hybridization band of approximately 7.0 kb was observed in the lane 

containing DNA extracted from 5307 NP2171 × BC5F

plants (Figure V-7, Lane 3) (Table 

V-3). This hybridization band was absent in the lane containing DNA extracted from the 

control plants (Figure V-7, Lane 4) and was, therefore, specific to the 5307 corn insert.

3 plants (Figure V-7, Lane 5) (Table 

V-3). This hybridization band was absent in the lane containing DNA extracted from the 

control plants (Figure V-7, Lane 6) and was, therefore, specific to the 5307 corn insert. 
5307-USDA-1 Page 48 of 211

Figure V-6. Location of the BstEII, SpeI, SmaI, and PmeI restriction sites and position 

of the 1176-bp pmi-specific probe in the T-DNA region of the transformation plasmid 

pSYN12274.

For Southern blot analysis of genomic DNA digested with SmaI + PmeI and probed with the 

pmi-specific probe, one hybridization band of approximately 6.3 kb was observed in the lane 

containing DNA extracted from 5307 NP2171 × BC5F3 

For Southern blot analyses with the pmi-specfic probe, detection of only one hybridization 

band of the expected size for each restriction enzyme digestion strategy demonstrated that 

the 5307 corn insert contains a single copy of pmi at a single locus. No unexpected bands 

were detected, indicating that there were no extraneous DNA fragments of pmi in the 5307 

corn genome. 

plants (Figure V-7, Lane 7) (Table 

V-3). This hybridization band was absent in the lane containing DNA extracted from the 

control plants (Figure V-7, Lane 8) and was, therefore, specific to the 5307 corn insert. One 

hybridization band of approximately 6.3 kb was observed in the lane containing the positive 

control (16.53 pg of plasmid pSYN12274 DNA digested with SmaI + PmeI and loaded with 

DNA extracted from NP2171 × NP2460 plants) (Figure V-7, Lane 9). 
5307-USDA-1 Page 49 of 211

Lane 1 = molecular weight markers

Lane 2 = blank

Lane 3 = 5307 NP2171 × BC5F3

Lane 4 = NP2171 × NP2460 digested with BstEII

digested with BstEII

Lane 5 = 5307 NP2171 × BC5F3

Lane 6 = NP2171 × NP2460 digested with SpeI

digested with SpeI

Lane 7 = 5307 NP2171 × BC5F3

Lane 8 = NP2171 × NP2460 digested with SmaI + PmeI

digested with SmaI + PmeI

Lane 9 = Positive control (NP2171 × NP2460 digested with 

SmaI + PmeI and 16.53 pg of pSYN12274 digested with 

SmaI + PmeI)

Figure V-7. Southern blot analysis of 5307 corn for copy number of functional 

elements: 1176-bp pmi-specific probe, using restriction enzymes BstEII, SpeI, and 

SmaI + PmeI.
5307-USDA-1 Page 50 of 211

Table V-3. Expected and observed hybridization band sizes in Southern blot analysis of 

5307 corn, using a pmi-specific probe and restriction enzymes BstEII, SpeI, and SmaI 

+ PmeI.

Fig. V-7

Lane No. Source of DNA Restriction enzyme

Expected 

number of 

bands

Expected 

band size 

(kb)

Observed 

band size 

(kb)

3 5307 NP2171 × BC5F3 BstEII 1 > 4.0 kb ~ 7.2 kb

4 NP2171 × NP2460 BstEII none none none

5 5307 NP2171 × BC5F3 SpeI 1 > 5.9 kb ~ 7.0 kb

6 NP2171 × NP2460 SpeI none none none

7 5307 NP2171 × BC5F3 SmaI + PmeI 1 ~ 6.3 kb ~ 6.3 kb

8 NP2171 × NP2460 SmaI + PmeI none none none

9

Positive control (16.53 pg of 

pSYN12274 mixed with NP2171

× NP2460 digested with SmaI + 

PmeI)

SmaI + PmeI 1 ~ 6.3 kb ~ 6.3 kb

V.B.4. Copy Number of Functional Elements: ZmUbiInt promoter

A probe containing the entire sequence of the ZmUbiInt promoter was used for the 

ZmUbiInt promoter Southern blot analyses. Figure V-8 shows a map of the T-DNA of 5307 

corn transformation plasmid pSYN12274, indicating the location of the ZmUbiInt promoterspecific probe and restriction sites for BstEII, SpeI, SmaI, and PmeI. Figure V-9 depicts the 

results of the corresponding Southern blot analyses, and Table V-4 provides the expected 

and observed sizes of the hybridization bands.

For Southern blot analysis of genomic DNA digested with BstEII and probed with the 

ZmUbiInt promoter-specific probe, a hybridization band of approximately 7.2 kb was 

observed in the lane containing DNA extracted from 5307 NP2171 × BC5F3 

Additional bands resulting from cross-hybridization of the ZmUbiInt promoter-specific 

probe with the endogenous maize polyubiquitin promoter sequence were also detected in all 

material analyzed. Two hybridization bands of approximately 12 kb and 18 kb 

corresponding to the hybridization bands observed in lanes containing DNA extracted from 

NP2222 plants (Figure V-9A, Lane A6) and NP2171 plants (Figure V-9A, Lane A5), 

plants as 

expected (Figure V-9A, Lane A3) (Table V-4). This hybridization band was absent in the 

lanes containing DNA extracted from the control plants NP2171 × NP2460 (Figure V-9A, 

Lane 4) and additional controls NP2171, NP2222 and NP2460 (Figure V-9A, Lanes A5, A6, 

and A7) and was, therefore, specific to the 5307 corn insert. Three hybridization bands of 

approximately 3.9 kb, 8.4 kb, and 18 kb were observed in the lane containing the positive 

control (16.53 pg of plasmid pSYN12274 DNA digested with SmaI + PmeI + BstEII and 

loaded with DNA extracted from NP2171 × NP2460 plants) (Figure V-9A, Lane A8). 
5307-USDA-1 Page 51 of 211

respectively, were observed in the lane containing DNA extracted from 5307 NP2171 ×

BC5F3 plants (Figure V-9A, Lane A3). Two hybridization bands of approximately 8.4 kb 

and 18 kb corresponding to the hybridization bands observed in lanes containing DNA 

extracted from NP2460 plants (Figure V-9A, Lane A7) and NP2171 plants (Figure V-9A, 

Lane 5), respectively, were observed in the lane containing DNA extracted from NP2171 × 

NP2460 plants (Figure V-9A, Lane A4) and the lane containing the positive control (Figure 

V-9A, Lane A8). 

Figure V-8. Location of the BstEII, SpeI, SmaI, and PmeI restriction sites and position 

of the 1993-bp ZmUbiInt promoter-specific probe in the T-DNA region of the 

transformation plasmid pSYN12274.
5307-USDA-1 Page 52 of 211

(A)BstEII

Lane A1 = molecular weight markers

Lane A2 = blank

Lane A3 = 5307 NP2171 × BC5F3

Lane A4 = NP2171 × NP2460 digested with BstEII

digested with BstEIlI

Lane A5 = NP2171 digested with BstEII

Lane A6 = NP2222 digested with BstEII

Lane A7 = NP2460 digested with BstEII

Lane A8 = Positive control (NP2171 × NP2460 digested 

with BstEII and 16.53 pg of pSYN12274 

digested with SmaI + PmeI + BstEII)

(B) SpeI

Lane B1 = molecular weight markers

Lane B2 = blank

Lane B3 = 5307 NP2171 × BC5F3

Lane B4 = NP2171 × NP2460 digested with SpeI

digested with SpeI

Lane B5 = NP2171 digested with SpeI

Lane B6 = NP2222 digested with SpeI

Lane B7 = NP2460 digested with SpeI

Lane B8 = Positive control (NP2171 × NP2460 digested 

with SpeI and 16.53 pg of pSYN12274 digested 

with SmaI + PmeI)

(C) SmaI + PmeI

Lane C1 = molecular weight markers

Lane C2 = blank

Lane C3 = 5307 NP2171 × BC5F3

Lane C4 = NP2171 × NP2460 digested with SmaI 

+ PmeI

digested with SmaI + 

PmeI

Lane C5 = NP2171 digested with SmaI + PmeI

Lane C6 = NP2222 digested with SmaI + PmeI

Lane C7 = NP2460 digested with SmaI + PmeI

Lane C8 = Positive control (NP2171 × NP2460 digested 

with SmaI + PmeI and 16.53 pg of pSYN12274 

digested with SmaI + PmeI)

Figure V-9. Southern blot analysis of 5307 corn for copy number of functional elements: 1993-bp ZmUbiInt promoter-specific 

probe, using restriction enzymes BstEII, SpeI, and SmaI + PmeI.
5307-USDA-1 Page 53 of 211

Table V-4. Expected and observed hybridization band sizes in Southern blot analysis of 

5307 corn, using a ZmUbiInt promoter-specific probe and restriction enzymes BstEII, 

SpeI, and SmaI + PmeI.

Figure & 

Lane No. Source of DNA Restriction enzyme

Expected 

number of 

bands

Expected 

band size 

(kb)

Observed 

band size 

(kb)

Fig. V-9A,

Lane A3 5307 NP2171 × BC5F3 BstEII

1 5307 insert

x endogenous

> 4.0

unknown

~ 7.2

~ 12 (endogenous)

~ 18 (endogenous)

Fig. V-9A,

Lane A4 NP2171 × NP2460 BstEII x endogenous unknown ~ 8.4 (endogenous)~ 18 (endogenous)

Fig. V-9A,

Lane A5 NP2171 BstEII x endogenous unknown ~ 18 (endogenous)

Fig. V-9A,

Lane A6 NP2222 BstEII x endogenous unknown ~ 12 (endogenous)

Fig. V-9A,

Lane A7 NP2460 BstEII x endogenous unknown ~ 8.4 (endogenous)

Fig. V-9A,

Lane A8

Positive control (16.53 pg of 

pSYN12274 mixed with 

NP2171 × NP2460 digested 

with BstEII)

SmaI + PmeI

+ BstEII

1 pSYN12274

1 x endogenous

~ 3.9

unknown

~ 3.9

~ 8.4 (endogenous)

~ 18 (endogenous)

Fig. V-9B,

Lane B3 5307 NP2171 × BC5F3 SpeI

1 5307 insert

x endogenous

> 5.9

unknown

~ 7.0

~ 14 (endogenous)

~ 25 (endogenous)

Fig. V-9B,

Lane B4 NP2171 × NP2460 SpeI x endogenous unknown ~ 14 (endogenous)~ 20 (endogenous)

Fig. V-9B,

Lane B5 NP2171 SpeI x endogenous unknown ~ 14 (endogenous)

Fig. V-9B,

Lane B6 NP2222 SpeI x endogenous unknown ~ 25 (endogenous)

Fig. V-9B, 

Lane B7 NP2460 SpeI x endogenous unknown ~ 20 (endogenous)

Fig. V-9B,

Lane B8

Positive control (16.53 pg of 

pSYN12274 mixed with 

NP2171 × NP2460 digested 

with SpeI)

SmaI + PmeI

1 pSYN12274

x endogenous

~ 6.3

unknown

~ 6.3

~ 14 (endogenous)

~ 20 (endogenous)

Fig. V-9C, 

Lane C3 5307 NP2171 × BC5F3 SmaI + PmeI

1 5307 insert

x endogenous

~ 6.3

unknown

~ 6.3

~ 18 (endogenous)

> 30 (endogenous)

Fig.V-9C,

Lane C4 NP2171 × NP2460 SmaI + PmeI x endogenous unknown > 30 (endogenous)

Fig. V-9C,

Lane C5 NP2171 SmaI + PmeI x endogenous unknown > 30 (endogenous)

Fig. V-9C,

Lane C6 NP2222 SmaI + PmeI x endogenous unknown ~ 18 (endogenous)

Fig. V-9C, 

Lane C7 NP2460 SmaI + PmeI x endogenous Unknown > 30 (endogenous)

Fig. V-9C,

Lane C8

Positive control (16.53 pg of 

pSYN12274 mixed with 

NP2171 × NP2460 digested 

with SmaI + PmeI)

SmaI + PmeI 1 pSYN12274

x endogenous

~ 6.3

unknown

~ 6.3

> 30 (endogenous)

x = unknown number

1 Digestion of pSYN12274 with BstEII was the result of addition to NP2171 × NP2460 digested with BstEII
5307-USDA-1 Page 54 of 211

For Southern blot analysis of genomic DNA digested with SpeI and probed with the 

ZmUbiInt promoter-specific probe, a hybridization band of approximately 7.0 kb was

observed in the lane containing DNA extracted from 5307 NP2171 × BC5F3 

Additional bands resulting from cross-hybridization of the ZmUbiInt promoter-specific 

probe with the endogenous maize polyubiquitin promoter sequence were also detected in all 

material analyzed. Two hybridization bands of approximately 25 kb and 14 kb 

corresponding to the hybridization bands observed in lanes containing DNA extracted from 

NP2222 plants (Figure V-9B, Lane B6) and NP2171 plants (Figure V-9B, Lane B5), 

respectively, were observed in the lane containing DNA extracted from 5307 NP2171 ×

BC5F

plants as 

expected (Figure V-9B, Lane B3) (Table V-4). This hybridization band was absent in the 

lane containing DNA extracted from the control plants NP2171 × NP2460 (Figure V-9B, 

Lane B4) and additional controls NP2171, NP2222, and NP2460 (Figure V-9B, Lanes B5, 

B6, and B7) and was, therefore, specific to the 5307 corn insert. Three hybridization bands 

of approximately 6.3 kb, 14 kb, and 20 kb were observed in the lane containing the positive 

control (16.53 pg of plasmid pSYN12274 DNA digested with SmaI + PmeI and loaded with 

DNA extracted from NP2171 × NP2460 plants (Figure V-9B, Lane B8). 

3 

For Southern blot analysis of genomic DNA digested with SmaI + PmeI and probed with the 

ZmUbiInt promoter-specific probe, one hybridization band of approximately 6.3 kb was 

observed in the lane containing DNA extracted from 5307 NP2171 × BC5F

plants (Figure V-9B, Lane B3). Finally, two hybridization bands of approximately 

20 kb and 14 kb corresponding to the hybridization bands observed in lanes containing DNA 

extracted from NP2460 plants (Figure V-9B, Lane B7) and NP2171 plants (Figure V-9B, 

Lane B5), respectively, were observed in the lane containing DNA extracted from NP2171 × 

NP2460 plants (Figure V-9B, Lane B4) and the lane containing the positive control (Figure 

V-9B, Lane B8). 

3 

At least one additional band resulting from cross-hybridization of the ZmUbiInt promoterspecific probe with the endogenous maize polyubiquitin promoter sequence was also 

detected in all material analyzed. One hybridization band of approximately 18 kb 

corresponding to the hybridization band observed in the lane containing DNA extracted 

from NP2222 plants (Figure V-9C, Lane C6) was observed in the lane containing DNA 

extracted from 5307 NP2171 × BC5F

plants as 

expected (Figure V-9C, Lane C3) (Table V-4). This hybridization band was absent in the 

lane containing DNA extracted from the control plants NP2171 × NP2460 (Figure V-9C, 

Lane C4) and additional controls NP2171, NP2222, and NP2460 (Figure V-9C, Lanes C5, 

C6, and C7) and was, therefore, specific to the 5307 corn insert. A hybridization band of 

approximately 6.3 kb and a high molecular weight band (greater than 30 kb) was observed 

in the lane containing the positive control (16.53 pg of plasmid pSYN12274 DNA digested 

with SmaI + PmeI and loaded with DNA extracted from NP2171 × NP2460 plants) (Figure 

V-9C, Lane C8). 

3 plants (Figure V-9C, Lane C3). An additional high 

molecular weight band (greater than 30 kb) was observed in lanes containing DNA extracted 

from NP2460 plants (Figure V-9C, Lane C7) and NP2171 plants (Figure V-9C, Lane C5). 

This faint high molecular weight band (greater than 30 kb) was also observed in the lane 

containing DNA extracted from 5307 NP2171 × BC5F3 plants (Figure V-9C, Lane C3), the
5307-USDA-1 Page 55 of 211

lane containing DNA extracted from NP2171 × NP2460 plants (Figure V-9C, Lane C4), and 

the lane containing the positive control (Figure V-9C, Lane C8). 

For Southern blot analyses with the ZmUbiInt promoter-specfic probe, detection of only one 

hybridization band specific to 5307 corn for each restriction enzyme digestion enzyme 

demonstrated that the 5307 corn genome contains a single copy of the ZmUbiInt promoter 

sequence at a single locus. No unexpected bands were detected, indicating that there were 

no extraneous DNA fragments of the ZmUbiInt promoter sequence in the 5307 corn

genome. 

V.B.5. Copy Number of Functional Elements: NOS terminator

A probe containing the entire sequence of the NOS terminator was used for the NOS 

terminator Southern blot analyses. Figure V-10 shows a map of the T-DNA of 5307 corn

transformation plasmid pSYN12274, indicating the location of the NOS terminator-specific 

probe and restriction sites for KpnI, NcoI, and SmaI + PmeI. Figure V-11 depicts the results 

of the corresponding Southern blot analyses, and Table V-5 provides the expected and 

observed sizes of the hybridization bands.

Figure V-10. Location of the KpnI, NcoI, SmaI, and PmeI restriction sites and position 

of the 253-bp NOS terminator-specific probe in the T-DNA region of the transformation 

plasmid pSYN12274.
5307-USDA-1 Page 56 of 211

For Southern blot analysis of genomic DNA digested with KpnI and probed with the NOS 

terminator-specific probe, two hybridization bands of approximately 6.4 kb and 8.5 kb were 

observed in the lane containing DNA extracted from 5307 NP2171 × BC5F3

For Southern blot analysis of genomic DNA digested with NcoI and probed with the NOS 

terminator-specific probe, two hybridization bands of approximately 16 kb and 19 kb were 

observed in the lane containing DNA extracted from 5307 NP2171 × BC5F

plants as 

expected (Figure V-11A, Lane A3) (Table V-5). These hybridization bands were absent in 

the lane containing DNA extracted from the control plants (Figure V-11A, Lanes A4) and 

were, therefore, specific to the two copies of the NOS terminator sequence in the 5307 corn

insert (one NOS terminator sequence regulating ecry3.1Ab and one NOS terminator 

sequence regulating pmi). One hybridization band of approximately 6.3 kb was observed in 

the lane containing the positive control (16.53 pg of plasmid pSYN12274 DNA digested 

with SmaI + PmeI and loaded with DNA extracted from NP2171 × NP2460 plants) (Figure 

V-11A, Lane A5). 

3 

For Southern blot analysis of genomic DNA digested with SmaI + PmeI and probed with the 

NOS terminator-specific probe, one hybridization band of approximately 6.3 kb was 

observed in the lane containing DNA extracted from 5307 NP2171 × BC5F

plants as 

expected (Figure V-11B, Lane B3) (Table V-5). These hybridization bands were absent in 

the lane containing DNA extracted from the control plants (Figure V-11B, Lanes B4) and 

were, therefore, specific to the two copies of the NOS terminator sequence in the 5307 corn

insert (one NOS terminator sequence regulating ecry3.1Ab and one NOS terminator 

sequence regulating pmi). Two hybridization bands of approximately 2.5 kb and 3.9 kb 

were observed in the lane containing the positive control (16.53 pg of plasmid pSYN12274 

DNA digested with SmaI + PmeI + NcoI and loaded with DNA extracted from NP2171 × 

NP2460 plants) (Figure V-11B, Lane B5). 

3 

For Southern blot analyses with the NOS terminator-specific probe, detection of two 

hybridization bands of the expected size for each restriction enzyme digestion strategy 

demonstrated that 5307 corn contains two copies of the NOS terminator sequence (one NOS 

terminator sequence regulating ecry3.1Ab and one NOS terminator sequence regulating pmi)

at a single locus. No unexpected bands were detected, indicating that there were no 

extraneous DNA fragments of the NOS terminator sequence in the 5307 corn genome. 

plants as 

expected (Figure V-11C, Lane C3) (Table V-5). This hybridization band was absent in the 

lane containing DNA extracted from the control plants (Figure V-11C, Lanes C4) and was,

therefore, specific to the 5307 corn insert. One hybridization band of approximately 6.3 kb 

was observed in the lane containing the positive control (16.53 pg of plasmid pSYN12274 

DNA digested with SmaI + PmeI and loaded with DNA extracted from NP2171 × NP2460 

plants (Figure V-11C, Lane C9). 
5307-USDA-1 Page 57 of 211

(A) KpnI

Lane A1 = molecular weight markers

Lane A2 = blank

Lane A3 = 5307 NP2171 × BC5F3

Lane A4 = NP2171 × NP2460 digested with KpnI

digested with KpnI

Lane A5 = Positive control (NP2171 × NP2460

digested with KpnI and 16.53 pg of 

pSYN12274 digested with SmaI + PmeI)

(B) NcoI

Lane B1 = molecular weight markers

Lane B2 = blank

Lane B3 = 5307 NP2171 × BC5F3

Lane B4 = NP2171 × NP2460 digested with NcoI

digested with NcoI

Lane B5 = Positive control (NP2171 × NP2460 

digested with NcoI and 16.53 pg of 

pSYN12274 digested with SmaI + PmeI + 

NcoI)

(C) SmaI + PmeI

Lane C1 = molecular weight markers

Lane C2 = blank

Lane C3 = 5307 NP2171 × BC5F3

Lane C4 = NP2171 × NP2460 digested with SmaI + 

Pme

digested with SmaI 

+ PmeI

Lane C5 = Positive control (NP2171 × NP2460

digested with SmaI + PmeI and 16.53 pg of 

pSYN12274 digested with SmaI + PmeI)

Figure V-11. Southern blot analysis of 5307 corn for copy number of functional elements: 253-bp NOS terminator-specific 

probe, using restriction enzymes KpnI, NcoI, and SmaI + PmeI.
5307-USDA-1 Page 58 of 211

Table V-5. Expected and observed hybridization band sizes in Southern blot analysis of 

5307 corn, using a NOS terminator-specific probe and restriction enzymes KpnI, NcoI, 

and SmaI + PmeI.

Figure &

Lane No. Source of DNA

Restriction 

enzyme

Expected 

number of 

bands

Expected 

band size 

(kb)

Observed 

band size 

(kb)

Fig. V-11 A, 

Lane A3 5307 NP2171 × BC5F3 KpnI 2 > 2.8

> 3.6

~ 6.4

~ 8.5

Fig. V-11A, 

Lane A4 NP2171/NP2460 KpnI none none none

Fig. V-11A, 

Lane A5

Positive control (16.53 pg of 

pSYN12274 mixed with 

NP2171/NP2460 digested with 

KpnI)

SmaI + PmeI 1 ~6.3 ~ 6.3

Fig. V-11B, 

Lane B3 5307 NP2171 × BC5F3 NcoI 2 > 2.5

> 3.9

~ 16

~ 19

Fig. V-11B, 

Lane B4 NP2171/NP2460 NcoI none none None

Fig. V-11B, 

Lane B5

Positive control (16.53 pg of 

pSYN12274 mixed with 

NP2171/NP2460 digested with 

NcoI)

SmaI + PmeI + 

NcoI

1 2 ~ 2.5

~ 3.9

~ 2.5

~ 3.9

Fig. V-11C, 

Lane C3 5307 NP2171 × BC5F3 SmaI + PmeI 1 ~ 6.3 ~ 6.3

Fig. V-11C, 

Lane C4 NP2171/NP2460 SmaI + PmeI none none none

Fig. V-11C, 

Lane C5

Positive control (16.53 pg of 

pSYN12274 mixed with 

NP2171/NP2460 digested with 

SmaI + PmeI)

SmaI + PmeI 1 ~ 6.3 ~ 6.3

1 Digestion of pSYN12274 with NcoI was the result of addition to NP2171/NP2460 digested with NcoI

V.C. Absence of Plasmid Backbone Elements

Figure V-12 shows a map of the plasmid pSYN12274 indicating the location of the plasmid 

pSYN12274 backbone-specific probe and restriction sites for BstEII, SpeI, and SmaI + 

PmeI. Figure V-13 depicts the results of the corresponding Southern blot analyses, and 

Table V-6 provides the expected and observed sizes of the hybridization bands.

For Southern blot analyses with genomic DNA digested with BstEII and probed with the 

plasmid pSYN12274 backbone-specific probe, no hybridization bands were observed in the 

lanes containing DNA extracted from plants grown from 5307 NP2171 × BC5F3 (Figure V13, Lane 3) (Table V-6) and NP2171 × NP2460 (Figure V-13, Lane 4) (Table V-6) as 

expected. 
5307-USDA-1 Page 59 of 211

Figure V-12. Location of the BstEII, SpeI, SmaI, and PmeI restriction sites and position 

of the 5312-bp plasmid backbone-specific probe in the transformation plasmid 

pSYN12274.

For Southern blot analyses with genomic DNA digested with SpeI and probed with the 

plasmid pSYN12274 backbone-specific probe, no hybridization bands were observed in the 

lanes containing DNA extracted from plants grown from 5307 NP2171 × BC5F3

For Southern blot analyses with genomic DNA digested with SmaI + PmeI and probed with 

the plasmid pSYN12274 backbone-specific probe, no hybridization bands were observed in 

the lanes containing DNA extracted from plants grown from 5307 NP2171 × BC5F

(Figure V13, Lane 5) (Table V-6) and NP2171 × NP2460 (Figure V-13, Lane 6) (Table V-6) as 

expected. 

3

No hybridization bands were detected in the 5307 plant DNA, illustrating that 5307 NP2171 

× BC5F

(Figure 

V-13, Lane 7) (Table V-6) and NP2171 × NP2460 (Figure V-13, Lane 8) (Table V-6) as 

expected. The positive control (16.53 pg of plasmid pSYN12274 DNA digested with SmaI 

+ PmeI and loaded with DNA extracted from NP2171 × NP2460 plants) produced the 

expected hybridization bands of approximately 4.2 kb and 1.2 kb band (Figure V-13, Lane 

9). 

3 corn does not contain any backbone sequences from the transformation plasmid 

pSYN12274.
5307-USDA-1 Page 60 of 211

Lane 1 = molecular weight markers

Lane 2 = blank

Lane 3 = 5307 NP2171 × BC5F3

Lane 4 = NP2171 × NP2460 digested with BstEII

digested with BstEII

Lane 5 = 5307 NP2171 × BC5F3

Lane 6 = NP2171 × NP2460 digested with SpeI

digested with SpeI

Lane 7 = 5307 NP2171 × BC5F3

Lane 8 = NP2171 × NP2460 digested with SmaI + PmeI

digested with SmaI + PmeI

Lane 9 = Positive control (NP2171 × NP2460 digested with SmaI + PmeI

and 16.53 pg of pSYN12274 digested with SmaI + PmeI)

Figure V-13. Southern blot analysis of 5307 corn for copy number of functional 

elements: 5312-bp plasmid backbone-specific probe, using restriction enzymes BstEII, 

SpeI, and SmaI + PmeI.
5307-USDA-1 Page 61 of 211

Table V-6. Expected and observed hybridization band sizes in Southern blot analysis of 

5307 corn, using a plasmid pSYN12274 backbone-specific probe and restriction 

enzymes BstEII, SpeI, and SmaI + PmeI.

Lane No. 

in Figure 

V-13 Source of DNA

Restriction 

enzyme

Expected 

number of 

bands

Expected 

band size 

(kb)

Observed 

band size 

(kb)

3 5307 NP2171 × BC5F3 BstEII none none none

4 NP2171/NP2460 BstEII none none none

5 5307 NP2171 × BC5F3 SpeI none none none

6 NP2171/NP2460 SpeI none none none

7 5307 NP2171 × BC5F3 SmaI + PmeI none none none

8 NP2171/NP2460 SmaI + PmeI none none none

9

Positive control (16.53 pg of pSYN12274 

mixed with NP2171/NP2460 digested with 

SmaI + PmeI)

SmaI + PmeI 2 ~ 1.2

~ 4.2

~ 1.2

~ 4.2

V.D. Genetic Stability of 5307 Corn Over Four Generations

Molecular analyses were performed to demonstrate the genetic stability of the 5307 corn

insert over four generations. Southern blot analyses were performed using standard 

molecular biology techniques. Each Southern blot contained a positive control and a

negative control. The positive control, representing one copy of a fragment of known size in 

the corn genome, was included to demonstrate the sensitivity of each experiment; the 

negative control, DNA extracted from plants grown from nontransgenic corn seed, was 

included in order to identify possible endogenous DNA sequences that hybridize with the 

probe. Two probes were used: a full-length T-DNA-specific probe containing every base of 

the plasmid pSYN12274 T-DNA and a plasmid pSYN12274 backbone-specific probe 

containing every base of plasmid pSYN12274 present outside of the T-DNA region. 

These Southern blot analyses demonstrated that the 5307 corn genome contains a single, 

complete copy of the insert and that there are no extraneous DNA fragments of plasmid 

pSYN12274 T-DNA inserted elsewhere in the 5307 corn genome. Identical hybridization 

patterns across all generations of 5307 corn analyzed in this study indicate that the insert is 

stably inherited from one generation to the next. Additionally, every generation of 5307 

corn examined was free of backbone sequence from the transformation plasmid 

pSYN12274. 

Descriptions and results of these Southern blot analyses to assess genetic stability of 5307 

corn are provided below. Details of the methods used are provided in Appendix B.

V.D.1. Stability of the T-DNA Using a Full-Length T-DNA-specific Probe

Genetic stability of the insert during conventional breeding of 5307 corn was determined by 

Southern blot analyses using a full length T-DNA-specific probe. The Southern blot 
5307-USDA-1 Page 62 of 211

analyses included genomic DNA extracted from 5307 plants of four generations (5307 F1, 

5307 BC6, 5307 BC7, 5307 NP2171 × BC5F3) and the corresponding nontransgenic, nearisogenic control genotypes (NP2171 × NP2460, NP2222, NP2460, and NP2171) (see Figure 

III-3 breeding pedigree). The full length T-DNA-specific probe, which contains sequence of 

the maize polyubiquitin promoter (ZmUbiInt), cross-hybridizes to genomic DNA fragments 

of different sizes in the different corn lines due to restriction fragment length polymorphism 

of the genomic DNA that carries the endogenous maize polyubiquitin promoter. Control 

genomic DNA from inbred lines NP2222, NP2460, and NP2171 was needed because the 

5307 corn generations analyzed were created by crossing with these corn lines. For these 

experiments, genomic DNA was analyzed using two restriction enzyme digestion strategies. 

In the first strategy, the corn genomic DNA was digested with an enzyme that cut once 

within the 5307 corn insert. The other recognition sites for this enzyme were located in the 

corn genome flanking the 5307 corn insert. This first strategy was used twice with two 

different enzymes (BstEII and SpeI) to determine the copy number of the 5307 corn insert 

and the presence or absence of extraneous DNA fragments of the plasmid pSYN12274 TDNA in other regions of the 5307 corn genome. These digests were expected to result in 

only two hybridization bands corresponding to the 5307 corn insert when a full length TDNA-specific probe was used. More than two bands with either digest would have 

indicated that there were multiple copies of the insert in the plant genome. 

In the second strategy, the corn genomic DNA was digested with SmaI + PmeI, which cut 

within the 5307 corn insert such that a DNA fragment of predictable size was released. This 

strategy was used to determine the presence of any closely linked extraneous DNA 

fragments of the plasmid pSYN12274 T-DNA.

Figure V-14 shows a map of the T-DNA of the 5307 corn transformation plasmid 

pSYN12274, indicating the location of the full-length T-DNA-specific probe and restriction 

sites for BstEII, SpeI, SmaI, and PmeI. Figure V-15 depicts the results of the corresponding 

Southern blot analyses, and Table V-7 provides the expected and observed sizes of the 

hybridization bands.

For Southern blot analysis of genomic DNA digested with BstEII and probed with the full 

length T-DNA-specific probe, two hybridization bands of approximately 2.9 kb and 7.2 kb 

were observed in lanes containing DNA extracted from 5307 F1, 5307 BC6, 5307 BC7, and 

5307 NP2171 × BC5F3 plants as expected (Figure V-15, Lanes 3, 4, 5, and 6) (Table V-7). 

These hybridization bands were absent in lanes containing DNA extracted from the control 

plants (Figure V-15, Lanes 7, 8, 9, and 10) and were, therefore, specific to the 5307 corn

insert. Three hybridization bands of approximately 11.8 kb, 14 kb, and 20 kb were observed 

in the lane containing the positive control (16.53 pg of plasmid pSYN12274 DNA digested 

with SpeI and loaded with DNA extracted from NP2171 × NP2460 plants) (Figure V-15,

Lane 19).
5307-USDA-1 Page 63 of 211

Figure V-14. Location of the BstEII, SpeI, SmaI, and PmeI restriction sites and 

position of the 6423-bp full-length T-DNA-specific probe in the T-DNA region of the 

transformation plasmid pSYN12274.

Additional bands resulting from cross-hybridization of the ZmUbiInt promoter sequence 

present on the full length T-DNA-specific probe with the endogenous maize polyubiquitin 

promoter sequence were also detected in all material analyzed. Two hybridization bands of 

approximately 8.4 kb and 12 kb, corresponding to the hybridization bands observed in lanes 

containing DNA extracted from NP2460 plants (Figure V-15, Lane 9) and NP2222 plants 

(Figure V-15, Lane 8), respectively, were observed in lanes containing DNA extracted from 

5307 F1, 5307 BC6, and 5307 BC7 plants (Figure V-15, Lanes 3, 4, and 5). Two 

hybridization bands of approximately 12 kb and 18 kb, corresponding to the hybridization 

bands observed in lanes containing DNA extracted from NP2222 plants (Figure V-15, Lane 

8) and NP2171 plants (Figure V-15, Lane 10), respectively, were observed in the lane 

containing DNA extracted from 5307 NP2171 × BC5F3 plants (Figure V-15, Lane 6). 

Finally, two hybridization bands of approximately 8.4 kb and 18 kb, corresponding to the 

hybridization bands observed in lanes containing DNA extracted from NP2460 plants 

(Figure V-15, Lane 9) and NP2171 plants (Figure V-15, Lane 10), respectively, were 

observed in lanes containing DNA extracted from NP2171 × NP2460 plants (Figure V-15, 

Lane 7).
5307-USDA-1 Page 64 of 211

For Southern blot analysis of genomic DNA digested with SpeI and probed with the full 

length T-DNA-specific probe, two hybridization bands of approximately 2.6 kb and 7.0 kb 

were observed in lanes containing DNA extracted from 5307 F1, 5307 BC6, 5307 BC7, and 

5307 NP2171 × BC5F3 plants as expected (Figure V-15A, Lanes 11, 12, 13, and 14) (Table 

V-7). These bands were absent in lanes containing DNA extracted from the control plants 

(Figure V-15A, Lanes 15, 16, 17, and 18) and were, therefore, specific to the 5307 corn

insert. Three hybridization bands of approximately 11.8 kb, 14 kb, and 20 kb were observed 

in the lane containing the positive control (16.53 pg of plasmid pSYN12274 DNA digested 

with SpeI and loaded with DNA extracted from NP2171 × NP2460 plants) (Figure V-15A, 

Lane 19).

(A) BstEII or SpeI

Lane A1 = molecular weight markers

Lane A2 = blank

Lane A3 = 5307 F1

Lane A4 = 5307 BC6 digested with BstEII

digested with BstEII

Lane A5 = 5307 BC7 digested with BstEII

Lane A6 = 5307 NP2171 × BC5F3

Lane A7 = NP2171 × NP2460 digested with BstEII

digested with BstEII

Lane A8 = NP2222 digested with BstEII

Lane A9 = NP2460 digested with BstEII

Lane A10 = NP2171 digested with BstEII

Lane A11 = 5307 F1 

Lane A12 = 5307 BC6 digested with SpeI

digested with SpeI

Lane A13 = 5307 BC7 digested with SpeI

Lane A14 = 5307 NP2171 × BC5F3

Lane A15 = NP2171 × NP2460 digested with SpeI

digested with SpeI

Lane A16 = NP2222 digested with SpeI

Lane A17 = NP2460 digested with SpeI

Lane A18 = NP2171 digested with SpeI

Lane A19 = Positive control (NP2171 × NP2460 and 16.53 pg of pSYN12274 digested with SpeI)

Figure V-15. Genetic stability Southern blot analysis of 5307 corn with the 6423-bp 

full-length T-DNA-specific probe, using restriction enzymes BstEII, SpeI, and SmaI + 

PmeI.
5307-USDA-1 Page 65 of 211

(B) SmaI + PmeI

Lane B1 = molecular weight markers

Lane B2 = blank

Lane B3 = 5307 F1

Lane B4 = 5307 BC6 digested with SmaI + PmeI

digested with SmaI + PmeI

Lane B5 = 5307 BC7 digested with SmaI + PmeI

Lane B6 = 5307 NP2171 × BC5F3

Lane B7 = NP2171 × NP2460 digested with SmaI + PmeI

digested with SmaI + PmeI

Lane B8 = NP2222 digested with SmaI + PmeI

Lane B9 = NP2460 digested with SmaI + PmeI

Lane B10 = NP2171 digested with SmaI + PmeI

Lane B11 = Positive control (NP2171 × NP2460 and 16.53 pg of pSYN12274 digested with SmaI + PmeI)

Figure V-15 (continued). Genetic stability Southern blot analysis of 5307 corn with the 

6423-bp full-length T-DNA-specific probe, using restriction enzymes BstEII, SpeI, and 

SmaI + PmeI.

Additional bands resulting from cross-hybridization of the ZmUbiInt promoter sequence 

present on the full length T-DNA-specific probe with the endogenous maize polyubiquitin 

promoter sequence were also detected in all material analyzed. Two hybridization bands of 

approximately 20 kb and 25 kb, corresponding to the hybridization bands observed in lanes 

containing DNA extracted from NP2460 plants (Figure V-15A, Lane A17) and NP2222 

plants (FigureV-15A, Lane A16), respectively, were observed in lanes containing DNA 

extracted from 5307 F1, 5307 BC6, and 5307 BC7 plants (Figure V-15A, Lanes A11, A12, 

and A13). Two hybridization bands of approximately 14 kb and 25 kb, corresponding to the 

hybridization bands observed in lanes containing DNA extracted from NP2171 plants 

(Figure V-15A, Lane A18) and NP2222 plants (Figure V-15A, Lane A16), respectively, 

were observed in the lane containing DNA extracted from 5307 NP2171 × BC5F3 plants 

(Figure V-15A, Lane A14). 
5307-USDA-1 Page 66 of 211

Table V-7. Expected and observed hybridization band sizes in Southern blot analysis of 

5307 corn, using a full length T-DNA-specific probe and restriction enzymes BstEII, 

SpeI, and SmaI + PmeI.

Figure & 

Lane No. Source of DNA Restriction enzyme

Expected 

number of bands

Expected 

band size (kb)

Observed 

band size (kb)

Fig. V-15A, 

Lane A3 5307 F1 BstEII 2 5307 insert

x endogenous

>2.4

>4

unknown

~2.9

~7.2

~8.4 (endogenous)

~12 (endogenous)

Fig. V-15A, 

Lane A4 5307 BC6 BstEII 2 5307 insertx endogenous

>2.4

>4

unknown

~2.9

~7.2

~8.4 (endogenous)

~12 (endogenous)

Fig.V-15A, 

Lane A5 5307 BC7 BstEII 2 5307 insert x 

endogenous

>2.4

>4

unknown

~2.9

~7.2

~8.4 (endogenous)

~12 (endogenous)

Fig. V-15A, 

Lane A6 5307 NP2171 × BC5F3 BstEII 2 5307 insert

x endogenous

>2.4

>4

unknown

~2.9

~7.2

~12 (endogenous)

~18 (endogenous)

Fig. V-15A, 

Lane A7 NP2171 × NP2460 BstEII x endogenous unknown ~8.4 (endogenous)~18 (endogenous)

Fig. V-15A, 

Lane A8 NP2222 BstEII x endogenous unknown ~12 (endogenous)

Fig. V-15A, 

Lane A9 NP2460 BstEII x endogenous unknown ~8.4 (endogenous)

Fig. V-15A, 

Lane A10 NP2171 BstEII x endogenous unknown ~18 (endogenous)

Fig. V-15A, 

Lane A11 5307 F1 SpeI 2 5307 insert

x endogenous

>0.6

>5.8

unknown

~2.6

~7

~20 (endogenous)

~25 (endogenous)

Fig. V-15A, 

Lane A12 5307 BC6 SpeI 2 5307 insert

x endogenous

>0.6

>5.8

unknown

~2.6

~7

~20 (endogenous)

~25 (endogenous)

Fig. V-15A, 

Lane A13 5307 BC7 SpeI 2 5307 insertx endogenous

>0.6

>5.8

unknown

~2.6

~7

~20 (endogenous)

~25 (endogenous)

Fig. V-15A, 

Lane A14 5307 NP2171 × BC5F3 SpeI 2 5307 insert

x endogenous

>0.6

>5.8

unknown

~2.6

~7

~14 (endogenous)

~25 (endogenous)

Fig. V-15A, 

Lane A15 NP2171 × NP2460 SpeI x endogenous unknown ~14 (endogenous)~20 (endogenous)

Fig. V-15A, 

Lane A16 NP2222 SpeI x endogenous unknown ~25 (endogenous)

Fig. V-15A, 

Lane A17 NP2460 SpeI x endogenous unknown ~20 (endogenous)

Fig. V-15A, 

Lane A18 NP2171 SpeI x endogenous unknown ~14 (endogenous)

Fig. V-15A, 

Lane A19

Positive control 

(NP2171 × NP2460 

and 16.53 pg of 

pSYN12274)

SpeI

1 pSYN12274

x endogenous

11.8

Unknown

~11.8

~14 (endogenous)

~20 (endogenous)

x = unknown number
5307-USDA-1 Page 67 of 211

Table V-7 (continued). Expected and observed hybridization band sizes in Southern 

blot analysis of 5307 corn, using a full length T-DNA-specific probe and restriction 

enzymes BstEII, SpeI, and SmaI + PmeI.

Figure & 

Lane No. Source of DNA Restriction enzyme

Expected 

number of bands

Expected band 

size (kb)

Observed band 

size (kb)

Fig. V-15B, 

Lane B3 5307 F1 SmaI + PmeI

1 5307 insert

x endogenous

6.3

Unknown

~6.3

~18 (endogenous)

>30 (endogenous)

Fig. V-15B, 

Lane B4 5307 BC6 SmaI + PmeI

1 5307 insert

x endogenous

6.3

unknown

~6.3

~18 (endogenous)

>30 (endogenous)

Fig. V-15B, 

Lane B5 5307 BC7 SmaI + PmeI

1 5307 insert

x endogenous

6.3

unknown

~6.3

~18 (endogenous)

>30 (endogenous)

Fig. V-15B, 

Lane B6

5307 NP2171 × 

BC5F SmaI + PmeI 3

1 5307 insert

x endogenous

6.3

unknown

~6.3

~18 (endogenous)

>30 (endogenous)

Fig. V-15B, 

Lane B7

NP2171 × 

NP2460 SmaI + PmeI x endogenous unknown >30 (endogenous)

Fig. V-15B, 

Lane B8 NP2222 SmaI + PmeI x endogenous unknown ~18 (endogenous)

Fig. V-15B, 

Lane B9 NP2460 SmaI + PmeI x endogenous unknown >30 (endogenous)

Fig. V-15B,

Lane B10 NP2171 SmaI + PmeI x endogenous unknown >30 (endogenous)

Fig. V-15B, 

Lane B11

Positive control 

(NP2171 × 

NP2460 and 

16.53 pg of 

pSYN12274)

SmaI + PmeI 1 pSYN12274

x endogenous

6.3

unknown

~6.3

>30 (endogenous)

x = unknown number

Finally, two hybridization bands of approximately 14 kb and 20 kb, corresponding to the 

hybridization bands observed in lanes containing DNA extracted from NP2171 plants 

(Figure V-15A, Lane A18) and NP246 plants (Figure V-15A, Lane A17), respectively, were 

observed in lanes containing DNA extracted from NP2171 × NP2460 plants (Figure V-15A, 

Lane A15). For Southern blot analysis of genomic DNA digested with SmaI + PmeI and 

probed with the full length T-DNA-specific probe, one hybridization band of approximately 

6.3 kb was observed in lanes containing DNA extracted from 5307 F1, 5307 BC6, 5307 

BC7, and 5307 NP2171 × BC5F3 plants as expected (Figure V-15B, Lanes B3, B4, B5, and 

B6) (Table V-7). This hybridization band was absent in lanes containing DNA extracted 

from the control plants (Figure V-15B, Lanes B7, B8, B9, and B10) and was, therefore, 

specific to the 5307 corn insert. One hybridization band of approximately 6.3 kb and a high 

molecular weight band (greater than 30 kb) was observed in the lane containing the positive 

control (16.53 pg of plasmid pSYN12274 DNA digested with SmaI + PmeI and loaded with

DNA extracted from NP2171 × NP2460 plants) (Figure V-15B, Lane B11). At least one 

additional band resulting from cross-hybridization of the ZmUbiInt promoter sequence 

present on the full length T-DNA-specific probe with the endogenous maize polyubiquitin 

promoter sequence was also detected in all material analyzed. One hybridization band of 

approximately 18 kb, corresponding to the hybridization band observed in the lane 

containing DNA extracted from NP2222 plants (Figure V-15B, Lane B8), was observed in 

lanes containing DNA extracted from 5307 F1, 5307 BC6, 5307 BC7 and 5307 NP2171 × 
5307-USDA-1 Page 68 of 211

BC5F3 plants (Figure V-15B, Lanes B3, B4, B5, and B6). An additional high molecular 

weight band (greater than 30 kb) was observed in lanes containing DNA extracted from 

NP2460 plants (Figure V-15B, Lane B9) and NP2171 plants (Figure V-15B, Lane B10). 

This faint high molecular weight band (greater than 30 kb) was observed in all lanes

containing DNA extracted from plants carrying either the NP2460 polyubiquitin promoter 

allele (5307 F1, 5307 BC6, 5307 BC7, and NP2171 × NP2460) (Figure V-15B, Lanes B3, 

B4, B5, and B7) and/or the NP2171 polyubiquitin promoter allele (5307 NP2171 × BC5F3

and NP2171 × NP2460) (Figure V-15B, Lanes B6 and B7). 

Data from these Southern blot analyses demonstrated that the 5307 corn insert integrated 

into a single locus of the corn genome as only two hybridization bands specific to the 5307 

corn insert were observed when genomic DNA was digested with BstEII and probed with a 

full length T-DNA-specific probe and only two hybridization bands specific to the 5307 

corn insert were observed when the genomic DNA was digested with SpeI and probed with a 

full length T-DNA-specific probe. These hybridization bands were specific to the 5307 corn

insert and corresponded to each side of the restriction site of the enzyme used for Southern 

blot analysis. Additional hybridization bands observed resulted from cross-hybridization 

between the ZmUbiInt promoter sequence present on the full length T-DNA-specific probe 

with the endogenous maize polyubiquitin promoter sequence; these bands were consistent 

with the genetic make-up of the various generations analyzed. As expected, the 5307 F1, 

5307 BC6, and 5307 BC7 generations carry the maize polyubiquitin promoter allelic forms

present in NP2222 and NP2460, the 5307 NP2171 × BC5F3 generation carries the maize

polyubiquitin promoter allelic forms present in NP2171 and NP2222, and the control

NP2171 × NP2460 material carries the maize polyubiquitin promoter allelic forms present in 

NP2171 and NP2460.

Data from these Southern blot analyses also demonstrated that a complete copy of the 5307 

corn insert integrated into the corn genome as the hybridization band specific to the 5307 

corn insert observed when the genomic DNA was digested with SmaI + PmeI was the 

predicted size. The approximately 18 kb band observed on this Southern blot was present in 

lanes containing DNA extracted from NP2222 plants and all generations carrying the 

NP2222 polyubiquitin promoter allelic form (5307 F1, 5307 BC6, 5307 BC7, and 5307 

NP2171 × BC5F3). The faint and high molecular weight band (greater than 30 kb) observed 

on this Southern blot was present in lanes containing DNA extracted from NP2460 plants 

and NP2171 plants and all generations carrying either the NP2460 polyubiquitin promoter 

allelic form (5307 F1, 5307 BC6, 5307 BC7, and NP2171 × NP2460) and/or the NP2171 

polyubiquitin promoter allelic form (5307 NP2171 × BC5F3 and NP2171 × NP2460). 

Because no additional bands were observed (other than those associated with the 5307 corn

insert and the corn endogenous sequence), Southern blot analyses indicated that there were 

no extraneous DNA fragments of plasmid pSYN12274 T-DNA in other regions of the 5307 

corn genome. The data depicted in the Southern blot analyses showed that the hybridization 

bands specific to the insert were identical in lanes containing DNA extracted from plants 

grown from all generations (5307 F1, 5307 BC6, 5307 BC7, and 5307 NP2171 × BC5F3); 

these results indicated that the 5307 corn insert is stably inherited from one generation to the 

next. Southern blot analyses demonstrated that the 5307 corn genome contains a single, 

complete copy of the insert and that there are no extraneous DNA fragments of plasmid 
5307-USDA-1 Page 69 of 211

pSYN12274 T-DNA inserted elsewhere in the 5307 corn genome. Identical hybridization 

patterns across all generations of 5307 corn analyzed in this study indicates that the insert is

stably inherited from one generation to the next. 

V.D.2. Confirmation of Absence of Plasmid Backbone DNA Using a Backbone-Specific 

Probe

The absence of plasmid backbone sequence in 5307 corn in multiple generations of 5307 

plants was assessed by Southern blot analyses using plasmid pSYN12274 backbone 

sequence as a probe on Southern blots of DNA subjected to the two restriction enzyme 

digestion strategies described above. This plasmid backbone-specific probe contained every 

base of the plasmid pSYN12274 backbone present outside of the T-DNA region. With both 

restriction enzyme digestion strategies, no hybridization bands were expected.

The Southern blot analyses included genomic DNA from four generations of 5307 corn

plants (5307 F1, 5307 BC6, 5307 BC7, 5307 NP2171 × BC5F3) and the corresponding 

nontransgenic control plants (NP2171 × NP2460, NP2222, NP2460, and NP2171) (see 

pedigree diagram, Figure III-3). Figure V-12 shows a map of the plasmid pSYN12274 

indicating the location of the plasmid pSYN12274 backbone-specific probe and restriction 

sites for BstEII, SpeI, SmaI, and PmeI. Figure V-16 depicts the results of the corresponding 

Southern blot analyses, and Table V-8 provides the expected and observed sizes of the 

hybridization bands. 

