1 April 2003 | Volume 138 Issue 7 | Pages 550-559
Gene vaccines are a new approach to immunization and immunotherapy in which, rather than a live or inactivated organism (or a subunit thereof), one or more genes that encode proteins of the pathogen are delivered. The goal of this approach is to generate immunity against diseases for which traditional vaccines and treatments have not worked, to improve vaccines, and to treat chronic diseases. Gene vaccines make use of advances in immunology and molecular biology to more specifically tailor immune responses (cellular or humoral, or both) against selected antigens. They are still under development in research and clinical trials.
The mechanisms for inducing cellular (as opposed to humoral) responses against a particular antigen have been elucidated. Gene vaccines provide a means to generate specific cellular responses while still generating antibodies, if desired. In addition, by delivering only the genes that encode the particular proteins against which a protective or therapeutic immune response is desired, the potential limitations and risks of certain other approaches can be avoided.
This article describes the rationale for, immunologic mechanisms involved in, and design of gene vaccines under development. Preclinical and clinical studies of these vaccines are discussed for various clinical applications, focusing on infectious diseases.
The immune response comprises both cellular and humoral (antibody) components. For certain infectious agents, the efficacy of a vaccine may be correlated with induction of a particular level of circulating antibody in a vaccinated person. Until recently, much less was known about how to induce or measure clinically effective cellular immunity. To date, no known type or level of cellular response has been shown to correlate with efficacy of a vaccine or therapy in humans. Moreover, whereas antibodies can directly attack microorganisms, T cells work by killing infected or cancerous cells. Thus, by definition, T cells cannot prevent infection; rather, they contain or eliminate it.
Instead of directly attacking a pathogen, a cytolytic T cell is activated to kill when its receptor binds to certain molecules on another cell and recognizes foreign elements (from the pathogen or from novel cancer proteins). The receptor has dual specificity, meaning that it sees two molecules on the surface of the target cell. One molecule is the MHC class I antigen, which is specific to an individual person, and the other molecule is a peptide derived from proteins of the pathogen or cancer cell. Thus, the T cell recognizes and is activated by foreign or abnormal peptides when those peptides are associated with a person's own MHC class I molecules. In an infected or cancerous cell, some of the newly synthesized viral (or other) proteins are degraded into peptides and enter the endoplasmic reticulum of the cell, where they meet and bind to newly synthesized MHC class I molecules (1). When this MHC class Iantigenic peptide complex is expressed on the surface of an antigen-presenting cell (along with co-stimulatory molecules, to which the T cell must also bind), T cells with receptors that specifically recognize this complex are activated and can kill infected cells (Figure 1). REVIEW
Gene Vaccines
Recent developments in immunology and molecular biology have permitted development of DNA and other gene-based vaccines. Unlike previous vaccines, many of which were designed to induce antibodies as the mechanism of protection against clinical disease caused by microorganisms, gene-based vaccines are designed to generate both cytotoxic cellular and antibody immune responses. An additional goal is to make vaccines that can be used to treat chronic diseases. Targeted diseases have expanded from infectious diseases to include cancer, allergies, and autoimmune diseases.
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Efforts to specifically induce cytolytic T cell responses have greatly increased so that this component of the immune system might be used for vaccination. The challenge has been that if a protein is provided to an antigen-presenting cell, in general that cell will take up the protein into the endolysosomal pathway and degrade it into peptides associated with MHC class II rather than class I proteins. The MHC class II proteins recycle from the cell surface through the endolysosomal pathway, where they encounter peptide epitopes. These MHC class IIpeptide complexes stimulate helper T cells that produce cytokines that in turn help activate cytolytic T cells and assist B cells to generate antibodies.
For a protein to enter the proteolytic pathway that generates the peptides that will bind to MHC class I molecules, it must be introduced into or generated in the cytoplasm of a cell. Thus, finding a means of introducing antigenic proteins from pathogens or cancer cells into this pathway has become one of the prime challenges in vaccine development. Introduction of proteins directly into the cytoplasm from extracellular spaces has proven difficult; a more feasible method is to deliver a gene encoding the desired protein to the cell (3). If the cell then transcribes and translates the gene, the protein will be in the cytoplasm for proper processing and presentation.
Thus, a method of delivering adequate amounts of the desired gene, resulting in adequate expression of the encoded protein, is needed. In addition, because T cells can be stimulated to respond only when the MHCantigen complex is on the surface of professional antigen-presenting cells that have other cell surface proteins that interact with the T cell, it was thought that the genes would have to be delivered specifically to antigen-presenting cells rather than to other cell types (4, 5).