For Southern blot analyses of genomic DNA digested with BstEII and probed with the

plasmid pSYN12274 backbone-specific probe, no hybridization bands were observed in the 

lanes containing DNA extracted from plants grown from the test and control substances 

(5307 F1, 5307 BC6, 5307 BC7, 5307 NP2171 × BC5F3, NP2171 × NP2460, NP2222, 

NP2460, and NP2171) (Figure V-16A, Lanes A3, A4, A5, A6, A7, A8, A9, and A10), as 

expected. The positive control (16.53 pg of plasmid pSYN12274 DNA digested with SpeI 

and loaded with DNA extracted from NP2171 × NP2460 plants) produced the expected 11.8 

kb band (Figure V-16A, Lane 19). For Southern blot analyses of genomic DNA digested 

with SpeI and probed with the plasmid pSYN12274 backbone-specific probe, no 

hybridization bands were observed in the test and control substances (5307 F1, 5307 BC6, 

5307 BC7, 5307 NP2171 × BC5F3, NP2171 × NP2460, NP2222, NP2460, and NP2171) 

(Figure V-16A, Lanes A11, A12, A13, A14, A15, A16, A17, and A18) as expected. The 

positive control (16.53 pg of plasmid pSYN12274 DNA digested with SpeI and loaded with 

DNA extracted from NP2171 × NP2460 plants) produced the expected 11.8 kb band (Figure 

V-16A, Lane 19). For Southern blot analyses of genomic DNA digested with SmaI + PmeI 

and probed with the backbone-specific probe, no hybridization bands were observed in the 

test and control substances (5307 F1, 5307 BC6, 5307 BC7, 5307 NP2171 × BC5F3, NP2171 

× NP2460, NP2222, NP2460, and NP2171) (Figure V-16B, Lanes B3, B4, B5, B6, B7, B8, 

B9, and B10). The positive control (16.53 pg of plasmid pSYN12274 DNA digested with 

SmaI + PmeI and loaded with DNA extracted from NP2171 × NP2460 plants) produced the

expected 4.2 kb and 1.2 kb bands (Figure V-16B, Lane B11). The data from the three 

Southern blot analyses demonstrated that all the 5307 corn generations analyzed are free of 

plasmid pSYN12274 backbone sequence.
5307-USDA-1 Page 70 of 211

(A) BstEII or SpeI

Lane A1 = molecular weight markers

Lane A2 = blank

Lane A3 = 5307 F1

Lane A4 = 5307 BC6 digested with BstEII

digested with BstEII

Lane A5 = 5307 BC7 digested with BstEII

Lane A6 = 5307 NP2171 × BC5F3

Lane A7 = NP2171 × NP2460 digested with BstEII

digested with BstEII

Lane A8 = NP2222 digested with BstEII

Lane A9 = NP2460 digested with BstEII

Lane A10 = NP2171 digested with BstEII

Lane A11 = 5307 F1

Lane A12 = 5307 BC6 digested with SpeI

digested with SpeI

Lane A13 = 5307 BC7 digested with SpeI

Lane A14 = 5307 NP2171 × BC5F3

Lane A15 = NP2171 × NP2460 digested with SpeI

digested with SpeI

Lane A16 = NP2222 digested with SpeI

Lane A17 = NP2460 digested with SpeI

Lane A18 = NP2171 digested with SpeI

Lane A19 = Positive control (NP2171 × NP2460 and 16.53 pg of pSYN12274 digested with SpeI)

Figure V-16. Genetic stability Southern blot analysis of 5307 corn with the 5312-bp 

plasmid backbone-specific probe, using restriction enzymes BstEII, SpeI, and SmaI + 

PmeI.
5307-USDA-1 Page 71 of 211

(B) SmaI + PmeI

Lane B1 = molecular weight markers

Lane B2 = blank

Lane B3 = 5307 F1

Lane B4 = 5307 BC6 digested with SmaI + PmeI

digested with SmaI + PmeI

Lane B5 = 5307 BC7 digested with SmaI + PmeI

Lane B6 = 5307 NP2171 × BC5F3

Lane B7 = NP2171 × NP2460 digested with SmaI + PmeI

digested with SmaI + PmeI

Lane B8 = NP2222 digested with SmaI + PmeI

Lane B9 = NP2460 digested with SmaI + PmeI

Lane B10 = NP2171 digested with SmaI + PmeI 

Lane B11 = Positive control (NP2171 × NP2460 and 16.53 pg of pSYN12274 digested with SmaI + PmeI)

Figure V-16 (continued). Genetic stability Southern blot analysis of 5307 corn with the 

5312-bp plasmid backbone-specific probe, using restriction enzymes BstEII, SpeI, and 

SmaI + PmeI.
5307-USDA-1 Page 72 of 211

Table V-8. Expected and observed hybridization band sizes in Southern blot analysis of 

5307 corn, using a plasmid backbone-specific probe and restriction enzymes BstEII,

SpeI, and SmaI + PmeI.

Figure & 

Lane No.

Source of DNA Restriction 

enzyme

Expected 

number of 

bands

Expected 

band size 

(kb)

Observed 

band size 

(kb)

Fig. V-16A, 

Lane A3 5307 F1 BstEII none none none

Fig. V-16A,

Lane A4 5307 BC6 BstEII none none none

Fig. V-16A, 

Lane A5 5307 BC7 BstEII none none none

Fig. V-16A, 

Lane A6 5307 NP2171 × BC5F3 BstEII none none none

Fig. V-16A, 

Lane A7 NP2171 × NP2460 BstEII none none none

Fig. V-16A, 

Lane A8 NP2222 BstEII none none none

Fig. V-16A, 

Lane A9 NP2460 BstEII none none none

Fig. V-16A, 

Lane A10 NP2171 BstEII none none none

Fig. V-16A, 

Lane A11 5307 F1 SpeI none none none

Fig. V-16A, 

Lane A12 5307 BC6 SpeI none none none

Fig. V-16A, 

Lane A13 5307 BC7 SpeI none none none

Fig. V-16A, 

Lane A14 5307 NP2171 × BC5F3 SpeI none none none

Fig. V-16A, 

Lane A15 NP2171 × NP2460 SpeI none none none

Fig. V-16A, 

Lane A16 NP2222 SpeI none none none

Fig. V-16A, 

Lane A17 NP2460 SpeI none none none

Fig. V-16A, 

Lane A18 NP2171 SpeI none none none

Fig. V-16A, 

Lane A19

Positive control (NP2171×NP2460 

and 16.53 pg of pSYN12274) SpeI 1 11.8 ~11.8

Fig. V-16B, 

Lane B3 5307 F1 SmaI + PmeI none none none

Fig. V-16B, 

Lane B4 5307 BC6 SmaI + PmeI none none none

Fig. V-16B, 

Lane B5 5307 BC7 SmaI + PmeI none none none

Fig. V-16B, 

Lane B6 5307 NP2171 × BC5F3 SmaI + PmeI none none none

Fig. V-16B, 

Lane B7 NP2171 × NP2460 SmaI + PmeI none none none

Fig. V-16B, 

Lane B8 NP2222 SmaI + PmeI none none none

Fig. V-16B, 

Lane B9 NP2460 SmaI + PmeI none none none

Fig. V-16B,

Lane B10 NP2171 SmaI + PmeI none none none

Fig. V-16B,

Lane B11

Positive control (NP2171×NP2460 

and 16.53 pg of pSYN12274) SmaI + PmeI 2 4.21.2

~4.2

~1.2
5307-USDA-1 Page 73 of 211

V.E. Mendelian Inheritance of the T-DNA Insert

A chi-square (Χ2) analysis of ecry3.1Ab and pmi inheritance data over three generations of 

Event 5307 corn was performed to test the hypothesis that the transgenes are inherited in 

accordance with the laws of Mendelian genetics. The chi-square analysis was based on a 

comparison of observed and expected gene segregation ratios from each generation. Realtime PCR analyses (Ingham et al., 2001) were conducted on DNA extracted from leaf tissue 

of three generations of 5307 corn plants to determine the number of plants that were positive 

or negative for both the transgenes ecry3.1Ab and pmi (see method in Appendix B). Ninetytwo plants from 5307 F1

Genotypic data generated for the three 5307 corn generations were used to assess the 

goodness-of-fit of the observed genotypic ratios to the expected genotypic ratios using chisquare analysis with Yates’ correction factor as in Armitage and Berry (1987). 

seed, 91 plants from 5307 BC6 seed and 90 plants from 5307 BC7 

seed were grown in a Syngenta Biotechnology, Inc. greenhouse in Research Triangle Park, 

North Carolina, USA (see pedigree diagram in Fig. III-3). During breeding, only progeny 

that tested positive for the two transgenes were selected for further crossing; thus, the 

expected inheritance ratio for positive to negative plants was 1:1 in each generation.

Χ2 = ∑ [|(observed – expected)| - 0.5]2

All plants tested positive for the control assay targeting the endogenous corn gene adh1, 

confirming that DNA was present in all real-time PCR reactions. The expected and 

observed frequencies of ecry3.1Ab and pmi for each generation are presented in Tables V-9

and V-10. The critical value for rejection of the null hypothesis at the 5% level was 3.84

(Strickberger, 1976). The chi-square values for each generation tested were found to be less 

than 3.84. This analysis demonstrates that both the ecry3.1Ab and pmi are inherited in a 

predictable manner according to Mendelian principles. These results are consistent with the 

genetic characterization data for 5307 corn, which indicate stable integration of the T-DNA

at a single locus in the genome.

/ expected

Table V-9. Observed versus expected frequencies for ecry3.1Ab across generations. 

Trait

F1 BC6 BC7

Observed Expected Observed Expected Observed Expected

Positive 44 46 40 45.5 43 45

Negative 48 46 51 45.5 47 45

Total 92 92 91 91 90 90

Χ2 value 0.098 1.099 0.100
5307-USDA-1 Page 74 of 211

Table V-10. Observed versus expected frequencies for pmi across generations. 

Trait

F1 BC6 BC7

Observed Expected Observed Expected Observed Expected

Positive 44 46 40 45.5 43 45

Negative 48 46 51 45.5 47 45

Total 92 92 91 91 90 90

Χ2 value 0.098 1.099 0.100

V.F. Flanking Sequence Analysis to Determine if T-DNA Inserted into a Known Corn

Gene

Nucleotide sequences flanking the 5′ and 3′ ends of the T-DNA in 5307 corn were identified 

by PCR, as described in Appendix B. These sequences, representing 1000 bp at the 5′ end 

of the T-DNA and 1000 at the 3′ end of the T-DNA, were screened for similarity with 

sequences found in public databases. This comparison provided an indication of whether 

the 5307 corn T-DNA inserted into a known plant gene. A sequence similarity analysis was 

performed using Basic Local Alignment Search Tool for Nucleotides (BLASTN) software,

version 2.2.19 (Altschul et al., 1997) which compared the flanking sequences with 

nucleotide sequences in the National Center for Biotechnology Information Nucleotide 

Collection (nr/nt) database (NCBI, 2010a). The nr/nt database contains all sequences from 

the National Institutes of Health genetic sequence database (GenBank®), RefSeq 

Nucleotides, the European Molecular Biology Laboratory, the DNA Database of Japan, and 

nucleotide sequences derived from the three-dimensional structures from the Brookhaven 

Protein Data Bank. At the time the BLASTN analysis was run (May 7, 2010), the nr/nt 

database contained over 11 million sequences. Details of the parameters used in the 

BLASTN analysis are provided in Appendix B. 

BLASTN analysis was conducted using the 1000 bp of corn genomic sequence flanking the 

5ʹ end of the 5307 T-DNA insert as the query sequence. The search identified all alignments 

to sequences in the nr/nt database with search results yielding an E-value of 10 or 

lower. This analysis was repeated using the 1000 bp of corn genomic sequence flanking the 

3ʹ end of the 5307 T-DNA as the query sequence. The E-value, or “expectation value,” is a 

measure of the probability that matches between sequences occurred by chance. Search 

results involving comparisons between nucleotide sequences with highly similar sequences 

yield E-values approaching zero. The probability that sequence similarities occurred by 

chance increases with higher E-values (Ponting, 2001). 

Using the results of each BLASTN query, the 20 alignments with the lowest E-values were 

examined for this analysis. The corn genomic sequences flanking the 5ʹ region and the 3ʹ 

region of the 5307 corn insert aligned to multiple bacterial artificial chromosome (BAC) 

corn sequences that were annotated as various corn chromosome numbers (i.e., corn
5307-USDA-1 Page 75 of 211

chromosome numbers 4, 5, 6, 8, 9, and 10). This suggests that the 5307 corn insert is 

located in a repetitive region of the corn genome. Both flanking sequences aligned to NCBI 

nucleotide database accession numbers AY530950.1, AY530951.1 and AY530952.1, which 

were annotated as containing gene sequences. However, the regions of AY530950.1, 

AY530951.1, and AY530952.1 that were similar to the corn genomic sequences flanking the 

5ʹ region and the 3ʹ region of the 5307 insert were not annotated as a gene. Both flanking 

sequences also aligned to accession numbers AY664416.1, AY664413.1, AY664419.1, and 

AY664415.1. (However, alignments of corn genomic sequence flanking the 3′ region of the 

5307 insert to accession numbers AY664419.1 and AY664415.1 were not among those with 

the 20 highest similarity scores.) These accession numbers are all annotated as containing

sequences of various genes and repeat regions. However, the regions of AY664416.1,

AY664413.1, AY664419.1, and AY664415.1 that were similar to the corn genomic

sequences flanking the 5ʹ region and the 3ʹ region of the 5307 insert were not annotated as a 

gene. The corn genomic sequences flanking the 5ʹ region and the 3ʹ region of the 5307 

insert aligned to a region of AY664413.1 that was annotated as repeat region

Giepumx19002_LTR retrotransposon. Additionally, short regions of both flanking

sequences (i.e., ~20 to 40 base pairs in length) aligned to multiple regions of multiple

sequences in the database. Some of these regions were also annotated as repeat regions in 

accession numbers AY664416.1, AY664413.1, AY664419.1, and AY664415.1. These

repeat regions were also associated with retrotransposons. Approximately 49 to 78% of the 

corn genome is suggested to be comprised of retrotransposons (San Miguel and Bennetzen,

1998). However, only approximately 5% of the retrotransposon sequences in the corn

genome are predicted to produce proteins (Meyers et al., 2001). Because retrotranposons

are repetitive, the repeat regions that align to corn genomic sequences flanking the 5ʹregion 

and the 3ʹ region of the 5307 insert are likely to be repeated elsewhere in the corn genome.

BLASTN analysis indicated that the corn genomic sequence flanking the 3′ region of the 

5307 corn insert is also similar to accession number EU954153.1, which was annotated as a 

hypothetical protein mRNA sequence from Zea mays. The region of the flanking sequence 

that is similar to EU954153.1 was located 109 bp downstream of the genome-to-insert 

junction. BLASTN analysis also indicated that the corn genomic sequence flanking the 3′

region of the 5307 corn insert is similar to accession number EZ054274.1, annotated as 

mRNA sequence from Zea mays. The region of the flanking sequence that is similar to

EZ054274.1 was located 376 bp downstream of the genome-to-insert junction. The corn

genomic sequence flanking the 5ʹ region of the 5307 corn insert did not align to sequence

EU954153.1 or EZ054274.1. None of the alignments retrieved indicates that a known 

endogenous corn gene was interrupted by the Event 5307 T-DNA insert.

A comparison of the sequence of the genomic insertion site from nontransgenic maize 

(inbred line NP2222) with the genomic sequences flanking the 5307 corn T-DNA insert 

determined that 33 bp of corn genomic sequence were deleted when the 5307 insert 

integrated into the corn genome. 
5307-USDA-1 Page 76 of 211

V.G. Analysis of Putative Open Reading Frames Spanning the Genome to Insert 

Junction

The Vector NTI AdvanceTM program, version 10.3.0, was used to identify any putative open 

reading frames (ORFs) that span the junctions between the corn genomic sequence and the 

5307 corn T-DNA insert. For this analysis, putative ORFs were defined as DNA sequences 

in any reading frame that are contained between a putative start codon (ATG) and a putative 

stop codon (TAG, TAA, or TGA), and have a minimum translation size of 30 amino acids. 

This analysis identified one putative ORF of 243 bp; it spanned the junction between the 

corn genomic sequence and the 3ʹ region of the 5307 corn insert. This putative ORF was 

identified solely by bioinformatic analysis; there is no evidence that it results in the 

production of a corresponding protein. 

Bioinformatic analyses demonstrated that the translated 81-amino-acid sequence of this 

putative ORF had no significant sequence similarity to known or putative toxins or 

allergens. The methods used for these toxin and allergen similarity searches are described in 

Appendix B. 

V.H. Summary of the Genetic Characterization of Event 5307 Corn

Southern blot analyses demonstrate that Event 5307 corn (1) contains, at a single locus 

within the corn genome, a single copy each of the gene ecry3.1Ab, its CMP promoter 

sequence, the marker gene pmi, its ZmUbiInt promoter sequence, and the two expected 

copies of the NOS terminator sequence, one NOS terminator sequence regulating ecry3.1Ab 

and one NOS terminator sequence regulating pmi; (2) does not contain any extraneous DNA 

fragments of these functional elements inserted elsewhere in the corn genome; (3) and does 

not contain plasmid backbone sequence from the transformation plasmid, pSYN12274.

Nucleotide sequence analysis of the entire Event 5307 insert confirms that the insert is intact 

and that the organization of the functional elements within the insert is identical to their 

organization within pSYN12274. One nucleotide change compared to the sequence of 

pSYN12274 was identified 48 base pairs (bp) upstream of the CMP promoter in a 

noncoding region of the insert in Event 5307 corn. However, this nucleotide change had no 

effect on the functionality of the insert. Additionally, the analysis indicates that some 

truncation of the nucleotide sequence occurred at the 5′ and 3′ ends of the T-DNA during the 

transformation process that resulted in Event 5307 corn; such truncation occurs commonly 

in transformation via Agrobacterium. The entire RB and three bp of noncoding sequence at 

the 5′ end of the insert, and eight bp of the LB were truncated; however, these deletions had 

no effect on the functionality of the insert. 

Sequence analysis of the Event 5307 insertion site demonstrates that 33 bp of corn genomic 

sequence were deleted when the Event 5307 insert integrated into the corn genome. 

BLASTN analyses comparing the corn genomic sequence flanking the Event 5307 insert to 

sequences in public databases indicate that the insert does not disrupt any known 

endogenous corn gene. 

A putative 243-bp novel open reading frame (ORF) spanning the junction between corn

genomic sequence and the 3′ region of the 5307 corn insert was identified. The translated 
5307-USDA-1 Page 77 of 211

81-amino-acid sequence encoded by the putative ORF was screened for amino acid 

sequence similarity to known or putative allergens or toxins. Comparisons to the FARRP 

AllergenOnline database indicate that the amino acid translation of the identified putative 

ORF shows no biologically relevant amino acid sequence similarity to any known or 

putative protein allergens. Additionally, the results of a comprehensive amino acid 

similarity search of the NCBI Entrez® Protein Database indicate that the amino acid 

translation of the identified putative ORF shows no biologically relevant amino acid 

sequence similarity to any known or putative toxins. These data collectively demonstrate 

that there are no deleterious changes in the 5307 corn genome as a result of the T-DNA 

insertion. 

The ecry3.1Ab and pmi segregation ratios over several generations of Event 5307 corn

plants are consistent with linkage of these transgenes at a single locus in the corn nuclear 

genome. These data and the results from Southern blot analyses of multiple generations of 

Event 5307 corn indicate that the transgenic locus is stably inherited during conventional 

breeding.
5307-USDA-1 Page 78 of 211

VI. Characterization of the eCry3.1Ab and PMI Proteins

The eCry3.1Ab and PMI proteins produced in Event 5307 corn have been characterized and 

tested to determine their potential for causing adverse effects in humans, livestock and 

wildlife. This process included an assessment of the: 1) origin and function of each protein; 

2) mode of action of each protein; 3) physicochemical properties of the proteins; 

4) biological activity of the proteins; and 5) potential toxicity of each protein. The 

concentrations of eCry3.1Ab and PMI in 5307 corn tissues were also determined for use in 

risk assessment.

VI.A. eCry3.1Ab – Origin, Mode of Action, and Insecticidal Specificity

The Cry (crystal) proteins produced by Bacillus thuringiensis share structural similarities; 

thus, chimeric Cry genes can be engineered via the exchange of domains that are 

homologous between different Cry genes. As described in Table IV-1, Figure IV-1, and 

Walters et al. (2010), the eCry3.1Ab1 protein in Event 5307 represents a chimeric protein

comprised of portions of two B.-thuringiensis-derived crystal proteins, modified Cry3A 

(mCry3A) and Cry1Ab. Additionally there are 22 amino acids at the N-terminus of 

eCry3.1Ab that are not derived from a Cry protein, per se, but were the result of a PCRinduced mutation that resulted in a reading-frame shift in the nucleotide sequence of a 

portion of the gene mcry3A. Following the 22 N-terminal amino acids, there are 459 

consecutive amino acids from mCry3A, followed by 172 consecutive amino acids from 

Cry1Ab at the C-terminus, resulting in a total eCry3.1Ab polypeptide of 653 amino acids 

with a molecular weight of 73.7 kDa.

The mCry3A protein is a modified form of the native Cry3A produced by B. thuringiensis

subsp. tenebrionis, and is present in Syngenta’s coleopteran-resistant Event MIR604 corn, 

which was deregulated by APHIS in 2007 (in response to APHIS Petition 04-362-01p). 

Cry1Ab is a native protein produced by B. thuringiensis subsp. HD-1. A truncated version 

of this protein is present in Syngenta’s lepidopteran-resistant Event Bt11 corn, which was 

deregulated by APHIS in 1996 (in response to APHIS Petition 95-195-01p). The native 

forms of both Cry3A and Cry1Ab are present in U.S. EPA-registered microbial B. 

thuringiensis insecticide products for coleopteran and lepidopteran control, respectively. 

As an engineered chimeric protein, eCry3.1Ab has similarities to other well characterized 

Cry proteins. The spectrum of insecticidal activity of any individual Cry protein is quite 

narrow. Any given Cry protein is typically active against only a few species within a

phylogenic Order. The specificity of each B. thuringiensis Cry protein is the result of the 

efficiency of the necessary steps involved in producing an active protein toxin and its 

subsequent interaction with the epithelial cells in the insect midgut. To exert their 

insecticidal activity, most known B. thuringiensis Cry proteins must: (1) be ingested by the 

 

1 The descriptor “eCry3.1Ab” was assigned by Syngenta; the “e” denotes that it was engineered, and the 

“Cry3” and “1Ab” descriptors relate to the respective source Cry (crystal) proteins, modified Cry3A (mCry3A) 

and Cry1Ab. The eCry3.1Ab protein has not been assigned an official Cry protein designation under the 

formal nomenclature scheme for B. thuringiensis Cry proteins (Crickmore et al., 2010). 
5307-USDA-1 Page 79 of 211

insect and solubilized in the insect gut, (2) be activated by specific proteolytic cleavage by 

midgut enzymes, (3) bind to specific receptors on the surface of the insect midgut and (4) 

form ion channels in the gut membrane. The completion of all these four processes results 

in disruption of the normal function of the midgut leading to the death of the insect. The 

eCry3.1Ab protein exhibits the same behavior as other coleopteran-active B. thuringiensis

Cry proteins, including alkaline solubility, cleavage by chymotrypsin, specificity of brush 

border membrane binding and ion channel formation (Walters et al., 2010). The mode of 

action of eCry3.1Ab, like that of most other Cry proteins, is highly specific to insects and is 

not operable in mammalian or other vertebrate species.

As indicated by the insect activity profile in Table VIII-1 and the results of additional tests 

on multiple nontarget organisms (described in Part VIII of this Petition), eCry3.1Ab is not 

active on species outside the Chrysomelidae family of Coleoptera. It demonstrates no 

lepidopteran activity, despite containing sequences from a lepidopteran-active protein 

(Cry1Ab).

VI.A.1. Characterization of eCry3.1Ab

A number of analytical methods were used to characterize the eCry3.1Ab protein produced 

in 5307 corn plants. Significant quantities of eCry3.1Ab were required to conduct

mammalian and environmental safety studies with the protein. Because it was not feasible 

to extract the required quantities of eCry3.1Ab from 5307 plants for this safety testing 

program, eCry3.1Ab was produced in a recombinant E. coli fermentation system and 

purified in active form. Biochemical and bioactivity analyses were then conducted to 

establish the equivalence of the microbially produced eCry3.1Ab to eCry3.1Ab as produced 

in 5307 plants, to justify use of the microbially produced material as a surrogate for testing 

purposes. 

VI.A.1.a. Production of eCry3.1Ab for Safety Testing 

Syngenta undertook extensive efforts to produce the identical eCry3.1Ab protein in 5307 

plants via microbial production systems. However, these efforts did not yield sufficient 

quantities of bioactive protein, and it proved necessary to produce eCry3.1Ab with an Nterminal tag of histidine residues as a purification aid. This is a common procedure for 

protein synthesis and purification. Except for an N-terminal tag consisting of one 

methionine and six histidine residues, the microbially produced eCry3.1Ab has the identical 

amino acid sequence as eCry3.1Ab produced in 5307 plants. The amino acid sequence of 

the plant-produced eCry3.1Ab can be deduced from the observation that the nucleotide 

sequence of ecry3.1Ab recovered from 5307 plants is identical to the intended sequence (see 

Part V.A. Nucleotide Sequence of the T-DNA Insert). 

The microbially produced eCry3.1Ab is hereafter also referred to as the eCry3.1Ab test 

substance, or by its batch code, ECRY3.1AB-0208. The eCry3.1Ab test substance was 

determined by spectrophotometric analysis to contain 92.4% protein, and densitometric 

analysis indicated that 97.0% of the total protein in the test substance was eCry3.1Ab. 

Thus, the purity of test substance ECRY3.1AB-0208 was calculated to be 89.6% eCry3.1Ab 

by weight. The molecular weight of eCry3.1Ab in the test substance was 74,833 Da as 

measured by mass spectrometry; this was consistent with the predicted molecular weight. 
5307-USDA-1 Page 80 of 211

The production and characterization of test substance ECRY3.1AB-0208 are described in 

Appendix C. 

VI.A.1.b. Equivalence of eCry3.1Ab in Test Substance and in 5307 Plants

To justify the use of the eCry3.1Ab test substance as a suitable surrogate for eCry3.1Ab 

produced in 5307 plants, the proteins were compared biochemically and functionally. Both 

sources of eCry3.1Ab were compared with regard to their molecular weight, integrity 

(intactness), immunoreactivity against an antibody capable of detecting eCry3.1Ab,

glycosylation status, and insecticidal activity against a sensitive species. Additionally, Nterminal sequence analysis and peptide mass mapping were done to confirm the identity of 

both proteins. The genotypes of the 5307 and control plants used in this study were NP2171 

× NP2460(BC5F3)(5307) and NP2171 × NP2460, respectively. (See also Table III-1 and 

the breeding pedigree diagram in Figure III-3.) The plants used for this study were grown in 

a Syngenta greenhouse facility.

The eCry3.1Ab proteins from 5307 corn plants and microbially produced test substance 

ECRY3.1AB-0208 had apparent molecular weights consistent with the predicted molecular 

weights of 73.7 and 74.8 kDa, respectively, and immunologically cross-reacted with 

antibodies capable of detecting the eCry3.1Ab protein. There was no evidence of posttranslational glycosylation of eCry3.1Ab from either the 5307 plants or the microbially 

produced test substance. N-terminal sequence analysis and peptide mass mapping 

confirmed the identity of eCry3.1Ab from both sources. Both the plant-produced and 

microbially produced eCry3.1Ab showed comparable insecticidal activity against Colorado 

potato beetle larvae2 (Leptinotarsa decemlineata), as indicated by the 144-hour LC50 values

in Table VI-1. These results confirm that the addition of one methionine and six histidine 

residues at the N-terminus in microbially produced eCry3.1Ab does not affect the function 

of eCry3.1Ab.

 

2 Although L. decemlineata is not a corn rootworm, it is a member of the same family of Coleoptera

(Chrysomelidae) as are the Diabrotica rootworms and is sensitive to eCry3.1Ab, as indicated in Table VIII-1.

L. decemlineata larvae were used for this study because they are more amenable than rootworms to laboratory 

bioassays.
5307-USDA-1 Page 81 of 211

Table VI-1. Comparison of Colorado potato beetle larvae LC50

First instars were exposed to diets containing eCry3.1Ab from 5307 plants or ECRY3.1AB-0208. Leaf extract 

from control plants was included in the bioassays with ECRY3.1AB-0208 to control for leaf matrix effects. 

Details of these bioassays are provided in Appendix C. For each replicate assay, N = 24 larvae per treatment.

values for eCry3.1Ab 

from 5307 plants and test substance ECRY3.1AB-0208. 

Replicate

LP5307a LP-NEGb + ECRY3.1AB-0208

μg eCry3.1Ab/ml insect diet

LC50 95% CI LC50 95% CI

#1 1.316 0.631-3.187 1.780 0.924-3.190

#2 1.669 0.875-3.279 1.113 0.113-4.001

#3 2.888 1.765-4.655 3.226 1.955-5.134

a Leaf protein extract of 5307 plants containing eCry3.1Ab . b Leaf protein extract of control plants, tested in combination with eCry3.1Ab from test substance ECRY3.1AB-0208.

These characterization and bioactivity results support the conclusion that eCry3.1Ab 

produced in recombinant E. coli (test substance ECRY3.1AB-0208) is biochemically and 

functionally equivalent to the eCry3.1Ab produced in Event 5307 corn plants. These data 

support the use of eCry3.1Ab in test substance ECRY3.1AB-0208 as a suitable surrogate for 

eCry3.1Ab produced in 5307 corn for safety testing purposes. Appendix C provides further 

details of the methods and the results for these analyses of biochemical and functional 

equivalence. 

VI.A.2. Safety Assessment for eCry3.1Ab

A mammalian safety data package was reviewed by the U.S. EPA in connection with the 

approval of the current Experimental Use Permit for 5307 corn, which was granted in June 

2010 (67979-EUP-8). Effective June 16, 2010, EPA established a temporary exemption

from the requirement of a tolerance for eCry3.1Ab residues in corn commodities, pursuant 

to §408(d) of the Federal Food, Drug, and Cosmetic Act, 21 U.S.C. §346a(d) (EPA, 2010a; 

40 CFR § 174.532). Syngenta will soon petition the EPA to convert this temporary 

tolerance exemption to a permanent exemption, in connection with an application for FIFRA 

Section 3 registration of the eCry3.1Ab protein in 5307 corn. An assessment of human and 

animal safety of the eCry3.1Ab protein will be submitted to the U.S. FDA in December 

2010 in connection with a premarket consultation. 

The conclusions of the safety assessment for eCry3.1Ab are summarized below.

1. The donor organism for the source genes used to create ecry3.1Ab is Bacillus 

thuringiensis, a ubiquitous soil bacterium. Insecticidal Cry proteins from B. 

thuringiensis, including the source proteins from which eCry3.1Ab was engineered, have 

a long history of safe use in food crops. Their modes of action are highly specific within

narrow ranges of related insect species, and are not relevant to mammals or other 

vertebrates. Additionallly, bacteria are not known to be sources of allergenic proteins

(Taylor and Hefle, 2001; FAO/WHO, 2001).
5307-USDA-1 Page 82 of 211

2. Bioinformatic analyses showed that the eCry3.1Ab amino acid sequence (653 amino 

acids) has no significant sequence similarity to any toxins, other than other Cry proteins 

(also identified as δ-endotoxins or insecticidal crystal proteins in the search results). 

This comparison was conducted using the latest posting of the National Center for 

Biotechnology Information (NCBI) Entrez® Protein Database (NCBI, 2010b), and 

searching the database using the Basic Local Alignment Search Tool for Proteins 

(BLASTP) program3

3. The eCry3.1Ab protein is not acutely toxic to mice when administered orally at a very 

high dose, 2000 mg/kg body weight. (See study summary in Part VIII.D.2.) 

(Altschul et al., 1997). 

4. The eCry3.1Ab protein is rapidly degraded in simulated gastric fluid containing pepsin

at pH 1.2. No intact eCry3.1Ab or eCry3.1Ab-derived fragments were immunologically 

detectable by Western blot analysis after 30 seconds of exposure to simulated gastric 

fluid. In simulated intestinal fluid containing pancreatin, intact eCry3.1Ab was readily 

degraded within one minute, but smaller fragments of the protein remained undegraded 

following a 48-hour exposure. This behavior in simulated intestinal fluid is a common 

feature of Cry proteins. Additional intestinal proteases not present in pancreatin are 

involved in protein digestion in vivo, and would be expected to further degrade any 

fragments of eCry3.1Ab as part of normal digestive processes in mammals.

5. Bioinformatic analyses showed that the eCry3.1Ab amino acid sequence has no 

significant similarity to the sequences of known or putative allergens in the current 

posting of the Food Allergy Research and Resource Program (FARRP) AllergenOnline 

database, version 10.0 (FARRP, 2010). Sequential 80-amino-acid peptides of the 

eCry3.1Ab sequence were compared to the protein sequences in the Allergen Online 

database using the FASTA search algorithm4

6. The eCry3.1Ab protein is inactivated by heating at temperatures of of 95oC and above.

(Pearson and Lipman, 1988). Additionally, 

the eCry3.1Ab sequence was also examined for matches of eight contiguous amino acids 

(Hileman et al., 2002) with any allergen sequences, to screen for short, local regions of 

amino acid identity that might indicate the presence of common T-cell binding epitopes. 

7. The eCry3.1Ab protein is not glycosylated. (See Appendix C.)

8. A standard weight-of-evidence analysis for allergenic potential (Codex, 2009) indicates 

that eCry3.1Ab is unlikely to be a food allergen and is unlikely to be cross-reactive to 

known allergens. 

 

3 BLASTP version 2.2.8 was used with the following parameters: no complexity filter; expectation score = 10; 

word size = 3; gap costs: existence = 11 and extension = 1. The similarity matrix was Blocks Substitution 

Matrix62 (BLOSUM62). 

4 FASTA version 3.45 was used with the following parameters: extension penalty of 2 and gap creation 

penalty of 12. The scoring matrix was the Blocks Substitution Matrix 50 (BLOSUM50).
5307-USDA-1 Page 83 of 211

VI.B. Phosphomannose Isomerase – Origin and Function

Event 5307 corn plants express the gene pmi (also knows as manA) from E. coli strain K-12 

(Miles and Guest, 1984). This gene encodes the enzyme phosphomannose isomerase (PMI)

that catalyzes the reversible conversion of mannose 6-phosphate and fructose 6-phosphate 

and enables many microorganisms to utilize mannose as a carbon and energy source. PMI 

enzymes are ubiquitous in nature, and are essential for many organisms, including humans. 

The purpose of PMI in 5307 corn was as a selectable marker; it does not have agronomic 

utility, e.g., it does not confer herbicide tolerance.

VI.B.1. Mechanism of Action

PMI has utility as a selectable marker for transformation of many plant species (Bojsen et 

al., 1994; Joersbo, et al., 1998; Negrotto et al., 2000). Plant cells that have been transformed 

with the gene pmi are able to survive and grow on media containing mannose as the only or 

primary energy source. When placed in medium containing mannose as the sole or primary 

sugar source, nontransformed tissue remains dormant and becomes outgrown by 

transformed tissue. Mannose itself is not toxic to plant cells. Inclusion of pmi in the TDNA of transformation plasmid pSYN12274 allowed for selection of successfully 

transformed corn plantlets.

VI.B.2. Characterization of Phosphomannose Isomerase

A number of analytical methods were used to characterize the PMI protein produced in 5307 

corn plants. Significant quantities of PMI were required to conduct mammalian safety 

studies with the protein. Because it was not feasible to extract the required quantities of 

PMI from 5307 plants for this safety testing program, PMI was produced in a recombinant 

E. coli fermentation system and purified in active form. Biochemical and bioactivity 

analyses were then conducted to establish the equivalence of the microbially produced PMI 

to PMI as produced in 5307 plants, to justify use of the microbially produced material as a 

surrogate for testing purposes. 

VI.B.1.a. Production of PMI for Safety Testing 

PMI test substance was produced in recombinant E. coli by over-expressing the same pmi 

gene that was introduced into 5307 corn. The gene pmi (manA) from E. coli strain K-12 was 

cloned into the inducible, over-expression pET-24a vector and transformed into E. coli 

strain BL21(DE3)RP. The PMI protein as encoded in this vector was identical in amino 

acid sequence to that encoded by the vector used to produce 5307 corn.

E. coli cell pellets were ruptured in 25 mM Tris-HCl (pH 7.5) and the cell debris was 

removed by centrifugation. The PMI present in the supernatant was purified with protamine 

sulfate precipitation followed by anion exchange chromatography using a Q Sepharose FF 

column. PMI was eluted from the column using a NaCl gradient, concentrated and 

subjected to gel filtration using a Superdex-200 column and 50 mM NH4HCO3 (pH 8.0) 

buffer. Fractions containing PMI were pooled, frozen and lyophilized. The lyophilized PMI 

sample preparation was designated test substance PMI-0105. This test substance was 

determined by spectrophotometric analysis to contain 89.9% protein, and densitometric 

analysis indicated that 99.6% of the total protein in the test substance was PMI. Thus the 
5307-USDA-1 Page 84 of 211

purity of test substance PMI-0105 was calculated to be 89.5% PMI by weight. The 

predicted PMI molecular weight of 42.8 kDa was confirmed by mass spectrometry. Western 

blot analysis of test substance PMI-0105 revealed a dominant immunoreactive band 

corresponding to the expected PMI molecular weight. N-terminal sequencing confirmed 

that the first 15 amino acids of the test protein corresponded to the predicted N-terminal 

sequence of PMI. 

VI.B.1.b. Equivalence of PMI in Test Substance and in 5307 Plants 

A series of analytical methods were used to characterize the PMI protein produced in 5307 

corn and to demonstrate that a PMI test substance (PMI-0105) produced in recombinant E. 

coli is a suitable surrogate for use in food and feed safety studies. The genotypes of the 

5307 and control plants used in this study were NP2171 × NP2460(BC5F3)(5307) and 

NP2171 × NP2460, respectively. (See also Table III-1 and the breeding pedigree diagram in 

Figure III-3.) The plants used for this study were grown in a Syngenta greenhouse facility.

The identities of both the plant-produced and microbially produced PMI proteins were 

confirmed by apparent molecular weight, immunoreactivity, and enzymatic activity. Plantproduced and microbially produced PMI proteins were demonstrated to have the predicted 

molecular weights of approximately 42.8 kDa and both immunologically cross-reacted with 

the same anti-PMI antibodies, as determined by Western blot analysis, thus confirming the 

identity and integrity of the PMI proteins from both sources. It was also confirmed that both 

sources of PMI proteins catalyzed the same chemical reaction5

Based on these results, the identities of the plant- and microbially produced PMI proteins 

were verified and it can be concluded that the PMI produced in 5307 corn and recombinant 

E. coli are biochemically and functionally equivalent. Therefore, the microbially produced 

PMI, as contained in test substance PMI-0105, is a suitable surrogate for PMI expressed in 

5307 corn for use in safety studies. A more detailed description of the methods and results 

for this protein characterization work can be found in Appendix C.

and had similar specific 

activity of 455.67 U/mg PMI for the plant-produced PMI and 526.26 U/mg PMI for the 

microbially produced PMI.

VI.B.3. Safety Assessment for Phosphomannose Isomerase

Based on its safety profile, the U.S. EPA has established a permanent exemption from the 

requirement of food or feed tolerances for phosphomannose isomerise (PMI) in all crops 

(EPA, 2007; 40 CFR §174.527). PMI is also present as a selectable marker in two other 

Syngenta corn events that have been deregulated by APHIS, namely MIR604 corn (for 

rootworm control) and MIR162 corn (for lepidopteran control). An updated assessment of 

human and animal safety of PMI will be submitted to the U.S. FDA in December 2010 in 

connection with a premarket consultation for 5307 corn. 

 

5 One unit (U) of PMI activity is defined as the amount of enzyme required to catalyze the conversion of 1 

μmol of mannose 6-phosphate to fructose 6-phosphate per minute (equivalent to 1 μmol NADP reduced per 

min). Reaction: Mannose 6-P (catalyzed by PMI)  Fructose 6-P (catalyzed by phosphoglucose isomerase) 

 Glucose 6-P +NADP (catalyzed by glucose 6-P dehydrogenase)  6- Gluconolactone + NADPH
5307-USDA-1 Page 85 of 211

The conclusions of the safety assessment for PMI are summarized below.

1. The source of the gene pmi is E. coli strain K-12, a non-pathogenic strain of this 

ubiquitous bacterium. The PMI protein encoded by this gene has a nontoxic mode of 

action. PMI enzymes serve an essential function in many organisms, including humans. 

Bacteria are not known to be sources of allergenic proteins (Taylor and Hefle, 2001; 

FAO/WHO, 2001).

2. Bioinformatic analyses showed that the PMI amino acid sequence (391 amino acids) has 

no significant sequence similarity to any toxins. This comparison was conducted using 

the latest posting of the National Center for Biotechnology Information (NCBI) Entrez® 

Protein Database (NCBI, 2010b), and searching the database using the Basic Local 

Alignment Search Tool for Proteins (BLASTP) program6

3. PMI (as test substance PMI-0105, containing 89.5% PMI by weight) was not acutely 

toxic to mice when administered orally at a very high dose, 2000 mg PMI/kg body 

weight. There were no mortalities and no adverse clinical signs of toxicity in mice 

treated with PMI and observed for 14 days. There were no adverse test substancerelated effects on body weight, food consumption, clinical pathology, organ weights, 

macroscopic pathology or microscopic pathology. In 1998, a previous PMI acute oral 

toxicity study was conducted using test substance PMI-0198 (60% PMI by weight), in 

which the mice received 3030 mg PMI/kg and were observed for 14 days. This study 

evaluated a more condensed list of parameters than the acute toxicity study utilizing test 

substance PMI-0105, and examined organ weights of the liver, spleen, kidneys and brain. 

Similarly, however, there were no mortalities due to ingestion of the test substance, no 

adverse clinical signs of toxicity, no effects on body weight, and no effects on organ 

weights in mice treated with PMI-0198. This 1998 toxicity study was used to support 

the permanent tolerance exemption granted for PMI (EPA, 2007).

(Altschul et al., 1997). 

4. PMI is rapidly degraded in simulated gastric fluid containing pepsin at pH 1.2. No intact 

PMI or degradation products were visible on the Western blot following one minute of 

exposure to simulated gastric fluid. In simulated intestinal fluid containing pancreatin,

the majority of intact PMI was digested within 5 minutes and no intact PMI or 

degradation products were detected by Western blot analysis upon sampling of the 

reaction mixture after 15 minutes.

5. Bioinformatic analyses showed that the PMI amino acid sequence has no biologically 

relevant similarity to the sequences of known or putative allergens in the current posting 

of FARRP AllergenOnline database, version 10.0 (FARRP, 2010). Sequential 80-

amino-acid peptides of the PMI sequence were compared to the protein sequences in the 

Allergen Online database using the FASTA search algorithm7

 

6 BLASTP version 2.2.8 was used with the following parameters: no complexity filter; expectation score = 10; 

word size = 3; gap costs: existence = 11 and extension = 1. The similarity matrix was Blocks Substitution 

Matrix62 (BLOSUM62). 

(Pearson and Lipman, 

7 FASTA version 3.45 was used with the following parameters: extension penalty of 2 and gap creation 

penalty of 12. The scoring matrix was the Blocks Substitution Matrix 50 (BLOSUM50).
5307-USDA-1 Page 86 of 211

1988). Additionally, the PMI sequence was also examined for matches of eight 

contiguous amino acids (Hileman et al., 2002) with any allergen sequences, to screen for 

short, local regions of amino acid identity that might indicate the presence of common Tcell binding epitopes. As previously identified, there was one sequence identity match 

of eight contiguous identical amino acids between PMI and a known allergen, αparvalbumin from Rana species CH2001 (unidentified edible frog) (Hilger et al., 2002). 

Further investigation using IgE-specific serum screening methodology (Codex, 2009)

demonstrated no cross-reactivity between PMI and the allergen α-parvalbumin, using 

serum from the single individual known to have demonstrated IgE-mediated allergy to 

this specific α-parvalbumin. The allergic patient’s serum IgE did not recognize any 

portion of PMI as an allergenic epitope. These results support the conclusion that the 

eight-amino-acid sequence identity between the PMI protein and α-parvalbumin from 

Rana species CH2001 is not biologically relevant and has no implications for the 

potential cross-reactivity between PMI and α-parvalbumin. Therefore, the short 

sequence identity match with α-parvalbumin has no implications for the potential 

allergenicity of PMI.

6. PMI is inactivated by heating at temperatures of of 65oC and above.

7. PMI is predicted not to be glycosylated in 5307 corn. The same PMI protein is not 

glycosylated in other transgenic corn cultivars. 

8. A standard weight-of-evidence analysis for allergenic potential (Codex, 2009) indicates 

that PMI is unlikely to be a food allergen and is unlikely to be cross-reactive to known 

allergens. 

VI.C. eCry3.1Ab and PMI Concentrations in 5307 Corn

The concentrations of the eCry3.1Ab and PMI proteins in various 5307 plant tissues were 

quantified using enzyme-linked immunosorbent assay (ELISA). The tissues analyzed were 

leaves, roots, and whole plants at four growth stages (whorl, anthesis, maturity and 

senescence), kernels at two stages (maturity and senescence) and pollen. Tissues were 

collected from a 5307 corn hybrid and a nontransgenic, near-isogenic control hybrid grown 

concurrently according to local agronomic practices and sampled at four US Corn Belt 

locations in 2008. The genotypes of the plants used in these studies were NP2171 × 

NP2460(BC5F3

At each location, ten plants of the 5307 hybrid were collected at each sampling stage. Five 

of these plants were retained as whole-plant samples, and individual tissues were collected

from the remaining five plants. Pollen was collected from at least 10 plants and pooled to 

create a single composite sample per location. Each pollen sample was air-dried and sieved 

to remove nonpollen debris (e.g., anthers and aphids). Tissues were also collected from 

nontransgenic control plants to assess the impact, if any, of the plant matrices on the ELISA. 

All plant tissue samples were shipped overnight on ice to Syngenta Biotechnology, Inc., 

where they were stored at -80°C ± 10°C until processed for analysis. Details of the tissue 

processing, extraction, and ELISA methods are provided in Appendix D.

)(5307) and NP2171 × NP2460, respectively, as also indicated in Table III-1 

and Figure III-3. These plants were grown under USDA APHIS notification 08-051-104n. 
5307-USDA-1 Page 87 of 211

The mean tissue and whole-plant concentrations of eCry3.1Ab and PMI across all four 

locations were determined on a fresh-weight and dry-weight basis (Tables VI-2 and VI-3). 

Except where noted, all values were corrected for extraction efficiency. Where the 

measured concentrations were below the lower limit of quantitation (< LOQ) or the limit of 

detection (< LOD), the respective LOQs and LODs are indicated on the data tables. 

On a fresh-weight basis, the concentrations of eCry3.1Ab in individual samples across all 

locations and plant stages ranged from < LOQ to 71.21 μg/g in leaves, 0.40 μg/g to 9.29 

μg/g in roots, 1.60 μg/g to 7.29 μg/g in kernels, < LOQ to 0.09 μg/g in pollen and 1.70 μg/g 

to 28.64 μg/g in whole plants (Table VI-2). On a fresh-weight basis, the concentrations of 

PMI in individual samples across all locations and plant stages ranged from < LOD to 1.66 

μg/g in leaves, < LOQ to 1.07 μg/g in roots, 0.50 μg/g to 2.38 μg/g in kernels, 5.16 μg/g to 

6.06 μg/g in pollen and 0.15 μg/g to 2.13 μg/g in whole plants (Table VI-3). 
5307-USDA-1 Page 88 of 211

Table VI-2. Mean tissue concentrations of eCry3.1Ab in 5307 plants.

Tissue concentrations are presented on a fresh weight (FW) and dry weight (DW) basis. Low eCry3.1Ab 

concentrations in pollen precluded the determination of method extraction efficiency for this tissue; all other 

ELISA results are corrected for extraction efficiency. Control plant tissues had no detectable eCry3.1Ab. 

Tissue Type Whorl Anthesis Maturity Senescence

eCry3.1Ab μg/g fresh weight

(range)

Leaves1 23.75

(16.81–33.80)

20.23

(13.83–27.59)

25.33

(0.89–71.21) (< LOQ2

–20.29)

Roots 5.54

(3.67–9.29)

3.27

(1.88–5.99)

2.98

(1.02–5.97)

2.73

(0.40–7.81)

Kernels N/A N/A 3 4.56

(1.60–7.29)

3.24

(2.38–4.66)

Pollen N/A < LOQ–0.09 N/A N/A

Whole Plants

15.78

(11.41–28.64)

8.11

(3.10–13.12)

8.86

(3.36–21.96)

3.60

(1.70–10.65)

eCry3.1Ab μg/g dry weight 

(range)

Leaves1 142.96

(88.65–279.79)

84.34

(61.37–112.62)

49.04

(1.46–105.60) (< LOQ–26.50)

Roots 42.72

(30.47–69.66)

18.20

(12.39–29.59)

11.96

(3.18–22.25)

9.13

(1.40–21.74)

Kernels N/A N/A 6.19

(2.37–9.64)

4.45

(2.92–6.76)

Pollen N/A < LOQ–0.10 N/A N/A

Whole Plants 111.08

(75.16–178.22)

38.14 

(14.18–55.67)

16.03

(6.37–38.94)

8.27

(3.41–25.46)

1 Means were not calculated where the values for one or more plants were less than the lower limit of 

quantification (< LOQ); in such cases, only the range of values is shown

2 LOQ = 0.08 μg/g FW and 0.10 μg/g DW pollen; 0.02 μg/g FW and 0.10 μg/g DW leaves at senescence

3 N/A = not analyzed
5307-USDA-1 Page 89 of 211

Table VI-3. Mean tissue concentrations of PMI in 5307 plants.

Plant tissue oncentrations are presented on a fresh weight (FW) and dry weight (DW) basis. All ELISA results 

have been corrected for method extraction efficiency. Control plant tissues had no detectable PMI.

Tissue Type Whorl Anthesis Maturity Senescence

PMI μg/g fresh weight

(range)

Leaves 0.81

(0.59–1.13)

1 0.70

(0.43–1.28) (< LOQ2

–1.66) (< LOD3–0.42)

Roots 0.28

(0.15–0.49)

1 0.31

(0.16–0.57)

0.45

(0.17–0.64) (< LOQ–1.07)

Kernels N/A N/A 4 1.36

(0.74–2.38)

0.82

(0.50–1.28)

Pollen N/A 5.47

(5.16-6.06) N/A N/A

Whole Plant 0.62

(0.34–1.13)

0.93

(0.44–2.13)

0.96

(0.41–1.57)

0.43

(0.15–0.71)

PMI μg/g dry weight 

(range)

Leaves 4.83

(2.97–8.33)

1 2.91

(1.74–5.20) (< LOQ–3.50) (< LOD–0.54)

Roots 2.11

(1.30–3.75)

1 1.69

(0.97–3.13)

1.85

(0.92–2.88) (< LOQ–3.02)

Kernels N/A N/A 2.08

(1.04–3.82)

1.11

(0.70–1.62)

Pollen N/A 6.51

(5.79-7.23) N/A N/A

Whole Plants 4.23

(2.59–7.69)

4.38

(2.00–8.83)

1.83

(0.68–2.56)

0.97

(0.39–2.02)

1 Means were not calculated where the values for one or more plants were less than the lower limit of 

quantification (< LOQ) or the limit of detection (< LOD); in such cases, only the range of values are shown

2 LOQ = 0.03 μg/g FW and 0.06 μg/g DW leaves at maturity; 0.03 μg/g FW and 0.10 μg/g DW roots at 

senescence

3 LOD = 0.01 μg/g FW and DW leaves at senescence

4 N/A = not analyzed
5307-USDA-1 Page 90 of 211

VII. Phenotypic and Compositional Evaluation 

Laboratory, greenhouse, growth chamber, and field investigations were conducted to assess 

the phenotype and biochemical composition of 5307 corn. The purpose of these 

investigations was to determine if unintended changes occurred in 5307 corn as a result of 

the transformation process and to determine if any unintended changes conferred a plant pest 

risk potential to the new cultivar. Multiple phenotypic and compositional endpoints were 

evaluated and compared between 5307 corn and nontrangenic near-isogenic control corn. 

For several assessments, additional nontransgenic corn varieties were also used for 

comparison.

VII.A. Phenotypic Assessment of 5307 Plants

A range of phenotypic parameters assessing seed germination and dormancy, growth 

characteristics, reproductive capability, seed dispersal, and interactions with abiotic stressors 

and biotic stressors were examined for 5307 and control plants. Table VII-1 provides a 

listing of the parameters evaluated. The purpose of these evaluations was to ascertain 

whether the transformation that created 5307 corn imparted a phenotypic characteristic that

could increase the environmental persistence of the new cultivar or result in invasive 

characteristics. Persistence or invasiveness could be indicative of increased weediness 

potential and plant pest risk. If no significant differences in these characteristics are found 

between 5307 corn and nontransgenic control corn, it supports the conclusion that 5307 corn

does not have increased plant pest potential.

Table VII-1. Phenotypic characteristics evaluated for 5307 corn hybrids.

Evaluations were made in laboratory, greenhouse, growth chamber, or field experiments.

Phenotypic 

Characteristic

Variable 

Measured Timing1 Description1

Dormancy/ 

Germination

Dormancy and 

germination

After 4, 7, and 

12 days

Percent normal germinated, abnormal germinated, 

dead seed, firm swollen seed and hard seed

Emergence Early 

emergence vigor

Before V3 

stage

Early emergence vigor rating recorded before 14 

days after planting on a scale of 1 - 9, 1 being 

most vigorous

Emerged plants Stage V3 stage Number of emerged plants per plot 

Vegetative 

Growth

Early growth 

vigor

At or after V6 

stage

Early growth vigor rating recorded at or after V6 

stage on a scale of 1 - 9, 1 being most vigorous 

Early root 

lodging

Before anthesis Percent plants per plot leaning greater than 30 

degrees from vertical at the root prior to anthesis

Snapped plants Before anthesis Percent of plants per plot broken prior to anthesis 

due to adverse environmental conditions, such as 

high wind speeds
5307-USDA-1 Page 91 of 211

Table VII-1 (Continued). Phenotypic characteristics evaluated for 5307 corn hybrids.

1 Plant stages described are as follows: V3 = 3-leaf stage; V6 = 6-leaf stage; R2 = kernel blister stage (10-14 days after 

silking); R4 = kernel dough stage (24-28 days after silking); R6 = physiologic maturity

Phenotypic 

Characteristic

Variable 

Measured Timing1 Description1

Vegetative 

Growth

(continued)

Ear height After anthesis Ear height (cm) from base of plant to node where 

ear connects to plant. Data collected when plant is 

between R2 and R6 

Plant height After anthesis Plant height (cm) from base of plant to collar of flag 

leaf. Data collected when plant is between R2 and 

R6 

Leaf color rating After anthesis Leaf color rating collected between R4 and R6 

stage of corn development; 5 = same as 

commercial check hybrid, 1 = darker, 9 = severely 

chlorotic

Late season 

intactness

Harvest Rating of late-season integrity of the plant above 

the ear; 1 = all plant parts intact at harvest; 9 = 

100% of plants in the plot are broken at the ear 

node prior to harvest

Late root lodging Harvest Percent plants per plot leaning greater than 30°

from vertical at the root after anthesis

Push test Harvest Number of plants out of 10 plants tested that break 

the stalk or have root failure after pushing to 45 

degrees from vertical

Stalk lodging Harvest Number of plants per plot with broken stalks below 

the ear at harvest

Reproductive 

Growth

Heat units to 

50% pollen shed

Flowering Heat units to 50% of plants shedding pollen

Pollen viability Pollen shed Percent viable pollen based on staining 

characteristics

Pollen 

morphology

Pollen shed Diameter (μm) of viable pollen grains

Heat units to 

50% silking

Flowering Heat units to 50% of plants extruding silks

Plant population 

at harvest

Harvest Extrapolated estimate of plant harvest population 

(plants per acre)

Barren plants Harvest Number of plants per plot that do not develop an 

ear

Grain moisture Harvest Percent grain moisture at harvest

Test weight Harvest Grain test weight (pounds/bushel) converted to 

standard 15.5% moisture

Grain yield Harvest Grain yield (bushels/acre) converted to standard 

15.5% grain moisture

Seed 

Retention

Dropped ears Prior to 

harvest

Number of plants per plot that have dropped a 

developed ear prior to harvest

Plantecological 

Interactions

Disease 

susceptibility

Planting to 

harvest

Observations of occurrence of gray leaf spot or 

northern corn leaf blight disease on a 1 – 9 rating 

scale; 1 = no visible disease on plant, 9 = plant 

shows complete susceptibility to disease
5307-USDA-1 Page 92 of 211

VII.A.1. Seed Dormancy and Germination

Enhanced germination or seed dormancy are characteristics that can be indicative of plant 

pest potential. Dormancy mechanisms are used to distribute seed germination across 

multiple growing seasons. Primary dormancy is conferred by physical traits, such as hard 

seeds, or physiological traits of the seed that prevent immediate germination under 

conditions that would otherwise favor it. Primary dormancy is extremely rare or nonexistent 

in most field crops, including corn (Galinat, 1988). Secondary dormancy occurs when the 

seed is capable of germination, but environmental conditions are unsuitable to induce 

germination. Overwintering of corn seed occurs via secondary dormancy.

A laboratory study was conducted to evaluate the germination and dormancy characteristics 

of 5307 corn seed using a modification of the testing protocol established by the Association 

of Official Seed Analysts (AOSA). Seed samples of two 5307 hybrids, their respective 

nontransgenic, near-isogenic controls, and three conventional hybrids served as test, control, 

and reference materials, respectively, for the study. Table VII-2 shows the genotypes of the 

test, control, and reference hybrids. (See also Table III-1 and the breeding pedigree diagram 

in Figure III-3.)

Table VII-2. Event 5307, control, and reference seed varieties used in 

seed germination and dormancy tests.

Hybrid Designation Variety

5307 Hybrid #1 NP2171 × NP2460(5307)

Control Hybrid #1 NP2171 × NP2460

5307 Hybrid #2 NP2391 × NP2222(5307)

Control Hybrid #2 NP2391 × NP2222

Reference Hybrid #1 N69-P9

Reference Hybrid #2 NX6176

Reference Hybrid #3 H-8991

The study design followed that described by AOSA (2005a) for assessment of germination 

and dormancy characteristics of corn seed under optimal temperature conditions for seed 

germination (25°C and 20°C/30°C). Additionally, similar assessments were conducted 

under nonoptimal temperature conditions (5°C, 10°C, 10°C/20°C, and 10°C/30°C). Seed 

lots were divided into four replicates of 100 seeds per replicate per temperature regime. Six 

temperature regimes were utilized:

• constant temperatures: 5°C, 10°C, and 25°C

• alternating temperatures: 10°C/20°C, 10°C/30°C and 20°C/30°C
5307-USDA-1 Page 93 of 211

Experiments were conducted in unlighted temperature-controlled growth chambers. For the 

alternating temperature regimes, the lower temperature was maintained for 16 hours and the 

higher temperature for 8 hours, and then the cycle was repeated. The study was initiated by 

rolling 100 seeds in moistened germination towels and then placing the rolled towels into 

the growth chambers. 

For the tests carried out at 25°C and 20°C/30°C (the standard temperatures used in the 

AOSA method), each germination towel was carefully unrolled and examined four and 

seven days after study initiation. Each seed was examined and categorized as one of the 

following:

• normal germinated (seed exhibited normal development of the root and shoot with a 

shoot length of at least 0.5 in (1.3 cm))

• abnormal germinated (seed lacked a well-developed root and shoot, or possessed a 

hollow coleoptile, or exhibited mechanical damage)

• dead seed (seed not germinated and visibly deteriorated and soft to the touch)

• firm swollen seed (seed visibly swollen and firm to the touch)

• hard seed (seed that had not imbibed water and was firm to the touch)

For the tests carried out at the nonoptimal temperature regimes of 5°C, 10°C, 10/20°C, and 

10/30°C, each germination towel was carefully unrolled and examined 4, 7, and 12 days 

after study initiation. Each seed was examined and categorized as one of the following:

• germinated (seed with a radicle protruding beyond the seed coat)

• dead seed (seed not germinated and visibly deteriorated and soft to the touch)

• firm swollen seed (seed visibly swollen and firm to the touch)

• hard seed (seed that had not imbibed water and was firm to the touch)

At the end of each experiment, all firm swollen and hard seeds were subjected to a 

tetrazolium test to evaluate their viability (AOSA, 2005b). Seeds subjected to the 

tetrazolium test were then categorized as ‘viable firm swollen,’ ‘viable hard,’ or ‘dead’ 

(nonviable firm swollen or nonviable hard). Viable hard seed are indicative of dormancy 

potential.

The results of these seed germination and dormancy experiments are summarized in Tables 

VII-3 and VII-4. For each of the two 5307 hybrids and nontransgenic control hybrids, the 

data reported represent the combined data, averaged over four replicates, for observations at 

4 and 7 days for the optimal temperature regimes and at 4, 7, and 12 days for the nonoptimal 

temperature regimes. For the three reference hybrids, the data reported represent the range 

in values across all four replicates per hybrid (12 total replicates). 
5307-USDA-1 Page 94 of 211

As shown in Tables VII-3 and VII-4, many of the data points for seed germination and 

dormancy approached or equaled 100% or 0%. Such data are not well suited to statistical 

comparison by analysis of variance because they do not satisfy the assumptions upon which 

the validity of an analysis of variance depends. Instead, an alternative method of statistical 

analysis was applied. For each temperature regime, data for each 5307 hybrid was 

combined across replicates and compared to the corresponding data for its control hybrid 

using Fisher’s Exact Test. For the nonoptimal temperature regimes (5oC, 10oC, 10/20oC, 

and 10/30o

C), comparisons were made for the proportion of seeds classified as germinated 

(i.e., versus the sum of viable firm swollen seed, hard seed, and dead seed). For the AOSA 

Table VII-3. Summary of 5307 corn seed germination and dormancy frequencies at 

nonoptimal temperatures.

Mean germination responses across four replicates from two 5307 and two control hybrids evaluated under 

different temperature regimes. Reference ranges across four replicates of each of three reference hybrids are 

provided for comparison. P values are provided for comparisons of the proportion of germinated seed within 

hybrid pairs; for values in bold text, P < 0.05.

Temp.

(°C) N Genotype

Germinated Viable Firm 

Swollen (%)

Viable 

Hard (%) Dead (%)

% p value

5

400 5307 Hybrid #1 0.0

1.000

91.0 0.0 9.0

400 Control Hybrid #1 0.0 97.0 0.0 3.0

400 5307 Hybrid #2 0.0

1.000

97.0 0.0 3.0

400 Control Hybrid #2 0.0 97.0 0.0 3.0

400 Range of Reference 

Hybrids #1, 2, and 3 0 – 0 93 – 100 0 – 0 0 – 7

10

400 5307 Hybrid #1 96.2

0.018

0.8 0.0 3.0

400 Control Hybrid #1 99.0 0.8 0.0 0.2

401 5307 Hybrid #2 a 97.8

0.263

0.7 0.0 1.5

400 Control Hybrid #2 99.0 0.8 0.0 0.2

400 Range of Reference 

Hybrids #1, 2, and 3 67 - 100 0 – 26 0 - 0 0 – 7

10/20

400 5307 Hybrid #1 97.2

< 0.001

0.0 0.0 2.8

400 Control Hybrid #1 100.0 0.0 0.0 0.0

400 5307 Hybrid #2 98.2

0.177

0.0 0.0 1.8

400 Control Hybrid #2 99.5 0.0 0.0 0.5

400 Range of Reference 

Hybrids #1, 2, and 3 97 – 100 0 – 1 0 - 0 0 – 2

10/30

400 5307 Hybrid #1 97.0

< 0.001

0.0 0.0 3.0

400 Control Hybrid #1 100.0 0.0 0.0 0.0

400 5307 Hybrid #2 99.0

0.686

0.0 0.0 1.0

400 Control Hybrid #2 99.5 0.0 0.0 0.5

400 Range of Reference 

Hybrids #1, 2, and 3 98 – 100 0 – 0 0 – 0 0 – 2

N = Number of seeds tested

a One replicate inadvertently had an extra seed
5307-USDA-1 Page 95 of 211

Table VII-4. Summary of 5307 corn seed germination and dormancy frequencies at 

optimal temperatures.

Mean germination responses across four replicates from two 5307 and two control hybrids evaluated under 

different temperature regimes. Reference ranges across four replicates of each of three reference hybrids are 

provided for comparison. P values are provided for comparisons of the proportion of normally germinated 

seed within hybrid pairs; for values in bold text, P < 0.05.

Temp.

(°C) N Genotype

Normally 

Germinated Abnormally

Germinated 

(%)

Viable Firm 

Swollen 

(%)

Viable 

Hard 

(%)

Dead 

(%) % p value

25

400 5307 Hybrid #1 97.8

0.420

0.5 0.0 0.0 1.8

400 Control Hybrid #1 98.8 0.5 0.0 0.0 0.8

400 5307 Hybrid #2 97.8

0.021

0.2 0.0 0.0 2.0

400 Control Hybrid #2 99.8 0.2 0.0 0.0 0.0

400

Range of 

Reference Hybrids 

#1, 2, and 3

98.0 – 100 0 – 2 0 – 1 0 – 0 0 – 1

20/30

400 5307 Hybrid #1 94.0

< 0.001

2.5 0.0 0.0 3.5

400 Control Hybrid #1 99.0 0.8 0.0 0.0 0.2

398 5307 Hybrid #2 a 97.7

0.297

0.5 0.0 0.0 1.8

400 Control Hybrid #2 98.8 1.2 0.0 0.0 0.0

400

Range of 

Reference Hybrids 

#1, 2, and 3

97.0 - 100 0 – 3 0 – 0 0 – 0 0 – 2

N = Number of seeds tested

a One of the four replicates inadvertently contained 98 seeds instead of 100

temperature regimes (25oC and 20/30o

C), statistical comparisons were made for the 

proportion of seeds classified as normally germinated (i.e., versus the sum of abnormally 

germinated seed, viable firm swollen seed, viable hard seed, and dead seed). The purpose of 

this comparison was to determine whether there were enhanced germination characteristics 

for the 5307 seeds as compared to the nontransgenic control seeds; statistically significant 

increases (p < 0.05) for the 5307 hybrid would provide evidence that such a difference 

exists.

At 5°C, the percentage of seeds that germinated normally was zero for all 5307, control and 

reference hybrids. Under all other temperature regimes, average germination ranged from 

94.0% to 99.0% for the two 5307 hybrids and 98.8% to 100% for the corresponding 

nontransgenic controls. Under the same temperature regimes, germination ranged from 67% 

(at 10°C) to 100% across all replicates of the three reference hybrids. Under individual 

temperature regimes that supported germination, the percent germinated seed (at nonoptimal 

temperatures) or normally germinated seed (at optimal temperatures) was slightly lower for 

the 5307 hybrids when compared to the corresponding nontransgenic controls; some values 

for the 5307 hybrids were within the reference range and some were slightly below the 

reference range. Under the 10°C, 10°C/20°C, and 10°C/30°C temperature regimes (Table 

VII-3), germination was statistically significantly lower for 5307 Hybrid #1 than Control 

Hybrid #1, however, the differences between 5307 Hybrid #2 and Control Hybrid #2 were 

not significant. Similarly, under the 20°C/30°C regime (Table VII-4), normal germination 
5307-USDA-1 Page 96 of 211

was statistically significantly lower for 5307 Hybrid #1 than Control Hybrid #1, and the 

differences between 5307 Hybrid #2 and Control Hybrid #2 were not significant. Under the 

25°C regime, however, 5307 Hybrid #2 had statistically significantly lower normally 

germinated seed than Control Hybrid #2, while the differences between 5307 Hybrid #1 and

Control Hybrid #1 were not significant. At no single temperature regime did both 5307 

hybrids display significantly different germination than the corresponding control hybrids. 

The observation that 5307 corn hybrids did not show increased seed germination compared 

to control hybrids supports the conclusion that 5307 corn does not have plant pest 

characteristics or increased weediness potential.

Corresponding to the small decreases in germinated seed, small increases in the percent dead 

seed at all temperature regimes were observed for the 5307 hybrids compared to their 

corresponding controls. The observed values were within the corresponding reference range 

for six comparisons and slightly above the reference range for the remaining six 

comparisons. Under each temperature regime, the percent of viable firm swollen seed was 

identical among the 5307 and control hybrids for all comparisons except for 5307 Hybrid #1 

at 5°C, for which the value was lower (91%) and slightly below the reference range (93 to 

100%). 

Most important from the perspective of plant pest risk is the consideration of whether the 

seed of the transgenic hybrids has increased dormancy potential, as measured by the 

presence of viable hard seeds. No viable hard seeds were found for any of the hybrids tested 

under any temperature regime, thus confirming that dormancy is not a normal characteristic 

of corn seeds and that 5307 corn demonstrates no increase in seed dormancy potential.

VII.A.2. Field Agronomic Performance

Field trials were conducted in the U.S. during the 2007 and 2008 growing seasons to 

compare a range of agronomic characteristics of a 5307 corn hybrid to a near-isogenic, 

nontransgenic hybrid. Table VII-5 shows the genotypes of the 5307 and control hybrids 

planted in these trials (see also Table III-1 and Figure III-3). The near-isogenic hybrid pairs 

were grown in five locations in 2007 and 12 locations in 2008. These agronomic trials were 

conducted under USDA APHIS notifications 07-043-109n and 08-051-104n. The locations 

of the trial sites are representative of major corn growing regions of the U.S. and are listed in 

Table VII-6. 

The trials were planted in a randomized complete block design. In 2007, three replicate 

plots were planted per location. In 2008, four replicate plots were planted per location. Plot 

size was 0.002 acres (8 m2

), using two-row plots that were 17.5 feet long (5.3 meters), with 

30-inch (0.8 m) spacing between the rows. Each plot contained approximately 68 plants. At 

each trial location, normal agricultural practices for pest control were followed, and the 

same products and application rates were used for both the 5307 plots and control plots. 
5307-USDA-1 Page 97 of 211

Insecticides for rootworm control were applied to the control plots as well as the 5307 plots 

to minimize any rootworm-control advantage of the 5307 plants in these trials; soil and 

foliar applications were made for larval and adult rootworm control, respectively. No 

attempts were made to enhance natural rootworm infestation levels. The intent of these 

trials was to compare the underlying agronomic characteristics of 5307 and control corn in 

the absence of significant rootworm pressure.

Table VII-5. Event 5307 and control hybrids evaluated for agronomic performance.

Year Hybrid Designation Lineage

2007

5307 hybrid NP2171 × NP2460(BC5F2)(5307)

Control hybrid NP2171 × NP2460

2008

5307 hybrid NP2171 × NP2460(5307)(BC5F3)(5307)

Control hybrid NP2171 × NP2460

Table VII-6. Locations and dates of agronomic performance trials (2007 – 2008).

Year City State Planting Date Harvest Date

2007

Brookings South Dakota May 12 October 22

Waldorf Minnesota May 15 October 25

Corwith Iowa 1 June 7 October 13

Green Valley Illinois May 10 September 21

El Paso Illinois May 11 October 4

2008

Brookings South Dakota May 22 November 5

Minnesota Lake Minnesota May 16 October 21

Northfield Minnesota 2 May 15 October 27

Janesville Wisconsin May 21 October 31

New Haven Indiana May 25 October 31

Beaver Crossing Nebraska June 2 October 5

El Paso Illinois May 21 October 14

Bloomington Illinois June 1 October 22

Shirley Illinois June 18 November 1

St. Joseph Illinois May 29 October 30

La Salle Illinois May 20 October 28

Marshall Missouri May 21 October 1

1 Data were recorded for two replicate plots of the 5307 hybrid and control hybrid at this location. For all other locations in 

2007, data for three replicate plots per genotype were recorded.

2 Data were recorded for three replicate plots of the control hybrid at this location. For the 5307 hybrid at this location and 

both genotypes at all other locations in 2008, data for four replicate plots per genotype were recorded.
5307-USDA-1 Page 98 of 211

The agronomic characteristics assessed and the timing of each assessment are listed in Table 

VII-1. The agronomic characteristics chosen for comparison were those typically observed

by professional corn breeders and agronomists, and represent a broad range of 

characteristics throughout the development of the corn plant. Not all characteristics were 

assessed at every trial location; the numbers of replicate plots (N) assessed for each variate 

are provided in the tables of results, described below. Natural disease infections were 

measured in trials where infections were sufficiently high to warrant assessment. 

Data for several variates (characteristics) were subjected to an analysis of variance across 

locations using the model (Obert et al., 2004)

Yijk = U + Ti + Lj + B(L)jk + LTij + eijk

where Yijk is the observed response for genotype i at location j block k, U is the overall 

mean, Ti is the genotype effect, Lj is the location effect, B(L)jk is the effect of block within 

location, LTij is the location x genotype interaction effect and eijk is the residual error. For 

grain yield, results from analogous within-location analyses are also presented.

For each variate, the statistical significance of genotype (5307 versus near-isogenic control) 

effect was determined using a standard F-test. An F-test probability of < 5% indicates that 

the difference between the two genotypes was statistically significant at the customary 5% 

level. The JMP statistics program, version 7.0, was used for these analyses (SAS Institute; 

Cary, NC).

The data for other variates did not lend themselves to formal statistical analysis because they 

did not conform to the assumptions upon which the validity of the analysis depends. In 

some cases, the issue was that the data were too discrete, with values taking one of a very 

limited range of options. In other cases, the data set contained too few non-zero data points 

on which to base a reasonable estimate of residual error. Consequently, results for such 

variates are presented as means. 

The standard error estimates of the means (SEM) were computed for the variates subjected 

to analysis of variance by dividing the appropriate error mean square by the sample size and 

then taking the square root of the resulting value. For variates not subjected to analysis of 

variance, the range of data values are presented because it is not possible to calculate a good 

estimate of error variance that takes into account the design structure. The sample sizes (N) 

for each of the traits were computed by summing the number of replications within or over 

locations. 

Seventeen key agronomic traits were evaluated in the 2007 trials. Additionally, ratings for 

the severity of gray leaf spot and northern corn leaf blight diseases were recorded at a 

limited number of locations where ratings were possible. The data for these assessments are 

summarized in Tables VII-7 and VII-8. In these trials, the 5307 hybrid performed similarly 

to the corresponding nontransgenic, near-isogenic control hybrid. For seven out of the ten 

the traits subjected to statistical comparisons (Table VII-7), there were no significant 

differences between the 5307 hybrid and the control hybrid. For grain moisture, plant 
5307-USDA-1 Page 99 of 211

height, and the number of heat units to 50% pollen shed, there were small but statistically 

significant differences between the 5307 and control hybrids. Approximately 20 to25 heat 

units were accumulated each day during pollination. Therefore, the observed average 

difference of 17 heat units between the 5307 hybrid and the control hybrid corresponds to 

less than one day, and would not have affected pollination. The absence of significant 

effects on grain yield suggest that the observed statistical differences in these three variates 

are not biologically significant. 

Among the nine variates not subjected to statistical comparisons in the 2007 trials (Table 

VII-8), identical mean values were observed for the 5307 and control plants for four 

variates, and similar means were observed for three other variates. The 5307 plants did not 

show increased susceptibility to gray leaf spot or northern corn leaf blight diseases. The 

largest percent differences observed between the 5307 plots and control plots were in late 

root lodging and the number of barren plants. There were fewer 5307 plants with late root 

lodging (mean of 0.9% of plants per plot), compared to control plants (mean of 2.3% of 

plants per plot). (In the 2008 trials summarized below, there were not fewer 5307 plants 

with late root lodging.) There were a mean of 6.3 barren plants per plot for the 5307 hybrid 

and 2.7 barren plants per plot for the control hybrid. However, it is not possible to assign 

biological significance to the differences in the number of barren plants, because these 

observations were based on evaluation of three replicate plots at one location; as noted 

above, there were no significant differences in grain yield across the 2007 trial locations. 

Moreover, the mean number of barren plants per plot was identical between the 5307 and 

control plots in the 2008 trials, in which this variate was assessed in multiple locations (see 

below). 

Twenty key agronomic traits were evaluated in the 2008 trials; the 5307 hybrid again 

performed similarly to the corresponding control hybrid. For the 10 the traits compared 

statistically (Table VII-9), there were no significant differences between the 5307 and 

control hybrids, except for grain yield, which was higher in the 5307 hybrid. Among the 

10 other variates not compared statistically (Table VII-10), identical mean values were 

observed for the 5307 and control plants for four traits, and similar means were observed for 

the other variates. The largest percentage differences between mean values occurred for 

snapped plants, for which fewer were recorded in the 5307 plots (15%) than in the control 

plots (24%), and for late root lodging, which was higher in the 5307 plots (0.6%) versus the 

control plots (0.1%). This difference, however, was the result of higher numbers of rootlodged 5307 plants at a single trial location among the eight locations at which this trait was 

evaluated and, as such, does not suggest an agronomic deficit. 

The results of these phenotypic assessments indicate that 5307 corn is not phenotypically 

different from conventional corn with respect to characteristics that would increase its 

weediness potential. Additionally, no deficits in agronomic performance of 5307 corn were 

observed. 
5307-USDA-1 Page 100 of 211

Table VII-7. 2007 agronomic performance trials: Comparisons for variates subjected 

to statistical comparisons.

Means across all locations, sample sizes (N = number of plots), standard errors, and statistical inferences for 

variates subjected to analysis of variance and F-test; significance assigned at p < 0.05 level.

Trait N

5307 

Mean

Control

Mean SEM

% Difference

in Means

Prob. > 

F-value

Significance

Emerged 

plants/plot 12 59 58 0.57 1.7 15% NS1

Early growth 

vigor (1 – 9 rating) 6 1.8 1.8 0.24 0.0 100% NS

Ear height (cm) 14 94 94 1.13 0.0 84% NS

Plant height (cm) 14 216 210 1.39 2.9 3% *

Heat units to 50% 

pollen shed 12 1230 1247 0.89 − 1.4 0% *

Heat units to 50% 

silking 12 1251 1265 7.92 − 1.1 29% NS

Plant population at 

harvest (plants/acre) 14 27927 28524 870.14 − 2.1 65% NS

Grain moisture (%) 14 17.9 16.9 0.18 5.9 3% *

Test weight 

(pounds/bushel) 14 53.8 53.4 0.22 0.7 31.1% NS

Yield (bushels/acre) 14 149.5 154.0 2.35 − 2.9 26.1% NS

NS = F-test was not significant at the customary 5% level 

* = F-test was significant

Table VII-8. 2007 agronomic performance trials: Comparisons for variates not 

subjected to formal statistical comparisons.

Means across locations, sample sizes (N = number of plots), and ranges of values for variates.

N

5307 Hybrid Control Hybrid %

Difference

Trait Mean in Means

Range of 

values Mean

Range of 

values

Early emergence vigor 

(1 – 9 rating) 9 2.6 1 - 4 3.0 1 - 5 − 13.3

Leaf color rating (1 – 9) 9 5.0 5 5.0 5 0.0

Late-season intactness

(1 – 9 rating) 14 6.4 4 – 8 6.2 4 - 8 3.2

Late root lodging 

(% plants/plot) 11 0.9 0 - 10 2.3 0 - 25 − 60.9

Stalk lodging (plants/plot) 11 0.2 0 – 1 0.2 0 - 1 0.0

Barren Plants (plants/plot) 3 6.3 5 – 9 2.7 2 - 4 133.3

Plants with dropped ears 

(plants/ plot) 2 0.0 0 0.0 0 0.0

Gray leaf spot disease rating

(1 – 9 scale) 9 2.3 1 - 4 2.6 0 - 5 − 11.5

Northern corn leaf blight

disease rating (1 – 9 scale) 2 1.0 1 1.0 1 0.0
5307-USDA-1 Page 101 of 211

Table VII-9. 2008 agronomic performance trials: Comparisons for variates subjected 

to statistical comparisons.

Means across all locations, sample sizes (N = number of plots), standard errors, and statistical inferences for 

variates subjected to analysis of variance and F-test; significance assigned at p < 0.05 level.

Trait

5307 Hybrid Control Hybrid %

Difference

in Means

Prob. 

> Fvalue

SignifiN Mean SEM N Mean SEM cance

Emerged plants/plot 44 62 0.71 43 61 0.73 1.6 70% NS

Early growth vigor 

(1-9 rating) 32 2.5 0.17 31 2.5 0.18 0.0 74% NS

Ear height (cm) 40 113 1.81 39 117 1.87 − 3.4 16% NS

Plant height (cm) 40 247 2.25 39 239 2.32 3.3 10% NS

Heat units to 50% 

pollen shed 29 1330 2.28 28 1325 2.35 0.4 88% NS

Heat units to 50% 

silking 29 1327 3.24 28 1325 3.34 0.2 61% NS

Plant population at 

harvest (plants/acre) 48 29040 192.29 47 29092 197.56 − 0.2 75% NS

Grain moisture (%) 48 20.8 0.14 47 20.3 0.14 2.5 9% NS

Test weight 

(pounds/bushel) 48 57.0 0.12 47 57.0 0.12 0.0 35% NS

Yield (bushels/ac) 48 151.6 2.34 47 138.6 2.36 9.4 0.47% *

* = F-test was significant. NS = F-test was not significant at the customary 5% level

Table VII-10. 2008 agronomic performance trials: Comparisons for variates not 

subjected to formal statistical analysis.

Means across locations, sample sizes (N = number of plots), and ranges of values for variates.

5307 Hybrid Control Hybrid %

Difference

Trait N Mean in Means

Range of 

values N Mean

Range of 

values

Early emergence vigor (1-9) 12 3.9 3 - 5 11 4.0 3 - 5 − 2.5

Early root lodging (% plants) 4 0.0 0 3 0.0 0 0.0

Snapped plants (%) 32 15 0 - 87 31 24 0 - 81 − 37.5

Leaf color rating (1 – 9) 32 5 5 31 5 5 0.0

Late-season intactness (1-9) 41 5.2 1 - 9 40 5.5 1 - 9 − 5.4

Late root lodging

(% plants/plot) 32 0.6 0 - 5 30 0.1 0 - 2 500

Push test (no./10 plants) 24 5.9 1 - 10 24 6.9 2 - 10 − 14.5

Stalk lodging (plants/plot) 40 0.7 0 - 2 39 0.8 0 - 5 − 12.5

Barren plants (plants/plot) 28 1 0 - 4 27 1 0 - 4 0.0

Plants with dropped ears 

(plants/plot) 22 0 0 - 1 22 0 0 0.0
5307-USDA-1 Page 102 of 211

VII.A.3. Plant Disease Trials

Targeted field studies were conducted to examine whether 5307 hybrid corn plants were 

more susceptible to common plant fungal diseases as compared to their nontransgenic, nearisogenic counterparts grown concurrently under the same conditions. These trials were 

conducted in 2009 under USDA APHIS notification 09-063-103n. At one Minnesota 

location, susceptibility to eyespot disease (Kabatiella zeae) was assessed. At one Illinois 

location, susceptibility to southern corn leaf blight (Helminthosporium maydis) and gray leaf 

spot disease (Cercospora zeae-maydis) were assessed. The genotypes of the plants tested 

were 5XH751 × NP2222(5307) and 5XH751 × NP2222, as also described in Table III-1 and 

Figure III-3. Standard agronomic practices were used for all plots, except that foliar 

fungicides were not applied. All plots were planted in a randomized complete block design, 

using three replicate plots per genotype, and were artificially inoculated. Disease ratings 

were conducted on a 1 to 9 rating scale (ranging from no symptoms to severe symptoms). 

The diseases assessed and the test locations are shown in Table VII-11. The data were 

compared by analysis of variance. (Additional entries for other research-stage corn products 

in these trials are not shown.) No significant differences were observed in disease ratings 

between the 5307 hybrid and the control hybrid in these trials, indicating that 5307 corn is 

no more susceptible to these plant diseases than nontransgenic corn of the same genetic 

background. 

Table VII-11. Plant Disease Ratings in Field Trials

Hybrid Genotype

Eyespot Disease 

Rating 

(Least Squares 

Mean)

Southern Corn 

Leaf Blight 

Disease Rating 

(Least Squares 

Mean)

Gray Leaf Spot 

Disease Rating 

(Least Squares 

Mean)

Stanton, MN Shirley, IL Shirley, IL

5307 corn 5.67 2.33 5.33

Control corn 5.33 2.67 5.00

p value 0.714 0.356 0.457

VII.A.4. General Observations from Field Trials

In connection with its field trial compliance activities, Syngenta required information from 

the managers of each of the field sites at which 5307 corn was grown (under various USDA 

APHIS notifications, see Appendix A) in 2007, 2008 and 2009. (Information collection 

from the 2010 field trials is in progress.) This information included any observations of 

whether 5307 corn plants differed from control corn plants in the following characteristics:

• Plant health (e.g., susceptibility to disease, pests)

• Plant morphology (e.g., leaf color, seed set)

• Agronomic characteristics (e.g., weediness, response to drought)

• Impact on beneficial insects (e.g., ladybeetles)

• Impact on nontarget pest insects (e.g., mites)

Excluding any obvious differences in rootworm damage, no observations of differences in 

the above characteristics were recorded. 
5307-USDA-1 Page 103 of 211

VII.A.5. Pollen Viability and Morphology

Pollen viability and morphology were evaluated to assess whether 5307 corn differed from 

near-isogenic, nontransgenic control corn in these characteristics. The 5307 and control 

hybrid genotypes used in these studies were NP2171 × NP2460(BC5F3)(5307) and NP2171

× NP2460, respectively. These genotypes are also indicated in Table III-1, and the breeding 

pedigree is shown in Figure III-3. Pollen grains were examined microscopically after fixing 

and staining according to the method described by Pedersen et al. (2004). 

Twenty 5307 hybrid plants and 20 near-isogenic, nontransgenic control hybrid plants were 

grown in an environmentally controlled greenhouse. The greenhouse operated on a 16 

hour/8 hour light/dark cycle with daytime temperatures ranging from 26°C - 29°C and 

nighttime temperatures ranging from 21°C - 23°C. Pollen was collected from the plants 67 -

69 days after planting. Pollen samples were immediately fixed in a 70% (v/v) ethanol 

solution and refrigerated. Samples were stained with a small volume of a KI/I2 (iodine 

potassium iodide) solution and examined by light microscopy. Viability determinations 

were made at 50X magnification. Starch contained in the viable pollen cells readily bound 

to the iodine stain. Nonviable cells with little or no starch content were weakly stained and 

readily identifiable. Percent viability was determined by examining a minimum of 100 

pollen cells per sample. Mean percent viable pollen was determined for the Event 5307 and 

control corn samples. These means were compared by a t-test with significance assigned at 

the standard p < 0.05 level. There was no significant difference in percent viable pollen 

detected between 5307 and control. The results of this analysis are presented in Table VII12. Pollen viability for both hybrids was 99%.

The morphology and diameter of pollen grains in stained pollen samples from five 5307 and 

five control plants were examined. Morphology was assessed by a microscopic examination 

of all cells in the field of view. There were no discernible differences between Event 5307 

and control corn pollen morphology. Pollen diameter was measured for ten pollen grains 

per sample. Mean diameter was calculated for the 5307 and control corn samples. The 

means were compared by a t-test with significance assigned at p < 0.05. Pollen cell 

diameter statistics are presented in Table VII-12. Photographs of representative Event 5307 

and control corn pollen samples are shown in Figure VII-1. No significant differences in 

average cell diameter were detected between 5307 and control pollen samples. 

Therefore, there were no discernible differences in pollen morphology, diameter, or viability 

between 5307 corn and nontransgenic control corn.

Table VII-12. Pollen viability and diameter measurements.

Mean percent viability and mean diameter for 5307 and control corn pollen are presented with their standard 

deviations (SD); means were compared by a t-test.

Variable N 5307

Mean + SD

Control

Mean + SD p value

Pollen viability (%) 20 99.1 + 0.76 98.8 + 1.16 0.486

Pollen diameter (μm) 5 94.0 + 0.001 93.9 + 0.005 0.698
5307-USDA-1 Page 104 of 211

Figure VII-1. Photographs of stained pollen collected from control and 5307 plants.

Magnification was 80X.

5307 Plant

#129541 80X

100 μm

Nonviable Cell

Viable Cell

Control Plant

#129519 80X

100 μm

Viable Cell

Nonviable Cell
5307-USDA-1 Page 105 of 211

VII.A.6. Seed Dispersal

Dispersal of individual corn seeds does not occur naturally. The kernels are held inside the 

husks of the cob and are too heavy to be wind-blown. There was no significant difference in 

the propensity of 5307 corn to drop ears than that of conventional corn (see Tables VII-8

and VII-10). Dispersal of individual kernels does, however, take place as a result of

mechanical harvesting and transportation. In this regard, 5307 corn kernels would be no 

different than conventional corn kernels. Because corn seeds lack dormancy, those that are 

dispersed outside of cultivated fields could germinate if environmental conditions were 

favorable. However, corn does not have weedy or invasive characteristics. As a highly 

domesticated crop, corn has lost the ability to reproduce without human intervention. 

VII.B. Compositional Assessment of 5307 Forage and Grain

Compositional analyses of 5307 corn were performed to identify any changes in nutrient or 

anti-nutrient content of the new crop in the context of its use as food or feed and to assess its 

biochemical equivalence and familiarity to conventional corn. This assessment was 

undertaken by performing quantitative analyses of 59 biochemical components of 5307 

hybrid corn forage and grain including key food and feed nutrients, antinutrients, and 

secondary plant metabolites. An identical set of analyses was performed on nontransgenic, 

near-isogenic control hybrid corn.

VII.B.1. Design and methods used in compositional analysis study

The 5307 hybrid plants were genotype NP2171 × NP2460(5307) and the control plants were 

genotype NP2171 × NP2460. The seed materials used to plant these composition trials are 

also identified in Table III-1 and in the pedigree diagram in Figure III-3. The trials were 

conducted under USDA APHIS notification 08-051-104n. 

Forage and grain from the 5307 and control hybrids were harvested from six locations in the 

U.S. during 2008: 

Location Code City and State

L1 Stanton, MN

L2 Janesville, WI

L4 New Haven, IN 

L6 Shirley, IL 

L7 Marshall, MO 

L8 Bloomington, IL 

These locations are representative of major corn growing regions of the U.S. At each 

location, the hybrids were planted in a randomized complete block design, with three 

replicates for each genotype. All plots were managed according to local agronomic 

practices for the respective regions. Plants were self-pollinated by hand and the developing 

ears were bagged to avoid cross-pollination. 

The components measured in this study were selected based on recommendations of the 

Organisation for Economic Co-operation and Development (OECD, 2002) for comparative 
5307-USDA-1 Page 106 of 211

assessment of composition of new varieties of corn. The components analyzed are listed in 

Table VII-13 below. 

All analyses were conducted using methods published and approved by the Association of 

Analytical Communities (AOAC) International or other industry-standard analytical 

methods. Based on the moisture content of each sample, analyte levels were converted to 

equivalent units of dry weight. A detailed description of the study design and methodology 

for the compositional analyses is provided in Appendix E.

VII.B.1.a. Statistical analysis for across-location comparisons

The data for each component were subjected to analysis of variance using the following 

mixed model: 

Yijk = U + Ti + Lj + B(L)jk + LTij + eijk

In this model, Yijk is the observed response for genotype i at location j block k, U is the 

overall mean, Ti is the genotype effect, Lj is the location effect, B(L)jk is the effect of block 

within a location, LTij is the location-by-genotype interaction effect, and eijk

For each quantifiable component, an F test was used to assess the statistical significance of 

the genotype effect with an alpha level of 0.05 and with the denominator degrees of freedom 

determined using the Kenward-Roger method (Kenward and Roger, 1997). Moisture 

content of grain was not statistically analyzed because the samples had been mechanically 

dried.

is the residual 

error. Genotype was regarded as a fixed effect, while the effects of location, block within 

location, and location-by-genotype were regarded as random.

VII.B.1.b. Statistical analysis for individual-location comparisons

The data for each component at each location were subjected to an analysis of variance with 

genotype and block included in the statistical model. Significance was based on an alpha 

level of 0.05.

Statistical analyses were performed using SAS v. 9.2 (SAS Institute, Inc.; Cary, NC).

VII.B.1.c. Comparison with ILSI Crop Composition Database

The mean levels of each component for each location and across locations were calculated 

and compared nonstatistically with means and ranges for forage and grain composition 

published in the ILSI Crop Composition Database (2008). The ILSI database is the most 

comprehensive and current source of crop composition data for most nutritional 

components.
5307-USDA-1 Page 107 of 211

Table VII-13. Forage and grain components measured in 5307 and conventional corn.

Forage Grain

Minerals Minerals Amino acids Secondary 

Metabolites Fatty acids

Calcium Calcium Alanine (Ala) ρ-Coumaric acid 16:0 palmitic 

Phosphorus Copper Arginine (Arg) Ferulic acid 18:0 stearic 

Proximates Iron Aspartic acid (Asp) Furfural 18:1 oleic 

Acid detergent 

fiber (ADF) Magnesium Cystine (Cys) Inositol 18:2 linoleic 

Ash Manganese Glutamic acid (Glu) Vitamins 18:3 linolenic 

Carbohydrates Phosphorus Glycine (Gly) Vitamin A (β-carotene) 20:0 arachidic

Fat Potassium Histidine (His) Vitamin B1 (thiamine) 20:1 eicosenoic

Moisture Selenium Isoleucine (Ile) Vitamin B2 (riboflavin) 22:0 behenic

Neutral detergent 

fiber (NDF) Sodium Leucine (Leu) Vitamin B3 (niacin) Anti-nutrients

Protein Zinc Lysine (Lys) Vitamin B6 (pyridoxine) Phytic acid

Proximates Methionine (Met) Vitamin B9 (folic acid) Raffinose

ADF Phenylalanine (Phe) Vitamin E 

 (α-tocopherol) Trypsin inhibitor

Ash Proline (Pro)

Carbohydrates Serine (Ser)

Fat Threonine (Thr)

Moisture Tryptophan (Trp)

NDF Tyrosine (Tyr)

Protein Valine (Val)

Starch

Total Dietary 

Fiber (TDF)

Tables VII-14 through VII-21 report the statistical comparisons of nutritional component 

levels in forage and grain between 5307 corn and nontransgenic corn, the mean levels for 

each genotype across locations and at each location, a range of individual replicate values, 

and the levels for conventional hybrid corn reported in the ILSI Crop Composition Database 

(2008).

All data were compared with the ranges reported in the ILSI database to establish whether 

the results were within the range of natural variation and to provide an indication of whether 

the results were likely to be of biological significance.

VII.B.2. Results of statistical analysis for forage

When analyzed across all six locations, there were no statistically significant differences in 

any of the measured forage components (proximates, calcium, and phosphorus) between 

genotypes (Tables VII-14 and VII-15). 
5307-USDA-1 Page 108 of 211

When analyzing the results at each individual location, statistically significant differences 

were observed in moisture, protein, calcium, and phosphorus values, but all of these 

components were only different at one location (out of six) and all means fell within the 

range of natural variation of corn reported in the ILSI database (ILSI 2008). 

VII.B.3. Results of statistical analysis for grain

When analyzed across all six locations, there were no statistically significant differences in 

52 of the 59 components including: proximates, starch, and fiber components (Table VII16), minerals (Table VII-17), vitamins B1, B2, B3

There were a few statistically significant differences observed in vitamins A, B

and E (Table VII-18), amino acids (Table 

VII-19), oleic, linoleic, arachidic, and behenic fatty acids (Table VII-20), antinutrients, or 

secondary metabolites (Table VII-21). 

6, and B9 

Some statistically significant differences were observed in values for individual locations 

but all of these components were only different at one or two locations and all per-location 

means fell within the range of natural variation for corn reported in the ILSI database (ILSI 

2008), with the exception of starch and Vitamin B

(Table VII-18), as well as 16:0 palmitic, 18:0 stearic, 18:3 linolenic, and 20:1 eicosenoic 

acids (Table VII-20). However, the differences observed were small and the mean values 

observed for these vitamins and all but one fatty acid (18:3 linolenic) were all within the 

ranges of values observed for the nontransgenic grain, and all means fell within the natural 

variation of corn reported in the ILSI database (ILSI 2008).

2

VII.B.4. Conclusion of compositional analyses

in the nontransgenic grain, for which the 

values exceeded the reported range.

For all 59 chemical components that were measured in 5307 forage and grain, including 

those for which statistically significant differences were observed, the average values (when 

quantifiable) were within the ranges of natural variation reported in the ILSI database 

(2008). No biologically significant changes in composition were found to have occurred as 

an unintended result of the transformation process or expression of the transgenes in 5307 

corn. In conclusion, forage and grain from 5307 corn hybrids are considered similar in 

composition to forage and grain from both the nontransgenic comparator and conventional 

corn hybrids.

These data support the conclusion that 5307 corn will be as safe and nutritious as 

conventional corn.
5307-USDA-1 Page 109 of 211

Table VII-14. Proximate composition of forage from 5307 corn and nontransgenic corn.

Proximate levels are shown in % DW, except for moisture (% FW). Results significantly different at P < 0.05 are shown in bold italic type. 

For across-location analyses, N = 18; the range of values among these replicates is provided.

Location Data source Statistic Moisture Protein Fat Ash Carbohydrates ADF NDF

Across Event 5307 mean 73.0 7.72 1.90 4.12 86.3 29.1 44.9

 all range 66.5–79.5 5.91–10.3 0.893–2.81 2.89–5.35 82.9–88.9 22.3–40.1 35.5–56.1

Nontransgenic mean 72.3 7.57 1.89 4.34 86.2 28.6 45.4

range 66.7–78.0 6.27–10.0 0.843–2.63 3.43–6.18 82.3–89.0 19.0–41.5 32.3–57.4

ANOVA (F test)

Genotype effect P 0.126 0.525 0.893 0.076 0.895 0.696 0.785

SEM 1.49 0.449 0.118 0.295 0.64 1.33 1.91

ILSI (2008) mean 70.2 7.78 2.039 4.628 85.6 27.00 41.51

range 49.1–81.3 3.14–11.57 <LOQ–4.570 1.527–9.638 76.4–92.1 16.13–47.39 20.29–63.71

N 945 a 945 921 945 945 945 945

a

N is the number of ILSI values used to calculate the mean and excludes values <LOQ
5307-USDA-1 Page 110 of 211

Table VII-14 (Continued). Proximate composition of forage from 5307 corn and nontransgenic corn.

Proximate levels are shown in % DW, except for moisture (% FW). Results significantly different at P < 0.05 are shown in bold italic type. 

For individual location means, N = 3.

Location Data source Statistic Moisture Protein Fat Ash Carbohydrates ADF NDF

L1 Event 5307 mean 70.2 7.98 2.23 3.50 86.3 26.9 36.4

Nontransgenic mean 68.8 7.28 1.73 3.67 87.3 26.4 40.1

P 0.208 0.286 0.415 0.162 0.162 0.887 0.480

SEM 0.53 0.340 0.346 0.055 0.35 2.48 3.04

L2 Event 5307 mean 72.1 6.96 2.01 4.59 86.4 29.7 44.1

Nontransgenic mean 71.4 6.77 2.11 4.82 86.3 33.8 48.9

P 0.630 0.731 0.772 0.363 0.961 0.433 0.563

SEM 0.96 0.340 0.207 0.139 0.43 2.98 4.97

L4 Event 5307 mean 72.5 7.46 2.15 3.64 86.8 28.1 46.7

Nontransgenic mean 71.3 6.96 2.30 4.01 86.7 26.4 41.1

P 0.105 0.033 0.795 0.417 0.771 0.738 0.295

SEM 0.31 0.066 0.350 0.258 0.21 3.13 2.82

L6 Event 5307 mean 76.0 8.40 1.41 4.64 85.5 29.1 47.7

Nontransgenic mean 76.7 9.07 1.77 4.41 84.8 27.0 45.5

P 0.654 0.521 0.192 0.646 0.349 0.092 0.077

SEM 0.99 0.610 0.131 0.300 0.41 0.49 0.46

L7 Event 5307 mean 78.5 9.35 1.73 5.05 84.0 33.8 48.6

Nontransgenic mean 76.7 8.80 1.83 5.47 83.9 32.4 52.9

P 0.007 0.141 0.695 0.377 0.804 0.672 0.541

SEM 0.10 0.162 0.162 0.265 0.42 2.06 4.19

L8 Event 5307 mean 68.6 6.19 1.89 3.33 88.6 26.7 45.7

Nontransgenic mean 68.7 6.54 1.57 3.65 88.3 25.5 43.7

P 0.225 0.057 0.323 0.162 0.625 0.688 0.594

SEM 0.04 0.061 0.174 0.104 0.33 1.88 2.33
5307-USDA-1 Page 111 of 211

Table VII-15. Calcium and phosphorus composition of forage from 5307 cornand nontransgenic corn.