Viral and Bacterial Vectors
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The viral vector is itself antigenic, and certain viruses cause inflammatory responses. These responses may benefit the desired immune response, depending on their type, location, and extent, but they might also be drawbacks. Preexisting immunity due to previous infection (for example, adenovirus) or vaccination (for example, smallpox) may limit the potency of the vaccine by clearing the viral vector before it can infect cells to deliver its payload of antigen genes. Similarly, if the vector is reused for a booster immunization, the immune response against the virus itself may eliminate too many of the vector particles before they can deliver the genes. Much effort has been directed to making vectors from other strains of viruses, vectors that are not as immunogenic, and vectors that do not induce inflammatory responses.
Bacteria are also being developed as delivery systems for plasmid DNA vaccines and as heterologous expression systems in which the genes encoding antigens are incorporated into the genome of the bacteria (7, 8). One attractive feature of bacterial vectors is their potential for oral administration, which would make use easier and may generate mucosal immune responses. Shigella (9-11), Salmonella (12-14), and Listeria monocytogenes (15) have been used as experimental delivery systems. In all cases, the bacteria used for such proposed vaccines must be attenuated strains, and reversion to virulence, preexisting immunity, and reactogenicity remain major concerns.
Concerns about the safety of live vector systems are heightened by the well-known reversion of polio vaccine, an attenuated virus, which can cause wild-type polio. An experimental example is the death of infant monkeys immunized with an attenuated simian immunodeficiency virus that had been safe and effective in adult monkeys (16). Theoretical and actual concerns about the use of viral and bacterial vectors have led to efforts to deliver the genes into cells without using a pathogen-derived vector. The DNA vaccines, described below, appear capable of inducing cellular immune responses (by delivering genes into cells) without the potential drawbacks of viral and bacterial vectors.
DNA Vaccines
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A major attribute of DNA vaccines is their ability to deliver genes into cells for generation of MHC class Irestricted cytolytic T lymphocyte responses. These responses require that the antigens reach the cytosol of specific antigen-presenting cells, and it was previously not clear whether professional antigen-presenting cells could take up plasmid DNA or whether the protein antigen encoded by the DNA (taken up by other cells) would reach the correct antigen-presenting cells and subcellular locations.
Ulmer and colleagues demonstrated that immunization of mice by intramuscular injection of plasmid DNA encoding an influenza viral protein generated specific cytolytic T cells and protected the mice against subsequent challenge with live influenza virus (18). Morbidity and mortality from infection with a strain of virus that differed from the strain from which the vaccine was made were decreased (Figure 2). Because cytolytic T cells recognize epitopes derived from proteins, including conserved (often internal) proteins, a vaccine that generates cytolytic T cells may protect against different strains. Although antibodies can also be directed against conserved proteins, often the surface or envelope proteins of a virus vary; this variation is often the basis for the categorization of viruses (such as influenza) into different strains (Figure 2, bottom). Viruses escape immune responses by mutating the regions against which an immune response is generated. Although this can occur for both cytolytic T cell and antibody epitopes, the great variability of the envelope of HIV and the ease with which viruses such as influenza mutate their outer proteins to escape antibody responses pose a challenge for making antibody-based vaccines. In contrast, internal proteins (against which antibody responses are often ineffective owing to their intraviral location) still provide cytolytic T-cell epitopes and are conserved to a greater degree. Thus, much effort has been devoted to making vaccines that generate cytolytic T-cell responses against epitopes derived from conserved proteins (which are often internal or functional). Protection was obtained against a strain of influenza virus that was not only a different subtype from the strain from which the gene for the DNA vaccine was derived but also had arisen 34 years later (Figure 2, bottom). This demonstrated in vivo that DNA vaccines could result in production of the encoded protein, which could then enter the appropriate cellular processing pathway and stimulate production of protective cytolytic T cells. As a result, this approach to making new vaccines has now been extended to a variety of disease models.
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Figure 3 shows the mechanism of antigen presentation for generation of cytolytic T-cell responses after DNA vaccination. Whereas nonantigen-presenting cells, such as myocytes, can take up plasmid and synthesize the antigen, only antigen-presenting cells can prime cytolytic T cells. Thus, if a nonantigen-presenting cell takes up the DNA vaccine and produces the protein antigen, it must deliver the antigen in some form to a professional antigen-presenting cell by a process called cross-priming, in order for cytolytic T cells to be induced (4).