Calcium and phosphorus levels shown in mg/kg DW. Results significantly different at P < 0.05 are shown in bold italic type. 

For across-location analyses, N = 18; the range of values among these replicates is provided.

Location Data source Statistic Ca P

Across Event 5307 mean 2346 1906

all range 1450–3470 1420–2870

Nontransgenic mean 2354 1953

range 1660–3350 1390–2890

ANOVA (F test)

Genotype effect P 0.886 0.491

SEM 209.3 163.9

ILSI (2008) mean 2028.6 2066.1

range 713.9–5767.9 936.2–3704.1

N 481 481
5307-USDA-1 Page 112 of 211

Table VII-15 (Continued). Calcium and phosphorus composition of forage from 5307 corn and nontransgenic corn.

Calcium and phosphorus levels shown in mg/kg DW. Results significantly different at P < 0.05 are shown in bold italic type. For individual location means, N = 3.

Location Data source Statistic Ca P

L1 Event 5307 mean 2370 1723

Nontransgenic mean 2210 1523

P 0.208 0.003

SEM 61.6 8.2

L2 Event 5307 mean 2130 1500

Nontransgenic mean 2223 1457

P 0.711 0.694

SEM 154.5 67.4

L4 Event 5307 mean 2217 1783

Nontransgenic mean 2303 1813

P 0.087 0.869

SEM 19.3 113.1

L6 Event 5307 mean 2497 2493

Nontransgenic mean 2407 2677

P 0.771 0.662

SEM 191.4 255.6

L7 Event 5307 mean 3287 1947

Nontransgenic mean 3190 2043

P 0.032 0.585

SEM 12.5 105.9

L8 Event 5307 mean 1573 1990

Nontransgenic mean 1793 2203

P 0.138 0.076

SEM 64.8 44.0
5307-USDA-1 Page 113 of 211

Table VII-16. Proximate and starch composition of grain from 5307 corn and nontransgenic corn.

Proximate and starch levels shown in % DW, except moisture (% FW). Results significantly different at P < 0.05 are shown in bold italic type. 

For across-location analyses, N = 18; the range of values among these replicates is provided.

Location Data source Statistic Moisturea Protein Fat Ash Carbohydrates ADF NDF TDF Starch

Across Event 5307 mean 10.13 10.86 4.54 1.46 83.1 2.74 8.85 11.8 69.4

 all range 9.54–11.4 9.12–12.6 3.85–4.93 1.22–1.60 81.0–85.3 2.23–3.34 7.68–9.52 10.8–13.4 62.0–73.7

 Nontransgenic mean 10.18 10.92 4.72 1.40 83.0 2.85 8.83 11.7 70.3

range 9.21–12.2 9.20–13.0 4.43–5.09 1.09–1.67 80.7–84.7 2.47–3.48 7.79–10.2 10.6–13.5 63.1–77.3

ANOVA (F test)

Genotype effect P – 0.737 0.053 0.138 0.515 0.281 0.930 0.700 0.589

SEM – 0.375 0.067 0.044 0.44 0.069 0.128 0.19 1.21

ILSI (2008) mean 11.3 10.30 3.555 1.439 84.6 4.05 11.23 16.43 57.7

range 6.1–40.5 6.15–17.26 1.742–5.823 0.616–6.282 77.4–89.5 1.82–11.34 5.59–22.64 8.85–35.31 26.5–73.8

N 1434 1434 1174 1410 1410 1350 1349 397 168

– = not applicable a

Grain was mechanically dried after harvest; moisture levels were not subject to ANOVA
5307-USDA-1 Page 114 of 211

Table VII-16 (Continued). Proximate and starch composition of grain from 5307 corn and nontransgenic corn.

Proximate and starch levels shown in % DW, except moisture (% FW). Results significantly different at P < 0.05 are shown in bold italic type. 

For individual location means, N = 3.

Location Data source Statistic Moisturea Protein Fat Ash Carbohydrates ADF NDF TDF Starch

L1 Event 5307 mean 10.54 10.93 4.38 1.43 83.2 2.63 8.66 11.2 69.4

Nontransgenic mean 11.13 10.60 4.79 1.29 83.3 2.89 9.27 11.9 71.7

P – 0.405 0.068 0.038 0.578 0.390 0.623 0.456 0.401

SEM – 0.225 0.080 0.019 0.14 0.169 0.754 0.54 1.54

L2 Event 5307 mean 10.73 9.38 4.53 1.34 84.8 2.89 9.01 11.7 71.9

Nontransgenic mean 11.00 9.97 4.68 1.25 84.1 2.67 8.73 11.2 74.7

P – 0.011 0.358 0.594 0.070 0.152 0.407 0.431 0.090

SEM – 0.044 0.090 0.094 0.13 0.069 0.188 0.41 0.64

L4 Event 5307 mean 9.77 10.97 4.84 1.42 82.8 2.84 9.20 11.6 72.5

Nontransgenic mean 9.48 10.50 4.84 1.39 83.3 2.73 8.65 11.9 66.0

P – 0.630 0.974 0.628 0.621 0.391 0.406 0.710 0.019

SEM – 0.586 0.126 0.037 0.65 0.076 0.372 0.50 0.65

L6 Event 5307 mean 9.79 12.37 4.59 1.54 81.5 2.85 9.10 12.5 67.3

Nontransgenic mean 9.56 12.50 4.77 1.62 81.1 2.87 8.89 12.4 67.8

P – 0.801 0.257 0.159 0.593 0.962 0.442 0.978 0.940

SEM – 0.327 0.080 0.025 0.41 0.217 0.154 0.75 3.87

L7 Event 5307 mean 10.20 10.60 4.25 1.52 83.6 2.54 8.55 12.0 65.9

Nontransgenic mean 10.27 10.67 4.56 1.38 83.4 2.97 8.45 11.4 68.9

P – 0.868 0.384 0.112 0.805 0.188 0.842 0.135 0.222

SEM – 0.249 0.198 0.037 0.42 0.156 0.322 0.19 1.23

L8 Event 5307 mean 9.74 10.90 4.68 1.50 82.9 2.67 8.57 11.7 69.7

Nontransgenic mean 9.64 11.27 4.66 1.47 82.6 2.95 8.99 11.4 72.9

P – 0.053 0.792 0.159 0.057 0.479 0.519 0.189 0.283

SEM – 0.062 0.047 0.012 0.05 0.229 0.389 0.11 1.59

– = not applicable. aGrain was mechanically dried after harvest; moisture levels were not subject to ANOVA
5307-USDA-1 Page 115 of 211

Table VII-17. Mineral composition of grain from 5307 corn and nontransgenic corn.

Mineral levels shown in mg/kg DW. Results significant at P < 0.05 are shown in bold italic type. 

For across-location analyses N = 18; the range of values among these replicates is provided. 

Location Data source Statistic Ca Cu Fe Mg Mn P K Sea,c Nab,c Zn

Across Event 5307 mean 43.9 1.52 23.7 1323 5.65 3228 3758 – – 23.0

all range 38.6–

49.3

0.89–

4.20

21.2–

28.0

1150–

1430

4.69–

6.61

2620–

3520

3400–

4010

<LOQ–

0.363

< LOQ 19.5–

26.9

 Nontransgenic mean 44.0 1.89 23.3 1336 5.43 3307 3776 – – 23.4

range 40.3–

50.1

1.02–

4.36

20.3–

28.1

1220–

1450

4.43–

6.38

2650–

3600

3240–

4150

<LOQ–

0.400

< LOQ 20.5–

27.9

ANOVA (F test)

Genotype effect P 0.891 0.058 0.308 0.401 0.131 0.110 0.707 – – 0.355

SEM 1.28 0.253 0.85 21.2 0.249 94.7 81.0 – – 0.78

ILSI (2008) mean 46.4 1.75 21.81 1193.8 6.18 3273.5 3842 0.20 31.75 21.6

range 12.7–

208.4

<LOQ–

18.50

10.42–

49.07

594.0–

1940.0

1.69–

14.30

1470.0–

5330.0

1810.0–

6030.0

<LOQ– 

0.75

<LOQ–

731.54

6.5– 

37.2

N 1344 d 1249 1255 1257 1256 1349 1257 89 223 1257

– = not applicable a

The LOQ for selenium was 0.055–0.056 mg/kg DW b

The LOQ for sodium was 110–114 mg/kg DW c

Where some or all values were <LOQ, calculation of the mean and statistical comparison were not possible, thus only the range is shown d

N is the number of ILSI values used to calculate the mean and excludes values <LOQ
5307-USDA-1 Page 116 of 211

Table VII-17 (Continued). Mineral composition of grain from 5307 corn and nontransgenic corn.

Mineral levels shown in mg/kg DW. Results significant at P < 0.05 are shown in bold italic type. For individual location means, N = 3.

Location Data source Statistic Ca Cu Fe Mg Mn P K Sea Naa Zn

L1 Event 5307 mean 47.6 2.66 23.6 1347 5.66 3163 3803 <LOQ–0.086 <LOQ 22.3

Nontransgenic mean 45.4 2.89 22.0 1330 5.03 3103 3680 0.079 <LOQ 22.1

P 0.198 0.556 0.187 0.755 0.096 0.712 0.381 – – 0.915

SEM 0.81 0.232 0.55 33.0 0.149 99.7 78.1 – – 0.78

L2 Event 5307 mean 41.6 1.35 22.4 1307 5.16 2857 3473 0.113 <LOQ 20.4

Nontransgenic mean 41.0 1.88 23.1 1337 5.31 2903 3403 0.125 <LOQ 22.1

P 0.657 0.200 0.482 0.644 0.669 0.866 0.724 0.211 – 0.138

SEM 0.87 0.198 0.63 39.4 0.219 172.4 121.7 0.0046 – 0.49

L4 Event 5307 mean 39.7 1.45 27.2 1297 5.09 3293 3657 0.348 <LOQ 25.7

Nontransgenic mean 41.2 1.28 27.5 1283 5.11 3413 3760 0.364 <LOQ 26.8

P 0.200 0.453 0.701 0.732 0.910 0.230 0.446 0.569 – 0.045

SEM 0.59 0.133 0.42 23.9 0.128 49.7 77.7 0.0160 – 0.16

L6 Event 5307 mean 46.7 0.95 22.5 1347 6.44 3383 3920 <LOQ–0.058 <LOQ 22.1

Nontransgenic mean 47.7 1.09 22.5 1353 6.25 3487 3930 <LOQ–0.063 <LOQ 21.4

P 0.118 0.271 1.000 0.900 0.369 0.335 0.946 – – 0.559

SEM 0.27 0.066 0.27 33.2 0.117 58.1 92.7 – – 0.78

L7 Event 5307 mean 46.8 1.36 24.3 1243 6.32 3227 3750 <LOQ–0.063 <LOQ 24.1

Nontransgenic mean 45.5 2.09 23.4 1297 6.14 3417 3883 <LOQ–0.107 <LOQ 23.9

P 0.156 0.302 0.459 0.047 0.366 0.033 0.231 – – 0.841

SEM 0.40 0.372 0.73 8.5 0.108 24.8 55.4 – – 0.83

L8 Event 5307 mean 40.8 1.34 22.1 1400 5.25 3443 3947 <LOQ–0.061 <LOQ 23.5

Nontransgenic mean 42.9 2.14 21.0 1417 4.73 3520 3997 <LOQ–0.062 <LOQ 24.2

P 0.152 0.156 0.200 0.588 0.018 0.323 0.286 – – 0.417

SEM 0.66 0.252 0.39 18.4 0.049 41.7 24.5 – – 0.51

– = not applicable a

Where some or all values were <LOQ, calculation of the mean and statistical comparison were not possible, thus only the range is shown
5307-USDA-1 Page 117 of 211

Table VII-18. Vitamin composition of grain from 5307 corn and nontransgenic corn.

Vitamin levels shown in mg/100 g DW except as indicated for vitamin E (mg/g). Results significant at P <0.05 are shown in bold italic type. 

For across-location analyses, N = 18; the range of values among these replicates is provided. 

Location Data source Statistic

Vitamin A

β-carotene

Vitamin B1

Thiamine

Vitamin B2

Riboflavin

Vitamin B3

Niacin

Vitamin B6

Pyridoxine

Vitamin B9

Folic Acid

Vitamin E

α-tocopherol

a

Across Event 5307 mean 0.155 0.449 0.198 3.13 0.692 0.0397 0.0093

all range 0.133–0.185 0.399–0.511 0.156–0.264 2.53–4.11 0.587–0.769 0.0305–0.0460 0.00719–0.0111

 Nontransgenic mean 0.176 0.458 0.198 3.18 0.737 0.0382 0.0090

range 0.155–0.216 0.408–0.518 0.152–0.318 2.51–3.70 0.621–0.815 0.0289–0.0463 0.00607–0.0110

ANOVA (F test)

 Genotype effect P <0.001 0.146 0.941 0.674 0.005 0.031 0.074

SEM 0.0049 0.0126 0.0096 0.104 0.0167 0.00199 0.00055

ILSI (2008) mean 0.684 0.530 0.125 2.376 0.644 0.0651 0.0103

range 0.019–4.681 0.126–4.000 0.050–0.236 1.037–4.694 0.368–1.132 0.0147–0.1464 0.0015–0.0687

N 276 894 704 415 415 895 863

a

Original units of mg/100 g reported by the testing laboratory were converted to mg/g
5307-USDA-1 Page 118 of 211

Table VII-18 (Continued). Vitamin composition of grain from 5307 corn and nontransgenic corn.

Vitamin levels shown in mg/100 g DW except as indicated for vitamin E (mg/g). Results significant at P <0.05 are shown in bold italic type. 

For individual location means, N = 3.

Location Data source Statistic Vitamin A

β-carotene

Vitamin B1

Thiamine

Vitamin B2

Riboflavin

Vitamin B3

Niacin

Vitamin B6

Pyridoxine

Vitamin B9

Folic Acid

Vitamin Ea

α-tocopherol

L1 Event 5307 mean 0.152 0.473 0.219 3.27 0.611 0.0448 0.0075

Nontransgenic mean 0.171 0.476 0.205 3.29 0.716 0.0434 0.0069

P 0.297 0.939 0.612 0.963 0.105 0.399 0.176

SEM 0.0096 0.0220 0.0162 0.225 0.0261 0.00091 0.00022

L2 Event 5307 mean 0.151 0.456 0.175 3.53 0.660 0.0422 0.0082

Nontransgenic mean 0.167 0.476 0.202 3.33 0.684 0.0424 0.0078

P 0.082 0.232 0.587 0.657 0.645 0.807 0.313

SEM 0.0035 0.0083 0.0294 0.279 0.0321 0.00059 0.00018

L4 Event 5307 mean 0.141 0.488 0.197 3.16 0.739 0.0393 0.0093

Nontransgenic mean 0.159 0.504 0.169 3.20 0.748 0.0360 0.0090

P 0.016 0.548 0.222 0.903 0.609 0.093 0.289

SEM 0.0017 0.0164 0.0112 0.239 0.0098 0.00078 0.00011

L6 Event 5307 mean 0.172 0.432 0.213 2.89 0.699 0.0427 0.0095

Nontransgenic mean 0.188 0.424 0.246 2.85 0.749 0.0407 0.0094

P 0.061 0.218 0.403 0.826 0.484 0.506 0.743

SEM 0.0029 0.0033 0.0222 0.104 0.0421 0.00176 0.00028

L7 Event 5307 mean 0.157 0.434 0.183 3.16 0.721 0.0317 0.0107

Nontransgenic mean 0.176 0.435 0.172 3.25 0.759 0.0299 0.0109

P 0.218 0.808 0.519 0.709 0.076 0.346 0.733

SEM 0.0076 0.0009 0.0100 0.153 0.0079 0.00104 0.00030

L8 Event 5307 mean 0.160 0.410 0.203 2.77 0.723 0.0377 0.0105

Nontransgenic mean 0.195 0.432 0.191 3.17 0.767 0.0368 0.0098

P 0.025 0.077 0.560 0.498 0.003 0.744 0.454

SEM 0.0040 0.0045 0.0123 0.345 0.0018 0.00176 0.00056

a

Original units of mg/100 g reported by testing laboratory were converted to mg/g
5307-USDA-1 Page 119 of 211

Table VII-19. Amino acid composition of grain from corn 5307 corn and nontransgenic corn.

Amino acid levels shown in mg/g DW. Results significant at P <0.05 are shown in bold italic type. 

For across-location analyses, N = 18; the range of values among these replicates is provided. 

Location Data source Statistic Asp Thr Ser Glu Pro Gly Ala Cys Val

Across Event 5307 mean 6.93 3.80 5.14 20.4 9.23 3.95 8.21 2.33 5.12

all range 5.82–8.15 3.19–4.39 4.10–6.10 16.4–24.9 7.55–11.0 3.52–4.39 6.64–9.97 2.07–2.50 4.33–6.08

 Nontransgenic mean 6.88 3.79 5.17 20.6 9.24 3.97 8.24 2.36 5.13

range 6.00–8.20 3.36–4.47 4.44–6.28 17.4–25.3 7.84–10.9 3.61–4.35 7.06–10.0 2.14–2.59 4.28–6.01

ANOVA (F test)

 Genotype effect P 0.625 0.908 0.736 0.715 0.973 0.761 0.846 0.284 0.877

SEM 0.236 0.123 0.203 0.90 0.375 0.087 0.345 0.043 0.179

ILSI (2008) mean 6.88 3.75 5.12 20.09 9.51 3.85 7.90 2.21 4.90

range 3.35–12.08 2.24–6.66 2.35–7.69 9.65–35.36 4.62–16.32 1.84–5.39 4.39–13.93 1.25–5.14 2.66–8.55

N 1350 1350 1350 1350 1350 1350 1350 1350 1350
5307-USDA-1 Page 120 of 211

Table VII-19 (Continued). Amino acid composition of grain from 5307 corn and nontransgenic corn.

Amino acid levels shown in mg/g DW. Results significant at P <0.05 are shown in bold italic type. For individual location means, N = 3.

Location Data source Statistic Asp Thr Ser Glu Pro Gly Ala Cys Val

L1 Event 5307 mean 7.07 3.82 5.09 21.1 9.25 3.86 8.42 2.33 5.25

Nontransgenic mean 6.74 3.71 4.98 19.9 8.51 3.80 7.97 2.34 5.00

P 0.133 0.197 0.431 0.239 0.408 0.059 0.212 0.707 0.179

SEM 0.096 0.043 0.082 0.51 0.499 0.011 0.176 0.016 0.088

L2 Event 5307 mean 5.94 3.26 4.28 16.8 7.78 3.56 6.78 2.12 4.40

Nontransgenic mean 6.27 3.48 4.63 18.3 8.18 3.75 7.30 2.26 4.66

P 0.030 0.018 0.118 0.010 0.380 0.028 0.010 0.148 0.012

SEM 0.041 0.021 0.092 0.10 0.255 0.024 0.037 0.045 0.020

L4 Event 5307 mean 6.96 3.81 5.25 20.5 9.08 4.04 8.23 2.36 5.17

Nontransgenic mean 6.97 3.84 5.32 20.9 9.78 4.13 8.40 2.36 5.30

P 0.961 0.833 0.761 0.591 0.247 0.485 0.591 0.940 0.367

SEM 0.128 0.088 0.149 0.48 0.307 0.075 0.186 0.028 0.079

L6 Event 5307 mean 7.89 4.31 5.94 24.0 10.90 4.28 9.60 2.47 5.82

Nontransgenic mean 7.73 4.22 5.95 23.9 10.14 4.18 9.48 2.54 5.72

P 0.747 0.668 0.976 0.967 0.301 0.606 0.849 0.277 0.820

SEM 0.306 0.123 0.206 1.01 0.390 0.124 0.393 0.033 0.272

L7 Event 5307 mean 6.69 3.68 4.98 19.3 8.82 3.95 7.85 2.32 4.91

Nontransgenic mean 6.48 3.61 4.93 19.0 8.92 3.86 7.68 2.32 4.74

P 0.514 0.680 0.885 0.772 0.763 0.554 0.725 0.840 0.533

SEM 0.192 0.109 0.186 0.78 0.219 0.084 0.292 0.021 0.167

L8 Event 5307 mean 7.03 3.89 5.30 20.9 9.55 4.02 8.36 2.39 5.16

Nontransgenic mean 7.09 3.88 5.19 21.5 9.89 4.08 8.59 2.36 5.38

P 0.835 0.933 0.519 0.661 0.584 0.594 0.648 0.311 0.508

SEM 0.189 0.075 0.097 0.83 0.368 0.064 0.306 0.019 0.198
5307-USDA-1 Page 121 of 211

Table VII-19 (Continued). Amino acid composition of grain from 5307 corn and nontransgenic corn.

Amino acid levels shown in mg/g DW. Results significant at P <0.05 are shown in bold italic type. 

For across-location analyses, N = 18; the range of values among these replicates is provided. 

Location Data source Statistic Met Ile Leu Tyr Phe Lys His Arg Trp

Across Event 5307 mean 2.29 3.92 13.8 3.18 5.50 3.10 2.99 4.81 0.570

all range 1.97–2.51 3.19–4.77 10.8–17.1 1.57–4.18 4.34–6.68 2.76–3.36 2.57–3.44 3.72–5.56 0.381–0.704

 Nontransgenic mean 2.36 3.91 13.8 3.26 5.52 3.09 3.01 4.82 0.557

range 2.08–2.56 3.23–4.71 11.5–17.3 1.67–3.98 4.73–6.70 2.74–3.38 2.57–3.43 4.20–5.32 0.380–0.700

ANOVA (F test)

 Genotype effect P 0.102 0.947 0.789 0.711 0.883 0.902 0.684 0.892 0.722

SEM 0.049 0.163 0.66 0.153 0.239 0.059 0.088 0.144 0.0298

ILSI (2008) mean 2.09 3.68 13.41 3.36 5.25 3.15 2.96 4.33 0.627

range 1.24–4.68 1.79–6.92 6.42–24.92 1.03–6.42 2.44–9.30 1.72–6.68 1.37–4.34 1.19–6.39 0.271–2.150

N 1350 1350 1350 1350 1350 1350 1350 1350 1350
5307-USDA-1 Page 122 of 211

Table VII-19 (Continued). Amino acid composition of grain from 5307 corn and nontransgenic corn.

Amino acid levels shown in mg/g DW. Results significant at P <0.05 are shown in bold italic type. For individual location means, N = 3.

Location Data source Statistic Met Ile Leu Tyr Phe Lys His Arg Trp

L1 Event 5307 mean 2.32 4.03 14.3 2.88 5.63 3.08 3.01 4.43 0.497

Nontransgenic mean 2.32 3.74 13.3 3.47 5.26 3.06 2.92 4.61 0.601

P 0.915 0.150 0.231 0.334 0.283 0.319 0.175 0.429 0.552

SEM 0.039 0.092 0.39 0.330 0.177 0.014 0.031 0.132 0.1039

L2 Event 5307 mean 2.02 3.26 11.1 2.57 4.49 2.81 2.62 4.19 0.494

Nontransgenic mean 2.23 3.49 12.2 3.02 4.86 2.95 2.80 4.44 0.539

P 0.144 0.066 0.007 0.228 0.079 0.072 0.009 0.161 0.656

SEM 0.061 0.043 0.06 0.187 0.077 0.029 0.012 0.083 0.0605

L4 Event 5307 mean 2.28 3.95 13.8 3.16 5.50 3.19 3.03 5.02 0.680

Nontransgenic mean 2.36 4.01 14.1 3.52 5.63 3.22 3.11 5.29 0.588

P 0.279 0.535 0.589 0.622 0.515 0.762 0.402 0.343 0.169

SEM 0.037 0.057 0.30 0.441 0.114 0.068 0.058 0.157 0.0307

L6 Event 5307 mean 2.42 4.56 16.4 3.54 6.46 3.31 3.34 5.23 0.624

Nontransgenic mean 2.52 4.46 16.3 3.06 6.31 3.21 3.28 4.92 0.658

P 0.115 0.793 0.931 0.524 0.724 0.578 0.721 0.523 0.427

SEM 0.027 0.229 0.72 0.446 0.255 0.100 0.109 0.279 0.0238

L7 Event 5307 mean 2.37 3.74 13.0 3.43 5.27 3.08 2.91 5.02 0.554

Nontransgenic mean 2.39 3.58 12.7 3.39 5.18 2.97 2.82 4.84 0.502

P 0.823 0.538 0.761 0.895 0.781 0.333 0.589 0.555 0.403

SEM 0.037 0.154 0.61 0.189 0.193 0.063 0.100 0.178 0.0350

L8 Event 5307 mean 2.32 3.98 14.0 3.48 5.68 3.12 3.04 4.95 0.573

Nontransgenic mean 2.32 4.21 14.5 3.08 5.88 3.15 3.13 4.80 0.454

P 0.919 0.477 0.644 0.665 0.592 0.607 0.509 0.703 0.134

SEM 0.021 0.187 0.61 0.562 0.231 0.031 0.086 0.236 0.0342
5307-USDA-1 Page 123 of 211

Table VII-20. Fatty acid compositiona

Fatty acids shown as % of total fatty acids. Results significant at P < 0.05 are shown in bold italic type. 

For across-location analyses, N = 18; the range of values among these replicates is provided. 

of grain from 5307 corn and nontransgenic corn.

Location Data source Statistic 16:0 

Palmitic

16:1 

Palmitoleicb 18:0 Stearic

18:1 

Oleic

18:2 

Linoleic

18:3 

Linolenic

20:0 

Arachidic

20:1 

Eicosenoic

22:0 

Behenic

Across Event 5307 mean 15.7 – 1.74 24.5 55.6 1.60 0.392 0.250 0.220

all range 15.1–16.1 <LOQ–0.137 1.50–2.04 22.0–27.0 53.2–58.1 1.48–1.71 0.353–0.453 0.238–0.265 0.186–0.252

 Nontransgenic mean 15.2 – 1.81 24.9 55.7 1.50 0.387 0.242 0.213

range 14.6–15.9 <LOQ–0.450 1.54–2.17 22.6–26.4 53.8–58.4 1.40–1.57 0.361–0.437 0.232–0.261 0.194–0.247

ANOVA (F test)

 Genotype effect P <0.001 – 0.038 0.108 0.599 <0.001 0.186 <0.001 0.243

 SEM 0.07 – 0.059 0.54 0.60 0.017 0.0098 0.0029 0.0056

ILSI (2008) mean 11.50 0.154 1.82 25.8 57.6 1.20 0.412 0.297 0.176

range 7.94–

20.71

<LOQ– 

0.447

1.02– 

3.40

17.4– 

40.2

36.2–

66.5

0.57– 

2.25

0.279– 

0.965

0.170– 

1.917

<LOQ– 

0.349

N 1344 596 1344 1344 1344 1344 988 987 924

– = not applicable a Where some or all values were <LOQ, % of total fatty acids could not be calculated and statistical analysis could not be performed. Levels <LOQ were observed 

for all replicates at all locations for 8:0 caprylic, 10:0 capric, 12:0 lauric, 14:0 myristic, 14:1 myristoleic, 15:0 pentadecanoic, 15:1 pentadecenoic, 17:0 

heptadecanoic, 17:1 heptadecenoic, 20:2 eicosadienoic, 20:3 eicosatrienoic, and 20:4 arachidonic fatty acids b Some values were <LOQ, therefore, only the range is shown
5307-USDA-1 Page 124 of 211

Table VII-20 (Continued). Fatty acid composition of grain from 5307 corn and nontransgenic corn.

Fatty acids shown as % of total fatty acids. Results significant at P < 0.05 are shown in bold italic type. For individual location means, N = 3. 

Location Data source Statistic 16:0 

Palmitic

16:1 

Palmitoleica 18:0 Stearic

18:1 

Oleic

18:2 

Linoleic

18:3 

Linolenic

20:0 

Arachidic

20:1 

Eicosenoic

22:0 

Behenic

L1 Event 5307 mean 15.5 <LOQ 1.53 22.4 58.1 1.63 0.374 0.247 0.210

Nontransgenic mean 15.1 <LOQ 1.58 22.7 58.2 1.51 0.371 0.237 0.204

P 0.225 – 0.013 0.286 0.199 0.122 0.641 0.061 0.730

SEM 0.16 – 0.004 0.15 0.06 0.033 0.0043 0.0019 0.0107

L2 Event 5307 mean 15.8 <LOQ 1.77 23.5 56.4 1.67 0.397 0.242 0.216

Nontransgenic mean 15.5 <LOQ–0.450 1.93 24.3 55.8 1.54 0.388 0.238 0.202

P 0.149 – 0.202 0.120 0.406 0.017 0.467 0.476 0.100

SEM 0.10 – 0.060 0.22 0.43 0.012 0.0077 0.0038 0.0035

L4 Event 5307 mean 15.7 0.134 1.76 25.3 54.8 1.57 0.391 0.245 0.200

Nontransgenic mean 15.2 0.132 1.86 25.5 55.0 1.47 0.391 0.240 0.212

P 0.013 0.372 0.023 0.319 0.478 0.019 0.960 0.047 0.373

SEM 0.04 0.0017 0.011 0.14 0.16 0.010 0.0042 0.0009 0.0075

L6 Event 5307 mean 15.8 <LOQ–0.132 1.68 24.5 55.5 1.60 0.368 0.246 0.228

Nontransgenic mean 15.1 <LOQ–0.134 1.72 24.7 56.1 1.54 0.370 0.239 0.206

P 0.069 – 0.270 0.560 0.210 0.203 0.606 0.242 0.072

SEM 0.14 – 0.019 0.17 0.25 0.023 0.0027 0.0029 0.0045

L7 Event 5307 mean 15.5 <LOQ 1.98 26.4 53.6 1.55 0.441 0.263 0.242

Nontransgenic mean 15.4 <LOQ–0.143 1.96 26.1 54.1 1.47 0.427 0.253 0.235

P 0.038 – 0.701 0.493 0.291 0.086 0.336 0.132 0.678

SEM 0.02 – 0.032 0.26 0.23 0.017 0.0077 0.0030 0.0098

L8 Event 5307 mean 15.7 <LOQ–0.137 1.71 24.9 55.1 1.59 0.380 0.254 0.221

Nontransgenic mean 15.0 <LOQ–0.124 1.80 25.9 54.9 1.45 0.378 0.247 0.220

P 0.053 – 0.082 0.211 0.678 0.093 0.878 0.294 0.946

SEM 0.13 – 0.020 0.39 0.29 0.032 0.0054 0.0037 0.0061

– = not applicable a

Where some or all values were <LOQ, % of total fatty acids could not be calculated, statistical analysis could not be performed, and only the range is shown
5307-USDA-1 Page 125 of 211

Table VII-21. Secondary metabolite and antinutrient composition of grain from 5307 corn and nontransgenic corn.

Analyte units as in column headings. Results significant at P < 0.05 are shown in bold italic type. 

For across-location analyses, N = 18; the range of values among these replicates is provided. 

Ferulic acid ρ-Coumaric 

acid Inositol Phytic acid Trypsin inhibitor Furfurala,b Raffinose

Location Data source Statistic (mg/kg DW) (mg/kg DW) (ppm DW) (% DW) (TIU/mg DW) (mg/kg DW) (% DW)

Across Event 5307 mean 1906 186 2510 0.910 3.34 – 0.156

all range 1670–2190 153–229 2120–3160 0.671–1.03 2.39–4.42 < LOQ 0.115–0.199

 Nontransgenic mean 1889 186 2504 0.942 3.46 – 0.163

range 1620–2090 148–226 1980–3060 0.729–1.06 2.22–3.94 < LOQ 0.119–0.188

ANOVA (F test)

Genotype effect P 0.691 0.926 0.951 0.216 0.393 – 0.066

SEM 52.4 9.1 86.1 0.0261 0.118 – 0.0087

ILSI (2008) mean 2201.1 218.4 1331.5 0.745 2.73 3.697 0.312

range 291.9–3885.8 53.4–576.2 89.0–3765.4 0.111–1.570 <LOQ–7.18 <LOQ–6.340 <LOQ–0.320

N 817 c 817 504 1196 696 14 701

– = not applicable a

The LOQ for furfural was 0.55–0.57 mg/kg DW b

All values were <LOQ and therefore statistical comparison was not possible

c

N is the number of ILSI values used to calculate the mean and excludes values <LOQ
5307-USDA-1 Page 126 of 211

Table VII-21 (Continued). Secondary metabolite and antinutrient composition of grain from 5307 corn and nontransgenic corn.

Analyte units as in column headings. Results significant at P < 0.05 are shown in bold italic type. For individual location means, N = 3. 

Location Data source Statistic Ferulic acid 

(mg/kg DW)

ρ-Coumaric acid 

(mg/kg DW)

Inositol 

(ppm DW)

Phytic acid 

(% DW)

Trypsin inhibitor 

(TIU/mg DW)

Furfurala

(mg/kg DW)

Raffinose 

(% DW)

L1 Event 5307 mean 1770 169 2323 0.903 3.31 <LOQ 0.179

Nontransgenic mean 1883 187 2160 0.878 3.58 <LOQ 0.174

P 0.579 0.494 0.062 0.577 0.124 – 0.707

SEM 122.2 15.9 30.1 0.0268 0.073 – 0.0082

L2 Event 5307 mean 1747 197 2517 0.840 2.90 <LOQ 0.166

Nontransgenic mean 1827 207 2230 0.848 3.48 <LOQ 0.178

P 0.463 0.375 0.323 0.938 0.111 – 0.607

SEM 62.8 6.5 155.8 0.0592 0.149 – 0.0133

L4 Event 5307 mean 2137 226 2790 1.000 3.58 <LOQ 0.164

Nontransgenic mean 1977 209 2760 1.006 3.73 <LOQ 0.175

P 0.186 0.193 0.896 0.818 0.702 – 0.093

SEM 57.2 6.3 143.5 0.0171 0.241 – 0.0026

L6 Event 5307 mean 2017 177 2527 0.842 3.44 <LOQ 0.167

Nontransgenic mean 1990 185 2523 0.965 3.64 <LOQ 0.173

P 0.829 0.702 0.959 0.156 0.412 – 0.234

SEM 76.6 12.8 40.9 0.0390 0.140 – 0.0027

L7 Event 5307 mean 1800 159 2470 0.912 3.40 <LOQ 0.139

Nontransgenic mean 1753 154 2627 0.984 3.28 <LOQ 0.156

P 0.340 0.225 0.691 0.053 0.861 – 0.091

SEM 26.6 2.0 241.1 0.0123 0.403 – 0.0039

L8 Event 5307 mean 1967 186 2433 0.964 3.41 <LOQ 0.122

Nontransgenic mean 1903 175 2727 0.971 3.02 <LOQ 0.123

P 0.604 0.601 0.081 0.864 0.311 – 0.893

SEM 73.5 13.0 62.8 0.0230 0.205 – 0.0031

– = not applicable a All values were <LOQ and therefore statistical comparison was not possible
5307-USDA-1 Page 127 of 211

VII.C. Summary of Phenotypic and Compositional Evaluations

The results of laboratory, greenhouse, and field studies indicate that 5307 corn is no 

different than conventional corn with regard to phenotypic and compositional properties that 

bear on weediness potential for the new cultivar. Corn as a crop has lost the ability to 

survive outside of cultivation (OECD, 2003). It can overwinter and germinate in a 

subsequent crop as a volunteer weed; for example, corn is a common volunteer in soybeans. 

Nevertheless, several features of corn make it unlikely to form troublesome or selfsustaining weedy populations in agricultural systems: 1) it is easily controlled in subsequent 

crops by selective herbicides; 2) seed dispersal is limited because seeds are held inside the 

husks of the cob; and 3) the seeds lack dormancy characteristics. Corn does not persist in 

habitats outside agriculture because, in addition to the features listed above, it requires 

disturbed ground to germinate and it is very uncompetitive against perennial vegetation. 
5307-USDA-1 Page 128 of 211

VIII. Environmental Consequences of Introduction 

Event 5307 corn contains a novel protein, eCry3.1Ab, that has insecticidal activity against a 

number of coleopteran species that are pests of U.S. agriculture. Studies have been 

conducted to define the spectrum of insecticidal activity for eCry3.1Ab and to assess the 

efficacy of 5307 corn hybrids in resisting corn rootworm larval feeding damage. An 

assessment of risk for nontarget organisms and endangered species that might be exposed to 

eCry3.1Ab in 5307 corn has been performed. This risk assessment is comprised of multiple 

parts: 

• A determination of estimated environmental concentrations (EECs) for 

eCry3.1Ab;

• A characterization of potential hazards posed by eCry3.1Ab to nontarget 

indicator organisms appropriate for a corn ecosystem; 

• A comparison of EECs to no-observable-effect concentrations for nontarget 

organisms; and 

• A specific characterization of risk to endangered or threatened species. 

Given the ubiquitous distribution of PMI enzymes in nature, their nontoxic mode of action, 

and the apparent absence of environmental risk associated with PMI enzymes, it can 

reasonably be assumed that the presence of PMI as a selectable marker in 5307 corn will not 

alter the ecological balance within corn ecosystems. PMI is also present as a selectable 

marker in two other Syngenta corn events that have been deregulated by APHIS, namely 

MIR604 corn (for rootworm control) and MIR162 corn (for lepidopteran control).

VIII.A. Spectrum of eCry3.1Ab Insecticidal Activity 

Syngenta has conducted mortality bioassays using 5307 corn tissue or diets containing 

microbially produced eCry3.1Ab in a range of insect species to identify those that are 

susceptible to the toxin. (A description of the microbially produced eCry3.1Ab test 

substance used in several of these studies is provided in Part VI.A.1.a. Production of 

eCry3.1Ab for Safety Testing.) The results of these bioassays demonstrate that activity of 

eCry3.1Ab is limited to species within the order Coleoptera, yet all coleopteran species are 

not sensitive to the protein. This narrow spectrum of activity for eCry3.1Ab is a very 

positive attribute from an ecological perspective; corn plants containing eCry3.1Ab are 

unlikely to pose a risk to nontarget organisms inhabiting corn ecosystems. Table VIII-1 lists

the insect species that have been found by Syngenta to be sensitive or insensitive to 

eCry3.1Ab. These results have been compiled from a combination of both laboratory and 

in-field assessments.
5307-USDA-1 Page 129 of 211

Table VIII-1. Insect species screened for sensitivity to eCry3.1Ab. 

Activity was assessed in insects fed diets comprised of 5307 corn leaf tissue or diets containing microbially 

produced eCry3.1Ab, or based on field evaluations of 5307 plants.

Order: Family Genus and Species Common name(s) eCry3.1Ab

Activity

Coleoptera: Chrysomelidae Leptinotarsa decemlineata Colorado potato beetle Active1

Diabrotica virgifera virgifera Western corn rootworm Active2

Diabrotica longicornis barberi Northern corn rootworm Active 1 3

Diabrotica virgifera zeae Mexican corn rootworm Active 1 3

Diabrotica undecimpunctata

 howardi

Southern corn rootworm

Spotted cucumber beetle

Not Active4

Coleoptera: Coccinellidae Coleomegilla maculata Spotted ladybird beetle Not Active5

Coleoptera: Staphylinidae Aleochara bilineata Rove beetle Not Active6

Coleoptera: Carabidae Poecilus cupreus Ground beetle Not Active7

Lepidoptera: Noctuidae Agrotis ipsilon Black cutworm Not Active8

Helicoverpa zea Corn earworm

Cotton bollworm

Not Active8

Spodoptera frugiperda Fall armyworm Not Active8

Heliothis virescens Tobacco budworm Not Active8

Lepidoptera: Crambidae Ostrinia nubilalis European corn borer Not Active8

Lepidoptera: Gelechiidae Pectinophora gossypiella Pink bollworm Not Active9

Hemiptera: Anthocoridae Orius laevigatus Flower bug Not Active10

1 Activity against this species was determined in the laboratory bioassay described below (see Table VIII-2) and confirmed in 

additional laboratory assays described in Part VI.A.1.b and Appendix C. 2 Activity against this species was determined in the laboratory bioassay described below (see Table VIII-2) and confirmed in 

laboratory assays described by Walters et al. (2010). Activity was also confirmed in field evaluations described in Part VIII.B. 3 Activity against this species was determined in field evaluations described in Part VIII.B.

4 Inactivity in this species was determined in the laboratory bioassay described below; see Table VIII-2. 5 Inactivity in this species was determined in the laboratory bioassay described in Part VIII.D.4.a. 6 Inactivity in this species was determined in the laboratory bioassay described in Part VIII.D.5.b.

7 Inactivity in this species was determined in the laboratory bioassay described in Part VIII.D.5.a. 8 Inactivity in this species was determined in the laboratory bioassays described below; see Tables VIII-2 and VIII-3. 9 Inactivity in this species was determined in the laboratory bioassay described below; see Table VIII-2. 10 Inactivity in this species was determined in the laboratory bioassays described in Part VIII.D.4.b.

Presented below (Table VIII-2) are the results of qualitative insect screening bioassays with 

three coleopteran and six lepidopteran pest species listed in Table VIII-1. Included among 

the test species were those known to be sensitive to one of the component Cry proteins 

(mCry3A or Cry1Ab) represented in eCry3.1Ab (Figure IV-1). Western corn rootworm and 

Colorado potato beetle are sensitive to mCry3A (EPA, 2010e), whereas corn earworm, 

tobacco budworm, and European corn borer are sensitive to Cry1Ab (Crickmore, 2010).
5307-USDA-1 Page 130 of 211

The screening bioassays were conducted using the cell lysate from an E. coli expression 

system producing eCry3.1Ab. Aliquots of the cell lysate were mixed 1:1 (v/v) with molten 

artificial diet appropriate for each insect and the diet was allowed to solidify. For each 

species tested, an aliquot of the diet mixture containing eCry3.1Ab was placed in a 50 × 9 

mm culture dish, to which 20 neonate larvae were then added. Control culture dishes 

containing larvae and untreated diet were prepared concurrently in the same manner. 

Additional controls were concurrently treated with cell lysate from E. coli transformed with 

a blank version of the plasmid vector (i.e., lacking the gene ecry3.1Ab). Lids were placed on 

the culture dishes and the larvae were incubated at approximately 25°C in the dark. 

Mortality was assessed after 5-6 days. 

Among the three coleopteran species tested in this set of assays, western corn rootworm and 

Colorado potato beetle appeared to be highly sensitive to eCry3.1Ab and exhibited 90% and 

100% mortality, respectively (Table VIII-2). (The precise eCry3.1Ab concentration in the 

test diets was not determined in this screening experiment, but evidently exceeded the LC50

Table VIII-2. Bioassays of coleopteran and lepidopteran pest larvae with eCry3.1Ab.

s 

for the sensitive species, based on the high mortality observed.) Southern corn rootworm 

was insensitive to eCry3.1Ab at the same concentration that was highly toxic to the other 

coleopteran species tested; only 10% mortality was observed, and this was within the range 

of control mortality seen across this series of assays (0 – 20%). All six of the lepidopteran 

species tested were insensitive to eCry3.1Ab. The absence of lepidopteran activity is 

consistent with the fact that, although eCry3.1Ab contains a portion of Cry1Ab (Figure IV1), that portion does not include the region responsible for lepidopteran activity. 

Treatment % Mortality (N = 20)

WCR SCR CPB FAW BCW CEW TBW ECB PBW

eCry3A.1Ab from 

E. coli lysate + diet 90 10 100 0 10 0 0 0 20

Control E. coli

lysate + diet 10 NT NT 1 0 20 10 0 0 20

Diet only 0 NT NT 0 0 20 0 0 0

WCR = western corn rootworm; SCR = southern corn rootworm; CPB = Colorado potato beetle; FAW = fall armyworm;

BCW = black cutworm; CEW = corn earworm; TBW = tobacco budworm; ECB = European corn borer; PBW = pink 

bollworm, 1 NT = Not tested

Presented below (Table VIII-3) are the results of insect bioassays conducted using leaf 

pieces of 5307 corn and nontransgenic, near-isogenic corn. Plants were grown in a 

greenhouse until they had reached the V6 (six-leaf) stage. Five lepidopteran pest species 

were tested in five replicate cultures each per treatment. Each replicate consisted of 10 first 

instars placed in a culture dish with a moistened absorbent pad and a one-inch square piece 

of leaf tissue. After 120 hours, the percent leaf damage by the larvae was recorded. For 

each species, the percent of leaf area damaged was compared between the 5307 corn leaf 

treatments and the control corn leaf treatments by analysis of variance. 

There were no statistically significant differences between the 5307 and control leaves in the

percent leaf area damaged by any pest species; all the larvae fed extensively on the leaf 
5307-USDA-1 Page 131 of 211

tissue from both sources and continued to develop normally during the test period. This 

study confirmed that 5307 corn containing eCry3.1Ab does not have lepidopteran activity.

Table VIII-3. Bioassays of lepidopteran pest larvae with leaf pieces from 5307 corn. 

Corn Leaf 

Source Replicate1

Percent Leaf Area Damaged by Pest Species2

ECB FAW BCW CEW TBW

Control 1 85 100 40 35 40

Control 2 95 95 60 35 95

Control 3 65 100 50 30 45

Control 4 45 100 30 40 80

Control 5 70 100 50 35 55

5307 1 75 95 50 40 45

5307 2 75 85 45 30 75

5307 3 50 90 35 35 95

5307 4 65 100 45 35 85

5307 5 40 100 40 40 90

Control Mean ± SD 72 ± 19 99 ± 2.2 46 ± 11 35 ± 3.5 63 ± 24

5307 Mean ±SD 61 ± 16 94 ± 6.5 43 ± 5.7 36 ± 4.2 78 ± 20

F-Test Probability 0.349 0.143 0.613 0.694 0.309

1 N = 10 larvae per replicate.

2

VIII.B. Activity of eCry3.1Ab and 5307 Corn Against Target Insects

ECB = European corn borer; FAW = fall armyworm; BCW = black cutworm; CEW = corn earworm; TBW = tobacco 

budworm

As shown in Table VIII-1, eCry3.1Ab has activity against three of the major rootworm pests 

of corn in the U.S., specifically: D. virgifera virgifera LeConte (western corn rootworm), 

D. longicornis barberi Smith and Lawrence (northern corn rootworm), and D. virgifera zeae 

Krysan and Smith (Mexican corn rootworm). Expressing an ecry3.1Ab gene at adequate 

levels in corn is a logical approach for limiting crop losses attributable to these pests, 

especially considering the limitations of conventional insecticides in controlling corn 

rootworms. Thus, 5307 corn was developed. In hybrid offerings to growers, the gene 

ecry3.1Ab in 5307 corn will be combined through traditional breeding with other 

deregulated corn varieties containing additional insect-protection traits, as well as herbicidetolerance traits (i.e., as Bt11 × MIR604 × TC1507 × 5307 × GA21 and Bt11 × MIR162 ×

MIR604 × TC1507 × 5307 × GA21 corn hybrids). 

Field trials to date have demonstrated excellent efficacy of 5307 corn in controlling root 

feeding damage by western, northern and Mexican corn rootworms. While western and 

northern corn rootworms are pests of corn throughout the midwestern states, the Mexican 

corn rootworm occurs in Texas, Oklahoma and New Mexico (Krysan, 1986). 

The photograph in Figure VIII-1 illustrates how destructive western corn rootworm larval 

feeding can be to a control hybrid under high pest pressure and how highly effective the 

5307 hybrid is in preventing damage under the same pest pressure. 
5307-USDA-1 Page 132 of 211

Figure VIII-1. Root mass of a 5307 hybrid compared to a control hybrid under 

high western corn rootworm pressure. 

A typical root mass of a 5307 hybrid is shown on the left (Shirley, IL, 2008). Note the loss of 

entire nodes of roots from the control hybrid on the right due to extensive feeding by corn 

rootworm larvae. 

Representative efficacy results from five years of field trials (2005 – 2009) are shown in 

Figure VIII-2. These trials were conducted in 21 locations in Illinois and Minnesota under 

USDA APHIS notifications 05-062-02n, 06-055-08n, 07-043-109n, 08-051-104n, and 09-

063-103n. Efficacy was assessed under natural rootworm infestation, which was facilitated 

by planting a cucurbit trap crop the previous season to attract corn rootworm beetles for 

increased egg accumulation (Branson and Sutter, 1989). The efficacy of a 5307 hybrid was 

compared to a control hybrid and also to a MIR604 corn hybrid, both alone and in stacked 

combination by conventional breeding (referred to as a “MIR604 x 5307” hybrid). MIR604 

corn produces a modified Cry3A (mCry3A) protein for corn rootworm control; Syngenta 

currently markets MIR604 corn as Agrisure® RW rootworm control. 

Root damage ratings were assigned on a scale of 0.01 (no damage) to 3.0 (heavy damage) 

using a modification of the Iowa State University node-injury linear (0 – 3) scale for rating 

damage by corn rootworm larvae (Oleson et al., 2005). At the Illinois trial locations, the 

predominant rootworm species was western corn rootworm, whereas the trials in Minnesota 

had mixed infestations of western and northern corn rootworms. 
5307-USDA-1 Page 133 of 211

The results of these trials demonstrate the high rootworm control efficacy of the eCry3.1Ab 

protein in 5307 hybrids. This was evident whether 5307 corn was tested as a stand-alone 

event or whether it was combined with mCry3A in MIR604 corn. 

Figure VIII-2. Rootworm efficacy of 5307, MIR604 x 5307, and MIR604 corn hybrids; 

Illinois and Minnesota trials, 2005-2009. 

Western corn rootworm was the predominant rootworm species in the Illinois trials, while mixed infestations 

of western and northern corn rootworms were present in the Minnesota trials.

0.05 0.05

0.17

1.75

0.00

0.50

1.00

1.50

2.00

2.50

5307 MIR604x5307 MIR604 Negative Control

Mean root damage ratings, 0.01 – 3.0 rating scale 

Natural rootworm infestation, preceded by trap cucurbit crop in prior season

5 years, 21 locations
5307-USDA-1 Page 134 of 211

VIII.C. Estimated Environmental Concentrations of eCry3.1Ab

Data on the concentration of eCry3.1Ab in 5307 corn were used to calculate the estimated

environmental concentrations (EECs) of eCry3.1Ab for groups of organisms potentially 

exposed via 5307 corn. Estimates of exposure based on conservative assumptions about the 

dilution of eCry3.1Ab in prey and in soil have been made. Additionally, conservative 

assumptions about eCry3.1Ab concentrations in bodies of water near corn cultivation areas 

have been made. The EECs derived are suitable for protecting populations of nontarget 

organisms. Potential exposures and risks for endangered and threatened species are 

addressed separately in Part VIII.F., below.

VIII.C.1. Concentrations of eCry3.1Ab in 5307 Corn

The concentration of eCry3.1Ab was measured by enzyme-linked immunosorbent assay 

(ELISA) in several corn tissues and whole plants at four growth stages: whorl, anthesis, 

seed maturity and senescence (refer to Table VI-2). The values chosen for computation of 

EECs are shown in Table VIII-4. These values represent the mean8 eCry3.1Ab 

concentration across four locations at the 5307 hybrid corn growth stage with the highest 

expression level. EECs were calculated from eCry3.1Ab tissue concentrations expressed on 

a fresh-weight basis.

Table VIII-4. Tissue concentrations of eCry3.1Ab used for computation of EECs.

Highest mean concentrations of eCry3.1Ab as determined by ELISA in tissues of 5307 corn

hybrids grown in four field locations. All values are reported on a fresh-weight basis and are 

corrected for extraction efficiency.

Tissue eCry3.1Ab (μg/g) Growth stage

Leaf 25.33 Maturity

Kernel 4.56 Maturity

Root 5.54 Whorl

Pollen 0.14 Anthesis a

Whole plants 15.78 Whorl

a Extraction efficiency could not be derived for pollen samples, due to very low eCry3.1Ab concentrations. 

However, the data have been adjusted using conservative estimates of extraction efficiency for this tissue. 

 

8 Because these values represent the mean eCry3.1Ab concentrations at the growth stage with the highest

expression level, they represent a conservative estimate for risk assessment purposes, and are appropriate for 

estimating potential exposure at a population level. Although a rare individual organism might theoretically be 

exposed to the highest single eCry3.1Ab concentration observed among all samples of a relevant tissue type, 

any such exposure is likely to be relatively brief and represent only a small portion of the total diet of the 

organism. This contrasts to the extended exposure to a continuous, no-choice eCry3.1Ab-treated diet in 

laboratory studies using nontarget indicator organisms; these factors represent additional sources of 

conservatism in the risk assessment, because they are unlikely to occur under natural conditions. The approach 

used for deriving EECs herein is similar to that used by Raybould et al. (2007) and Raybould and Vlachos 

(2010) for other insecticidal corn varieties. 
5307-USDA-1 Page 135 of 211

VIII.C.2. Fate of eCry3.1Ab in Soil

Most proteins do not persist or accumulate in soil because they are inherently degradable in 

soils that have normal microbial populations (e.g., Burns, 1982; Marx et al., 2005). Multiple 

investigations have demonstrated that Cry proteins from B. thuringiensis are rapidly 

degraded in a variety of soil types and that the proteins do not accumulate (Mendelsohn et

al., 2003; Head et al., 2002; Dubelman et al., 2005). There is no evidence that they 

accumulate in soil or are protected from the activity of proteases in soil.

A laboratory study was conducted to examine the fate of eCry3.1Ab in live soil. For this

investigation, live soil representing a loam soil texture was used to examine the rate at which

eCry3.1Ab biological activity declined. Microbially produced eCry3.1Ab (in test substance 

ECRY3.1AB-0208; see Parts VI.A.1.a and VI.A.1.b.) was added to the soil at a 

concentration of 50 μg/g dry weight-equivalent soil. A rapid decline in eCry3.1Ab 

bioactivity was observed. There was no biological activity detected above background 

control levels after 14 days of eCry3.1Ab incubation in live soil. The results of this study 

demonstrate that eCry3.1Ab biological activity is rapidly lost in healthy soils. 

VIII.C.3. Expected eCry3.1Ab Environmental Concentrations for Nontarget Organisms

This section provides conservative estimates of environmental concentrations of eCry3.1Ab 

for multiple classes of nontarget organisms that may be exposed via cultivation of 5307 

corn. Exposure through soil run-off or gene flow is unlikely for the reasons stated elsewhere 

in the petition (see Parts VIII.C.2. and VIII.I.) and is not considered. The approach to 

estimating environmental exposures for eCry3.1Ab is similar to that previously described 

for insect-control events MIR604 corn (Raybould et al., 2007) and MIR162 corn (Raybould 

and Vlachos, 2010).

VIII.C.3.a. EEC for Wild Birds

Some birds such as crows (Corvus brachyrhynchos), grackles (Quiscalus quiscula) and 

sandhill cranes (Grus canadensis) uproot sprouting corn to feed on the germinating kernels 

(e.g., Steffey et al., 1999; Blackwell et al., 2001; Sterner et al., 2003). Blackbirds typically 

slit open husks with their bills and puncture kernels in the milk stage (Steffey et al., 1999). 

Blackbirds are also common in corn stubble where they forage for spilled kernels and weed 

seeds (Linz et al., 2003). Therefore, the exposure of wild birds to eCry3.1Ab via cultivation 

of 5307 corn was estimated using the concentration of eCry3.1Ab in kernels. 

The mean eCry3.1Ab concentration at the growth stage with the highest concentrations in 

5307 corn kernels was 4.56 μg eCry3.1Ab/g fresh weight (Table VIII-4). Exposure to birds 

may be expressed more suitably as a daily dietary dose (DDD), which is given by a simple 

formula (Crocker et al., 2002):

DDD = FIR

bw × C

where FIR = daily food intake rate; bw = body weight; and C = concentration of eCry3.1Ab 

in food.
5307-USDA-1 Page 136 of 211

FIR/bw ratios for cereal seed-eating birds consuming fresh food were estimated by Crocker 

et al. (2002). Among the seven species represented, ratios range from 0.11 (g seeds/g bw) 

for the pheasant (Phasianus colchicus) to 0.35 for the tree sparrow (Passer montanus); these 

species also represent the extreme range of body weights, i.e., 22 g for the sparrow to 953 g 

for the pheasant. Because smaller birds (e.g., the tree sparrow) have a higher food intake 

rate compared to body mass, and hence a higher DDD, the estimate of risk using the higher 

ratio of FIR/bw is more conservative.

Wild birds are unlikely to consume a diet of 100% corn kernels. A conservative estimate of 

exposure can be derived from the proportion of corn kernels in the diet of birds feeding in 

corn growing areas. Studies by McNichol et al. (1979) and Homan et al. (1994) of the diets 

of red-winged blackbirds and common grackles, respectively, showed that corn kernels 

comprise up to 50% of their diet. An EEC for wild birds can be calculated based on a diet of 

50% 5307 corn kernels containing 4.56 μg eCry3.1Ab/g kernels. This yields a conservative 

EEC for wild birds of:

0.5 × 4.56 μg eCry3.1Ab/g kernels = 2.28 μg eCry3.1Ab/g kernels

With a DDD for wild birds of:

0.5 × 0.35 g kernels/g bw × 4.56 μg eCry3.1Ab/g kernels = 0.80 μg eCry3.1Ab/g bw

VIII.C.3.b. EEC for Wild Mammals

The main potential route of exposure of wild mammals to eCry3.1Ab in 5307 corn is 

consumption of kernels. Rodents such as thirteen-lined ground squirrels (Spermophilus 

tridecemlineatus), deer mice (Peromysus maniculatus), house mice (Mus domesticus), 

prairie and meadow voles (Microtus spp.), and woodchucks (Marmota monax) feed on 

germinating corn seeds. 

Larger mammals such as white-tailed deer (Odocoilus virginianus) and raccoons (Procyon 

lotor) cause injury to ripening ears. Deer typically nip off ear tips, whereas raccoons chew 

through husks. 

The mean eCry3.1Ab concentration at the growth stage with the highest concentrations in 

5307 corn kernels was 4.56 μg/g fresh weight (Table VIII-4). As with birds, exposure to 

wild mammals may be expressed more suitably as a daily dietary dose (DDD) calculated by 

the formula in Part VIII.C.3.a, above.

Crocker et al. (2002) estimated the ratio of daily food intake and body weight (FIR/bw) for 

several rodent species. The ratios for the harvest mouse (Micromys minutus) and the wood 

mouse (Apodemus sylvaticus) consuming cereal seeds are 0.33 and 0.28, respectively. 

Higher FIR/bw ratios give higher DDDs, and therefore more conservative estimates of risk.

Wild mammals are unlikely to consume a diet of 100% corn kernels. A conservative 

exposure estimate can be derived from the proportion of corn kernels in the diet of rodents 
5307-USDA-1 Page 137 of 211

feeding in corn growing areas. The proportion of corn kernels in wild rodent diets varies 

greatly according to species (Houtcooper, 1978; Ellis et al., 1998), but can be up to 73%. 

An EEC can therefore be calculated based on a diet of 73% corn kernels containing 4.56 μg 

eCry3.1Ab/g kernels. These estimates give a conservative EEC for wild mammals of:

0.73 × 4.56 μg eCry3.1Ab/g kernels = 3.33 μg eCry3.1Ab/g kernels

with a DDD for wild mammals of:

0.73 × 0.33 g kernels/g bw × 4.56 μg eCry3.1Ab/g kernels = 1.10 μg eCry3.1Ab/g bw

VIII.C.3.c. EEC for Pollinators

Honey bees could potentially forage for corn pollen (Severson and Perry, 1981) and 

therefore could be exposed to eCry3.1Ab via 5307 pollen. Honey bees can successfully rear 

young on a diet of 100% corn pollen; however, it is unlikely that corn pollen regularly 

comprises more than 50% of their diet (Babendreier et al., 2004). Assuming a diet of 50% 

5307 corn pollen at the mean pollen concentration of eCry3.1Ab (Table VIII-4), a 

conservative EEC for honey bees and other pollinators is:

0.5 × 0.14 μg eCry3.1Ab/g pollen = 0.07 μg eCry3.1Ab/g pollen

VIII.C.3.d. EEC for Above-Ground Nontarget Arthropods

Nontarget arthropods rarely, if ever, eat leaves of corn plants. The more likely route of 

exposure to transgenic proteins is consumption of prey that have fed on corn plants (e.g., 

Harwood et al., 2005), or consumption of pollen if prey are scarce (Coll and Guershon,

2002).

The concentration of eCry3.1Ab in the prey of nonatarget arthropods will vary depending on 

the prey species, its developmental stage, and the concentration of eCry3.1Ab in plant parts 

on which they are feeding. Several studies have examined the concentration of Cry proteins 

in herbivores relative to the concentration of plants on which they are feeding; most tested 

the concentration of Cry1Ab in herbivores feeding on Bt corn (Head et al., 2001; Raps et al.,

2001; Dutton et al., 2002; Obrist et al., 2005; Obrist et al., 2006a, 2006b), and other studies 

have been published that examine herbivores feeding on cotton and oilseed rape expressing 

Cry1Ac (Torres et al., 2006; Howald et al., 2003).

In general, the results show that herbivorous arthropods contain lower concentrations of Bt

toxin than the plants on which they are feeding. Sucking insects, such as aphids, contain 

only trace amounts of Cry1Ab when feeding on Bt corn (Head et al., 2001; Raps et al., 2001; 

Dutton et al., 2002; Obrist et al., 2006a). Lepidopteran larvae contain between 0.1 and 

0.25X the concentration of Cry1Ab in Bt corn on which they are feeding (Raps et al., 2001; 

Dutton et al., 2002; Obrist et al., 2006b), and similar results were obtained by Torres et al. 

(2006) with Spodoptera exigua feeding on cotton expressing Cry1Ac. Thrips (Frankliniella 

tenuicornis) contain up to 0.35X the concentration of Cry1Ab in Bt corn, although this 
5307-USDA-1 Page 138 of 211

concentration is transitory; adults contain about half this amount and pupae less than 1/40th 

the concentration in larvae (Obrist et al., 2005). The herbivores with the highest 

concentrations of Cry protein are spider mites (Tetranychus urticae); they have been found 

to contain between 0.7 and approximately 4.6X the concentration of Cry1Ab in Bt corn

(Dutton et al., 2002; Obrist et al., 2006a, 2006b; Alvarez-Alfageme et al., 2008). 

A precise conservative EEC is difficult to set given the variety of food that nontarget 

arthropods are likely to consume. Setting the EEC at 0.2X the overall mean leaf 

concentration at the highest-expressing developmental stage seems reasonably conservative 

as many lepidopteran larvae contain less than this amount, and aphids and eggs of 

Lepidoptera contain considerably less. Spider mites may contain higher concentrations of 

eCry3.1Ab than leaf tissue, and serious outbreaks of spider mites can occur in corn, 

particularly under drought (Holtzer et al., 1988). However, most predators in corn fields are 

generalist feeders that do not depend on a single pest species for food (Steffey et al., 1999), 

and, therefore, nontarget arthropods are highly unlikely to consume a diet comprising solely 

spider mites. 

Possible exceptions are the specialist spider mite predators Stethorus spp. (Coccinellidae). 

S. punctillum is found in corn (e.g., Obrist et al., 2006a), and third instars and adults of this 

species preferentially eat spider mite eggs (Ragkou et al., 2004), which are likely to contain 

low, if any, concentrations of toxin compared with adult mites. Experiments have been 

conducted to examine the transfer of Cry toxins to S. punctillum via prey consumption. 

Alvarez-Alfageme (2008) observed that the concentration of Cry1Ab in spider mites was 4.6 

times greater than the concentration in corn leaves, while the concentration in S. punctillum

adults was about 50% of the corn leaf concentration. Li and Romeis (2010) observed that 

the Cry3Bb1 concentration in spider mites was 55.9% of the concentration in Bt corn leaves,

while larvae of S. punctillum that were supplied with only Bt-corn-reared mites for three or 

six days contained 10.6% or 7.5%, respectively, of the Cry3Bb1 concentration measured in 

leaves. After longer exposure to Bt-corn reared mites (up to 56 days) the concentration of 

Cry3Bb1 in S. punctillum was even lower, indicating that the Cry protein did not accumulate 

(Li and Romeis 2010). 

Hence, 0.2X the leaf concentration of eCry3.1Ab is a reasonably conservative EEC. 

The mean eCry3.1Ab concentration measured in above-ground tissue of 5307 corn at the 

growth stage with the highest expression was 25.33 μg/g leaf (at maturity)(Table VIII-4). 

The conservative EEC for above-ground nontarget arthropods is:

0.2 × 25.33 μg eCry3.1Ab/g fresh weight diet = 5.07 μg eCry3.1Ab/g fresh weight diet

VIII.C.3.e. EEC for Soil-Dwelling Nontarget Invertebrates

A conservative EEC for soil-dwelling nontarget invertebrates can be calculated as the 

concentration of eCry3.1Ab in soil following incorporation of corn plants into soil postharvest. The best estimate of the eCry3.1Ab concentration in plants post-harvest is the 

concentration at senescence; however, a conservative EEC was calculated using the
5307-USDA-1 Page 139 of 211

eCry3.1Ab concentration in whole plants at the 5307 plant growth stage with the highest 

mean concentration.

The typical planting density of corn in the U.S. is 65,500 plants per hectare and the average 

fresh weight of a corn plant is 750 g. Using the mean whole-plant eCry3.1Ab concentration 

of 15.78 μg eCry3.1Ab/g fresh weight at the 5307 corn growth stage with the highest levels

(Table VIII-4), one hectare (ha) of 5307 corn contains:

65,500 plants/ha × 750 g/plant × 15.78 μg eCry3.1Ab/g = 7.75 × 108 μg eCry3.1Ab/ha

If the corn is plowed into the top 15 cm of soil, the eCry3.1Ab will be incorporated into 100 

m × 100 m × 0.15 m = 1,500 m3 of soil per hectare. The average density of soil is 1,500 

kg/m3 and, therefore, the corn will be incorporated into 1,500 m3

/ha x 1,500 kg/m3 =

2,250,000 kg soil per hectare. Dividing the amount of eCry3.1Ab per hectare by the mass of 

soil per hectare gives the realistic EEC for soil organisms of:

7.75 × 108

× μg eCry3.1Ab ha× 1 kg soil = 0.34 μg eCry3.1Ab

ha 2,250,000 kg soil 1000 g soil g soil

VIII.C.3.f. EEC for Aquatic Organisms

A potential route of exposure of aquatic organisms to eCry3.1Ab is through 5307 pollen 

deposited into water bodies adjacent to corn fields. However, corn pollen is heavy and 

wind-borne pollen densities decrease rapidly from the source (e.g., Luna et al., 2001). Corn

anthesis lasts for up to 14 days, and any pollen deposited into water bodies from adjacent 

fields during this period is unlikely to remain in suspension (Webster et al., 1999). In 

addition, the bioactivity of eCry3.1Ab is likely to degrade in pollen grains suspended in 

water for 14 days (e.g., Pusch et al., 1998). The very low concentration of eCry3.1Ab in 

5307 corn pollen (0.14 μg/g, Table VIII-4), along with the limited dispersal of pollen and 

likely eCry3.1Ab degradability in the environment, indicates that any exposure to 

eCry3.1Ab from 5307 corn pollen via water would be negligible.

The transfer of unharvested corn material to aquatic systems has been studied in water 

bodies adjacent to fields. Litter traps set alongside streams collected corn by-products of up 

to 7.9 g ash-free dry mass (AFDM)/m2 over a year, while benthic sediments contained up to 

6.4 g AFDM/m2 (Rosi-Marshall et al., 2007). Jensen et al. (2010) observed that input of 

crop by-products into waterways was highest several months after field harvest. 

Significant degradation of protein is likely to occur during the period between harvest and 

transfer to the waterways. Additionally, analysis of 5307 corn tissues by ELISA showed 

that the mean concentration of eCry3.1Ab was the lowest at senescence (see Table VI-2);

the plant stage from which most post-harvest plant debris will originate. 

Cry1Ab activity was not detectable in target organism bioassays after Bt corn leaves 

containing the protein were incubated for two weeks in a terrestrial habitat (Jensen et al.,
5307-USDA-1 Page 140 of 211

2010). Because many environmental parameters may affect the concentration of eCry3.1Ab 

present in 5307 corn crop by-products entering waterways, it is difficult to predict the 

concentration to which aquatic invertebrates would be exposed. However,any resulting 

aquatic concentrations of eCry3.1Ab are expected to be far below those at which biological 

activity is observed among known eCry3.1Ab-sensitive species. 

Nevertheless, a conservative risk assessment was conducted based on a worst-case-exposure 

scenario to aquatic organisms of a diet comprised of 100% corn leaf tissue; this tissue had

the highest measured concentration of eCry3.1Ab (Table VIII-4).

VIII.C.3.g. EEC for Farmed Fish

About 30% corn grain by weight is typical in commercial fish feeds used in aquaculture

(National Research Council, 1983). Fish feed is heat-treated during preparation and,

therefore, it is likely that eCry3.1Ab would, to at least some extent, be denatured and lose 

activity in feed prepared from 5307 corn grain. However, a worst-case assumption is that no 

activity is lost. 

Corn in fish feed is unlikely to comprise 100% 5307 grain. Insect-protected corn comprised 

approximately 63% of corn acres planted in the United States in 2010 (USDA-NASS, 2010). 

In the unlikely event that 5307 corn obtains 50% market share of insect-protected corn, and 

using the conservative assumption of no degradation of eCry3.1Ab, the conservative EEC 

for farmed fish would be a diet consisting of 9.5% Event 5307 corn grain: 

0.30 Event 5307 corn grain in fish feed × 0.63 US corn acres × 0.5 market share = 9.5%.

VIII.C.3.h. Summary of Environmental Exposure Estimates

Conservative EECs have been computed for groups of nontarget organisms that will be 

potentially exposed to eCry3.1Ab via cultivation of 5307 corn. These EEC values are 

compiled in Table VIII-5 and are appropriate for estimating the risks to populations of 

nontarget organisms. Once defined, these EEC or DDD values can be directly compared to 

eCry3.1Ab exposure or dose levels that cause no adverse effects in test species. This

comparison results in a toxicity exposure ratio (TER). 

It is unlikely that nontarget organisms will be exposed to eCry3.1Ab in environments 

beyond corn cultivation. Corn pollen does not drift great distances nor are corn seeds windborne. The transfer of plant material into waterways surrounding fields may occur;

however, it is unlikely to result in ecologically relevant concentrations of eCry3.1Ab. The 

probability of spread of eCry3.1Ab beyond areas of corn cultivation through volunteers and 

self-sustaining feral populations of 5307 corn is also very low (see Part VIII.H.).
5307-USDA-1 Page 141 of 211

Table VIII-5. Tabulation of EEC and DDD values for nontarget organisms. 

Each EEC value presented is based on the average concentration of eCry3.1Ab at the plant stage with the 

highest concentrations for that 5307 corn tissue and conservative estimates for consumption of these tissues 

by nontarget organisms. DDD values are computed where appropriate.

Nontarget Organism Group Estimated Environmental 

Concentration (EEC)

Daily Dietary Dose (DDD)

Birds 2.28 μg eCry3.1Ab/g kernels 0.80 mg eCry3.1Ab/kg bw

Wild mammals 3.33 μg eCry3.1Ab/g kernels 1.10 mg eCry3.1Ab/kg bw

Pollinator 0.07 μg eCry3.1Ab/g pollen

Above-ground arthropods 5.07 μg eCry3.1Ab/g diet

Soil-dwelling invertebrates 0.34 μg eCry3.1Ab/g soil

Aquatic organisms 100% 5307 corn leaf tissue

Farmed fish 9.5% incorporation of 5307 corn

grain in feed

VIII.D. Impact on Nontarget Organisms

Eleven species representing groups of nontarget organisms potentially exposed to 

eCry3.1Ab via cultivation of 5307 corn were exposed to eCry3.1Ab via a microbially 

produced, purified protein preparation (test substance ECRY3.1AB-0208, containing 89.6%

eCry3.1Ab by weight; see Part VI.A.1.a. Production of eCry3.1Ab for Safety Testing) or as 

5307 corn tissue in laboratory bioassays. The purpose of these bioassays was to identify 

potential adverse effects and establish a no observable adverse effect concentration 

(NOAEC) or level (NOAEL). The source of eCry3.1Ab, test concentration or dose, and 

route of exposure in each study are listed in Table VIII-6. 

The microbially produced eCry3.1Ab protein is biochemically and functionally equivalent to 

the eCry3.1Ab produced in 5307 corn (see Part VI.A.1.b. Equivalence of eCry3.1Ab in Test 

Substance and in 5307 Plants); therefore, it is a suitable surrogate for use in tests of the 

effects of eCry3.1Ab in 5307 corn.

Positive assay controls were included in the honeybee, spotted ladybird beetle, flower bug, 

ground beetle, earthworm, and rove beetle studies to validate the bioassay methodology. 

Responses for test organisms exposed to the positive control substance were observed in all 

studies. The presence of eCry3.1Ab was confirmed in the freshwater shrimp and catfish 

diets using immunostrips specific for detecting eCry3.1Ab. The intactness, concentration, 

and bioactivity of eCry3.1Ab were confirmed in artificial diets and soil by Western blot 

analysis, ELISA and bioassay of sensitive coleopteran larvae, respectively. 
5307-USDA-1 Page 142 of 211

Table VIII-6. Source of eCry3.1Ab used to assess the hazard to NTOs.

Species Tested Source Route of exposure Concentration or dose

Bobwhite quail microbial eCry3.1Ab gelatin capsule 900 mg eCry3.1Ab/kg bw

Chicken 5307 corn grain incorporated in feed 0.34 - 2.13 μg eCry3.1Ab/g diet

(52 – 64% Event 5307 corn

grain in diet)

Mouse microbial eCry3.1Ab gavage 2000 mg eCry3.1Ab/kg bw

Honeybee microbial eCry3.1Ab sucrose solution 50 μg eCry3.1Ab/g diet

Spotted ladybird 

beetle

microbial eCry3.1Ab artificial diet 353 μg eCry3.1Ab/g diet

Flower bug microbial eCry3.1Ab artificial diet 400 μg eCry3.1Ab/g diet

Ground beetle microbial eCry3.1Ab artificial diet 400 μg eCry3.1Ab/g diet

Rove beetle microbial eCry3.1Ab artificial diet 400 μg eCry3.1Ab/g diet

Earthworm microbial eCry3.1Ab artificial soil 4.06 μg eCry3.1Ab/g soil

Freshwater shrimp 5307 corn leaf discs 100% Event 5307 corn leaf 

discs

Channel catfish 5307 corn grain incorporated in feed 9.5% Event 5307 corn grain

VIII.D.1. Effect of eCry3.1Ab on Wild Birds

VIII.D.1.a Effect of eCry3.1Ab on bobwhite quail

The bobwhite quail was tested as a representative of wild birds. Five male and five female 

juvenile bobwhite quail (Colinus virginianus) were exposed to a single dose of microbial 

eCry3.1Ab at 900 mg/kg bw by gelatin capsule. The effects on bird mortality, body weight

and feed consumption were compared with a control group for 14 days after dosing. No 

adverse effects were observed in the treatment group and the NOAEL was shown to be 900 

mg eCry3.1Ab/kg bw, the highest dose tested. Additionally, no difference in feed 

consumption was detected between the study groups, and no abnormal behaviors were 

observed among the test animals. 

VIII.D.1.b Effect of eCry3.1Ab on broiler chickens

Broiler chickens (Gallus gallus domesticus) were exposed to eCry3.1Ab via starter, grower 

and finisher diets prepared from 5307 corn grain; the corn grain concentrations in the diets 

ranged from 52% to 64%. Nontransgenic, near-isogenic corn grain and grain from a 

commercially available lot of corn were used to prepare negative control diets. The 

transgenic 5307 grain and near-isogenic control grain were produced from field-grown 

hybrid plants of genotypes NP2171 x NP2460(BC5F3)(5307) and NP2171 and NP2460, 

respectively, that were concurrently grown in the same location under USDA APHIS 

notification 08-051-107n. 
5307-USDA-1 Page 143 of 211

The broilers were fed the diets for 49 days. The concentration of eCry3.1Ab in the starter, 

grower and finisher diets was 2.13 μg/g diet, 0.34 μg/g diet, and 0.38 μg/g diet, respectively; 

these concentrations were corrected for extraction efficiency. Various endpoints were 

measured, including mortality, body weight, carcass yield, and feed conversion ratio. There 

were no adverse effects of the eCry3.1Ab-containing feed on any study parameter.

The results of this study are complementary to the acute toxicity study examining the effects 

of eCry3.1Ab on bobwhite quail (Part VIII.D.1.a.) and support the hypothesis that 

cultivation of 5307 corn will pose negligible risk to wild birds.

VIII.D.2. Effect of eCry3.1Ab on Wild Mammals

Five male and five female mice (Mus musculus; strain Crl:CD-1) were exposed to a single 

dose of eCry3.1Ab, 2000 mg/kg bw by oral gavage. The effects on mortality and body 

weight were compared with a control group for 14 days after exposure, and multiple 

histological and biochemical endpoints were assessed at the end of the test. The test 

substance was well tolerated. All mice survived without clinical signs of distress or 

impairment, and anatomical pathology results did not identify any specific target organ 

toxicity. The necropsies included, but were not limited to, examination of the external 

surface, all orifices, and the cranial, thoracic, abdominal and pelvic cavities, including 

viscera. The organs examined included the esophagus, stomach, duodenum, jejunum, 

Peyer’s patches, ileum, cecum, colon, rectum, selected lymph nodes, spleen, and thymus. 

There was no test substance-related alteration in the prevalence, severity or histologic 

character of any incidental tissue alterations. There were no test substance-related effects on 

body weight or food consumption. No adverse effects were observed in the treatment goup 

and the NOAEL was shown to be 2000 mg eCry3.1Ab/kg bw, the highest dose tested. 

VIII.D.3. Effect of eCry3.1Ab on Pollinators

Honey bees were exposed to microbially produced eCry3.1Ab following the guideline 

protocol of Oomen et al. (1992). The eCry3.1Ab was provided fresh daily to the bees at 50 

μg/g diet in a 50% sucrose solution (200 ml diet/day) for the first five days of the study. 

The negative control diet for this treatment was 50% sucrose solution without the addition of 

eCry3.1Ab. The hives were spatially separated (4 hives/treatment) and the diet was placed 

outside the hive. Worker bees collected the sucrose solutions and fed them to the brood. In 

each hive, 100 egg cells and 100 larval cells were marked and the development of the brood 

in those cells was recorded at various assessment timepoints throughout the 24-day study. 

Pre-imaginal mortality of brood (egg and larval cells) and the number of dead adult bees, 

larvae and pupae expelled from the hive were monitored and compared with the control 

group. Additionally, the condition of the hive was examined by measuring the relative 

proportions of brood and food cells within the hive. 

There were no statistically significant differences in 24-day mortality between brood in 

hives exposed to diet containing eCry3.1Ab when compared to the negative control diet at 

any developmental stage. Treatment mortality, averaged over the replicates, was 38.2% and 

2.3% for the egg and larval cells, respectively. Control mortality, averaged over the 

replicates, was 25.5% and 16.7% for egg and larval cells, respectively. The study guideline 

by Oomen et al. (1992) indicates that control mortality should not be, “generally above 15%.” 
5307-USDA-1 Page 144 of 211

This criterion was met for the larval cells, however it was not met for the egg cells. Both the 

egg- and larval-cell data provide useful information to evaluate the effects of eCry3.1Ab on 

brood development, however, the larval data are more robust because the control mortality 

meets the guideline recommendation. There was a statistically significant difference in 

mortality between brood in hives exposed to the toxic reference substance (diflubenzuron), 

99.8% and 100% mortality for egg and larval cells, respectively, when compared to the 

negative control at all developmental stages.

There was no statistically significant difference in the mean number of dead adult bees 

expelled from the hive between the eCry3.1Ab treatment group (12.0 dead bees/hive) and 

the negative control (22.4 dead bees/hive). There was no statistically significant difference 

in the mean number of dead adult bees expelled from the hive between the toxic reference 

treatment group (25.3 dead bees/hive) and the negative control. Although the toxic 

reference substance did not have an adverse effect on the survival of adult bees this is 

expected because the acute oral and contact toxicity of the reference substance is reported to 

be greater than 100 μg active ingredient/bee (Anon., 2009); the effect on the brood was 

obvious as indicated by the high percent mortality in brood cells. The low number of dead 

adult bees indicated that the honey bees were healthy during the observation period. 

Exposure to eCry3.1Ab did not adversely affect the colony condition. 

Because the egg cell control mortality exceeded the level that the guideline recommends, a 

second larval honey bee study was conducted to investigate the effects of eCry3.1Ab on 

honey bees. In the second study, the colony of honey bees was fed a 50 μg eCry3.1Ab/g 

sucrose solution fresh daily (200 g diet/day) for five days. The negative control diet for this 

treatment was 50% sucrose solution without the addition of eCry3.1Ab. The toxic reference 

substance (fenoxycarb) was also presented to the bees in a 50% sucrose solution. Prior to 

exposure, at least 100 egg cells were marked in three replicate colonies per treatment (at 

least 300 egg cells/treatment). The diet was placed inside the colony and the colony was 

monitored for 22 days after the initiation of exposure to the diets. The brood termination 

rate (percentage of egg cells that did not develop into adults) and the number of dead bees 

expelled from the hive were monitored and compared with the control group. The overall 

condition of the hive was also examined. 

There was no statistically significant difference in the mean post-feeding number of dead 

bees/hive/day between the control (15.7 dead bees/hive/day) and eCry3.1Ab treatment (14.4 

dead bees/hive/day) groups. There was a statistically significant difference between the 

mean number of bees expelled from the hive after exposure to the toxic reference substance 

(178.6 dead bees/hive/day) when compared to the control. There was no statistically 

significant difference in the mean post-feeding number of dead pupae/hive/day between the 

control group (0.6 dead pupae/hive/day) and the treatment group (0.9 dead pupae/hive/day). 

There was a statistically significant difference between the mean number of pupae expelled 

from the hive after exposure to the toxic reference substance (118.3 dead pupae/hive/day) 

when compared to the control.

The mean brood termination rate was 20.0% for the control group, 7.9% for the treatment 

group and 24.2% for the reference substance group. In this study the control mortality was 
5307-USDA-1 Page 145 of 211

closer to the 15% level recommended by the Oomen et al. guideline (1992). The effects of 

the reference substance were not indicated by examining only the brood termination rate in 

isolation, however, effects of the toxic reference substance were demonstrated by the 

relatively large number of bees expelled from the hive. Fenoxycarb is a growth regulator 

that is known to affect honey bees late in development (pupal stage, after the cells are 

capped). Due to the late-acting nature of the reference substance the cells marked as empty 

at the end of the monitoring period were assumed to have emerged successfully as adults. 

However, it is possible that dead pupae affected by the toxic reference substance were 

instead removed from the cells by nurse bees. This is likely the case due to the large number 

of bees expelled from the hive with the sickle eye symptom, which is a commonly found in 

bees exposed to fenoxycarb. In summary, although the brood termination rate alone does 

not show effects of the toxic reference substance, the weight of evidence presented indicates 

that the honey bees were exposed to and affected by the reference substance. 

Both of the honey bee studies demonstrated that exposure to eCry3.1Ab causes no adverse 

effects on survival, brood development, or the condition of the colonies.

VIII.D.4. Effect of eCry3.1Ab on Above-ground Arthropods

VIII.D.4.a. Ladybeetles

Three- to five-day-old spotted ladybird beetle larvae (Coleomegilla maculata) were exposed 

to a nominal eCry3.1Ab concentration of 500 μg/g diet for 21 days. The eCry3.1Ab protein 

was incorporated into a diet containing “bee pollen” (pollen collected by bees from various 

flowers) and Ephestia (moth) eggs. The negative control diet contained bee pollen and 

Ephestia eggs without the addition of eCry3.1Ab. Potassium arsenate (a known stomach 

poison to many insects) mixed with the diet of bee pollen and Ephestia eggs was included in 

the study as the positive control substance. Forty individual larvae were treated in both the 

test group and the positive control group; due to an error, only 30 larvae received the 

negative control treatment. Fresh diet was provided to individual larvae every other day, 

and any unconsumed diet from the previous feeding was removed. Diet analysis confirmed 

that the treatment group was exposed to at least 353 μg eCry3.1Ab/g diet. Western blot 

analysis confirmed that eCry3.1Ab remained intact in the diet matrix, and bioassays 

confirmed that the diet was highly bioactive against sensitive coleopteran larvae 

(Leptinotarsa decemlineata). The negative control diet was confirmed to not contain 

eCry3.1Ab. 

The survival and development of the larvae were monitored and compared to the negative 

control group. Larval mortality was 13.8% in the negative control group, 2.5% in the 

eCry3.1Ab-treated group, and 100% in the positive control group. Larval pupation was 86.2% 

in the negative control group and 97.5% in the eCry3.1Ab-treated group. Percent adult 

emergence was 92.0% in the negative control group and 97.4% in the eCry3.1Ab-treated 

group. Adult beetle mortality was 14.3% in the negative control group and 10.5% in the 

eCry3.1Ab-treated group. The above differences between the negative control and the 

treated group were not statistically significant. However, the larvae in the eCry3.1Abtreated group developed into pupae significantly more quickly (mean of 9.6 days to pupate) 

than the larvae in the control group (mean of 12.0 days to pupate). Additionally, the adults 
5307-USDA-1 Page 146 of 211

that emerged from the eCry3.1Ab treatment weighed significantly more (mean of 0.0142 g) 

than the negative controls (mean of 0.0118). However, these are not considered adverse 

effects. Therefore, the NOAEC was shown to be 353 μg eCry3.1Ab/g diet, the highest 

concentration tested.

VIII.D.4.b. Flower bugs

Second-instar flower bugs (Orius laevigatus) were exposed to eCry3.1Ab via incorporation 

into an artificial, meat-based diet at a rate of 400 μg/g diet. A negative control group was 

fed an artificial, meat-based diet without the addition of eCry3.1Ab. A positive control 

group received the same diet treated with teflubenzuron. Each group contained 40 nymphs, 

which were individually provided fresh diet daily for 12 days or until they became adults. 

The positive control group had 100% mortality. There was no significant difference in 

mortality between the treatment group (5% mortality) and the negative control group (0% 

mortality). Therefore, the NOAEC was shown to be 400 μg eCry3.1Ab/g diet, the highest 

concentration tested.

Analysis of the test diet by ELISA confirmed that eCry3.1Ab was present at the nominal 

concentration. Western blot analysis confirmed that eCry3.1Ab remained intact in the diet 

matrix, and bioassays confirmed that the diet was highly bioactive against sensitive 

coleopteran larvae (L. decemlineata). The negative control diet was confirmed to not 

contain eCry3.1Ab. 

VIII.D.5. Effect of eCry3.1Ab on Soil-dwelling Invertebrates

VIII.D.5.a. Carabid beetles

Larvae of Poecilus cupreus, a carabid beetle (ground beetle), were exposed to eCry3.1Ab 

via an artificial, meat-based diet containing 400 μg eCry3.1Ab/g diet. The negative control 

group was fed an artificial, meat-based diet without the addition of eCry3.1Ab. A positive 

control group received the same diet treated with teflubenzuron. Each group contained 40

larvae, which were individually provided fresh diet daily in their culture tubes until they 

ceased feeding as pre-pupae; the first pupae appeared in the culture tubes 27 days after 

initiation of treatment. Thereafter, the emergence of adults was monitored. 

There was no significant difference between the pre-imaginal mortality of the eCry3.1Ab 

treatment group (8%) and the negative control group (10%). The positive control group had 

100% pre-imaginal mortality. The time to adult emergence was longer (range of 41-55 days) 

in the eCry3.1Ab treatment group compared to the negative control (range of 41-48 days) 

and there was a statistically significant difference between the mean weight of the adult 

beetles from the treatment group (52.7 mg) and the control group (65.7 mg), representing a 

20% reduction in mean beetle weight. P. cupreus was tested under extreme exposure 

concentrations, with continuous exposure to a nominal concentration of 400 μg eCry3.1Ab/g 

diet throughout development, with no adverse effects on survival and minor effects on 

growth. Therefore, effects of eCry3.1Ab on ground beetles are likely to be negligible during 

field exposure.
5307-USDA-1 Page 147 of 211

Analysis of the test diet by ELISA confirmed that eCry3.1Ab was present at a minimum of 

362.2 μg eCry3.1Ab/g diet, representing 90.6% of the nominal concentration. Western blot 

analysis confirmed that eCry3.1Ab remained intact in the diet matrix, and bioassays 

confirmed that the test diet was highly bioactive against sensitive coleopteran larvae (L.

decemlineata). Based on the results for the three endpoints evaluated in the diet analysis 

study, it was assumed that eCry3.1Ab was present at the nominal concentration of 400 μg/g 

diet. The negative control diet was confirmed to not contain eCry3.1Ab.

VIII.D.5.b. Rove beetles

Adult rove beetles (Aleochara bilineata) were exposed to eCry3.1Ab following the 

guideline protocol of Grimm et al. (2000). The treatment group was fed an artificial, meatbased diet containing 400 μg eCry3.1Ab/g diet. The negative control was the same artificial, 

meat-based diet without the addition of eCry3.1Ab. A positive control group received the 

same diet treated with teflubenzuron. Each group contained a total of 80 beetles, allocated 

in four replicates of 20 beetles each (10 males and 10 females). The adult beetles were fed 

the treated diet for 35 days after which they were removed from the test arena and the 

parasitic success of their offspring from fly pupae was monitored. There was no statistically 

significant difference between the mean number of progeny from the treatment group (824) 

and the control group (828), whereas no progeny were produced by the teflubenzurontreated group. Therefore, the NOAEC was shown to be 400 μg eCry3.1Ab/g diet, the 

highest concentration tested.

Analysis of the test diet by ELISA confirmed that eCry3.1Ab was present at a minimum of 

78.1% of the nominal concentration. Western blot analysis confirmed that eCry3.1Ab 

remained intact in the diet matrix, and bioassays confirmed that the test diet was highly 

bioactive against sensitive coleopteran larvae (L. decemlineata). Based on the results for the 

three endpoints evaluated in the diet analysis study, it was assumed that eCry3.1Ab was 

present at the nominal concentration of 400 μg/g diet. The negative control diet was

confirmed to not contain eCry3.1Ab. 

VIII.D.5.c. Earthworms

Adult earthworms (Eisenia fetida) were exposed to eCry3.1Ab via incorporation into an 

artificial soil substrate at a rate equivalent to 50 μg eCry3.1Ab/g dry wt of soil. The

artificial soil was comprised of 10% w/w sphagnum peat, 20% w/w kaolinite clay, 69.8% 

w/w industrial quartz sand, and 0.2% w/w calcium carbonate to adjust the soil pH to 6 ± 0.5. 

The negative control group was placed in the same artificial soil substrate but without the 

addition of eCry3.1Ab. Each group contained a total of 40 worms, allocated in four 

replicates of 10 worms each. The treatment and control groups were monitored for 14 days. 

The stock earthworm culture used for this study was shown to have the expected sensitivity 

to chloroacetamide, a positive control substance, when mixed into artificial soil. There was 

100% survival in both the eCry3.1Ab-treated and control groups and there were no 

statistically significant differences in the change in biomass between the groups. There were 

no visible lesions or effects on earthworm behavior observed in the study. 
5307-USDA-1 Page 148 of 211

Analysis of the treated soil sampled at test initiation by ELISA confirmed that the E. fetida

were exposed to at least 4.06 μg eCry3.1Ab/g dry weight soil. The relatively low recovery 

of eCry3.1Ab by ELISA likely reflects the physicochemical properties of the soil matrix, 

because low recovery was also seen in direct eCry3.1Ab spike and recovery experiments 

with the same artificial soil matrix. Western blot analysis indicated that eCry3.1Ab 

remained substantially intact in the artificial soil, and bioassays of L. decemlineata fed diets 

containing the treated soil indicated that the eCry3.1Ab retained bioactivity in the artificial 

soil matrix. Thus, it is likely that the earthworms were exposed to higher test concentrations 

than indicated by the ELISA results. Nevertheless, The NOAEC was shown to be 4.06 μg 

eCry3.1Ab/g soil, the highest concentration of eCry3.1Ab measured in the soil. The soil 

used in the negative control treatment was confirmed to not contain eCry3.1Ab. 

VIII.D.6. Effect of eCry3.1Ab on Aquatic Organisms

VIII.D.6.a. Freshwater shrimp

Gammarid freshwater shrimp (Gammarus fasciatus) were selected as the test species 

because they are easily cultured and are sensitive to a variety of toxic substances. This 

species has also been observed to feed on leaves by shredding (Arsuffi and Suberkropp,

1989), which makes it suitable for testing the effects of transgenic corn leaves containing 

pesticidal proteins. Forty adult gammarids were exposed to a diet comprised of 100% 5307 

corn leaf tissue; no other source of food was provided. The same number in a negative 

control group were fed a diet of nontransgenic, near-isogenic corn leaf tissue. For each 

treatment group, the gammarids were contained in four replicate one-liter glass vessels of 

fresh water, each containing ten organisms. Corn leaf discs were pre-soaked in the culture 

water prior to introducing fresh leaf discs to each culture vessel daily. The effects on 

survival in the group exposed to 5307 leaf tissue were compared with the control group. 

The study was terminated at day 5 because control mortality reached 20%. At study 

termination, mortality was 12% in the 5307 corn treatment group. Typically, mortality 

caused by Cry proteins to sensitive target larvae occurs within three to five days of exposure,

therefore, biologically meaningful conclusions can be drawn from this study. There was no 

statistically significant difference in survival between G. fasciatus fed the 5307 corn leaf 

tissue and those fed the nontransgenic, near-isogenic control corn leaf tissue. Examination 

of the leaf discs confirmed that the gammarids had consumed leaf tissue. Analysis of the 

leaf discs by immunostrip assay confirmed that eCry3.1Ab was present in the 5307 corn

tissue, as expected, and absent from the control corn leaf tissue. 

VIII.D.6.b. Channel catfish

Juvenile channel catfish (Ictalurus punctatus) were exposed to 5307 corn grain via a pelleted 

diet. The diet was made by incorporating 41% 5307 corn grain into a fish diet formulation 

(prepared with typical ingredients) and using a “cold-pelleting” process, which minimized 

heating that could denature the eCry3.1Ab protein. (Standard, commercial fish diets are 

pelletted at higher temperatures to promote feed efficiency.) The negative control diet was 

prepared in the same manner using grain from nontransgenic, near-isogenic corn. The 

transgenic 5307 grain and near-isogenic control grain used to prepare these diets were 

produced from field-grown hybrid plants of genotypes NP2171 x NP2460(BC3F5)(5307) 
5307-USDA-1 Page 149 of 211

and NP2171 and NP2460, respectively, that were concurrently grown in the same location 

under USDA APHIS notification 08-085-105n.

Four separate aquaria containing 20 catfish each (i.e., 80 total fish) were tested in each 

group, which received feed daily at the rate of approximately 8% of the fish biomass. The 

effects on survival and growth were compared for a 28-day observation period. There was 

100% survival in both study groups. There were no statistically significant differences in 

mean total biomass, mean weight gain and feed conversion ratios. There were no adverse 

effects observed when 5307 corn grain was incorporated as 41% of the catfish diet. An 

immunostrip test confirmed that eCry3.1Ab was present in the treated fish diet and absent 

from the control diet.

VIII.E. Toxicity Exposure Ratios for Nontarget Organisms

The EEC and DDD values are compared with results of eCry3.1Ab hazard studies in order 

to make judgements about risk. The effects studies identified any potential for eCry3.1Ab 

proteins to cause adverse effects in representative nontarget organism species applicable for 

a corn ecosystem. In each study, a representative species was exposed to a high 

concentration or dose of eCry3.1Ab. No harmful effect of such exposure on survival was 

observed in any species tested, and the concentration of eCry3.1Ab in each study can be 

interpreted as the minimum value of the NOAEC for the mortality endpoint. Computing a 

ratio of the NOAEC to the EEC or DDD results in the toxicity exposure ratio (TER). This 

ratio is also known as the ‘margin of exposure’ or ‘margin of safety.’ A TER ≥ 1.0 provides 

a degree of confidence that the absence of adverse effects in these hazard studies with 

indicator species is predictive of the safety of eCry3.1Ab in cultivation of 5307 corn for 

nontarget organisms in general. The larger the TER, the higher the degree of confidence in 

the safety judgement and the lower the risk. Table VIII-7 contains the NOAEC and 

corresponding TER values for each indicator test species.

No adverse effects in mortality were observed in any study that exposed representative 

nontarget organisms to eCry3.1Ab. The concentration of eCry3.1Ab tested in the studies 

was sufficient to achieve TERs of ≥ 1 for all species based on conservative EEC values. 
5307-USDA-1 Page 150 of 211

Table VIII-7 Nontarget organism TER values for eCry3.1Ab.

TER values are computed as the ratio of NOAEC: EEC (or NOAEC: DDD) and are based on estimates of 

exposure to eCry3.1Ab via cultivation of 5307 corn. 

Test Species NOAEC/NOAEL EEC or DDD TER

Bobwhite quail 900 mg/kg bw 0.80 mg/kg bw 1100

Mouse 2000 mg/kg bw 1.10 mg/kg bw 1800

Honeybee 50 μg/g diet 0.07 μg/g diet 710

Spotted ladybird beetle 353 μg/g diet 5.07 μg/g diet 70

Flower bug 400 μg/g diet 5.07 μg/g diet 79

Carabid beetle 400 μg/g diet 0.34 μg/g diet 1 1200 (mortality)

< 1200 (weight)

Rove beetle 400 μg/g diet 0.34 μg/g diet 1200

Earthworm 4.06 μg/g soil 0.34 μg/g diet 12

Freshwater shrimp 100% 5307 corn < 100% 5307 corn > 1a

Farmed fish 41% 5307 corn grain 9.5% 5307 corn grain 4.3

1 This NOAEC is based on the mortality endpoint for this species; a 20% reduction in weight was observed at this test 

concentration, the only concentration tested.

a

VIII.F. Safety Assessment for Endangered and Threatened Species

Limitations of the study design precluded a higher TER for freshwater shrimp. The test organism is a leaf shredder, and 

therefore leaves of 5307 corn were provided as the source of eCry3.1Ab in the study; higher test concentrations could not be 

achieved using leaves. However, the test diet consisted of 100% 5307 corn leaves for the duration of the study (in 

comparison to the low and intermittent exposures that might occur under more realistic exposure scenarios) and thus, 

represented a very conservative exposure scenario. 

No effects of eCry3.1Ab protein on mortality were observed in any of the species tested. 

These studies with a wide range of taxa demonstrate that there is negligible risk associated 

with exposure to estimated environmental concentrations of eCry3.1Ab in 5307 corn (see 

Table VIII-7). There is a weight of evidence that at concentrations in 5307 corn the toxicity 

of eCry3.1Ab will be limited to the family Chrysomelidae in the order Coleoptera. Its 

receptor-mediated mechanism of action and absence of activity in bioassays with multiple 

species outside the order Coleoptera and outside the family Chrysomelidae support this 

conclusion.

As shown in Table VIII-8, currently there are 17 species of Coleoptera listed as endangered 

or threatened species by the US Fish and Wildlife Service (US FWS, 2010). None of these 

is from the same family that are potentially susceptible to eCry3.1Ab at concentrations 

resulting from the cultivation of 5307 corn. Moreover, due to their feeding habits and nonagricultural habitats, none of these species is expected to be exposed to eCry3.1Ab directly 

from 5307 corn plants, and any indirect exposure (e.g., through prey consumption) would be 

negligible. None of the listed species is known to feed on corn or have host plants near corn

fields. Most are predatory and consume other insects; some are detritivores or consume 

carrion. Several are aquatic species, or inhabit saline wetlands, mud flats, stream edges, 

aquifers, or beaches; others inhabit caves. Therefore, due to a lack of exposure to corn as 
5307-USDA-1 Page 151 of 211

well as likely insensitivity to eCry3.1Ab at concentrations in 5307 corn, no endangered or 

threatened beetles are expected to be harmed by eCry3.1Ab produced in 5307 corn hybrids.

In 2010, the U.S. EPA completed an extensive review of the data and information 

supporting the continued registration of several Cry protein “active ingredients” in Bt corn

products, including multiple rootworm-control products (US EPA, 2010b; 2010c; 2010e). 

In all cases, EPA concluded that these products did not pose a risk to any endangered or 

threatened Coleoptera or other nontarget species listed by the US Fish and Wildlife Service. 