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Another means of immunizing with a DNA vaccine is to put the plasmid DNA onto gold beads and propel the beads into the skin by using a gene gun. This approach was first shown to induce antibodies against the protein encoded by the plasmid (19). Thus, both the intramuscular and epidermal routes of DNA delivery are effective for generating immune responses, but the responses differed slightly depending on the route of immunization (20-22).
Compared with other types of vaccine technologies, DNA vaccines potentially have more widespread applications. Once a manufacturing and purification process for the plasmid DNA has been established, a similar process can be applied to a different DNA vaccine, since only the inserted gene will be different. In contrast, each attenuated, inactivated, or recombinant protein vaccine requires a unique manufacturing and purification process. In addition, plasmid DNA is relatively more stable than other existing vaccines, meaning that DNA vaccines may be more suitable for worldwide distribution. Thus, DNA vaccines are considered to be a new platform for making future vaccines, one that can generate cytolytic T lymphocytes in addition to antibodies.
Other reasons for using a DNA vaccine rather than a live virus vaccine include potential safety advantages. Although attenuated live virus vaccines can stimulate T-cell responses, for certain diseases (such as AIDS) an attenuated live virus vaccine is considered to be too risky; DNA provides a potentially safer alternative. Moreover, some viral proteins have undesired effects (for example, they down-regulate immune responses) or act as decoys for the immune system (for example, regions of HIV Env that generate nonfunctional or highly strain-specific immune responses). Thus, by providing only the genes that encode antigens against which an immune response is desired, a DNA vaccine can induce immune responses in a more specific manner than can a live virus vaccine.
Cytolytic T-Cell Responses
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Induction of antigen-specific cytolytic T-cell responses by DNA vaccines has likewise been observed in nonhuman primates (26, 33-36) and, more recently, in human clinical trials (37). In several independent experiments, certain regimens of immunization with plasmid DNA encoding HIV or simian immunodeficiency virus env or gag genes induced MHC class Irestricted cytolytic T cells directed against Env and Gag epitopes.
Humoral Responses
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In a DNA vaccine, the antigen is synthesized in situ (by the immunized host); therefore, it has the potential advantage over a recombinant protein that the resulting antigen would more likely have the conformation and post-translational modifications made by that host during infection by the pathogen. For example, the glycosylation pattern of proteins produced recombinantly in bacterial or yeast cells might differ from the glycosylation pattern of proteins made in mammalian cells. In addition, a transmembrane protein (such as the gp160 Env protein of HIV) cannot be readily produced and purified in a recombinant manner, whereas the protein could be produced in situ by the immunized host after DNA immunization.
Many infectious diseases enter the host through mucosal surfaces. Thus, it would be advantageous to generate mucosal antibody responses in addition to systemic responses. To date, intramuscular injection and gene gun delivery of naked plasmid DNA have had limited ability to induce secretory mucosal IgA responses. However, formulation of plasmid DNA with cationic lipids (63), monophosphoryl lipid A, or QS-21 (64), encapsulated in poly(lactide-coglycolide) microparticles (65), macroaggregated polyethyleneiminealbumin conjugates (66), or biodegradable alginate microspheres (67) that are delivered intramuscularly, orally, or intranasally, induce significant secretory IgA responses at the mucosal sites. Recently, Wang and colleagues reported induction of strong mucosal immunity against the simian immunodeficiency virus in primates by using DNA encoding intact noninfectious virions (68). The levels of secretory IgA in the rectal secretions of the immunized primates were higher than the levels achieved through natural infection (68).
Protection by DNA Vaccines in Preclinical Disease Models
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Mixed-Modality Vaccines
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Clinical Trials
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and ß-chemokines (87), but these responses were weak and did not persist. In the infected persons, an HIV-1 env/rev DNA vaccine construct boosted the env-specific antibodies; however, no consistent effect was observed on cellular responses to HIV. Another phase I clinical trial evaluated HIV regulatory genes, such as rev, nef, and tat. Immunization of infected persons with these genes enhanced cellular responses but produced no consistent changes in lymphocytes subsets or viral load (82, 84-86). The DNA vaccines were well tolerated in doses from 20 µg up to 2500 µg; no significant local or systemic reactions were observed, and no participant dropped out of the study (85, 88).