Additionally, EPA determined that there would be no indirect effects on endangered or 

threatened plant species, such as impacts on pollinators that are important and/or essential to 

any endangered or threatened plant.

Table VIII-8. Threatened or endangered Coleoptera listed by the U.S. Fish 

and Wildlife Service.

Order: Family Genus + Species Status

Coleoptera: Carabidae Elaphrus viridis Threatened

Rhadine persephone Endangered

Rhadine exilis Endangered

Rhadine infernalis Endangered

Cicindela dorsalis dorsalis Threatened

Cicindela ohlone Endangered

Cicindela puritana Threatened

Cicindela nevadica lincolniana Endangered

Coleoptera: Staphylinidae Batrisodes venyivi Endangered

Texamaurops reddelli Endangered

Batrisodes texanus Endangered

Coleoptera: Silphidae Nicrophorus americanus Endangered

Coleoptera: Dryopidae Stygoparnus comalensis Endangered

Coleoptera: Elmidae Heterelmis comalensis Endangered

Coleoptera: Haliplidae Brychius hungerfordi Endangered

Coleoptera: Scarabaeidae Polyphylla barbata Endangered

Coleoptera: Cerambycidae Desmocerus californicus dimorphus Threatened

VIII.G. Conclusion of Low Environmental Risk

No adverse effects on survival were associated with exposures of eCry3.1Ab in a range of 

indicator species appropriate for a corn ecosystem. There was an effect, a 20% reduction in 

adult beetle weight, observed after larvae of P. cupreus were exposed to 400 μg 

eCry3.1Ab/g diet throughout their development. Because the P. cupreus larvae were tested 

at extreme exposure concentrations with no adverse effects on survival and only minor 
5307-USDA-1 Page 152 of 211

effects on growth, the effects of eCry3.1Ab on ground beetles are likely to be negligible 

during field exposure. The exposures in all studies were in excess of EEC or DDD levels 

for the nontarget organism groups represented, indicating a low probability of harm to these 

groups from exposure of eCry3.1Ab via cultivation of 5307 corn. 

VIII.H. Gene Flow Assessment

An assessment of the environmental fate of eCry3.1Ab resulting from the cultivation of 

5307 corn requires consideration not only of the production and degradation of the protein 

within corn fields, but also the possibility that eCry3.1Ab could persist, or spread from, 

areas of corn cultivation because of gene flow or the establishment of weedy populations of 

5307 corn. It is highly unlikely that eCry3.1Ab will appear in environments outside of 

cultivated corn. Corn pollen does not drift great distances nor are corn seeds wind-borne. 

The probability of spread of eCry3.1Ab outside corn cultivation through volunteers and selfsustaining feral populations of 5307 corn is also very low.

As described in Part VII above, 5307 corn is not phenotypically or compositionally different 

from conventional corn other than in its ability to resist insect feeding damage. Thus, 5307 

corn has not acquired any properties indicative of increased weediness potential. The 

likelihood that the ecry3.1Ab gene will move to other species as a result of either vertical or 

horizontal gene transfer is also extremely low.

VIII.I. Gene Flow to Wild Species

Z. mays L. subsp. mays hybridizes with a group of taxa collectively called teosinte. Several 

types of teosinte are classified as subspecies of Zea mays, whereas others are regarded as 

separate species of Zea. Teosinte species are natives of Central America and have coexisted with cultivated varieties despite occasional introgression (Baltazar et al., 2005). 

Teosinte species are not natives of the US, but isolated populations have been recorded in 

Florida and Texas, the former a possible remnant of the use of annual teosinte as a forage 

grass. These populations are apparently now extinct in both states. Teosinte species are 

grown in botanical gardens, but as corn pollen is heavy and relatively short-lived (e.g., EPA,

2010d; Byrne and Fromherz, 2003; Devos et al., 2005), fertilization of these plants with 

pollen from 5307 corn is extremely unlikely.

Species of the genus Tripsacum are considered close relatives of Zea species and some 

theories postulate that a Tripsacum species may be a progenitor of domesticated corn via

hybridization and introgression with teosinte (e.g., Poggio et al., 2005). There are sixteen 

species of Tripsacum worldwide, of which three occur in the US: T. dactyloides, a 

widespread forage grass; T. floridanum, known from southern Florida; and T. lanceolatum, 

which is present in Arizona and possibly New Mexico (EPA, 2010d).

Corn breeders view Tripsacum as a potential source of useful genes for traits including 

apomixes, pest and disease resistance, and drought tolerance (OECD 2003). Therefore, 

substantial effort has been made to obtain and characterize corn-by-Tripsacum hybrids. 

Hybrids between corn and Tripsacum species are difficult to obtain outside the laboratory or 
5307-USDA-1 Page 153 of 211

greenhouse, and are often sterile. Only one record exists of an open-pollinated hybrid 

between Zea and Tripsacum, which involved species native to Guatemala. After 

consultation with experts on improvement of forage grasses, the EPA (2010d) concluded 

that the chance of natural introgression of genes from corn to Tripsacum was ‘extremely 

remote’ and that no other species in the continental US would interbreed with commercial 

corn.

These observations indicate a very low probability for transfer of the ecry3.1Ab gene from 

5307 corn to wild relatives in the US. Species of Zea other than corn are not recorded 

outside botanical gardens in the US. Tripsacum dactyloides is widespread, but does not 

hybridize readily with Z. mays, and the probability of backcross of F2

VIII.J. Potential for Horizontal Gene Transfer

progeny of 

Tripsacum-by-Zea hybrids being produced in the field is negligible. Therefore, eCry3.1Ab 

is unlikely to spread from corn cultivation and persist in the environment as the result of 

vertical gene flow.

An extensive review of information relevant to the potential risks of horizontal gene transfer 

for Bt crops to soil microbes was conducted by the US Environmental Protection Agency 

(EPA, 2010d). Studies reviewed by the EPA showed no evidence of horizontal gene

transfer under field conditions, and only equivocal evidence for horizontal gene transfer 

under laboratory conditions designed to maximize the recovery of transformants. Conner et 

al. (2003) also reviewed the literature and found very few examples where horizontal gene 

transfer had been demonstrated convincingly, and these cases relied on artificially high 

sequence homology between the transgene and the potential recipient organism (e.g., de 

Vries et al., 2001). The codons in the ecry3.1Ab gene are optimized for expression in plants, 

and hence the gene is likely to have low sequence homology with genes of soil microbes. 

Therefore, horizontal gene transfer of ecry3.1Ab from 5307 corn to soil microbes is highly 

unlikely. The probability of spread of ecry3.1Ab outside corn cultivation by horizontal gene 

transfer is negligible.
5307-USDA-1 Page 154 of 211

IX. Insect Resistance Management

Following USDA APHIS deregulation of 5307 corn and EPA registration, 5307 corn will 

not be commercialized as a stand-alone product offering but will be sold as part of corn 

hybrids with multiple pyramided traits that have been combined via conventional plant 

breeding. The initial product offerings planned in the U.S. are Bt11 × MIR604 × TC1507 ×

5307 × GA21 and Bt11 × MIR162 × MIR604 × TC1507 × 5307 × GA21 corn hybrids. 

These hybrids will combine two rootworm-active proteins (eCry3.1Ab from 5307 corn and 

mCry3A from MIR604 corn) that each provide control of western, northern and Mexican 

corn rootworms. Additionally, the hybrids will combine other Bt-derived proteins that will 

deliver broad-spectrum control of economically important lepidopteran pests. Finally, the 

hybrids will also contain traits that confer tolerance to glyphosate and glufosinate herbicide 

applications, as additional weed-control options. Apart from 5307 corn, all the other corn 

events in these breeding stacks have been deregulated by USDA. 

An important aspect of combining eCry3.1Ab and mCry3A in a single product is that these 

proteins have been shown to not compete for the same binding site in western corn 

rootworm gut membranes (Walters et al., 2010). This means that they exert their toxicity to 

rootworms by different modes of action at the target site. This feature offers significant 

benefits from the perspective of insect resistance management, because pests are far less 

likely to evolve resistance to two control mechanisms deployed concurrently than they are to 

any single control mechanism. Not only will the combination of eCry3.1Ab and mCry3A 

significantly reduce the likelihood of resistance to either protein, but it can also be expected 

to reduce the selection pressure on other Bt proteins currently available in commercial 

rootworm-control corn hybrids as well as other established control mechanisms, including 

conventional insecticides and crop rotation. Some rootworm populations have evolved 

resistance to insecticides or have overcome traditional crop rotation methods. Hybrids 

containing eCry3.1Ab and mCry3A will represent an important and effective new tool in the 

corn grower’s arsenal of rootworm control mechanisms. 

Current insect resistance management strategies for Bt corn products are centered around the 

planting of a structured refuge that can provide a source of susceptible adult insects with 

which rare resistant insects can mate. Matings of resistant and nonresistant insects serve to 

dilute the frequency and establishment of resistance genes in a population. The size and 

configuration of the structured refuge are determined by toxin dose and insect biology. A 

second important aspect of combining eCry3.1Ab and mCry3A in a single product is that the 

minimum size of the on-farm refuge required to delay resistance can be reduced from 20% 

of a grower’s total corn acreage (e.g., for MIR604 corn or other corn products with single 

rootworm-control traits) to 5% of a grower’s acreage. This will (1) offer additional pest 

control benefits on what would previously have been refuge acres, (2) reduce the 

environmental impact of insecticide use on refuge acres, and (3) increase grower compliance 

with refuge requirements. 

Syngenta is committed to implementing a product stewardship program that will help 

preserve the long-term efficacy of its corn hybrids. Syngenta has developed a
5307-USDA-1 Page 155 of 211

comprehensive insect resistance management plan, which will soon be submitted to the EPA 

for their review and approval. The key elements of this plan are the standard components of 

a robust insect resistance plan for Bt crop deployment, and include:

• A description of pest biology and ecology

• High-dose or effective-dose expression of insecticidal proteins

• An appropriate non-Bt refuge 

• A extensive product stewardship program that includes grower 

education, programs to promote grower compliance, monitoring of 

pest populations, and remedial action plans

These multiple components will operate synergistically to provide long-term protection 

against the development of target pest resistance. 
5307-USDA-1 Page 156 of 211

X. Adverse Consequences of Introduction

Syngenta is not aware of any unfavorable information that would have bearing on this 

Petition for deregulation. 

Syngenta’s development and testing of 5307 corn has not revealed any data or observations 

indicating that 5307 corn would pose a greater plant pest risk than conventional corn. 

Further, based on its extensive research, Syngenta does not anticipate that deregulation of 

5307 corn will have any adverse environmentalconsequences. Nonetheless, Syngenta 

intends to submit an Environmental Report that will be submitted as a supplement to this 

Petition. As noted above, this Environmental Report is specifically intended to provide 

information that will assist APHIS in fulfilling its obligations under NEPA, as well as other 

applicable statutes and regulations.

The Environmental Report will discuss a range of issues related to the deregulation of 5307 

corn, including any potential direct, indirect or cumulative impacts on the quality of the 

human environment, endangered species, unique geographic areas, critical habitats, public 

health and safety (including children and minorities), genetic diversity of corn, farmer or 

consumer choice, insect resistance, or the economy, either within or outside the U.S. 

Moreover, because 5307 corn offers growers an additional choice for protection of corn

crops from feeding damage caused by rootworm pests, it is expected to convey benefits 

similar to those associated with previously deregulated Bt corn products that are 

commercially available. These benefits include reduced insecticide use, improved pest

control and worker safety, better yield, and fewer environmental impacts. Additional 

benefits will include increased product choice for growers, increased price competition, and 

extended useful life of Bt corn as well as other approaches for rootworm control. These 

beneficial impacts are also expected to be part of the Environmental Report.
5307-USDA-1 Page 157 of 211

XI. References

Note

Altschul, S.F., T.L. Madden, A.A. Schäffer, J. Zhang, Z. Zhang, W. Miller, and D. Lipman 

(1997). Gapped BLAST and PSI-BLAST: A new generation of protein database 

search programs. Nucleic Acids Research 25:3389-3402. 

: This list of references also includes those cited in Appendices B, C, and D.

Alvarez-Alfageme, F., N. Ferry, P. Castanera, F. Ortego, and A.M.R. Gatehouse (2008). 

Prey mediated effects of Bt maize on fitness and digestive physiology of the red spider 

mite predator Stethorus punctillum Weise (Coleoptera: Coccinellidae). Transgenic 

Research 17:943-954. 

Anonymous (2009). The Pesticide Manual (15th

AOSA (2005a). Rules for Testing Seeds. Association of Official Seed Analysts, Stillwater, 

Oklahoma.

edition). The British Crop Protection 

Council, Hampshire, UK, ISBN 978 1 901396 18 8.

AOSA (2005b). Tetrazolium Testing Handbook. Contribution No. 29 to the Handbook on 

Seed Testing. J. Peters (ed.) Association of Official Seed Analysts, Stillwater, 

Oklahoma. Accessed on October 24, 

2006: http://www.aosaseed.com/TZwebsite/2005pdf/2005Summary.pdf

Armitage, P. and G. Berry (1987). Statistical Methods in Medical Research, 2nd

Arsuffi

ed. Oxford: 

Blackwell Scientific Publications. pp. 129-130.

, T.L. and K. Suberkropp (1989). Selective feeding by shredders on leaf-colonizing 

stream fungi: comparison of macroinvertebrate taxa. Oecologia 79: 30-37.

Arumuganathan, K. and E.D. Earle (1991). Nuclear DNA content of some important plant 

species. Plant Molecular Biology Reporter 9:208–218. 

Babendreier, D., N. Kalberer, J. Romeis, P. Fluri, and F. Bigler (2004). Pollen consumption 

in honey bee larvae: a step forward in the risk assessment of transgenic plants. 

Apidologie 35:293-300.

Baltazar, B.M., J.J. Sánchez-Gonzales, L. de la Cruz-Larios, and J.B. Schoper (2005). 

Pollination between maize and teosinte: an important determinant of gene flow in 

Mexico. Theoretical and Applied Genetics 110:519-526.

Blackwell, B.F., D.A. Helon, and R.A. Dolbeer (2001). Repelling sandhill cranes from 

corn: Whole-kernel experiments with captive birds. Crop Protection 20:65-68.

Bojsen, K., I. Donaldson, A. Haldrup, M. Joersbo, J.D. Kreiberg, J. Nielsen, and F.T. Okkels 

(1994). Mannose or xylose based positive selection. U.S. Patent No. 5,767,378.
5307-USDA-1 Page 158 of 211

Branson, T.F. and G.R. Sutter (1989). Evaluating and breeding for maize resistance to the 

rootworm complex. In: Toward Insect Resistant Maize for the Third World: 

Proceedings of the International Symposium on Methodologies for Developing Host 

Plant Resistance to Maize Insects, pp 130-139. Mexico, DF: CIMMYT. 

Brauer, A.W., C. Oman, and M.N. Margolis (1984). Use of o-phthalaldehyde to reduce 

background during automated Edman degradation. Analytical Biochemistry 137:134-

142.

Brookes, G. and Barfoot, P. (2006). Global impact of biotech crops: socio-economic and 

environmental effects in the first ten years of commercial use. AgBioForum 9:139-

151. Available at: http://www.agbioforum.org. 

Brookes, G. and Barfoot, P. (2010). Global impact of biotech crops: Environmental effects, 

1996-2008. AgBioForum 13:76-94. Available at: http://www.agbioforum.org. 

Brunaud, V., S. Balzergue, B. Dubreucq, S. Aubourg, F. Samson, S. Chauvin, N. Bechtold, 

C. Cruaud, R. DeRose, G. Pelletier, L. Lepiniec, M. Caboche, and A. Lecharny (2002). 

T-DNA integration into the Arabidopsis genome depends on sequences of preinsertion sites. EMBO Reports 3:1152-7.

Burns, R.G. (1982). Enzyme activity in soil: location and a possible role in microbial 

ecology. Soil Biology and Biochemistry 14:423-427.

Byrne, P.F. and S. Fromherz (2003). Can GM and non-GM crops coexist? Setting a 

precedent in Boulder Country, Colorado, USA. Food, Agriculture and Environment 1:

258-261.

Chandler, L.D. (2003) Corn rootworm areawide management program: United States 

Department of Agriculture – Agricultural Research Service. Pest Management 

Science 59: 605-608. http://onlinelibrary.wiley.com/doi/10.1002/ps.683/abstract.

Chen, E. and C. Stacy (2003). Modified Cry3A toxins and nucleic acid sequences coding 

therefor. Syngenta Participations AG, applicant. Publication No. WO/2003/018810. 

Geneva, Switzerland: World Intellectual Property Organization.

Chilton, M. and O. Que (2003). Targeted integration of T-DNA into the tobacco genome at 

double-stranded breaks: New insights on the mechanism of T-DNA integration. Plant 

Physiology 133:956-65.

Chomczynski, P. (1992). One-hour downward alkaline capillary transfer for blotting of 

DNA and RNA. Analytical Biochemistry 201:134-139.

Christensen, A.H., R.A. Sharrock, and P.H. Quail (1992). Maize polyubiquitin genes: 

structure, thermal perturbation of expression and transcript splicing, and promoter 

activity following transfer to protoplasts by electroporation. Plant Molecular Biology

18: 675-689. 
5307-USDA-1 Page 159 of 211

Codex (2009). Codex Alimentarius Commision. Guideline for the conduct of food safety 

assessment of foods derived from recombinant-DNA plants. Second edition. pp. 7-23 

Joint World Health Organization/Food and Agriculture Organization of the United 

Nations Food Standard Programme: Rome, 

Italy. ftp://ftp.fao.org/docrep/fao/011/a1554e/a1554e00.pdf

Coll, M. and M. Guershon (2002). Omnivory in terrestrial arthropods: mixing plant and 

prey diets. Annual Review of Entomology 47:267-297.

Conner, A.J., T.R. Glare, and J.-P. Nap (2003). The release of genetically modified crops 

into the environment. Part II. Overview of ecological risk assessment. The Plant 

Journal 33: 19-46.

Crickmore, N., D.R. Zeigler, E. Schnepf, J. Van Rie, D. Lereclus, J. Baum, A. Bravo, and 

D.H. Dean (2010). Bacillus thuringiensis toxin nomenclature. 

http://www.lifesci.sussex.ac.uk/Home/Neil_Crickmore/Bt/ 

Crocker, D., A. Hart, J. Gurney, and C. McCoy (2002). Project PN0908: Methods for 

estimating daily food intake of wild birds and mammals. Central Science Laboratory. 

Report to the (UK) Department for Environment, Food and Rural Affairs. 

http://www.pesticides.gov.uk/uploadedfiles/Web_Assets/PSD/Research_PN0908.pdf

de Framond, A.J., K.A. Barton, and M.-D. Chilton (1983). Mini-Ti: A new vector strategy 

for plant genetic engineering. Nature Biotechnology 1:262-269.

de Vries, J., P. Meier, and W. Wackernagel (2001). The natural transformation of the soil 

bacteria Pseudomonas stutzeri and Acinetobacter sp. by transgenic plant DNA strictly 

depends on homologous sequences in the recipient cells. FEMS Microbiology Letters

195: 211-215.

Depicker, A., S. Stachel, P. Dhaese, P. Zambryski, and H.M. Goodman (1982). Nopaline 

synthase: transcript mapping and DNA sequence. Journal of Molecular and Applied 

Genetics 1: 561-573. 

Devos, Y., D. Reheul, and A. De Schrijver (2005). The co-existence between transgenic and 

non-transgenic maize in the European Union: a focus on pollen flow and crossfertilization. Environmental Biosafety Research 4: 71-87.

Dube, S. and E. Flynn (1988). Estimating protein molecular weights using SDS-PAGE. 

Focus 20: 24-25.

Dubelman, S., B.R. Ayden, B.M. Bader, C.R. Brown, C. Jiang, and D. Vlachos (2005). 

Cry1Ab protein does not persist in soil after 3 years of sustained Bt corn use. 

Environmental Entomology 34: 915-921.

Dutton, A., H. Klein, J. Romeis, and F. Bigler (2002). Uptake of Bt-toxin by herbivores 

feeding on transgenic maize and consequences for the predator Chrysoperla carnea. 

Ecological Entomology 27: 441-447.
5307-USDA-1 Page 160 of 211

Ellis, B.A., J. N. Mills, G.E. Glass, K.T. McKee, D.A. Enria, and J.E. Childs (1998). 

Dietary habits of the common rodents in an agroecosystem in Argentina. Journal of 

Mammalogy 79: 1203-1220.

EPA (2007). U.S. Environmental Protection Agency. Phosphomannose isomerase in all 

plants; exemption from the requirement of a tolerance. 40 CFR § 174.527.

EPA (2010a). U.S. Environmental Protection Agency. Bacillus thuringiensis eCry3.1Ab 

protein in corn; temporary exemption from the requirement of a tolerance. 40 CFR § 

174.532.

EPA (2010b). U.S. Environmental Protection Agency. Biopesticides Registration Action 

Document - Bacillus thuringiensis Cry3Bb1 Protein and the Genetic Material 

Necessary for Its Production (Vector PV-ZMIR13L) in MON 863 Corn (OECD 

Unique Identifier: MON-ØØ863-5) and Bacillus thuringiensis Cry3Bb1 Protein and 

the Genetic Material Necessary for Its Production (Vector PV-ZMIR39) in MON 

88017 Corn (OECD Unique Identifier: MON-88Ø17-3). Office of Pesticide Programs, 

Biopesticides and Pollution Prevention Division. 

http://www.regulations.gov/#!documentDetail;D=EPA-HQ-OPP-2010-0607-0029. 

Accessed March 26, 2011. 

EPA (2010c). U.S. Environmental Protection Agency. Biopesticides Registration Action 

Document - Bacillus thuringiensis Cry34Ab1 and Cry35Ab1 Proteins and the Genetic 

Material Necessary for Their Production (Plasmid Insert PHP17662) in Event DAS59122-7 Corn (OECD Unique Identifier: DAS- 59122-7). Office of Pesticide 

Programs, Biopesticides and Pollution Prevention Division. 

http://www.regulations.gov/#!documentDetail;D=EPA-HQ-OPP-2010-0607-0026. 

Accessed March 26, 2011.

EPA (2010d). U.S. Environmental Protection Agency. Biopesticides Registration Action 

Document – Cry1Ab and Cry1F Bacillus thuringiensis (Bt) Corn Plant-Incorporated 

Protectants. Office of Pesticide Programs, Biopesticides and Pollution Prevention 

Division. http://www.epa.gov/oppbppd1/biopesticides/pips/cry1f-cry1ab-brad.pdf. 

Accessed November 6, 2010.

EPA (2010e). U.S. Environmental Protection Agency. Biopesticides Registration Action 

Document - Modified Cry3A Protein and the Genetic Material Necessary for its 

Production (via Elements of pZM26) in Event MIR604 Corn SYN-IR604-8. Office of 

Pesticide Programs, Biopesticides and Pollution Prevention 

Division. http://www.regulations.gov/#!documentDetail;D=EPA-HQ-OPP-2010-

0607-0027. Accessed March 29. 2011.

EPA (2010f). U.S. Environmental Protection Agency. Issuance of an Experimental Use 

Permit. Federal Register 75:57778-57779. http://edocket.access.gpo.gov/2010/2010-

23720.htm

EPA (2011a). U.S. Environmental Protection Agency. Pesticide Experimental Use Permit; 

receipt of extension application; comment request. Federal Register. 76:3135-
5307-USDA-1 Page 161 of 211

3136. http://www.gpo.gov/fdsys/pkg/FR-2011-01-19/html/2011-1021.htm. 

(Note: As of April 21, 2011, the notice of amendment/extension of the Experimental 

Use Permit had not yet been published in the Federal Register. The Federal Register

notice described here announced EPA’s receipt of Syngenta’s application to 

amend/extend the Experimental Use Permit.) 

EPA (2011b). U.S. Environmental Protection Agency. Bacillus thuringiensis eCry3.1Ab 

protein in corn; temporary exemption from the requirement of a tolerance. 40 CFR § 

174.532. Federal Register 76:14289-14290. http://frwebgate1.access.gpo.gov/cgibin/TEXTgate.cgi?WAISdocID=uRGKUr/0/1/0&WAISaction=retrieve

Ewing, B. and P. Green (1998). Base-calling of automated sequencer traces using Phred II. 

Error probabilities. Genome Research 8: 186-194.

FAO/WHO (2001). Evaluation of allergenicity of genetically modified foods. Report of a 

Joint FAO/WHO Expert Consultation on Allergenicity of Foods Derived from 

Biotechnology. Rome, Italy. 

http://www.who.int/foodsafety/publications/biotech/en/ec_jan2001.pdf

FARRP (2010). FARRP Protein AllergenOnline Database, version 10.0, updated January 

2010. Lincoln, NB: Food Allergy Research and Resource Program, University of 

Nebraska at Lincoln. http://www.allergenonline.com. Accessed January 28, 2010. 

FDA (1992). U.S. Food and Drug Administration. Statement of policy: Foods derived 

from new plant varieties. Federal Register 57(104): 22984-23001.

Fling, M. E., J. Kopf, and C. Richards (1985). Nucleotide sequence of the transposon Tn7 

gene encoding an aminoglycoside-modifying enzyme, 3''(9)-O-nucleotidyltransferase. 

Nucleic Acids Research 13: 7095-7106.

Galinat, W. C. (1988). The origin of corn. Pp. 1-31. In: Corn and Corn Improvement, 

Third Edition. G. F. Sprague and J. W. Dudley (eds.). American Society of 

Agronomy, Crop Science Society of America, and Soil Science Society of America: 

Madison, Wisconsin.

Geiser, M., S. Schweizer, and C. Grimm (1986). The hypervariable region in the genes 

coding for entomopathogenic crystal proteins of Bacillus thuringiensis: nucleotide 

sequence of the kurhd1 gene of subsp. kurstaki HD-1. Gene 48: 109-118.

Gill, J.F., V. Deretic, and A.M. Chakrabarty (1986). Overproduction and assay of 

Pseudomonas aeruginosa phosphomannose isomerase. Journal of Bacteriology 167:

611-615.

Gracy, R.W. and E.A. Noltmann (1968). Studies on phosphomannose isomerase. Journal of

Biological Chemistry 243: 3161-3168. 

Grimm, C., B. Reber, M. Barth, M.P. Candolfi, A. Drexler, C. Maus, L. Moreth, A. Ufer, 

and A. Walterdorfer (2000). A test for evaluating the chronic effects of plant 
5307-USDA-1 Page 162 of 211

protection products on the rove beetle Aleochara bilineata Gyll. (Coleoptera: 

Staphylinidae) under laboratory and extended laboratory conditions. Pp 1-10. In

Guidelines to Evaluate Side-effects of Plant Protection to Non-target Arthropods. M. 

P. Candolfi, S. Blümel, R. Forster, F. M. Bakker, C. Grimm, S. A. Hassan, U. 

Heimbach, M. A. Mead-Briggs, B. Reber, R. Schmuck, and H. Vogt (eds.). 

International Organization for Biological and Integrated Control of Noxious Animals 

and Plants, West Paleartic Regional Section (IOBC/WPRS). ISBN 92-9067-129-7. 

IOBC: Gent, Belgium. 

Grimsley, N., T. Hohn, J.W. Davies, and B. Hohn (1987). Agrobacterium-mediated 

delivery of infectious maize streak virus into maize plants. Nature 325: 177-179.

Hansen, G., A. Das, and M.-D. Chilton (1994). Constitutive expression of the virulence 

genes improves the efficiency of plant transformation by Agrobacterium. Proceedings 

of the National Academy of Science USA 91: 7603-7607.

Harwood, J.D., W.G. Wallin, and J.J. Obrycki (2005). Uptake of Bt endotoxins by nontarget 

herbivores and higher order arthropod predators: molecular evidence from a transgenic 

corn agroecosystem. Molecular Ecology 14: 2815-2823.

Head, G., C. . Brown, M.E. Groth, and J.J. Duan (2001). Cry1Ab protein levels in 

phytophagous insects feeding on transgenic corn: implications for secondary exposure 

risk assessment. Entomologia Experimentalis et Applicata 99: 37-45.

Head, G., J.B. Surber, J.A. Watson, J.W. Martin, and J.J. Duan (2002). No detection of 

Cry1Ac protein in soil after multiple years of Bt cotton (Bollgard) use. Environmental 

Entomology 31: 30-36.

Heeb, S., Y. Itoh, T. Nishijyo, U. Schnider, C. Keel, J. Wade, U. Walsh, F. O’Gara, and D. 

Haas (2000). Small, stable shuttle vectors based on the minimal pVS1 replicon for use 

in Gram-negative, plant-associated bacteria. Molecular Plant-Microbe Interactions

13: 232-237.

Hileman, R. E., A. Silvanovich, R.E. Goodman, E.A. Rice, G. Holleschak, J.D. Astwood, 

and S. L. Hefle (2002). Bioinformatic methods for allergenicity assessment using a 

comprehensive allergen database. International Archives of Allergy and Immunology

128: 280-291.

Hilger, C., F. Grigioni, L. Thill, L. Mertens, and F. Hentges (2002). Severe IgE-mediated 

anaphylaxis following consumption of fried frog legs : definition of α-parvalbumin as 

the allergen in cause. Allergy 57: 1053-1058.

Hill, H.D. and J.G. Straka (1988). Protein determination using bicinchoninic acid in the 

presence of sulfhydryl reagents. Analytical Biochemistry 170: 203-208.

Höfte H. and H. Whiteley (1989). Insecticidal crystal proteins of Bacillus thuringiensis. 

Microbiological Reviews 53: 242-255.
5307-USDA-1 Page 163 of 211

Hohn, T., L. Stavolone, P. De Haan, H. Ligon, M. Kononova. (2007). Cestrum yellow leaf 

curling virus promoters. U.S. Patent No.7,166,770. Washington DC: U.S. patent 

Office.

Holtzer, T.O., J.M. Norman, T.M. Perring, J.S. Berry, and J.C. Heintz (1988). Effects of 

microenvironment on the dynamics of spider-mite populations. Experimental and 

Applied Acarology 4: 247-264.

Homan, H.J., G.M. Linz, and W.J. Bleier (1994). Effect of crop phenology and habitat on 

the diet of common grackles (Quiscalus quiscula). American Midland Naturalist 131:

381-385.

Houtcooper, W.C. (1978). Food habits of rodents in a cultivated ecosystem. Journal of 

Mammalogy 59: 427-430.

Howald, R., C. Zwahlen, and W. Nentwig (2003). Evaluation of Bt oilseed rape on the nontarget herbivore Athalia rosae. Entomologia Experimentalis et Applicata 106: 87-93.

Hutchison, W.D., E.C. Burkness, P.D. Mitchell, R.D. Moon, T.W. Leslie, S.J. Fleischer, M. 

Abrahamson, K.L. Hamilton, K.L. Steffey, M.E. Gray, R.L. Hellmich, L.V. Kaster, 

T.E. Hunt, R.J. Wright, K. Pecinovsky, T.L. Rabaey, B.R. Flood, and E.S. Raun. 

(2010). Areawide suppression of European corn borer with Bt maize reaps savings to 

non-Bt maize growers. Science 330: 222-225. DOI: 10.1126/science.1190242.

ILSI (2008). International Life Sciences Institute Crop Composition Database, v. 3.0. 

http://www.cropcomposition.org/cgi-perl/search_ora.cgi; search parameters: crop type 

= “CORN_FIELD,” tissue type = “FORAGE” or “GRAIN,” crop year = “All”, country 

= “All,” and state = “All”; searching not restricted by analysis method or value range 

(accessed February 9, 2010).

Ingham, D.J., S. Beer, S. Money, and G. Hansen (2001). Quantitative real-time PCR assay 

for determining transgene copy number in transformed plants. Biotechniques 31: 132-

140.

Ishida, Y.H. Saito, S. Ohta, Y. Hiei, T. Komari, and T. Kumashiro (1996). High efficiency 

transformation of maize (Zea mays L.) mediated by Agrobacterium tumefaciens. 

Nature Biotechnology 14: 745-750.

Itoh, T. and J. Tomizawa (1979). Initiation of replication of plasmid ColE1 DNA by RNA 

polymerase, ribonuclease H and DNA polymerase I. Cold Spring Harbor Symposia on 

Quantitative Biology 43: 409-417.

Itoh, Y., J. Watson, D. Haas, and T. Leisinger (1984). Genetic and molecular 

characterization of the Pseudomonas plasmid pVS1. Plasmid 11: 206-220.

Jensen, P.D., G.P. Dively, C.M. Swan, and W.O. Lamp (2010). Exposure and nontarget 

effects of transgenic Bt corn debris in streams. Environmental Entomology 39: 707-

714.
5307-USDA-1 Page 164 of 211

Joersbo, M., I. Donaldson, J. Kreiber, S.J. Petersen, J. Brunstedt, and F.T. Okkels (1998). 

Analysis of mannose selection used for transformation of sugar beet. Molecular 

Breeding 4: 111-117.

Komari, T., Y. Hiei, Y. Saito, N. Murai, and T. Kumashiro (1996). Vectors carrying two 

separate T-DNAs for co-transformation of higher plants mediated by Agrobacterium 

tumefaciens and segregation of transformants free from selection markers. The Plant 

Journal 10: 165-174.

Koziel, M.G., N.M. Desai, K.S. Lewis, V.C. Kramer, G.W. Warren, S.V. Evola, L.D. 

Crossland, M.S. Wright, E.J. Merlin, K.L. Launis, S.J. Rothstein, C.G. Bowman, J.L. 

Dawson, E.M. Dunder, G.M. Pace, and J.L. Suttie (1997). Synthetic DNA sequence 

having enhanced insecticidal activity in maize. Syngenta, assignee. U. S. Patent No. 

5,625,136. Washington, DC: U.S. Patent Office.

Krysan, J.L. (1986). Introduction: biology, distribution, and identification of pest 

Diabrotica, pp. 1-24, In J.L. Krysan and T.A. Miller (eds.), Methods for the Study of 

Pest Diabrotica. Springer-Verlag, New York.

Laemmli, U.K. (1970). Cleavage of structural proteins during the assembly of the head of 

bacteriophage T4. Nature 227: 680-685. 

Li, Y. and J. Romeis (2010). Bt maize expressing Cry3Bb1 does not harm the spider mite, 

Tetranychus urticae, or its ladybird beetle predator, Stethorus punctillum. Biological 

Control 53: 337-344.

Linz, G.M., G.A. Knutsen, H.J. Homan, and W.J. Bleier (2003). Baiting blackbirds 

(Icteridae) in stubble grain fields during spring migration in South Dakota. Crop 

Protection 22: 261-264.

Luna, S., J. Figuerroa, B. Balthazar, R. Gomez, R. Townsend, and J.B. Schoper (2001). 

Maize pollen longevity and distance isolation requirements for effective pollen control. 

Crop Science 41: 1551-1557. 

Martinez, A., J.A. Traverso, B. Valot, M. Ferro, C. Espagne, G. Ephritikhine, M. Zivy, C. 

Giglione, and T. Meinnel (2008). Extent of N-terminal modifications in cytosolic 

proteins from eukaryotes. Proteomics 8: 2809-2831.

Marx, M-C., E. Kandeler, M. Wood, N. Wermbter, and S.C. Jarvis (2005). Exploring the 

enzymatic landscape: distribution and kinetics of hydrolytic enzymes in soil particlesize fractions. Soil Biology and Biochemistry 37: 35-48.

McNichol, D.K., R.J. Robertson, and P.J. Weatherhead (1979). Seasonal, habitat and sexspecific patterns of food utilization by red-winged blackbirds (Agelaius phoeniceous) 

in eastern Ontario and their economic importance. University of Nebraska, 

Lincoln. http://digitalcommons.unl.edu/icwdmbirdcontrol/37/. (Accessed August 20, 

2007).
5307-USDA-1 Page 165 of 211

Mendelsohn, M., J. Kough, Z. Vaituzis, and K. Matthews (2003). Are Bt crops safe? 

Nature Biotechnology 21: 1003-1009. 

Metcalf, R.L. (1986). Foreword. In J.L. Krysan and T.A. Miller (eds.), Methods for the 

Study of Pest Diabrotica. Springer-Verlag: New York. 

Meyers, B.C., S.V. Tingey, and M. Morgante (2001). Abundance, distribution, and 

transcriptional activity of repetitive elements in the maize genome. Genome Research 

11: 1660–1676.

Miles, J.S. and J.R. Guest (1984). Nucleotide sequence and transcriptional start point of the 

phosphomannose isomerase gene (manA) of Escherichia coli. Gene 32: 41-48.

Murray, E.E., J. Lotzer, and M. Eberle (1989). Codon usage in plant genes. Nucleic Acids 

Research 17: 477-498.

National Research Council (1983). Diet formulation and processing. In Nutrient 

Requirements of Warmwater Fishes and Shellfishes. National Academy Press:

Washington, DC.

NCBI. 2009. Entrez® Protein database. Bethesda, MD: National Center for Biotechnology 

Information, National Library of Medicine, National Institutes of 

Health. http://www.ncbi.nlm.nih.gov/sites/entrez?db=Protein. Accessed May 21, 

2009.

NCBI. (2010a). Entrez® Nucleotide Database, including GenBank®. Bethesda, MD: 

National Center for Biotechnology Information, National Library of Medicine, 

National Institutes of Health. http://www.ncbi.nlm.nih.gov/sites/entrez?db=nucleotide.

Accessed May 7, 2010.

NCBI (2010b). Entrez® Protein Database, Bethesda, MD: National Center for 

Biotechnology Information, National Library of Medicine, National Institutes of 

Health. http://www.ncbi.nlm.nih.gov/entrez/query.fcgi?db=Protein. Accessed January 

18, 2010; February 12, 2010; April 12, 2010.

Negrotto, D., M. Jolley, S. Beer, A.R. Wenck, and G. Hansen (2000). The use of 

phosphomannose-isomerase as a selectable marker to recover transgenic maize plants 

(Zea mays L.) via Agrobacterium transformation. Plant Cell Reports 19: 798-803.

Obert, J.C., W.P. Ridley, R.W. Schneider, S.G. Riordan, M.A. Nemeth, W.A. Trujillo, M.L. 

Breeze, R. Sorbet, and J.D. Astwood. (2004). The composition of grain and forage 

from glyphosate tolerant wheat MON 71800 is equivalent to that of conventional 

wheat (Triticum aestivum L.) Journal of Agricultural and Food Chemistry 53: 1375-

1384. http://pubs.acs.org/doi/pdf/10.1021/jf035218u.

Obrist, L.B., A. Dutton, R. Albajes, and F. Bigler (2006a). Exposure of arthropod predators 

to Cry1Ab toxin in Bt maize fields. Ecological Entomology 31: 143-154.
5307-USDA-1 Page 166 of 211

Obrist, L.B., A. Dutton, J. Romeis, and F. Bigler (2006b). Biological activity of Cry1Ab 

toxin expressed by Bt maize following ingestion by herbivorous arthropods and 

exposure of the predator Chrysoperla carnea. BioControl 51: 31-48.

Obrist, L.B., H. Klein, A. Dutton, and F. Bigler (2005). Effects of Bt maize on Frankliniella 

tenuicornis and exposure of thrips predators to prey-mediated Bt toxin. Entomologia 

Experimentalis et Applicata 115: 409-416.

OECD (2002). Consensus document on the compositional considerations for new varieties 

of maize (Zea mays): Key food and feed nutrients, anti-nutirents and secondary 

metabolites. Series on the Safety of Novel Foods and Feeds, No. 6. OECD 

Environment Directorate. Joint meeting of the chemicals committee and the working 

party on chemicals, pesticides and biotechnology. Paris, 42 

pp. http://www.olis.oecd.org/olis/2002doc.nsf/43bb6130e5e86e5fc12569fa005d004c/

ef 5acb7d10c9cd66c1256c1b004323e8/$FILE/JT00130429.PDF (accessed January 28, 

2010).

OECD (2003). Consensus document on the biology of Zea mays subsp. mays (maize). 

Series on Harmonization of Regulatory Oversight in Biotechnology, No. 27. OECD 

Environment, Health and Safety Publications. Paris, 49 pp.

http://www.oecd.org/officialdocuments/displaydocumentpdf/?cote=env/jm/mono(2003

)11&doclanguage=en

Oleson, J.D., Y. Park, T.M. Nowatzki and J.J. Tollefson (2005). Node-injury scale to 

evaluate root injury by corn rootworms. Journal of Economic Entomology 98: 1-8. 

Oomen, P.A., A. de Ruijter, and J. van der Steen (1992). Method for honeybee brood 

feeding tests with insect growth-regulating insecticides. EPPO Bulletin 22: 613-616.

Ooms, G., P.J.J. Hooykaas, R.J.M. Van Veen, P. Van Beelen, T.J.G. Regensburg-Tuїnk, and 

R.A. Schilperoort (1982). Octopine Ti-plasmid deletion mutants of Agrobacterium 

tumefaciens with emphasis on the right side of the T-region.

Pearson, W.R. and D.J. Lipman (1988). Improved tools for biological sequence comparison. 

Proceedings of the National Academy of Sciences 85: 2444-2448. 

 Plasmid 7: 15-29.

Pedersen, J.F., S.R. Bean, D.L. Funnell, and R.A. Graybosch (2004). Rapid iodine staining 

technique for identifying the waxy phenotype in sorghum grain and waxy genotype in 

sorghum pollen. Crop Science 44: 764-767.

Poggio, L., G. Gonzales, V. Confalonieri, C. Comas, and C. A. Naranjo (2005). The 

genome organization and diversification of maize and its allied species revisited: 

evidences from classical and FISH-GISH cytogenetic analysis. Cytogenetic and 

Genome Research 109: 259-267.

Ponting, C. (2001). Issues in predicting protein function from sequence. Briefings in 

Bioinformatics 2: 19-29.
5307-USDA-1 Page 167 of 211

Pusch, M., D. Fiebig, I. Brettar, H. Eisenmann, B.K. Ellis, L.A. Kaplan, M.A. Lock, M.W. 

Naegeli, and W. Traunspurger (1998). The role of micro-organisms in the ecological 

connectivity of running waters. Freshwater Biology 40: 453-495. 

Ragkou, V.S., C.G. Athanassiou, N.G. Kavallieratos, and Z. Tomanovic (2004). Daily 

consumption and predation rate of different Stethorus punctillum instars feeding on 

Tetranychus urticae. Phytoparasitica 32: 154-159. 

Raps, A., J. Kehr, P. Gugerli, W. J. Moar, F. Bigler, and A. Hilbeck (2001). Immunological 

analysis of phloem sap of Bacillus thuringiensis corn and of the nontarget herbivore 

Rhopalosiphum padi (Homoptera: Aphididae) for the presence of Cry1Ab. Molecular 

Ecology 10: 525-533.

Raybould, A., D. Stacey, D. Vlachos, G. Graser, X. Li, and R. Joseph (2007). Non-target 

organism risk assessment of MIR604 maize expressing mCry3A for control of corn 

rootworm. Journal of Applied Entomology 131: 391-399.

Raybould, A. and D. Vlachos (2010). Non-target organism effects tests on Vip3A and their 

application to the ecological risk assessment for cultivation of MIR162 maize. 

Transgenic Research. Published online in advance of print version. DOI 

10.1007/s11248-010-9442-1. 

Rosi-Marshall, E.J., J.L. Tank, T.V. Royer, M.R. Whiles, M. Evans-White, C. Chambers, 

N.A. Griffiths, J. Pokelsek, and M.L. Stephen (2007). Toxins in transgenic crop byproducts may affect headwater stream ecosystems. Proceedings of the National 

Academy of Science USA 104: 16204-16208. 

Sadeghi, M., M. Hajivandi, R. Bogoev, and J. Amshey (2003). Molecular weight estimation 

of proteins by gel electrophoresis revisited. Focus 25: 35-39.

Saghai-Maroof, M.A., K.M. Soliman, R.A. Jorgensen, and R.W. Allard (1984). Ribosomal 

DNA spacer-length polymorphisms in barley: Mendelian inheritance, chromosomal 

location, and population dynamics. Proceedings of the National Academy of Science 

USA 81: 8014–8018.

San Miguel, P. and J.L. Bennetzen (1998). Evidence that a recent increase in maize genome 

size was caused by the massive amplification of intergene retrotransposons. Annals of 

Botany 82 (Supplement A): 37-44.

Sekar, V., D.V. Thompson, M.J. Maroney, R.G. Bookland, and M.J. Adang (1987). 

Molecular cloning and characterization of the insecticidal crystal protein gene of 

Bacillus thuringiensis var. tenebrionis. Proceedings of the National Academy of 

Science USA 84: 7036–7040.

Severson, D.W. and J.E. Parry (1981). A chronology of pollen collection by honeybees. 

Journal of Apicultural Research 20: 97-103.
5307-USDA-1 Page 168 of 211

Stavolone, L., A. Ragozzino, and T. Hohn (2003a). Characterization of cestrum yellow leaf 

curling virus: a new member of the family Caulimoviridae. Journal of General 

Virology 84: 3459–3464. 

Stavolone, L., M. Kononova, S. Pauli, A. Ragozzino, P. de Hann, S. Milligan, K. Lawton, 

and T. Hohn (2003b). Cestrum yellow leaf curling virus (CmYLCV) promoter: a new 

strong constitutive promoter for heterologous gene expression in a wide variety of 

crops. Plant Molecular Biology 53: 703-713. 

Steffey, K.L., M.E. Rice, J. All, D.A. Andow, M.E. Gray, and J.W. van Duyn (1999). In

Handbook of Corn Insects. Entomological Society of America: Lanham, Maryland.

Sterner, R.T., B.E. Petersen, S.E. Gaddis, K.L. Tope, and D.J. Poss (2003). Impacts of small 

mammals and birds on low-tillage, dryland crops. Crop Protection 22:595-602.

Strickberger, M.W. (1976). Probability and statistical testing. pp 140-163 In Genetics, 2nd

Taylor, S.L.and S.L. Hefle (2001). Will genetically modified foods be allergenic? Journal 

of Allergy and Clinical Immunology 107: 765-771.

ed. New York: Macmillan Publishing Company. 

Tijssen, P. (1985). Processing of data and reporting of results of enzyme immunoassays. pp 

385-421. In: Practice and Theory of Enzyme Immunoassays. Laboratory Techniques 

in Biochemistry and Molecular Biology, Volume 15. Elsevier Science Publishers: 

Amsterdam.

Tinland, B. and B. Hohn (1995). Recombination between prokaryotic and eukaryotic DNA: 

Integration of Agrobacterium tumefaciens T-DNA into the plant genome. Genetic 

Engineering 17: 209-229.

Torres, J. B., J. R. Ruberson, and M. J. Adang (2006). Expression of Bacillus thuringiensis

Cry1Ac protein in cotton plants, acquisition by pests and predators: A tritrophic 

analysis. Agricultural and Forest Entomology 8: 191-202.

US FWS. 2010. United States Fish and Wildlife Service, Dept. of the Interior. Endangered 

Species Program Database. http://endangered.fws.gov/ Date accessed: October 7, 

2010. 

USDA-AMS (2010). United States Department of Agriculture. Agricultural Marketing 

Service. Plant Variety Protection Office. http://apps.ams.usda.gov/CMS/. Accessed 

November 29, 2010.

USDA-NASS (2010). United States Department of Agriculture. National Agricultural 

Statistics Service. Acreage Report. Released June 30, 

2010. http://usda.mannlib.cornell.edu/usda/current/Acre/Acre-06-30-2010.pdf

Walling, L.L. (2006). Recycling or regulation? The role of amino-terminal modifying 

enzymes. Current Opinion in Plant Biology 9: 227-233.
5307-USDA-1 Page 169 of 211

Walters, F.S., C.M. deFontes, H.Hart, G.W. Warren, and J.S. Chen (2010). Lepidopteranactive variable-region sequence imparts coleopteran activity in eCry3.1Ab, an 

engineered Bacillus thuringiensis hybrid insecticidal protein. Applied and 

Environmental Microbiology 76: 3082-3088.

Wang, K., L. Herrera-Estrella, M. Van Montagu, and P. Zambryski (1984). Right 25 bp 

terminus sequence of the nopaline T-DNA is essential for and determines direction of 

DNA transfer from Agrobacterium to the plant genome. Cell 38: 455-462.

Ward, D., T. DeGooyer, T. Vaughn, G. Head, M. McKee, J. Astwood, and J. Pershing. 

(2005). Genetically enhanced maize as a potential management option for corn 

rootworm: YieldGard®

Webster, J.R., E.F. Benfield, T.P. Ehrman, M.A. Schaeffer, J.L. Tank, J.J. Hutchens, and 

D.J. D’Angelo (1999). What happens to allochthonous material that falls into streams? 

A synthesis of new and published information from Coweeta. Freshwater Biology 41:

687-705.

rootworm maize case study. Pp 239-262. In Western Corn 

Rootworm: Ecology and Management. S. Vidal, U. Kuhlmann, and C. Edwards 

(eds.). CAB International: Wallingford, Oxfordshire.

Xing, Y.-J., Q. Ji, Q. Yang, Y.-M. Luo, Q. Li, X. Wang. 2008. Studies on Agrobacteriummediated genetic transformation of embryogenic suspension cultures of sweet potato. 

African Journal of Biotechnology 7: 534-540.

Zambryski, P., A. Depicker, K. Kruger, and H.M. Goodman (1982). Tumor induction by 

Agrobacterium tumefaciens: Analysis of the boundaries of T-DNA. Journal of 

Molecular and Applied Genetics 1: 361-370.

Acknowledgements

The authors wish to acknowledge and thank Dennis Ward for his critical reviews of and 

editorial contributions to this Petition and Larry Zeph for his guidance in its preparation.
5307-USDA-1 Page 170 of 211

Appendix A. USDA Notifications for Field Trials with Event 5307 Corn

Field trials with transformation Event 5307 corn have been conducted in the U.S. under 

USDA-APHIS release permits or notifications since 2005. A listing of these notifications, 

along with a status of the field test report for each, is provided in Table A-1.

Table A-1. List of USDA-APHIS field release permits and notifications under which

plantings of Event 5307 corn have occurred.

APHIS 

Reference

Number1 Effective Dates(MM/DD/YY) Release States or Puerto Rico (PR)2 Field Test Report Status3

05-062-02n 4/25/05 - 4/25/06 HI, IL, MN, NE, WI Submitted

05-104-09n 5/12/05 - 5/12/06 HI Submitted

06-055-08n 4/27/06 - 4/27/07 HI, IA, IL, MN, MO, NE Submitted

07-043-109n 4/5/07 - 4/5/08 HI, IL, IN, IA, KS, MN, MO, NE, SD, WI Submitted

07-166-101n 7/16/07 - 7/16/08 IA Submitted

07-240-103n 11/21/07 - 11/21/08 HI, PR Submitted

08-051-104n 3/20/08 - 3/20-09 HI, IA, IL, IN, MN, MO, PR, SD, WI Submitted

08-051-107n 3/20/08 - 3/20/09 NE Submitted

08-085-105n 4/25/08 - 4/25/09 WA Submitted

08-224-102n 9/22/08 - 9/22/09 HI Submitted

08-304-106n 11/30/08 - 11/30/09 HI, PR Submitted

09-013-105n 3/1/09 - 3/1/10 HI, PR Submitted

09-050-108n 3/20/09 - 3/20/10 CA, CO, NE Submitted

09-062-103n 4/1/09 - 4/1/10

AR, IA, IL, MI, MO, NE, OH, OK, 

SC, WA Submitted

09-063-103n 4/1/09 - 4/1/10 HI, IL, KY, IA, IN, MN, MO, NE, SD, WI Submitted

09-084-109n 4/14/09 - 4/14/10 IA Submitted

09-086-102n 4/13/09 - 4/13/10 NE Submitted

09-114-102n 5/13/09 - 5/13/10 IA, NC, WI Submitted

09-231-102n 9/25/09 - 9/25/10 HI, PR Submitted

10-056-103n 3/26/10 - 3/26/11

CO, FL, PR, HI, IA, IL, IN, KY, MN, 

MO, NE, SD, WI Not submitted

10-064-109n 4/6/10 - 4/6/11

AR, KY, LA, PR, CO, IA, IN, MN, HI, 

IL, KS, MO, NE, WI, SD Not submitted

10-235-105n 9/23/10 - 9/23/11 HI, PR Not submitted

1 Only the permits and notifications under which plantings of 5307 corn actually occurred are listed.

2 States listed are the actual release states if the Field Test Report has been submitted, or approved release 

states if the Field Test Report has not yet been submitted.

3 Field Test Reports shown as “Not Submitted” are due to APHIS by six months after expiration of the permit 

or notification (i.e., they are due to be submitted in 2011 or 2012).
5307-USDA-1 Page 171 of 211

Appendix B. Materials and Methods Used in the Genetic 

Characterization of Event 5307 Corn

This appendix provides details of the materials and methods used in the various studies 

performed to genetically characterize Event 5307 corn. The design, results and conclusions 

of these experiments are described in Part V of this Petition, titled Genetic 

Characterization of Event 5307 Corn. All literature references cited in this appendix are 

listed in Part IX of this Petition, titled References.

B.1. Plant Material

Event 5307 corn and nontransgenic control corn seeds were planted and grown in a 

Syngenta Biotechnology, Inc. greenhouse in Research Triangle Park, North Carolina, USA

under standard greenhouse conditions and then processed to extract genomic DNA. The 

specific generations of 5307 plants used and the corresponding control plants used are 

specified in the descriptions of the studies described in Part V of this Petition. Appropriate 

quality control methods were used to verify the purity and identity of the plant material used 

in each study. The pedigree showing the genotypes of Event 5307 seed for the various 

studies is provided in Figure III-1. Table III-1 provides a list of the sources of plant material 

used for each study. 

B.2. Real-Time PCR Analysis

All plants grown for genetic characterization studies were individually analyzed for the 

presence of ecry3.1Ab and pmi by real-time PCR analysis (Ingham et al., 2001). A control 

assay targeting the endogenous corn alcohol dehydrogenase gene 1 (adh1) was used to 

confirm the presence of DNA in each reaction. Leaf discs were sampled from each 

individual plant. Deoxyribonucleic acid (DNA) was isolated from leaf discs of each 

individual plant using a method adapted from the Wizard® Magnetic 96 DNA Plant System 

for real-time PCR analysis.

Table B-1 lists the primers and probes used to detect ecry3.1Ab, pmi and adh1. Figure B-1 

shows the locations of the ecry3.1Ab-specific and pmi-specific primers and probes in the 

transferred DNA (T-DNA) of plasmid pSYN12274, the transformation plasmid used to 

generate 5307 corn. 

The following cycling parameters were used for this reaction: 95°C for five minutes, 

followed by 40 cycles of 95°C for five seconds and 60°C for 30 seconds.
Appendix B

5307-USDA-1 Page 172 of 211

Table B-1. Real-time PCR primers and probes used for the detection of ecry3.1Ab, pmi,

and adh1

Amplicon of interest Forward primer 

sequence (5ʹ to 3ʹ)

Reverse primer 

sequence (5ʹ to 3ʹ)

Probe sequence (5ʹ to 

3ʹ)

ecry3.1Ab TACGAGAGCTGGGTG

AACTTCA

CGATCAGGTCCAGCA

CGG

CCGCTACCGCCGCG

AGATGA

pmi CCGGGTGAATCAGCG

TTT

GCCGTGGCCTTTGAC

AGT

TGCCGCCAACGAATC

ACCGG

adh1 GAACGGTGTTGGGTTT

GCAT

TGCAGCCTAACCATG

CGCAGGGTA

TCCAGCAATCCTTGC

ACCTT

Figure B-1. Locations of real-time PCR primers and probes in the plasmid pSYN12274 

T-DNA

B.3. Genomic DNA Extraction

Following verification of the plants’ identity by real-time PCR analysis (see above), leaf 

tissue for 10 plants of each genotype was pooled into a sampling bag and stored at -80°C ± 

10°C. Genomic DNA used for nucleotide sequencing and Southern blot analyses was 

isolated from the pooled leaf tissue from 10 plants per genotype using a modification of the 

method described in Saghai-Maroof et al. (1984). Pooled leaf tissue was ground into a fine 

powder using a pre-chilled mortar and pestle, with liquid nitrogen, and then placed into a 

bottle for storage. For each DNA extraction, approximately 40 g of this tissue and 200 ml 

of prewarmed CTAB buffer (100 mM Tris pH 8.0, 20 mM EDTA pH 8.0, 1.4 M NaCl, 2% 

CTAB [w/v], 0.2% [v/v] β-mercaptoethanol) were combined in a bottle; the sample was 

then mixed gently and incubated for 90 minutes at 65°C ± 5°C. An equal volume of chloroform: isoamyl alcohol (24:1) was then added, followed by gentle mixing and centrifugation 

for 10 minutes at 7277 × g at room temperature. The resulting aqueous phase was transferred to a clean container, and 10 μg of ribonuclease per ml of aqueous phase was added. 

The sample was mixed and incubated for 30 minutes at 37°C ± 2°C. An equal volume of 

chloroform: isoamyl alcohol (24:1) was then added, followed by gentle mixing and centrifugation for 10 minutes at 7277 × g at room temperature. The aqueous phase was collected in 

a clean bottle, and the DNA was precipitated with a 0.8 volume of isopropanol. The DNA 

was then pelleted by centrifugation at 291 × g and washed once with 70% ethanol. The 

DNA pellet was air dried and dissolved in 2.5 ml of prewarmed 0.1X Tris-EDTA.
Appendix B

5307-USDA-1 Page 173 of 211

B.4. DNA Quantitation

The concentration of DNA was measured using a Quant-iTTM PicoGreen® dsDNA kit. A 

two-point standard curve was generated using a Lambda DNA standard. Genomic DNA 

was quantified by interpolation from the two point standard curve using the TBS-380 MiniFluorometer.

B.5. Nucleotide Sequence of the T-DNA Insert

(See Part V.A. of this Petition)

Two overlapping fragments that span the 5307 corn insert were amplified from genomic 

DNA using PCR analysis (Figure B-3). The 5307 plants used for this analysis were from the 

NP2171 × BC5F3 generation, as identified in the pedigree chart of plant materials (Figure 

III-3). PCR amplification was carried out using the ExpandTM Long Template PCR System. 

Table B-3 lists the primers used to amplify the insert fragments; Tables B-4 and B-5 contain 

the thermalcycling parameters.

Figure B-2. Map of the 5307 corn insert and location of PCR-amplified fragments from 

5307 corn to determine insert sequence

Table B-2. Primers used to amplify the insert of 5307 corn
Appendix B

5307-USDA-1 Page 174 of 211

Table B-3. Cycling parameters for PCR amplification of insert Fragment 1

Table B-4. Cycling parameters for PCR amplification of insert Fragment 2

The PCR fragments were cloned into pCR®4-TOPO® vector, and three colonies for each 

PCR product were randomly selected and grown. The plasmid DNA was then

independently extracted, and the resulting plasmid preparations, which contained the PCR 

amplification products, were subsequently sequenced.

Dye-terminator sequencing, a modification of the dideoxynucleotide chain-terminator 

sequencing method, was carried out using the ABI3730XL analyzer with ABI BigDye® 3.1 

terminator chemistry. The sequence analysis was done using the Phred, Phrap, and Consed 

package (from the University of Washington), and was carried out to an error rate of less 

than 1 in 10,000 bases (Ewing and Green, 1998).

Three individual clones for each PCR product were sequenced individually, and a consensus 

sequence was generated for each clone. These sequences were aligned using AlignXTM, a 

component of Vector NTI AdvanceTM, version 10.3.0, to obtain the final consensus sequence 

for each segment of the insert sequence.

B.6. Southern Blot Analyses

(See Parts V.B., V.C. and V.D. of this Petition)

Southern blot analyses were performed using standard molecular biology techniques 

(Chomczynski, 1992). Each lane contained 7.5 μg of genomic DNA that was digested with 

the appropriate restriction enzyme(s) for 8 to 16 hours. 

A positive control, representing one copy of a fragment of known size in the corn genome, 

was included on each Southern blot. The positive control for these Southern blot analyses 

was digested DNA from plasmid pSYN12274. This positive control was loaded in a well 
Appendix B

5307-USDA-1 Page 175 of 211

together with 7.5 μg of digested DNA from NP2171 × NP2460 plants, so that the migration 

of this positive control DNA reflected, more accurately, the migration of the restriction 

fragment in the corn genome. The amount of positive control (picograms for one copy) was 

calculated by the following formula with a corn genome size of 2.67 × 109 bp 

(Arumuganathan and Earle, 1991). 

The molecular weight marker (serving as the reference substance), the digested genomic 

DNA, and the positive control were loaded onto 1% SeaKem® Gold agarose gels, and the 

DNA fragments were then separated by electrophoresis in 1X Tris-acetate-EDTA buffer. 

Following a 10 minute depurination in 0.25 N HCl, the DNA in the gel was denatured in 0.5 

M NaOH and 1.5 M NaCl for 30 minutes. The DNA was then transferred to a Zeta-Probe 

GT membrane, by downward alkaline transfer, for 90 minutes using a Bio-Rad Appligene 

Vacuum Blotter. After rinsing the membrane briefly in 2X SSC, the DNA was cross-linked 

to the membrane using ultraviolet light. 

All PCR-generated probes and the molecular weight marker-specific probe were labeled 

with phosphorus-32-deoxycytidine triphosphate ([α-32P]-dCTP) by random priming using 

the MegaprimeTM DNA labeling system. Unincorporated label ([α-32P]-dCTP) was removed 

using the Micro Bio-Spin® Chromatography Columns. 

Membranes were incubated in 30 ml of PerfectHybTM Plus Hybridization Buffer (which 

contained 100 μg/ml denatured Calf Thymus DNA) for at least 30 minutes at 65°C ± 5°C. 

Both the molecular weight marker-specific probe and either the full length T-DNAspecific 

probe or backbone-specific probe were added to the hybridization solution, and the 

membranes were incubated for 16 hours at 65°C ± 5°C. Incubation was followed by a 

combination of washes at 65°C ± 5°C in 2X SSC with 0.1% SDS and washes at 65°C ± 5°C 

in 0.1X SSC with 0.1% SDS. Finally, the membranes were subjected to imaging using a 

Molecular Dynamics Storm 860® phosphorimager.
Appendix B

5307-USDA-1 Page 176 of 211

B.7. Nucleotide Sequencing of T-DNA Flanking Regions in Corn Genome 

(See Part V.F. of this Petition)

The 5ʹ and 3ʹ corn genomic sequences flanking the 5307 corn insert were previously 

recovered. This preliminary sequence was used to design primers for amplification of the 

flanking regions from 5307 corn. The flanking regions were amplified from genomic DNA 

extracted from 5307 corn using the ExpandTM High-Fidelity PCR System. Table B-5 lists 

the primers used to amplify the flanking regions; Table B-6 contains the thermal cycling 

parameters.

Table B-5. Primers used to amplify the flanking regions of 5307 DNA insert

Table B-6. PCR cycling parameters for the flanking regions of 5307 DNA insert

The PCR fragments were cloned into pCR®4-TOPO® vector, and three colonies for each 

PCR product were randomly selected and grown. The plasmid DNA was then 

independently extracted, and the resulting plasmid preparations, which contained the PCR 

amplification products, were subsequently sequenced as described above (see Nucleotide 

Sequence of the T-DNA Insert).
Appendix B

5307-USDA-1 Page 177 of 211

B.8. Flanking Sequence Analysis to Determine if T-DNA Inserted into a Known Corn

Gene 

(See Part V.F. of this Petition)

The following parameters were used for the BLASTN analysis against the National Center 

for Biotechnology Information (NCBI) Nucleotide Database (NCBI, 2010a) to identify corn

genomic sequences having identity or high similarity to sequences flanking the 5′ and 3′ 

ends of the 5307 T-DNA insert:

• Expect = 10. The expectation value (E-value) is a measure of the probability that 

matches between sequences occurred by chance. Search results involving comparisons 

between nucleotides with highly similar sequences yield E-values approaching zero; the 

probability that sequence similarities occurred by chance increases with higher E-values 

(Ponting, 2001). The search identified all sequences in the database with search results 

yielding an E-value of 10 or lower; this is the conservative default search setting for this 

parameter. 

• The scoring scheme used was the default for nucleotides: +1 for a match and -3 for a 

mismatch.

• The following gap penalties were used for this scoring matrix: Existence = 5 and 

Extension = 2. A gap is a space introduced into an alignment to compensate for 

insertions and/or deletions in one sequence relative to another. The introduction of a gap 

causes the deduction of a fixed value from the alignment score to prevent the 

accumulation of excessive gaps in an alignment. Extension of the gap to encompass 

additional nucleotides is also penalized in determining the score of an alignment. The 

resultant score is derived from the number of identical matches between the query 

sequence and the database entry, with higher scores indicating more identity between the 

two sequences.

• A low complexity filter was used for this search.

B.9. Amino Acid Sequence Comparison of Query Peptide to Known or Putative Toxins

(See Part V.G. of this Petition)

The Basic Local Alignment Search Tool for Proteins (BLASTP) program, version 2.2.19, 

(Altschul et al., 1997) was used to compare the query peptide representing the translated 

sequence of the putative 243-bp ORF to all entries in the NCBI Entrez® Protein Database 

(containing over 10 million amino acid sequences) (NCBI, 2010b). Information associated 

with the sequences having the highest similarity to the query sequence was examined to

determine if any of the sequences was a toxin or putative toxin. 

The BLASTP algorithm is optimized to identify regions of local similarity between protein 

sequences. This approach detects more similarities than would a search that aligns two 

sequences over their entire length. The following default parameters were used in the 

BLASTP comparisons:
Appendix B

5307-USDA-1 Page 178 of 211

• Expectation value (E-value) = 10. 

• Word size = 3

• Gap costs: existence = 11 and extension = 1

• Similarity matrix: Blocks Substitution Matrix62 (BLOSUM62)

• No complexity filter

The E-value is a measure of the probability that matches between sequences occurred by 

chance. Search results involving comparisons between proteins with highly similar 

sequences yield E-values approaching zero; the probability that sequence similarities 

occurred by chance increases with higher E-values (Ponting, 2001). The search identified 

all sequences in the database with search results yielding an E-value of 10 or lower. These 

sequences were evaluated for source and biological function. Any sequences described as 

toxins or putative toxins were identified.

B.10. Amino Acid Sequence Comparison of Query Peptide to Known or Putative 

Allergens

(See Part V.G. of this Petition)

The 81-amino-acid query peptide sequence representing the translated sequence of the 

putative 243-bp ORF was screened for biologically relevant amino acid sequence similarity 

to any of the known or putative protein allergens within the FARRP AllergenOnline 

database (FARRP, 2010). The FARRP AllergenOnline database is a curated, peer-reviewed 

database containing proteins identified as food allergens, respiratory allergens, allergenic 

venom proteins, contact allergens, gliadins, and glutenins. Entries were compiled primarily 

from searches of publicly available protein databases using the NCBI Entrez® search and 

retrieval system, most recently searched in 2009 (NCBI, 2009). The NCBI dataset was 

screened by searches for entries associated with allergy or celiac disease; duplicate entries 

were removed, and additional entries were identified from publications. The list of 

candidate entries was then reviewed by an international panel of allergy experts who 

reviewed published clinical and laboratory evidence to support the candidate sequences as 

allergens. Proteins are classified as known or putative allergens according to predetermined 

criteria set by the FARRP expert review panel. The latest version of the FARRP 

AllergenOnline database (2010) contains 1,471 nonredundant entries. Similarity searches 

were performed using an exact copy of the entire list of sequences in the current version of 

the FARRP AllergenOnline database (2010) (maintained at Syngenta Biotechnology, Inc., 

Research Triangle Park, NC, USA). Two different sequence searches were performed to 

compare the translated junction sequence with sequences in the FARRP AllergenOnline 

database. In the first search, the FASTA search algorithm, version 3.45 (Pearson and 

Lipman, 1988), was used to assess overall sequence similarity by comparing sequential 80-

amino-acid peptides of the query sequence with the sequences in the FARRP 

AllergenOnline database. Each successive “window” of 80 amino acids was offset from the 

previous window by one residue, such that each peptide overlapped the previous peptide by 

79 amino acids. The default FASTA settings used include an extension penalty of two and 
Appendix B

5307-USDA-1 Page 179 of 211

gap creation penalty of 12. The scoring matrix for FASTA was the Blocks Substitution 

Matrix50 (BLOSUM50), the same scoring matrix used by the authors of the FARRP 

AllergenOnline database. The BLOSUM50 matrix is weighted to favor identical amino 

acids likely to impact protein structure. In the second search, the query sequence was 

screened for matches of eight or more contiguous amino acids (Hileman et al., 2002) using a 

program developed by Syngenta; this program compared every possible peptide of eight 

contiguous amino acids of the translated putative ORF with the sequences in the FARRP 

AllergenOnline database. 

The FASTA search produces alignments between the 80-amino-acid peptides of the query 

sequence and the sequences in the allergen database. The evaluation of each query peptide 

sequence alignment utilizes the minimum criterion of 80 amino acids of alignment length 

with greater than 35% shared amino acid identity. Any alignments exceeding this criterion 

for shared sequence similarity indicate the potential for immunologically relevant sequence 

similarity (Codex, 2009). Additionally, any match of eight (or more) identical contiguous 

amino acids between any query sequence and any sequence in the allergen database 

indicates the potential for immunologically relevant sequence similarity (Codex, 2009).
Appendix C. Materials, Methods and Results of Characterization Studies 

on the eCry3.1Ab and PMI Proteins

This appendix presents materials, methods and detailed results of analyses of the 

biochemical properties and biological activity of the eCry3.1Ab and PMI proteins in 5307 

corn and in the corresponding eCry3.1Ab and PMI test substances used in safety studies. A 

summary of the results and conclusions of these analyses is provided in Part VI of this

Petition, titled Characterization of the eCry3.1Ab and PMI Proteins. All literature 

references cited in this appendix are listed in Part IX of this Petition, titled References.

C.1. Materials and Methods for Comparison of eCry3.1Ab Produced in 5307 Corn Plants 

and Recombinant E. coli

Three preparations containing eCry3.1Ab were evaluated in this study: (1) LP5307,

extracted from leaf material of 5307 corn plants; (2) IAP5307, immunopurified eCry3.1Ab 

derived from leaf material of 5307 corn plants; and (3) microbial test substance 

ECRY3.1AB-0208, prepared from a recombinant E. coli overexpression system. The 

sample designated LP5307 was used for Western blot analysis and insecticidal activity 

assays. The sample designated IAP5307 was used as the source of purified plant-produced 

eCry3.1Ab for Western blot, glycosylation, N-terminal sequencing and peptide mass 

mapping analysis. Nontransgenic, near-isogenic plants were used as negative control plant 

material, the source of the LP-NEG material.

Event 5307 Corn Leaf Tissue and Negative Control Corn Leaf Tissue

Young leaves from greenhouse-grown 5307 plants and nontransgenic, near-isogenic plants 

were collected 4-6 weeks after emergence, frozen at –80°C ± 10°C, and ground into a fine 

powder using a Grindomix Knife Mill (Retsch). 

Extracts of 5307 Corn and Control Corn Leaf Tissue for Western Blot Analysis

Leaf powder was resuspended in extraction buffer containing 100 mM sodium borate (pH 

10.0), 0.2% polyvinylpyrrolidone (PVP), 7.69 mM sodium azide, 0.5% Tween 20, and 

supplemented with one Complete Protease Inhibitor Cocktail tablet/50 ml of buffer (Roche). 

The mixture was homogenized with an Omni-Prep Homogenizer (Omni International), 

incubated for 30 minutes on ice and centrifuged at 3,000 rpm for 15 minutes at 4°C (Sorvall 

Legend RT). The resulting supernatants were stored overnight at 2°C to 8°C and then stored 

at -20°C ± 8°C in 4X NuPage LDS Sample Buffer (Invitrogen) containing NuPage Sample 

Reducing Agent (Invitrogen) for subsequent Western blot analysis. The sample extracts 

from the 5307 and control corn leaves were designated LP5307 and LP-NEG, respectively.

Extracts of 5307 Corn and Control Corn Leaf Tissue for Insect Bioassays

Extracts for bioassays were prepared by resuspending leaf powder from 5307 and control 

plants as described above, in a 10 mM ammonium bicarbonate, pH 10.0 buffer. The 

extraction mixtures were homogenized in a Waring blender for 45 seconds, incubated on ice 

for 1.5 hours and centrifuged (Sorvall RC5B) at 8,000 rpm for 30 minutes at 4°C. The 

resulting supernatant was filtered through cheesecloth, centrifuged for an additional 30 

minutes at 8,000 rpm at 4°C, and filtered through cheesecloth again. The resulting clear 
Appendix C

5307-USDA-1 Page 181 of 211

supernatant was concentrated using centrifugal filter devices (Millipore). The sample was 

then stored overnight at 2-8°C for subsequent insect diet incorporation and ELISA analysis. 

The sample extracts from the 5307 and control corn leaves were designated LP5307 and LPNEG, respectively.

Extracts of Control Leaf Tissue Fortified with Test Substance ECRY3.1AB-0208 for 

Western Blot Analysis

To determine whether the plant matrix affects eCry3.1Ab mobility or immunoreactivity, 

ECRY3.1AB-0208 was added to control leaf extract. This sample allowed for comparison 

of the microbially produced eCry3.1Ab and plant-produced eCry3.1Ab in the same matrix.

For Western blot analysis, ECRY3.1AB-0208 was added to LP-NEG, as prepared for above 

Western blot analysis, such that the total protein and amount of eCry3.1Ab loaded on the gel 

was equivalent to that estimated for sample LP5307, as prepared for Western blot analysis. 

This sample was designated LP-NEG + ECRY3.1AB-0208.

Extracts of Control Leaf Tissue Fortified with Microbially Produced Test Substance 

ECRY3.1AB-0208 for Insect Bioassays

To determine if the plant matrix affects bioactivity, ECRY3.1AB-0208 was added to control

leaf extract. This sample allowed for comparison of the microbially produced eCry3.1Ab 

and plant-produced eCry3.1Ab in the same matrix. For the bioassays, ECRY3.1AB-0208 

was added to LP-NEG, as prepared for bioassays, such that when incorporated into the diet 

the concentration of eCry3.1Ab in the diet was equivalent to the eCry3.1Ab concentration in 

the diet containing only the ECRY3.1AB-0208 test substance. This sample was designated

LP-NEG + ECRY3.1AB-0208.

Immunoaffinity-Purified Plant-Produced Protein

Leaf powder from 5307 corn, prepared as described above, was resuspended in extraction 

buffer (pH 7.5) containing 100 mM sodium borate, 0.2% PVP, 7.69 mM sodium azide, 1.2% 

concentrated hydrochloric acid, 0.5% Tween 20, supplemented with one Complete Protease 

Inhibitor Cocktail tablet/50 ml of buffer (Roche). The mixture was homogenized with an 

Omni-Prep Homogenizer and incubated for up to 2 hours on ice. The mixture was then 

centrifuged at approximately 2700 rpm for 10 minutes at 4°C (Sorvall Legend RT). The 

supernatant was filtered through cheesecloth and centrifuged at approximately 3100 rpm for 

15 minutes at 4°C (Sorvall Legend RT). After a second centrifugation step (10,000 rpm for

12 minutes (Sorvall RC5B) the clarified supernatant was then loaded onto an equilibrated

immunoaffinity column with mouse anti-mCry3A antibodies bound to the matrix. To

remove any proteins not bound to the antibodies, the column was washed with a 50 mM

sodium bicarbonate buffer pH 8.0 containing 150 mM sodium chloride. After an additional 

wash step with a 10 mM sodium phosphate buffer pH 6.8, eCry3.1Ab was eluted in 100 mM 

glycine buffer (pH 2.5), neutralized, and fractions were analyzed for eCry3.1Ab protein by 

ELISA. Fractions containing eCry3.1Ab protein were pooled, concentrated by 

ultrafiltration, and stored at 2°C to 8°C until further use. The resulting sample, designated 

IAP5307, was used as the source of purified plant-produced eCry3.1Ab for Western blot, 

glycosylation, N-terminal sequencing and peptide mass mapping analysis.
Appendix C

5307-USDA-1 Page 182 of 211

Microbially Produced Test Substance ECRY3.1AB-0208

Test substance ECRY3.1AB-0208 was prepared from an E. coli overexpression system. The 

eCry3.1Ab protein in test substance ECRY3.1AB-0208 is identical to that expressed in 5307 

corn except that it contains one additional methionine and six histidine residues at the Nterminus. The intended additional seven amino acids aid in purification from the E. coli 

overexpression system. The ecry3.1Ab gene used for microbial expression was linked to the 

bacterial tac promoter in a vector derived from pET24a (Novagen) and transformed into E. 

coli strain DH5α (New England Biolabs). ECRY3.1AB-0208 was prepared from pooled 

batches of E. coli cell paste. E. coli cells were ruptured and the cell debris removed by 

centrifugation. The soluble material was filtered, applied to an immobilized metal affinity 

column (GE Healthcare Nickel Sepharose Fast Flow column), and eluted using an imidazole 

step gradient. Fractions containing the eCry3.1Ab protein were then further purified via 

anion exchange chromatography and eCry3.1Ab was eluted with a sodium chloride gradient. 

The eluted eCry3.1Ab-containing fractions were pooled, concentrated and the buffer was 

exchanged. The solution was lyophilized and designated ECRY3.1AB-0208. The test 

substance was stored at -20°C ± 8°C until further use. ECRY3.1AB-0208 was determined 

to contain 89.6% eCry3.1Ab by weight and the intact mass of the eCry3.1Ab protein, as 

measured by mass spectrometry, was 74.8 kDa.

eCry3.1Ab Quantification

The Beacon Analytical Systems (BAS) eCry3.1Ab ELISA kit was used as described in 

Appendix D., section D.4., to quantify eCry3.1Ab. 

Total Protein Determination

Total protein in samples, LP5307, LP-NEG + ECRY3.1AB-0208, and LP-NEG as prepared 

for Western blot analysis, was quantified via the bicinchoninic acid method (Hill and Straka, 

1988), using bovine serum albumin as the reference protein standard. The results were 

analyzed with BioMetallics DeltaSoft PC Microplate Analysis Software, v. 1.71.2 using a 

four-parameter fit of the standard curve. 

Immunoreactivity and Molecular Weight Determination

Western blot analysis was used to investigate the integrity of eCry3.1Ab in ECRY3.1AB0208, LP5307, LP-NEG + ECRY3.1AB-0208 and IAP5307. Aliquots containing 10 ng of 

eCry3.1Ab prepared in NuPage LDS Sample Buffer (Invitrogen) were subjected to SDS 

polyacrylamide gel electrophoresis (SDS-PAGE) with a NuPAGE 4-12% Bis-Tris 

polyacrylamide gradient gel (Invitrogen) using 3-(N-morpholino)propane-sulfonic acid

(MOPS) running buffer (Bio-Rad). An aliquot of the control plant sample LP-NEG, 

equivalent in total protein to the amount loaded on the gel for LP5307 (29.6 μg total 

protein), was included in the analysis as a negative control. The molecular-weight standard 

was SeeBlue Plus2 pre-stained standard (Invitrogen). After electroblotting, the membrane 

was probed with polyclonal goat antibodies capable of detecting eCry3.1Ab protein. 

Alkaline phosphatase-conjugated donkey anti-goat IgG (Jackson ImmunoResearch) diluted 

to 1:3,000 in Tris-buffered saline with Tween 20 (Sigma-Aldrich) and 5% normal donkey 

serum was used to bind to the primary antibody and was visualized by development with 5-

bromo-4-chloro-3-indolyl phosphate/nitro blue tetrazolium (BCIP/NBT) alkaline 
Appendix C

5307-USDA-1 Page 183 of 211

phosphatase substrate solution (Sigma-Aldrich). The Western blot was examined for the 

presence of intact immunoreactive eCry3.1Ab or immunoreactive eCry3.1Ab fragments.

Insecticidal Activity

The insecticidal activity of eCry3.1Ab was assessed in feeding assays with freshly hatched 

first-instar Colorado potato beetles (L. decemlineata) in three independent bioassays. The 

insect diet was prepared by blending a boiling mixture of 2.6 grams of agar and 169 ml of 

Milli-Q water with 28.1 grams of Colorado potato beetle diet powder mix and 1 gram of 

potassium hydroxide as per the manufacturer’s instructions (Bio-Serv). The diet mixture 

was cooled to approximately 55°C in a water bath. Antibacterial and antifungal agents were 

each added to the cooled diet.

Bioassay treatments consisted of (1) test substance ECRY3.1AB-0208, (2) eCry3.1Ab 

extracted from 5307 corn leaves; LP5307, (3) control leaf extract fortified with test 

substance ECRY3.1AB-0208; LP-NEG + ECRY3.1AB-0208, and (4) control corn leaf 

tissue extract; LP-NEG. A a stock solution of ECRY3.1AB-0208 was prepared in 10 mM 

ammonium bicarbonate buffer (pH 10.0) to a concentration of 5 mg eCry3.1Ab/ml. From 

this, a 50 μg eCry3.1Ab/ml solution was prepared and serially diluted 1:1 (v/v) in 10 mM 

ammonium bicarbonate buffer (pH 10.0) to produce eight solutions with concentrations 

ranging from 50 to 0.390 μg eCry3.1Ab/ml. The dilution series was then mixed 1:1 (v/v) 

with the freshly prepared Colorado potato beetle diet to produce eight diets with eCry3.1Ab

concentrations ranging from 25 to 0.195 μg/ml diet. Additional treatments containing 

eCry3.1Ab extracted from 5307 corn leaves, LP5307 (treatment 2), control leaf extract 

fortified with the microbially-produced test substance, LP-NEG + ECRY3.1AB-0208 

(treatment 3) and control leaf tissue extract LP-NEG (treatment 4) as prepared for bioassays 

were also serially diluted 1:1 (v/v) in 10 mM ammonium bicarbonate buffer (pH 10.0) and 

subsequently mixed 1:1 (v/v) with freshly prepared Colorado potato beetle diet. Each of 

these treatments was analyzed as a series of eight dilutions. Water and buffer controls were 

prepared in the same manner for each bioassay. The water control was prepared by mixing 

1:1 (v/v) of purified water with freshly prepared Colorado potato beetle diet. The buffer 

control was prepared by mixing 1:1 (v/v) of 10 mM ammonium bicarbonate buffer (pH 

10.0) with freshly prepared Colorado potato beetle diet.

The bioassays were conducted in 24-well culture plates. Each well contained one freshly 

hatched L. decemlineata insect larva and 100 μl of insect diet. Larvae were transferred to 

each well manually using a small paint brush. The wells were covered with silicone 

stoppers and stored at ambient laboratory conditions. Mortality readings were taken 

periodically starting at 72 hours and continued until at least 144 hours.

Glycosylation Analysis

To determine whether eCry3.1Ab in ECRY3.1AB-0208 and eCry3.1Ab immuno-affinity 

purified from 5307 corn leaf extract (IAP5307) were glycosylated, aliquots equivalent to 1 

and 2 μg of eCry3.1Ab were analyzed with the DIG Glycan Detection Kit (Roche), in

accordance with the manufacturer’s instructions. The positive control was transferrin (a

glycosylated protein) at 100, 50, 25 and 10 ng, and the negative control was creatinase (a

nonglycosylated protein) at 2 μg. Samples were separated by SDS-PAGE with a
Appendix C

5307-USDA-1 Page 184 of 211

NuPAGE4-12% Bis-Tris polyacrylamide gradient gel and NuPAGE MES SDS running

buffer and electroblotted to nitrocellulose membrane (Invitrogen). While on the membrane, 

glycan moieties were oxidized with periodate, labeled with digoxigenin (DIG), and detected 

with an alkaline-phosphatase-linked anti-DIG antibody.

Peptide Mass Mapping Analysis

eCry3.1Ab purified from an extract of 5307 corn leaves (IAP5307) and from ECRY3.1AB0208 were analyzed by peptide mass mapping. Aliquots containing 2.5 to 5 μg of

eCry3.1Ab purified from 5307 corn leaf extract (IAP5307) and from test substance 

ECRY3.1AB-0208 were subjected to SDS-PAGE using a NuPAGE 4-12% Bis-Tris 

polyacrylamide gradient gel and NuPAGE MES SDS running buffer. The gel was stained 

with Coomassie G250 (Invitrogen), the protein band corresponding to the molecular weight 

of eCry3.1Ab was excised from the gel, and the protein was reduced, alkylated with 

iodoacetamide, and independently digested with trypsin and chymotrypsin. The mass 

analysis of the eCry3.1Ab-produced peptides was performed using a quadrupole time-offlight mass spectrometer (Waters/Micromass Q-TOF Premier) connected to a Waters CapLC 

capillary liquid chromatography instrument. The detected peptide masses were searched 

using Mascot Software (Matrix Science) against a protein database containing the 

eCry3.1Ab protein sequence. The Mascot search parameters included likely N-terminal 

modifications, which have previously been reported to occur in plants. Specifically, the 

modifications investigated included α-N-acetylation, protein N-formylation and protein Nmethylation.

N-Terminal Amino Acid Sequence Analysis

To determine the N-terminal amino acid sequence of eCry3.1Ab from test substance 

ECRY3.1AB-0208 and eCry3.1Ab purified from 5307 corn leaf extract (IAP5307) were 

both subjected to SDS-PAGE followed by electroblotting to a PVDF membrane. The blot 

was stained with amido black, and the band corresponding to eCry3.1Ab was excised and 

subjected to N-terminal amino acid sequence analysis using automated Edman-based 

chemistry (Brauer et al., 1984).

Statistical Methods

The LC50 values determined in the insecticidal activity assay were calculated using the U.S. 

EPA Probit Analysis Program, version 1.5. 
Appendix C

5307-USDA-1 Page 185 of 211

C.2. Results of Comparison of eCry3.1Ab Produced in 5307 Corn Plants and

Recombinant E. coli

Immunoreactivity and Molecular Weight

Western blot analysis of eCry3.1Ab in test substance ECRY3.1AB-0208, LP-NEG + 

ECRY3.1AB-0208, LP5307, and IAP5307 revealed immunoreactive bands consistent with 

the predicted molecular weight9 of 74.8 kDa for samples containing eCry3.1Ab from 

ECRY3.1AB-0208 (Figure C-1, Lanes 2, 3 and 6) and 73.7 kDa for samples containing 

plant-produced eCry3.1Ab (Lanes 4 and 5). 

Figure C-1. Western blot analysis of eCry3.1Ab in test substance ECRY3.1AB-0208, LP-NEG + 

ECRY3.1AB-0208, LP5307, IAP5307 and the negative control LP-NEG.

Lane 1: Molecular-weight markers

Lane 2: Microbially produced test substance ECRY3.1AB-0208 (10 ng eCry3.1Ab)

Lane 3: Control corn leaf extract, LP-NEG (29.6 μg total protein) with the addition of test substance 

ECRY3.1AB-0208 (10 ng eCry3.1Ab)

Lane 4: 5307 corn leaf extract, LP5307 (10 ng eCry3.1Ab/29.6 μg total protein)

Lane 5: Immunopurified eCry3.1Ab protein from 5307 corn leaf extract, IAP5307 (10 ng eCry3.1Ab)

Lane 6: Test substance ECRY3.1AB-0208 (10 ng eCry3.1Ab)

Lane 7: Control corn leaf extract, LP-NEG (29.6 μg total protein)

Lane 8: Molecular-weight markers

 

9 Although the eCry3.1Ab protein band showed slightly higher mobility (and therefore an apparent lower molecular weight) in 

comparison to the molecular weight standards on the Western blot (Figure C-1), the difference between the expected and 

observed molecular weights on the gels can be explained by the limitations of SDS-PAGE for accurate determination of 

molecular weight. Dube and Flynn (1988) have reviewed the reliability of SDS-PAGE for molecular weight determinations and 

concluded that the apparent molecular weight of a protein by this method is typically within 10% of its true molecular weight. 

This depends greatly on the similarity between the properties of the protein of interest and the proteins in the standard set 

(Sadeghi et al., 2003). Additionally, the intact mass of eCry3.1Ab in ECRY3.1AB-0208 waspreviously measured as 74.8 kDa.
Appendix C

5307-USDA-1 Page 186 of 211

The slight difference in molecular weight between the microbial and plant sources of 

eCry3.1Ab was consistent with the presence of the seven additional N-terminal amino acids 

in the microbially produced protein. As expected, no immunoreactive bands were observed 

in the plant-produced control substance, LP-NEG (Figure C-1, Lane 7). 

Insecticidal Activity

The results of the insect bioassays were presented in Table VI-1 and discussed in Part 

VI.A.1.b. of this Petition: Equivalence of eCry3.1Ab Test Substance and eCry3.1Ab in 

5307 Plants. 

Glycosylation Analysis

The positive control protein, transferrin, at 10 ng generated a clearly visible band (Figure C2, Lane 4). Transferrin has a molecular weight of approximately 80,000 Da and contains 

approximately 5% glycan moieties by weight. This corresponds to approximately 25

glucose equivalents per molecule (based on a calculated molecular weight of 162 Da for the 

glycan moiety). Of the 10 ng of transferrin loaded on the gel, 0.5 ng could be attributed to 

glycan moieties and was clearly detectable. The highest concentration of eCry3.1Ab from 

both plant and microbial sources (IAP5307 and ECRY3.1AB-0208) loaded on the blot was 

2 μg (2,000 ng). If 0.5 ng of glycan were detected in eCry3.1Ab, this would correspond to 

0.025% by weight (0.5/2,000 ng), or 0.115 glucose equivalents per molecule. In other 

words, if eCry3.1Ab bands were stained as strongly as 10 ng of transferrin in Lane 4, this 

would indicate glycosylation of about 1 in 8.7 of the eCry3.1Ab molecules. No bands 

corresponding to glycosylated eCry3.1Ab were visible for the sample prepared from the 

microbially-produced ECRY3.1AB-0208 test substance (Figure C-2, Lanes 9 and 10) or 

immunopurified plant-produced eCry3.1Ab, IAP5307 (Lanes 7 and 8). Therefore, the 

results indicate that neither the microbially-produced nor the plant produced eCry3.1Ab 

protein was glycosylated. 
Appendix C

5307-USDA-1 Page 187 of 211

Figure C-2. Glycosylation analysis of eCry3.1Ab in IAP5307 (immunopurified plant-produced 

protein) and ECRY3.1AB-0208 (microbially produced test substance).

Lane 1: Transferrin (positive control), 100 ng

Lane 2: Transferrin (positive control), 50 ng

Lane 3: Transferrin (positive control), 25 ng

Lane 4: Transferrin (positive control), 10 ng

Lane 5: Creatinase (negative control), 2 μg.

Lane 6: Molecular-weight markers.

Lane 7: Immunopurified eCry3.1Ab protein from Event 5307 corn leaf extract, IAP5307; 1 μg

Lane 8: Immunopurified eCry3.1Ab protein from Event 5307 corn leaf extract, IAP5307; 2 μg

Lane 9: eCry3.1Ab from microbially produced test substance ECRY3.1AB-0208; 1 μg

Lane 10: eCry3.1Ab from microbially produced test substance ECRY3.1AB-0208; 2 μg.
Appendix C

5307-USDA-1 Page 188 of 211

Peptide Mass Mapping

Analysis of the plant-produced eCry3.1Ab yielded coverage equivalent to 76% of the total 

predicted eCry3.1Ab amino acid sequence, as shown in Figure C-3. Analysis of the 

microbially produced eCry3.1Ab yielded coverage equivalent to 87% of the total predicted 

eCry3.1Ab amino acid sequence, as shown in Figure C-4. The identified peptides 

corresponded to regions throughout the sequence of eCry3.1Ab including the N-termini of 

both proteins. The results of the peptide mass mapping analysis confirmed the identity of 

the purified proteins from both sources as eCry3.1Ab.

MTSNGRQCAGIRPYDGRQQHRGLDSSTTKDVIQKGISVVGDLLGVVGFPFGGALVSFYTNF

LNTIWPSEDPWKAFMEQVEALMDQKIADYAKNKALAELQGLQNNVEDYVSALSSWQKNPAA

PFRNPHSQGRIRELFSQAESHFRNSMPSFAISGYEVLFLTTYAQAANTHLFLLKDAQIYGE

EWGYEKEDIAEFYKRQLKLTQEYTDHCVKWYNVGLDKLRGSSYESWVNFNRYRREMTLTVL

DLIALFPLYDVRLYPKEVKTELTRDVLTDPIVGVNNLRGYGTTFSNIENYIRKPHLFDYLH

RIQFHTRFQPGYYGNDSFNYWSGNYVSTRPSIGSNDIITSPFYGNKSSEPVQNLEFNGEKV

YRAVANTNLAVWPSAVYSGVTKVEFSQYNDQTDEASTQTYDSKRNVGAVSWDSIDQLPPET

TDEPLEKGYSHQLNYVMCFLMQGSRGTIPVLTWTHKSVDFFNMIDSKKITQLPLTKSTNLG

SGTSVVKGPGFTGGDILRRTSPGQISTLRVNITAPLSQRYRVRIRYASTTNLQFHTSIDGR

PINQGNFSATMSSGSNLQSGSFRTVGFTTPFNFSNGSSVFTLSAHVFNSGNEVYIDRIEFV

PAEVTFEAEYDLERAQKAVNELFTSSNQIGLKTDVTDYHID

Figure C-3. Predicted amino acid sequence of eCry3.1Ab and sequence identified by

peptide mass mapping analysis of eCry3.1Ab from immunopurified plant-produced 

sample IAP5307.

QV 

Identified eCry3.1Ab protein fragments are bold and underlined.

 MHHHHHHMTSNGRQCAGIRPYDGRQQHRGLDSSTTKDVIQKGISVVGDLLGVVGFPFGGAL

VSFYTNFLNTIWPSEDPWKAFMEQVEALMDQKIADYAKNKALAELQGLQNNVEDYVSALSS

WQKNPAAPFRNPHSQGRIRELFSQAESHFRNSMPSFAISGYEVLFLTTYAQAANTHLFLLK

DAQIYGEEWGYEKEDIAEFYKRQLKLTQEYTDHCVKWYNVGLDKLRGSSYESWVNFNRYRR

EMTLTVLDLIALFPLYDVRLYPKEVKTELTRDVLTDPIVGVNNLRGYGTTFSNIENYIRKP

HLFDYLHRIQFHTRFQPGYYGNDSFNYWSGNYVSTRPSIGSNDIITSPFYGNKSSEPVQNL

EFNGEKVYRAVANTNLAVWPSAVYSGVTKVEFSQYNDQTDEASTQTYDSKRNVGAVSWDSI

DQLPPETTDEPLEKGYSHQLNYVMCFLMQGSRGTIPVLTWTHKSVDFFNMIDSKKITQLPL

TKSTNLGSGTSVVKGPGFTGGDILRRTSPGQISTLRVNITAPLSQRYRVRIR

Figure C-4. Predicted amino acid sequence of eCry3.1Ab and sequence identified by 

peptide mass mapping analysis of eCry3.1Ab from microbially produced test substance 

ECRY3.1AB-0208.

YASTTNLQF

HTSIDGRPINQGNFSATMSSGSNLQSGSFRTVGFTTPFNFSNGSSVFTLSAHVFNSGNEVY

IDRIEFVPAEVTFEAEYDLERAQKAVNELFTSSNQIGLKTDVTDYHIDQV 

Identified eCry3.1Ab protein fragments are bold and underlined.
Appendix C

5307-USDA-1 Page 189 of 211

The peptide mass analysis provided two additional results regarding the structure of the 

proteins. Firstly, the intact N-terminus of the plant-produced protein could be identified. 

The analysis showed that the N-terminal methionine was removed leaving the penultimate 

amino acid, threonine, at the N-terminus of the eCry3.1Ab protein. This is a common 

process for many proteins occurring during translation (Walling, 2006). Secondly, the 

nature of the N-terminal block found for the plant produced protein, as described under NTerminal Amino Acid Sequence Analysis, below, was identified. The analysis of the Nterminal peptide of the plant-produced protein suggested the addition of an acetyl-residue at 

the primary amino group of the N-terminal threonine. This is a common modification 

known for plant-expressed proteins (Martinez et al., 2008).

N-Terminal Amino Acid Sequence Analysis

The N-terminal sequence results confirmed that eCry3.1Ab in the microbially produced test 

substance ECRY3.1AB-0208 had the predicted N-terminal amino acid sequence:

Predicted sequence: MHHHHHHMTS

eCry3.1Ab in ECRY3.1AB-0208: MHHHHHHMTS

N-terminal sequencing analysis of eCry3.1Ab immunoaffinity-purified from 5307 corn 

leaves (IAP5307) revealed that the majority of the protein was naturally blocked at the Nterminus. However, the N-terminal peptide was identified by peptide mass mapping (see 

Peptide Mass Mapping, above) and confirmed the expected sequence for the eCry3.1Ab 

protein, starting at threonine as described above. The analysis of the N-terminal peptide of 

the plant-produced protein suggested the addition of an acetyl-residue at the primary amino 

group of the N-terminal threonine. 
Appendix C

5307-USDA-1 Page 190 of 211

C.3. Materials and Methods for Comparison of PMI Produced in 5307 Corn Plants and

Recombinant E. coli

The purpose of these analyses was to compare PMI from 5307 corn plants with PMI from 

test substance PMI-0105, which was produced by overexpressing the gene pmi in 

recombinant E. coli. The PMI proteins from both sources were compared biochemically and 

functionally to justify use of PMI in PMI-0105 as a surrogate for PMI in 5307 corn plants, 

for safety testing purposes. Both sources of PMI were predicted to have the identical amino 

acid sequence, because the gene pmi in both the plant and E. coli transformation vectors 

encoded the same PMI enzyme. 

The conclusions of these analyses are described in Part VI.B.1.b of this Petition, 

Equivalence of PMI in Test Substance and in 5307 Plants.

Event 5307 Corn Leaf Tissue and Negative Control Corn Leaf Tissue

Young leaves from greenhouse-grown 5307 plants and nontransgenic, near-isogenic plants 

were collected 4-6 weeks after emergence, frozen at –80°C ± 10°C, and ground into a fine 

powder using a Grindomix Knife Mill (Retsch). The leaf powder was then lyophilized and 

stored at -80 ± 10°C.

Extracts of 5307 and Control Corn Leaf Tissue

Approximately 100 mg of lyophilized leaf powder was suspended in 3 ml extraction buffer 

(pH 7.0) containing 50 mM Tris, 2 mM DTT), 1 mM AEBSF, and 1 μM leupeptin. The 

mixture was then homogenized using an Omni-Prep Homogenizer (Omni International) and 

centrifuged for 15 minutes at 10,000 rpm at approximately 4°C. The supernatant was 

desalted using PD-10 columns (GE Healthcare Life Sciences) and eluted in extraction 

buffer. The resulting supernatant was then concentrated using the Millipore Amicon Ultra 

centrifugal filter devices (Millipore) and Tween 20 was added to achieve a final 

concentration of 0.1%. The samples derived from the 5307 and control corn tissues were 

designated LP5307 and LP-NEG, respectively. They were stored at 2-8°C overnight prior to 

ELISA and enzymatic activity assays.

Extract of Control Leaf Tissue Fortified with Test Substance PMI-0105

PMI from test substance PMI-0105 was added to the extraction buffer with an aliquot of 

control leaf tissue to determine if the plant matrix or extraction procedure has an effect on 

PMI. For this sample preparation, 600 ng PMI from test substance PMI-0105 was added to 

3 ml of extraction buffer containing 100 mg of control leaf tissue prior to homogenization. 

The sample was then homogenized, centrifuged, desalted and concentrated as described 

above (see Extracts of 5307 and Control Corn Leaf Tissue). This sample was designated 

LP-NEG + PMI-0105.

PMI Protein Quantification

The concentration of PMI in the plant extract samples (LP5307), negative control samples 

(LP-NEG), and the negative control sample fortified with test substance PMI-0105 (LPNEG + PMI-0105) was determined by ELISA (Tijssen 1985). Polyclonal rabbit antibody 

generated against PMI protein was diluted to 2 μg/ml in a buffer containing 35 mM sodium 

bicarbonate and 15 mM sodium carbonate (pH 9.5) and used to coat a Nunc MaxiSorp 96-
Appendix C

5307-USDA-1 Page 191 of 211

well plate (ThermoFisher Scientific) at a volume of 100 μl/well. The plates were incubated 

overnight at 5°C ± 3°C. The plate contents were then emptied and tapped on paper towels to 

remove residual solution. The plates were blocked with phosphate buffered saline (PBS) pH 

7.4 containing 1% nonfat milk for at least 30 minutes at room temperature. The plates were 

washed five times with PBS containing 0.05% Tween 20 and incubated for 2 hours at 20°C 

± 2°C with diluted plant extract samples and PMI-0105 standards at a volume of 100

μl/well. Dilutions were made in ELISA dilution buffer (PBS plus 1% nonfat milk and

0.05% Tween 20). The plant extract samples and standards were assayed in triplicate. After 

washing, the plates were incubated with 100 μl/well monoclonal mouse antibody (1 μg/ml) 

generated against PMI protein diluted in ELISA dilution buffer for 1 hour at 20°C ± 2°C. 