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In a phase I clinical trial of malaria DNA vaccines, three intramuscular injections of Plasmodium falciparum circumsporozoite construct induced antigen-specific, CD8+ T celldependent cytolytic T lymphocytes. The cellular responses were directed against multiple epitopes and were restricted by six HLA class I alleles (37). In the same study, despite induction of the excellent cytolytic T cell responses, DNA vaccination failed to induce detectable antigen-specific antibodies in any participant (88).
A phase I trial of an experimental HIV vaccine that includes an HIV A subtype gag gene and more than 40 bits of DNA encoding regions of HIV proteins is in progress in Kenya. This is the first component of a primeboost vaccination strategy, and will be followed by a second vaccine using modified vaccinia virus as a vector (89). Another phase I clinical trial was recently started in infected and uninfected persons to directly compare vaccines in which the gene is delivered as naked DNA or by attenuated adenovirus (90).
A DNA vaccine against hepatitis B virus was evaluated for safety and immunogenicity in a phase I clinical trial involving naive healthy volunteers. A gene gun was used to propel the DNA into the skin. The hepatitis B DNA vaccine was found to be safe, well tolerated, and immunogenic (83). All of the volunteers developed protective antibody responses of at least 10 mIU/mL. Furthermore, this vaccine induced antigen-specific CD8+ T-cell responses in the volunteers who were positive for HLA class 1 A2 allele. These antigen-specific CD8+ T cells bound HLA-A2hepatitis B surface antigen 335 to 343 tetramers, secreted interferon-
, and lysed target cells presenting a hepatitis B surface antigen epitope.
Current phase I and II trials are studying DNA vaccines as potential immunotherapies for various cancers, including colon cancer, human follicular lymphoma, and cutaneous T-cell lymphoma. These studies should soon yield detailed information on the ability of DNA vaccination to induce potent immune responses in humans.
Second-Generation DNA Vaccines
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An alternative physical delivery system is a device that generates an electric current, in vivo electroporation, to create temporary holes in the cellular membrane. These holes allow the plasmid DNA to diffuse into the cells more effectively, resulting in increased expression and potency of the DNA vaccine (102, 103). Certain formulations or manipulations, such as surface absorption of the DNA onto particles, have also increased the immunogenicity of DNA vaccines, presumably by increasing their transfection efficiency in vivo (104, 105). Of note, plasmid DNA is not simply an inert gene template but has immunostimulatory activity (106-109). Because it is made in bacteria, plasmid DNA has sequences known as CpG motifs that are recognized by the human immune system as foreign (106, 107). Hence, plasmid itself stimulates nonspecific production of cytokines that increases the specific immune response directed against the encoded antigen (108-110).
Summary
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These DNA and other gene-based vaccines should enable generation of specific types of immune responses (cytolytic T cell, antibodies, and the desired type of T-helper cell). The ability to generate cellular as well as humoral responses may be crucial in making effective vaccines against diseases caused by viruses (such as HIV), intracellular bacteria (such as tuberculosis), and parasites (such as malaria), as well as cancer. Similarly, the ability to generate certain forms of an immunogen, such as a protein with a particular structure that can be formed only by mammalian cells in situ, may be a critical feature of gene vaccines. It is thought that gene vaccines will be amenable to production and distribution on a global scale to provide them to the groups most in need of prevention.
Author and Article Information
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Acknowledgment: The authors thank Nelle Cronen for editorial assistance.
Potential Financial Conflicts of Interest:Employment: I. Srivistava (Chiron Corp.), M.A. Liu (Bill & Melinda Gates Foundation, Transgene, Chiron Corp., Merck & Co., Inc.); Consultancies: M.A. Liu; Honoraria: M.A. Liu (Bill & Melinda Gates Foundation); Stock ownership or options (other than mutual funds): I. Srivistava (Chiron Corp.), M.A. Liu (Merck & Co., Inc., Chiron Corp.); Grants received: I. Srivistava (Chiron Corp.); Patents received and pending: M.A. Liu (Merck & Co., Inc., Chiron Corp.).
Requests for Single Reprints: Margaret A. Liu, MD, Transgene, 11 rue de Molsheim, 67082 Strasbourg, France; e-mail, liu{at}transgene.fr.
Current Author Addresses: Dr. Srivastava: Chiron Corporation, 4560 Horton Street, MS 4.3, Emeryville, CA 94608.
Dr. Liu: Transgene, 11 rue de Molsheim, 67082 Strasbourg, France.
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