The plates were washed and subsequently incubated with 100 μl/well rabbit anti-mouse IgG 

conjugated with horseradish peroxidase (Sigma-Aldrich) diluted 1:20,000 in ELISA dilution 

buffer for 1 hour at 20°C ±2°C. The plates were washed again and incubated in 0.1 mg/ml 

TMB substrate solution (Sigma-Aldrich) in citrate buffer (24 mM citric acid monohydrate, 

60 mM dibasic sodium phosphate, pH 5.0 containing 0.006% hydrogen peroxide) at a 

volume of 100 μl/well. Color was allowed to develop for 30 minutes in the dark at room 

temperature. The reaction was stopped by the addition of 50 μl 3 M sulfuric acid per well, 

and absorbance at 450 nm was measured with a Tecan Sunrise microplate reader (Tecan 

US). The results were analyzed with BioMetallics DeltaSoft PC Microplate Analysis 

Software, v. 1.71.2 using a four-parameter algorithm.

Total Protein Determination

Total protein of the plant extract samples (LP5307, LP-NEG + PMI-0105 and LP-NEG)

were quantified via the bicinchoninic acid (BCA) method (Hill and Straka, 1988), using

bovine serum albumin as the reference protein standard. The results were analyzed with 

BioMetallics DeltaSoft PC Microplate Analysis Software, v. 1.71.2 using a 4-parameter fit 

of the standard curve.

Immunoreactivity and Molecular Weight Determination

Western blot analysis was used to investigate the integrity of PMI in the plant extract sample 

LP5307, the control leaf extract fortified with the microbially produced test substance (LPNEG + PMI-0105) and the microbially produced test substance PMI-0105. Aliquots 

equivalent to 5 ng PMI from sample LP5307, LPNEG + PMI-0105 and test substance PMI0105 diluted in 10X Sample Buffer (as described by Laemmli (1970) containing 8% 

glycerol, 1% BME, 2% SDS, 65 mM Tris, and 0.01% bromophenol blue) were subjected to 

SDS polyacrylamide gel electrophoresis (SDS-PAGE) with a NuPAGE 4-12% Bis-Tris gel 

(Invitrogen) and NuPAGE MES SDS running buffer (Invitrogen). An aliquot of the

negative control sample (LP-NEG); equivalent to 92.8 μg total protein (the total amount of 

protein loaded on the gel for LP5307), was included in the analysis as a negative control. 

Additionally, based on total protein, LP-NEG + PMI-0105 was supplemented with 

additional LP-NEG extract to equal 86.8 μg total protein. The molecular-weight standard 

was SeeBlue Plus2 pre-stained standard (Invitrogen). After electroblotting, the 

polyvinylidene difluoride (PVDF) membrane was probed with immunoaffinity-purified 

polyclonal goat antibody generated against PMI diluted to 1 μg/ml in Tris-buffered saline, 

pH 8.0 with 3% nonfat milk. Alkalinephosphatase-conjugated donkey anti-goat IgG 

(Jackson ImmunoResearch) diluted 1:3000 in Tris-buffered Saline with Tween 20, pH 8.0) 
Appendix C

5307-USDA-1 Page 192 of 211

was used to bind to the primary antibody and was visualized by development with 

BCIP/NBT alkaline phosphatase substrate solution (Sigma-Aldrich). The Western blot was 

examined for the presence of intact immunoreactive PMI or immunoreactive PMI 

fragments.

Enzymatic Activity

The enzymatic activity of PMI was measured in triplicate using a continuous coupled

spectrophotometric assay based on the method described by Gracy and Noltmann (1968)

and Gill et al. (1986). PMI activity was measured by linking the formation of fructose 6-

phosphate (resulting from the isomerization of mannose 6-phosphate) to the reduction of

NADP via phosphoglucose isomerase and glucose 6-phosphate dehydrogenase (as shown in 

the diagram below). The molar reduction of NADP in this system can be directly converted 

into the molar isomerization of mannose 6-phosphate via PMI. The enzymatic reactions 

were conducted in 96-well plates. Microbially-produced and plant produced PMI were 

diluted in 50 mM Tris buffer, pH 7.0 containing 0.1% Tween 20. The reaction was initiated 

by adding 5 ng PMI from triplicate plant extract samples LP5307, LP-NEG + PMI-0105, or 

PMI from test substance PMI-0105 to an assay mixture containing 10 mM mannose 6-

phosphate (Sigma-Aldrich), 1 mM β-nicotinamide adenine dinucleotide phosphate (NADP) 

sodium salt hydrate (Sigma-Aldrich), 2 U/ml phosphoglucose isomerase (Sigma-Aldrich) 

and 2 U/ml glucose 6-phosphate dehydrogenase (G6PDH)(Sigma-Aldrich) in 50 mM Tris 

buffer, pH 7.0. The total volume of the reaction mixture was 200 μl.

The assay mixture was preincubated at 25°C ± 2°C for 10 minutes prior to the addition of 

PMI. Following the 10 minute preincubation, PMI was added to the assay mixture and the 

plate was read by a SpectraMax Plus384 spectrophotometer (Molecular Devices) to 

determine the pathlength of the sample in each well. The reduction of NADP was 

monitored spectrophotometrically at 340 nm at 25oC ± 2oC over 10 minutes with readings 

taken every 15 seconds. The change in absorbance over time was monitored using SoftMax 

Pro version 5.2. The extinction coefficient of NADPH, 6.22 cm-1 mM-1, was used for 

calculating the amount of NADPH formed. One unit (U) of PMI activity is defined as the 

amount of enzyme required to catalyze the conversion of 1 μmol of mannose 6-phosphate to 

fructose 6-phosphate per min (equivalent to 1 μmol NADP reduced per min) under the 

described reaction conditions. Results are reported as the mean and standard deviation of 

triplicate enzymatic assays.
Appendix C

5307-USDA-1 Page 193 of 211

C.4. Results of Comparison of PMI Produced in 5307 Corn and Recombinant E. coli

Immunoreactivity and Molecular Weight Determination

Western blot analysis of PMI in the plant extract sample LP5307, the control leaf extract

fortified with PMI test substance PMI-0105 (LP-NEG + PMI-0105), and test substance PMI0105 reveals a dominant immunoreactive band consistent with the predicted molecular 

weight of PMI (Figure C-5, Lanes 2, 3, and 4). The intensity of the PMI bands in the 

presence of the plant matrix (Lanes 2 and 3) is diminished compared to the intensity of the 

PMI band in the absence of the matrix (Lane 4). However, there is similar intensity between 

the PMI bands from test substance PMI-0105 in the presence of plant matrix (Figure C-5, 

Lane 3) and PMI from 5307 corn extract (Lane 2). Thus, the relative diminished intensity of 

the PMI bands in the presence of the plant matrix is most likely due to matrix effects. The 

matrix effect can be attributed to the nature of the sample. Crude plant extract preparations 

contain all soluble cell proteins of varying molecular weights that may interfere with the 

mobility of the analyzed protein and with antibody binding. The co-migration of the matrix 

with PMI or PMI fragments may limit access of the antibody to epitopes of the target protein 

and therefore diminish the signal. 

The Western blot analysis also revealed some faint bands combined with a diffuse 

background signal in molecular weight range above 62 kDa in both LP5307 and LP-NEG + 

PMI-0105 (Figure C-5, Lanes 2 and 3). As this effect (with exactly the same band pattern) 

was also detected in the negative plant extract sample LP-NEG (Lane 5) it is not related to 

PMI protein and most likely represents an unspecific response on the Western blot. As 

expected, no immunoreactive band corresponding to the molecular weight of PMI was 

observed in the negative plant extract sample LP-NEG (Lane 5). The Western blot analysis 

also revealed a very faint protein band with a molecular weight of approximately 30 kDa in 

the microbially-produced test substance PMI-0105. Because this protein cross-reacted with 

the anti-PMI antibody it is most likely a PMI degradation product. The degradation product 

is not visible in the sample with the control leaf extract fortified with the microbiallyproduced test substance (LP-NEG + PMI-0105) due to the matrix effect described above.
Appendix C

5307-USDA-1 Page 194 of 211

Figure C-5. Western blot analysis for PMI in LP5307, LP-NEG + PMI-0105, test 

substance PMI-0105, and LP-NEG.

Lane 1: Molecular weight standard SeeBlue Plus2

Lane 2: Plant extract sample LP5307

(Invitrogen)

Lane 3: Plant extract sample LP-NEG + PMI-0105

Lane 4: Microbially-produced test substance PMI-0105

Lane 5: Plant extract sample LP-NEG

Lane 6: Molecular weight standard SeeBlue Plus2
Appendix C

5307-USDA-1 Page 195 of 211

The average PMI enzymatic activity was 455.67 U/mg PMI in the triplicate plant extract 

samples LP5307 and 526.26 U/mg PMI in the microbially-produced test substance PMI0105 (Table C-1). The control leaf extract fortified with the microbially-produced test 

substance (LP-NEG + PMI-0105) had a specific activity of 518.81 U/mg PMI (Table C-1),

demonstrating that the plant matrix had little effect on the enzymatic activity of PMI. As 

expected, no PMI activity was detected in the negative control plant extract sample, LPNEG (Table C-1). 

Table C-1. Enzymatic activity of PMI in 5307 corn leaf extract, control corn leaf extract 

fortified with test substance PMI-0105, test substance PMI-0105, and control corn leaf 

extract.

LP5307 is leaf extract of 5307 corn plants. LP-NEG + PMI-0105 is control corn leaf extract fortified with 

microbially produced PMI test substance PMI-0105. LP-NEG is control corn leaf extract.

1 One unit of PMI activity is defined as the amount of enzyme required to catalyze the conversion of 1 μmol of mannose 6-

phosphate to fructose 6-phosphate per min (equivalent to 1 μmol NADP reduced per min) under the described reaction 

conditions.

2

Assay 

LP5307-1, -2, and -3 represent three independent extractions.

Replicate PMI Activity1(U/mg PMI)

Average PMI 

Activity of 

Assay 

Replicates 

(U/mg PMI)

SD of 

Assay 

Replicate s

(U/mg PMI)

CV of 

Assay 

Replicates 

(%)

Overall 

Average PMI 

Activity

(U/mg PMI)

Overall SD 

(U/mg PMI)

Overall 

CV (%)

1 469.58

2 490.03

3 479.21

1 478.77

2 474.93

3 439.47

1 418.44

2 448.30

3 402.34

1 514.24

2 534.33

3 507.86

1 519.00

2 531.87

3 527.90

1 below LOD

2 below LOD

3 below LOD

LP5307-1

2

LP5307-2

LP5307-3

LPNEG + PMI-0105

423.03

518.81

PMI-0105

LPNEG

526.26

below LOD

10.23

21.67

23.32

13.82

6.59

not 

applicable

479.60

464.39 6.7%

1.3%

not 

applicable

455.67 30.37

2.1%

4.7%

5.5%

2.7%
5307-USDA-1 Page 196 of 211

Appendix D. Quantification of eCry3.1Ab and PMI in 5307 Corn

This appendix provides details of the materials and methods used to determine the 

concentrations of eCry3.1Ab and PMI in the tissues of 5307 plants at various growth stages. 

Refer to Part VI.C. of this Petition, eCry3.1Ab and PMI Concentrations in 5307 Corn, for a 

description of the study and results. All literature references cited in this appendix are listed 

in Part IX of this Petition, titled References.

D.1. Plant Tissue Production

Plants were grown for the collection of tissues in Bloomington, IL; Sadorus, IL; Shirley, IL; 

and Stanton, MN in two plots per location; one for the 5307 hybrid and one for the control 

hybrid. 

D.2. Plant Tissue Processing

In the presence of dry ice, the leaf, root, kernel and whole-plant samples were individually 

processed to a fine powder. A subsample from each homogeneous, powdered sample was 

lyophilized and stored at –80 oC ± 10oC. The percent dry weight of each sample was 

determined from the sample weight before and after lyophilization. Frozen pollen samples 

were analyzed without further processing.

D.3. Tissue Extraction and Analysis

Protein extractions were performed on representative aliquots of the lyophilized leaf, root, 

kernel, and whole-plant samples, and fresh frozen pollen samples. The extracts were 

analyzed by ELISA (Tijssen, 1985) to quantify the amount of eCry3.1Ab and PMI in each 

sample. Sample extracts were analyzed in triplicate, and standard curves were generated 

with known amounts of the corresponding reference protein. Standard curves were 

generated for each ELISA plate. Nontransgenic plant tissue extracts were analyzed in 

parallel to evaluate any impact of the plant matrix on the ELISA. 

D.4. eCry3.1Ab Quantification – Extraction and ELISA Procedures

Buffers

The buffers used for extraction and ELISA analysis of eCry3.1Ab are listed in the following 

table:
Appendix D

5307-USDA-1 Page 197 of 211

Name of buffer Constituents

Phosphate-buffered saline 

(PBS)

140 mM sodium chloride, 8.24 mM sodium phosphate dibasic, 1.81mM 

sodium phosphate monobasic, pH 6.75

Borate buffer (pollen) 0.1 M Sodium tetraborate decahydrate, 0.2% PVP-360, 7.69 mM sodium 

azide, 1.2% Concentrated hydrochloric acid, 0.5% Tween 20; pH 

approximately 7.5. Complete Protease Inhibitor Cocktail (Roche Applied 

Science) added on day of extraction 

Borate buffer (leaves, roots, 

whole plants, kernels)

0.1 M Sodium tetraborate decahydrate, 0.2% PVP-360, 7.69 mM sodium 

azide, 0.5% Tween 20; titrated to pH 10.0. Complete Protease Inhibitor 

Cocktail (Roche Applied Science) added on day of extraction

Dilution buffer PBS, 0.05% Tween 20, 1% BSA, 0.02% sodium azide

Wash buffer 10 mM Tris, 0.05% Tween 20, 0.02% sodium azide

eCry3.1Ab Extraction

Leaves, Roots, Whole Plants, and Kernels. A ratio of 3 ml of borate buffer pH 10.0 was 

added to 100 mg of lyophilized tissue. The samples were vortexed, placed on wet ice for at 

least 30 minutes, homogenized using an Omni-Prep Homogenizer, and centrifuged at 2°C to 

8°C to form a pellet. The supernatants were removed and stored at 2°C to 8°C until 

analysis.

Pollen. For each sample, 25 mg of fresh frozen pollen was weighed into a 2-ml Eppendorf 

tube containing three 4-mm glass beads and stored at -80°C ± 10°C for at least two hours. 

Each tube was then placed into a Four Station Titer Plate/Micro Tube Grinding Mill and set 

at ~3000 strokes per minute for approximately 45 seconds. The tubes were then placed on 

wet ice and 1.5 ml of borate buffer, pH 7.5 was added to each sample. The samples were 

mixed and set on wet ice for at least 30 minutes then centrifuged at 2°C to 8°C to form a 

pellet. The supernatants were removed and stored at 2°C to 8°C until analysis.

eCry3.1Ab Quantitation

The eCry3.1Ab ELISA kit was manufactured at Beacon Analytical Systems (BAS), 

Portland, ME. The assay is a double-antibody sandwich assay in which the eCry3.1Ab 

protein is affixed to the wells of a microtiter plate using a monoclonal, anti-mCry3A 

antibody that binds to the mCry3A domains of the eCry3.1Ab protein. The primary 

antibody was diluted and added to each well of a 96-well microtiter plate. The plate was 

then blocked using a proprietary method. Dilutions of each tissue extract and appropriate 

serial dilutions of eCry3.1Ab reference protein (ECRY3.1AB-0208), prepared in dilution 

buffer, were applied to the pre-coated plates at a total volume of 100 μl/well. The plates 

were incubated at room temperature on a titre plate shaker at 400 rpm for 1 hour. The plates 

were washed five times with wash buffer in a BioTek ELx405 Microplate Washer. After 

washing the plates, a secondary, rabbit polyclonal anti-Cry1Ab antibody (provided in the 

kit) was then used to bind the Cry1Ab domain of the eCry3.1Ab protein at 100 μl/well. The 

plates were incubated at room temperature on a titre plate shaker at 400 rpm for one hour 

and washed five times as described above.
Appendix D

5307-USDA-1 Page 198 of 211

After the plates were washed, a tertiary donkey anti-rabbit conjugated with alkaline 

phosphatase diluted in dilution buffer was added to each of the wells (100 μl/well) and 

incubated at room temperature on a titre plate shaker at 400 rpm for one hour. The plates 

were then washed five times as described above, and alkaline phosphatase substrate solution 

provided in the kit was added at a volume of 100 μl/well. The plates were incubated for 30 

minutes at room temperature on a titre plate shaker at 400 rpm. The reaction was stopped by 

the addition of 3N sodium hydroxide (100 μl/well), and absorbance of the reaction was 

measured at a dual wavelengths (405 and 492 nm) with a Tecan Sunrise Microplate Reader. 

The results were analyzed with BioMetallics DeltaSoft PC Microplate Analysis Software, v. 

1.71.2, using a four-parameter algorithm. The results for kernel samples were analyzed with 

SoftMax Pro, v. 5.2, using a four-parameter algorithm.

The lower limit of quantification (LOQ) or limit of detection (LOD) of eCry3.1Ab is shown 

on Table VI-2 (Part VI.C.) for any tissue type in which eCry3.1Ab could not be quantified 

or detected, respectively. The concentrations of eCry3.1Ab in pollen were too low to 

determine the efficiency of extraction from this tissue. For all other tissues, extraction 

efficiencies ranged from 75% to 88%; the reported tissue concentrations have been adjusted 

for extraction efficiency. 

D.5. PMI Quantification –Extraction and ELISA Procedures

Buffers

The buffers used for extraction and ELISA analysis of PMI are listed in the following table:

Name of buffer Constituents

PBS 138 mM sodium chloride, 2.7 mM potassium chloride, 10.1 mM disodium 

phosphate, 1.8 mM potassium dihydrogen phosphate, pH 7.4

Blocking buffer PBS, 1% powdered milk

Borate buffer 0.1 M sodium tetraborate decahydrate, 0.2% PVP-360, 7.69 mM sodium 

azide, 1.2% concentrated hydrochloric acid, 0.5% Tween 20; pH will be 

approximately 7.5. Complete Protease Inhibitor Cocktail (Roche Applied 

Science) added on day of extraction 

Carbonate-bicarbonate buffer 34.9 mM sodium bicarbonate, 15.0 mM sodium carbonate, pH 9.5

Citrate-phosphate buffer 23.8 mM citric acid, 59.9 mM disodium phosphate, pH 5.0

Dilution buffer PBS, 0.05% Tween 20, 1% powdered milk

Wash buffer PBS, 0.05% Tween 20

PMI Extraction

Leaves, Roots, Whole Plants, and Kernels. A ratio of 3 ml of borate buffer, pH 7.5 was 

added to 100 mg of lyophilized tissue. The samples were mixed, placed on wet ice for at 

least 30 minutes, homogenized using an Omni-Prep Homogenizer, and centrifuged at 2°C to 

8°C to form a pellet. The supernatants were removed and stored at 2°C to 8°C until 

analysis. For root tissue, the pellet was retained and then processed through the 

aforementioned extraction procedure again. The supernatant removed from the second 

extraction was combined with that of the first extraction, mixed well and stored at 2°C to 

8°C until analysis.
Appendix D

5307-USDA-1 Page 199 of 211

Pollen. For each sample, 25 mg of fresh, frozen pollen was weighed into a 2-ml Eppendorf 

tube containing three 4-mm glass beads and stored at -80°C ± 10°C for at least two hours. 

Each tube was then placed into a Four Station Titer Plate/Micro Tube Grinding Mill and set 

at ~3000 strokes per minute for approximately 45 seconds. The tubes were then placed on 

wet ice and 1.5 ml of borate buffer, pH 7.5 was added to each sample. The samples were 

mixed and set on wet ice for at least 20 minutes then centrifuged at 2°C to 8°C to form a 

pellet. The supernatants were removed and stored at 2°C to 8°C until analysis.

PMI Quantification

Rabbit polyclonal anti-PMI antibody was diluted in carbonate-bicarbonate buffer and added 

to each well of a 96-well microtiter plate at a volume of 100 μl/well. The plates were stored 

overnight in a refrigerator set at 2°C to 8°C. The antibody solution was removed and 

blocking buffer was added to the plate at a volume of 250 μl/well and then incubated at 

room temperature for at least 30 minutes. After blocking incubation, the plates were washed 

five times with wash buffer in a BioTek ELx405 microplate washer and dilutions of each 

tissue extract and appropriate serial dilutions of PMI reference protein (PMI-0105) prepared 

in dilution buffer were applied to the plates at a total volume of 100 μl/well. The plates 

were incubated at 18°C to 22°C for 2 hours. After incubation, plates were washed five times 

as described above and a monoclonal anti-PMI antibody diluted in dilution buffer was added 

to the plate at a volume of 100 μl/well and incubated at 18°C to 22°C for one hour.

The plates were washed five times after incubation and a horseradish-peroxidase-conjugated 

rabbit anti-mouse immunoglobin diluted in dilution buffer was added at a volume of 100 

μl/well and incubated at 18°C to 22°C for one hour. After incubation, the plates were 

washed five times, and TMB substrate solution was added at a volume of 100 μl/well (one

tablet per 10 ml of citrate-phosphate buffer) and incubated at room temperature in the dark 

for 30 minutes. The reaction was stopped by addition of 3 M sulfuric acid at a volume of 

50 μl/well, and the absorbance of the reaction was measured at 450 nm with a Tecan Sunrise 

microplate reader. The results were analyzed with BioMetallics DeltaSoft PC Microplate 

Analysis Software, v. 1.71.2, using a four-parameter algorithm. 

The lower limit of quantification (LOQ) or limit of detection (LOD) of PMI is shown on 

Table VI-3 (Part VI.C.) for any tissue type in which PMI could not be quantified or detected, 

respectively. PMI extraction efficiencies ranged from 72% to 95% across all tissue types 

analyzed; the reported tissue concentrations have been adjusted for extraction efficiency. 
5307-USDA-1 Page 200 of 211

Appendix E. Compositional Analysis of 5307 Forage and Grain

This appendix describes the methods used to conduct the compositional analysis study 

described in Part VII of this Petition, wherein the results are also provided. References for 

individual methods cited in this appendix are listed at the end of the appendix.

Study Design

Forage and grain for compositional analyses were harvested from multiple locations planted 

in the U.S. in 2008. The locations chosen were representative of major corn producing 

regions in the country. For all locations, trials were planted with a 5307 hybrid and nearisogenic, nontransgenic hybrid in a randomized complete block design with three replicated 

plots, and were managed following local agronomic practices. The plants were selfpollinated by hand and the developing ears were bagged to avoid cross-pollination. Trials 

were planted in eight locations in an effort to ensure that grain and forage from at least six 

locations could be harvested in the event of loss due to adverse environmental conditions 

(early freeze, drought, etc.). Six locations that produced sufficient grain and forage were 

selected for this study (see Part VII.B.1).

Forage Sampling and Processing

For each genotype, the entire above-ground portion of five plants from each of the three 

replicate plots at each location was harvested at dough stage (R4), the stage at which silage 

typically is prepared. Plants were pooled to create a composite sample for each replicate 

plot, then ground using a chipper-shredder. A subsample from each well-mixed composite 

sample was shipped overnight on ice packs to Syngenta Crop Protection, Inc. (Greensboro, 

NC). The samples were stored at –20°C ± 10°C, then finely ground and shipped on dry ice 

to a contract research laboratory, where they were stored at –20°C ± 10°C until they were 

analyzed.

Grain Sampling and Processing

For each genotype, ears were collected from 15 plants from each replicate plot at each 

location. Ears were harvested after reaching physiological maturity (R6) and then 

mechanically dried to approximately 9% to 12% moisture content. (Mechanical drying after 

harvest is standard practice for improving storage characteristics of corn grain.) Each sample 

consisted of grain shelled from ears collected from 15 plants from one replicate plot. A 

well-mixed subsample of approximately 500 g of grain from each plot was shipped at 

ambient temperature to Syngenta Crop Protection, Inc., where it was stored at –20°C ± 

10°C, then finely ground and shipped on dry ice to the contract testing facililty. The 

samples were stored at –20°C ± 10°C until they were analyzed. 
Appendix E

Compositional Analyses

As detailed in Table VII-13 (Part VII of this Petition), forage was analyzed for proximates 

and the minerals calcium and phosphorus. Grain was analyzed for major constituents 

(proximates, including starch), minerals, amino acids, fatty acids, vitamins, and selected 

anti-nutrients and secondary metabolites.

All compositional analyses were conducted using methods published and approved by 

AOAC International, or other industry-standard analytical methods (described below). 

Based on the moisture content of each sample, analyte levels were converted to equivalent 

units of dry weight.

Statistical Analyses

Across-location comparisons

The data for each variate (component) were subjected to analysis of variance using the 

following mixed model (Obert et al., 2004):

Yijk = U + Ti + Lj + B(L)jk + LTij + eijk

In this model, Yijk is the observed response for genotype i at location j block k, U is the 

overall mean, Ti is the genotype effect, Lj is the location effect, B(L)jk is the effect of block 

within a location, LTij is the location-by-genotype interaction effect, and eijk is the residual 

error. Genotype was regarded as a fixed effect, while the effects of location, block within 

location, and location-by-genotype were regarded as random. For each quantifiable 

component, an F test was used to assess the statistical significance of the genotype effect 

with an alpha level of 0.05 and with the denominator degrees of freedom determined using 

the Kenward-Roger method (Kenward and Roger, 1997). Moisture content of grain was not 

statistically analyzed because the samples had been mechanically dried. 

Individual-location comparisons

The data for each variate at each location were subjected to an analysis of variance with 

genotype and block included in the statistical model. Significance was based on an alpha 

level of 0.05. Statistical analysis was performed using SAS v. 9.2 (SAS Institute, Inc., Cary 

NC). 

Comparison with ILSI Crop Composition Database 

The mean levels of each component for each location and across locations were calculated 

and compared nonstatistically with means and ranges for forage and grain composition 

published in the ILSI Crop Composition Database (2008). The ILSI database is the most 

comprehensive and current source of crop composition data for most nutritional 

components. 
Appendix E

5307-USDA-1 Page 202 of 211

Analytical Methods and Reference Standards for Compositional Analysis

2-Furaldehyde (Albala-Hurtado et al., 1997)

The ground sample was extracted with 4% trichloroacetic acid and injected directly on a 

high-performance liquid chromatography system for quantitation of free furfurals by 

ultraviolet detection. The limit of quantitation (LOQ) for this study was 0.500 ppm, 

calculated on a fresh-weight basis. 

Reference Standard

Acid Detergent Fiber (USDA, 1970)

: Acros 2-Furaldehyde, 99.7%, Lot Number A0219180

The sample was washed with acetone to remove fats and pigments. It was then placed in a 

filter bag and positioned in an Ankom analyzer where it was washed with an acidic boiling 

detergent solution that dissolved the protein, carbohydrate, and ash. The lignocellulose 

fraction remaining was determined gravimetrically. The LOQ for this study was 0.100%, 

calculated on a fresh-weight basis.

Amino Acid Composition (AOAC, 2005k)

Total aspartic acid (including asparagine)

Total threonine

Total serine

Total glutamic acid (including glutamine)

Total proline

Total glycine

Total alanine

Total valine

Total isoleucine

Total leucine

Total tyrosine

Total phenylalanine

Total histidine

Total lysine

Total arginine

Total tryptophan

Sulfur-containing amino acids: Total methionine

Total cystine (including cysteine)

The sample was assayed by three methods to obtain the full profile. Tryptophan required a 

base hydrolysis with sodium hydroxide. The sulfur-containing amino acids required an 

oxidation with performic acid prior to hydrolysis with hydrochloric acid. Analysis of the 

samples for the remaining amino acids was accomplished through direct acid hydrolysis 

with hydrochloric acid. Once hydrolyzed, the individual amino acids were then quantitated 

using an automated amino acid analyzer. The LOQ for each amino acid assay was 0.100 

mg/g, calculated on a fresh-weight basis.
Appendix E

5307-USDA-1 Page 203 of 211

Reference Standards

Sigma, L-Tryptophan, 100%, Lot Number 076K0075

: ThermoScientific K18, 2.5 μmol/mL per constituent except cystine 

(1.25 μmol/mL), Lot Number JK126327 

Sigma/BioChemika, L-Cysteic Acid Monohydrate, >99% (used as 

100%), Lot Number 1305674

Sigma, L-Methionine Sulfone, 100%, Lot Number 047K1321

Ash (AOAC, 2005b)

The sample was placed in an electric furnace at 550°C and ignited to drive off all volatile 

organic matter. The nonvolatile matter remaining was quantitated gravimetrically and 

calculated to determine percent ash. The LOQ for this study was 0.100%, calculated on a 

fresh-weight basis. 

Beta-Carotene (AOAC, 2005e; Quackenbush, 1987)

The sample was saponified and extracted with hexane. The sample was then injected on a 

reverse phase high-performance liquid chromatography system with ultraviolet light 

detection. Quantitation was achieved with a linear regression analysis. The LOQ for betacarotene was 0.0200 mg/100 g, calculated on a fresh-weight basis. 

Reference Standard

Carbohydrates (USDA, 1973)

: Sigma-Aldrich, Beta-carotene, Type I, 100% (stock standard 

concentration determined spectrophotometrically), Lot Number 

068K2561

The total carbohydrate level was calculated by difference using the fresh weight-derived 

data and the following equation: 

% carbohydrates = 100 % - (% protein + % fat + % moisture + % ash)

The LOQ for this study was 0.100%, calculated on a fresh-weight basis.

Fat by Acid Hydrolysis (AOAC, 2005a)

The sample was hydrolyzed with hydrochloric acid at an elevated temperature. The fat was 

extracted with ether and hexane. The extract was evaporated on a steambath, redissolved in 

hexane and filtered through a sodium sulfate column. The hexane extract was then 

vaporated again on a steambath under nitrogen, dried, and weighed. The LOQfor this study 

was 0.1%, calculated on a fresh weight basis. 

Fatty Acids (AOAC, 2005l; AOCS, 1997b and 2001)

The lipid was extracted and saponified with 0.5N sodium hydroxide in methanol. The 

saponification mixture was methylated with 14% boron trifluoride in methanol. The 

resulting methyl esters were extracted with heptane containing an internal standard. The 

methyl esters of the fatty acids were analyzed by gas chromatography using external 

standards for quantitation. The LOQ was 0.00500%, calculated on a fresh-weight basis. 
Appendix E

5307-USDA-1 Page 204 of 211

Reference Standards

Nu Chek Prep GLC Reference Standard Hazelton No. 1, Lot Number AU18-S

:

Nu Chek Prep GLC Reference Standard Hazelton No. 2, Lot Number M13-O

Nu Chek Prep GLC Reference Standard Hazelton No. 3, Lot Number MA18-S

Nu Chek Prep GLC Reference Standard Hazelton No. 4, Lot Number JA16-T

Nu Chek Prep Methyl Gamma Linolenate, used as 100%, Lot Number U-63M-JY12-R

Nu Chek Prep Methyl Tridecanoate, used as 100%, Lot Number N-13M-JA16-T

Folic acid (AOAC, 2005i; Infant Formula Council, 1985)

The sample was hydrolyzed in a potassium phosphate buffer with the addition of ascorbic 

acid to protect the folic acid during autoclaving. Following hydrolysis by autoclaving, the 

sample was treated with a chicken-pancreas enzyme and incubated approximately 18 hours 

to liberate the bound folic acid. The amount of folic acid was determined by comparing the 

growth response of the sample, using the bacteria Lactobacillus casei, with the growth 

response of a folic acid standard. This response was measured turbidimetrically. The LOQ 

was 0.00600 mg/100 g, calculated on a fresh-weight basis.

Reference Standard

ICP Emission Spectrometry (AOAC, 2005m)

: USP, Folic acid, 98.9%, Lot Number Q0G151

The sample was dried, precharred, and ashed overnight in a muffle set to maintain 500°C. 

The ashed sample was re-ashed with nitric acid, treated with hydrochloric acid, taken to 

dryness, and put into a solution of 5% hydrochloric acid. The amount of each element was 

determined at appropriate wavelengths by comparing the emission of the unknown sample, 

measured on the inductively coupled plasma spectrometer, with the emission of the standard 

solutions. The LOQs (Table E-1) were calculated on a fresh-weight basis.
Appendix E

5307-USDA-1 Page 205 of 211

Table E-1. Inorganic Ventures Reference Standards and Limits of Quantitation

Mineral Lot Numbers Calibration Standard 

Concentration (μg/ml) LOQ (ppm)

Calcium B2-MEB280039

B2-MEB266040

200

1000

20.0

Copper B2-MEB280039

B2-MEB280036

2

10

0.50

Iron B2-MEB280039

B2-MEB280035

10

50

2.00

Magnesium B2-MEB280039

B2-MEB280036

50

250

20.0

Manganese B2-MEB280039

B2-MEB280036

2

10

0.30

Phosphorus B2-MEB280039

B2-MEB266040

200

1000

20.0

Potassium B2-MEB280039

B2-MEB266040

200

1000

100

Sodium B2-MEB280039

B2-MEB266040

200

1000

100

Zinc B2-MEB280039

B2-MEB280036

10

50

0.40

ICP-Mass Spectrometry (AOAC, 2005o)

The sample was wet-ashed with nitric acid using microwave digestion. Using inductively 

coupled plasma mass spectrometry, the amount of each element was determined by 

comparing the counts generated by the unknowns to those generated by standard solutions of 

known concentrations. The LOQ for this study was 50.0 ppb, calculated on a fresh-weight 

basis.

Reference Standard

Inositol (Infant Formula Council, 1985b; Atkins et al., 1943)

: SPEX, Selenium, 100 mg/L, Lot Number 6-74GS

The inositol sample was extracted with dilute hydrochloric acid at a high temperature. The 

amount of inositol was determined by comparing the growth response of the sample, using 

the yeast Saccharomyces carlsbergenesis, with the growth response of an inositol standard. 

The response was measured turbidimetrically. The LOQ for this study was 40.0 μg/g, 

calculated on a fresh-weight basis.

Reference Standard

Moisture (AOAC, 2005c)

: Sigma-Aldrich, Myo-Inositol, 100%, Lot Number 065K0018

The sample was dried in a vacuum oven at approximately 100°C to a constant weight. The 

moisture weight loss was determined and converted to percent moisture. The LOQ for this 

study was 0.100%, calculated on a fresh-weight basis.
Appendix E

5307-USDA-1 Page 206 of 211

Neutral Detergent Fiber (NDF), Enzyme Method (AACC, 1998; USDA, 1970)

The sample was washed with acetone to remove fats and pigments. It was then placed in a 

filter bag and positioned in an Ankom analyzer where it was washed with a neutral boiling 

detergent solution that dissolved the protein, carbohydrate, enzyme, and ash. The remaining 

hemicellulose, cellulose, and lignin fractions were determined gravimetrically. The LOQ 

for this study was 0.100%.

Niacin (AOAC, 2005g)

The sample was hydrolyzed with sulfuric acid and the pH was adjusted to remove 

interferences. The amount of niacin was determined by comparing the growth response of 

the sample, using the bacteria Lactobacillus plantarum, with the growth response of a niacin 

standard. This response was measured turbidimetrically. The LOQ for this study was 

0.0300 mg/100 g.

Reference Standard: 

p-Coumaric Acid and Ferulic Acid (Hagerman and Nicholson, 1982)

USP, Niacin, 99.8%, Lot Number I0E295

The sample was extracted with methanol using ultrasonication, hydrolyzed using 4N sodium 

hydroxide, buffered using acetic acid/sodium hydroxide, acidified with 3N hydrochloric 

acid, and filtered. The levels of p-coumaric and ferulic acids in the extract were determined 

by reverse phase high-performance liquid chromatography with ultraviolet detection. The 

LOQ for p-coumaric acid and ferulic acid was 50.0 ppm, calculated on a fresh-weight basis.

Reference Standards

Acros Organics, p-Hydroxycinnamic acid (p-coumaric Acid), 

99.4%, Lot Number A0236839

: Acros Organics, 4-Hydroxy-3-methoxycinnamic acid (ferulic acid), 

99.4%, Lot Number A0248008

Phytic Acid (Lehrfeld, 1989 and 1994)

The sample was extracted using 0.5 M HCl with ultrasonication. Purification and 

concentration were accomplished on a silica-based anion-exchange column. The sample 

was analyzed on a polymer high-performance liquid chromatography column PRP-1, 5 μm 

(150 x 4.1 mm) with a refractive index detector. The LOQ for this study was approximately 

0.100%, calculated on a fresh-weight basis.

Reference Standard

Protein (AOAC, 2005h; Bradstreet, 1965; Kalthoff and Sandell, 1948)

: Aldrich, Phytic Acid, Dodecasodium Salt Hydrate, 95%, 

Lot Number 077K0693

Nitrogenous compounds in the sample were reduced in the presence of boiling sulfuric acid 

and a mercury catalyst mixture to form ammonia. The acid digest was made alkaline. The 

ammonia was distilled and then titrated with a previously standardized acid. The percent 

nitrogen was calculated and converted to protein using the factor 6.25. The LOQ for this 

study was 0.100%, calculated on a fresh-weight basis.
Appendix E

5307-USDA-1 Page 207 of 211

Pyridoxine Hydrochloride (AOAC, 2005j; Atkins et al., 1943)

The sample was hydrolyzed with dilute sulfuric acid in the autoclave and the pH was 

adjusted to remove interferences. The amount of pyridoxine was determined by comparing 

the growth response of the sample, using the yeast Saccharomyces carlsbergensis, with the 

growth response of a pyridoxine standard. The response was measured turbidimetrically. 

Results were reported as pyridoxine hydrochloride. The LOQ for this study was 0.00700 

mg/100 g, calculated on a fresh-weight basis.

Reference Standard

Raffinose (Brobst, 1972; Mason and Stover, 1971)

: USP, Pyridoxine hydrochloride, 99.8%, Lot Number Q0G409

The sample was extracted with deionized water and the extract treated with a hydroxylamine 

hydrochloride solution in pyridine, containing phenyl-β-D-glucoside as an internal standard. 

The resulting oximes were converted to silyl derivatives by treatment with 

hexamethyldisilazane and trifluoracetic acid and analyzed by gas chromatography using a 

flame ionization detector. The acceptable LOQ for this study was 0.100%, calculated on a 

fresh weight basis.

Reference Standards

Starch (AOAC, 2005p)

: Sigma, D(+)-Raffinose Pentahydrate, 99% (84.0% after correction for 

degree of hydration), Lot Number 037K1059

The sample was extracted with alcohol to remove carbohydrates other than starch, i.e. 

sugars. Then it was hydrolyzed into glucose with α -amylase and amyloglucosidase. 

Glucose was oxidized with glucose oxidase to form peroxide, which reacted with a dye in 

the presence of peroxidase to give a stable colored product proportional to glucose 

concentration. The glucose concentration was quantitated by measurement on a 

spectrophotometer at 540 nm. Percent starch was then calculated from the glucose 

concentration. The LOQ for this study was 0.05%, calculated on a fresh-weight basis.

Reference Standard: Sigma D(+)-Glucose, 99.9%, Lot Number 123K0095
Appendix E

5307-USDA-1 Page 208 of 211

Thiamine Hydrochloride (AOAC, 2005f)

The sample was autoclaved under weak acid conditions to extract the thiamine. The 

resulting solution was incubated with a buffered enzyme solution to release any bound 

thiamine. The solution was purified on a cation-exchange column. An aliquot was reacted 

with potassium ferricyanide to convert thiamine to thiochrome. The thiochrome was 

extracted into isobutyl alcohol, measured on a fluorometer, and quantitated by comparison 

to a known standard. The limit of quantitation was calculated and reported on a fresh weight 

basis. The LOQ for this study was 0.01 mg/100 g. Results were reported as thiamine 

hydrochloride.

Reference Standard

Total Dietary Fiber (TDF)(AOAC, 2005n)

: USP, Thiamine Hydrochloride, Purity 99.8% (used as 95.9% after 

correction for moisture content), Lot Number 01F236

Duplicate samples were gelatinized with α-amylase and digested with enzymes to break 

down starch and protein. Ethanol was added to each sample to precipitate the soluble fiber. 

The samples were filtered, and the residue was rinsed with ethanol and acetone to remove 

starch and protein degradation products and moisture. Protein content was determined for 

one of the duplicates; ash content was determined for the other. The total dietary fiber in the 

sample was calculated using the protein and ash values. The LOQ for this study was 1.00%, 

calculated on a fresh-weight basis.

Trypsin Inhibitor (AOCS, 1997a)

The sample was ground and defatted with petroleum ether. A sample of matrix was 

extracted with 0.01N sodium hydroxide. Varying aliquots of the sample suspension were 

exposed to a known amount of trypsin and benzoy1-DL-arginine~p~nitroanilide 

hydrochloride. The sample was allowed to react for 10 minutes at 37°C. After 10 minutes, 

the reaction was halted by the addition of acetic acid. The solution was centrifuged, then the 

absorbance was determined at 410 nm. Trypsin inhibitor activity was determined by 

photometrically measuring the inhibition of trypsin’s reaction with benzoyl-DLarginine~p~nitroanilide hydrochloride. The LOQ for this study was 1.00 Trypsin Inhibitor 

Units (TIU)/mg, calculated on a fresh-weight basis.

Vitamin B2 (Riboflavin) (AOAC, 2005d; US Pharmacopeia, 2005)

The sample was hydrolyzed with dilute hydrochloric acid and the pH was adjusted to 

remove interferences. The amount of riboflavin was determined by comparing the growth 

response of the sample, using the bacteria Lactobacillus casei, with the growth response of 

multipoint riboflavin standards. The growth response was measured turbidimetrically. The 

LOQ for this study was 0.0200 mg/100 g, calculated on a fresh-weight basis.

Reference Standard

Vitamin E (Cort et al., 1983; McMurray et al., 1980; Speek et al., 1983)

: USP, Riboflavin, 100%, Lot Number N0C021

The sample was saponified to break down any fat and release vitamin E. The saponified 

mixture was extracted with ethyl ether and then quantitated by high-performance liquid 

chromatography using a silica column. The LOQ for this study was 0.500 mg/100 g, 

calculated on a fresh weight basis.

Reference Standard: USP, Alpha-Tocopherol, 100%, Lot Number M
Appendix E

5307-USDA-1 Page 209 of 211

References Cited in Appendix E

AACC (1998). Approved Methods of the American Association of Cereal Chemists, 9th Ed., 

Method 32.20. AACC International: St. Paul, Minnesota. 

Albala-Hurtado, S., M. T. Veciana-Nogues, M. Izquierdo-Pulido, and M. C. Vidal-Carou 

(1997). Determination of free and total furfural compounds in infant milk formulas by 

high-performance liquid chromatography. Journal of Agricultural and Food Chemistry

45: 2128-2133.

AOAC (2005a Official Methods of Analysis of AOAC INTERNATIONAL, 18th Ed., Methods 

Methods 922.06 and 954.02, AOAC International: Gaithersburg, Maryland. 

AOAC (2005b). Official Methods of Analysis of AOAC INTERNATIONAL, 18th Ed., 

Method 923.03, AOAC International: Gaithersburg, Maryland.

AOAC (2005c). Official Methods of Analysis of AOAC INTERNATIONAL, 18th Ed., 

Methods 926.08 and 925.09, AOAC International: Gaithersburg, Maryland.

AOAC (2005d). Official Methods of Analysis of AOAC INTERNATIONAL, 18th Ed., 

Methods 940.33 and 960.46, AOAC International: Gaithersburg, Maryland.

AOAC (2005e) Official Methods of Analysis of AOAC INTERNATIONAL, 18th Ed., Method 

941.15, AOAC International: Gaithersburg, Maryland.

AOAC (2005f). Official Methods of Analysis of AOAC INTERNATIONAL, 18th Ed., 

Methods 942.23, 953.17, and 957.17, AOAC International: Gaithersburg, Maryland.

AOAC (2005g). Official Methods of Analysis of AOAC INTERNATIONAL, 18th Ed., 

Method 944.13, AOAC International: Gaithersburg, Maryland.

AOAC (2005h). Official Methods of Analysis of AOAC INTERNATIONAL, 18th Ed., 

Methods 955.04 and 979.09, AOAC International: Gaithersburg, Maryland.

AOAC (2005i). Official Methods of Analysis of AOAC INTERNATIONAL, 18th Ed., 

Methods 960.46 and 992.05, AOAC International: Gaithersburg, Maryland.

AOAC (2005j). Official Methods of Analysis of AOAC INTERNATIONAL, 18th Ed., 

Method 961.15, AOAC International: Gaithersburg, Maryland.

AOAC (2005k). Official Methods of Analysis of AOAC INTERNATIONAL, 18th Ed., 

Method 982.30, AOAC International: Gaithersburg, Maryland. 

AOAC (2005l). Official Methods of Analysis of AOAC INTERNATIONAL, 18th Ed., 

Method 983.23, AOAC International: Gaithersburg, Maryland.

AOAC (2005m). Official Methods of Analysis of AOAC INTERNATIONAL, 18th Ed., 

Methods 984.27 and 985.01, AOAC International: Gaithersburg, Maryland.
Appendix E

5307-USDA-1 Page 210 of 211

AOAC (2005n) Official Methods of Analysis of AOAC INTERNATIONAL, 18th Ed., Method 

985.29, AOAC International: Gaithersburg, Maryland.

AOAC (2005o). Official Methods of Analysis of AOAC INTERNATIONAL, 18th Ed., 

Method 993.14, AOAC International: Gaithersburg, Maryland.

AOAC (2005p). Official Methods of Analysis of AOAC INTERNATIONAL, 18th Ed., 

Method 996.11, AOAC International: Gaithersburg, Maryland.

AOCS (1997a). Official Methods and Recommended Practices of the AOCS, 5th Ed. 

Method Ba 12-75. American Oil Chemists’ Society: Champaign, Illinois. 

AOCS (1997b). Official Methods and Recommended Practices of the AOCS, 5th Ed. 

Method Ce 2-66. American Oil Chemists’ Society: Champaign, Illinois. 

AOCS (2001). Official Methods and Recommended Practices of the AOCS, 5th Ed. Method 

Ce 1e-92. American Oil Chemists’ Society: Champaign, Illinois. 

Atkins, L., A. S. Schultz, W. L. Williams, and C. N. Frey (1943). Yeast microbiological 

methods for determination of vitamins. Industrial and Engineering Chemistry, 

Analytical Edition 15: 141-144.

Bradstreet, R. B. (1965). The Kjeldahl Method for Organic Nitrogen. Academic Press: New 

York, New York.

Brobst, K. M. (1972). Gas-liquid chromatography of trimethylsilyl derivatives. In: 

Methods in Carbohydrate Chemistry, Volume 6: General Carbohydrate Methods. R. 

N. Whistler and J. N. BeMiller, Eds. Academic Press: New York, New York.

Cort, W. M., T. S. Vincente, E. H. Waysek, and B. D. Williams (1983). Vitamin E content 

of feedstuffs determined by high-performance liquid chromatographic fluorescence. 

Journal of Agricultural and Food Chemistry. 31: 1330-1333.

Hagerman, A. E. and R. L. Nicholson (1982). High-performance liquid chromatographic 

determination of hydroxycinnamic acids in maize mesocotyl. Journal of Agricultural 

and Food Chemistry 30: 1098-1102

ILSI (2008). International Life Sciences Institute Crop Composition Database, v. 3.0. 

http://www.cropcomposition.org/cgi-perl/search_ora.cgi; search parameters: crop type 

= “CORN_FIELD,” tissue type = “FORAGE” or “GRAIN,” crop year = “All”, country 

= “All,” and state = “All”; searching not restricted by analysis method or value range 

(accessed February 9, 2010). 

Infant Formula Council (1985a). Methods of Analysis for Infant Formulas. Section C-2. 

Atlanta, Georgia.

Infant Formula Council (1985b). Methods of Analysis for Infant Formulas. Section C-7. 

Atlanta, Georgia.
Appendix E

5307-USDA-1 Page 211 of 211

Kalthoff, I. M. and E. B. Sandell (1948). Quantitative Inorganic Analysis. MacMillan: New 

York.

Kenward, M. G. and J. H. Roger (1997). Small sample inference for fixed effects from 

restricted maximum likelihood. Biometrics 53: 983–997.

Lehrfeld, J. (1989). High-performance liquid chromatography analysis of phytic acid on a 

pH-stable, macroporous polymer column. Cereal Chemistry 66: 510-515.

Lehrfeld, J. (1994). HPLC separation and quantitation of phytic acid and some inositol 

phosphates in foods: Problem and solutions. Journal of Agricultural and Food 

Chemistry 42: 2726-2731.

Mason, B. S. and H. T. Slover (1971). A gas chromatographic method for the determination 

of sugars in foods. Journal of Agricultural and Food Chemistry. 19: 551-554.

McMurray, C. H., W. J. Blanchflower, and D. A. Rice (1980). Influence of extraction 

techniques on determination of alpha-tocopherol in animal feedstuffs. Journal of the 

Association of Official Analytical Chemists 63: 1258-1261.

Obert, J.C., W.P. Ridley, R.W. Schneider, S.G. Riordan, M.A. Nemeth, W.A. Trujillo, M.L. 

Breeze, R. Sorbet, and J.D. Astwood. (2004). The composition of grain and forage 

from glyphosate tolerant wheat MON 71800 is equivalent to that of conventional 

wheat (Triticum aestivum L.) Journal of Agricultural and Food Chemistry 53: 1375-

1384. http://pubs.acs.org/doi/pdf/10.1021/jf035218u.

Quackenbush, F. W. (1987). Reverse phase HPLC separation of cis- and trans-carotenoids 

and its application to β-carotenes in food materials. Journal of Liquid Chromatography

10: 643-653.

Speek, A. J., J. Schijver, and W. H. P. Schreurs (1983) Vitamin E composition of some seed 

oils as determined by high-performance liquid chromatography with fluorometric 

quantitation. Journal of Food Science 50: 121-124. 

USDA (1970). Forage fiber analyses. Agriculture Handbook No. 379. United States 

Department of Agriculture: Washington, DC.

USDA (1973). Energy value of foods. Agriculture Handbook No. 74, pp. 2-11. United 

States Department of Agriculture: Washington, DC.

US Pharmacopeia (2005). The United States Pharmacopeia, Twenty-Ninth Revision, p. 

1913, United States Pharmacopeial Convention, Inc.: Rockville, Maryland.