S.05-90
SIMON FRASER UNIVERSITY
MEMORANDUM
OFFICE OF VICE-PRESIDENT, RESEARCH
Simon Fraser University ? .
1. University Animal Care Committee
  1. Procedures
2. Consideration of Applications to Use Animals for Research or Teaching

S.05-90

• ?

SIMON FRASER UNIVERSITY

MEMORANDUM

OFFICE OF VICE-PRESIDENT, RESEARCH

TO:

Senate ?

FROM: B. Mario Pinto

Vice President, Research

RE:

Review of Policy R20.03 Treatment of DATE: June 14, 2005

Animals in Research and Teaching

The Canadian Council on Animal Care (CCAC) conducted an assessment of SFU's

Animal Care Facility in March, 2004. The Assessment Report noted that Policy R20.03,

Treatment of Animals in Research and Teaching, needed to clearly define the authority

of the Director of Animal Care and ensure that policy and the UACC Terms of

Reference are "compatible and complete, and fully meet the CCAC Guidelines".

Accordingly, as Vice-President, Research, I undertook a revision of policy R20.03. The

draft revised policy was posted on the Vice-President's Research web site on March 29,

2005 for comment by the university community. The principal changes deal with

clarification of the role of the Director and the constitution of the Animal Care

Committee, an adoption policy, and a service contract for external research

organizations wishing animal care protocol review. Community responses were

accepted until May 15, 2005, and the draft policy was modified accordingly.

The revised Policy R20.03 is now being presented to Senate for approval.

Motion

That Senate approve and recommend to the Board of Governors the attached revision

of Policy R20.03 Treatment of Animals in Research and Teaching.

lend.

Treatment of Animals in Research and Teaching

Policy Number

R 20.03

Revision Date

June 28, 2005

Treatment of Animals in Research and Teaching

Purpose

To ensure the ethical and humane treatment and handling of all animals used in teaching

and research under the auspices of Simon Fraser University and to facilitate research and

teaching projects with animals in compliance with the guidelines and policies of the

CCAC and SFU.

Definitions

a. "Animals": non-human, living vertebrates, cephalopods and invertebrates with

well developed nervous systems;

"Principal Investigator" (P1) is the SFU faculty member (or acceptable

equivalents as defined in other SFU policies) in charge of a research or teaching

project;

c. "Director of Animal Care" (the "Director"), appointed by SFU's Vice-President,

Research, shall be qualified to practice as a Veterinarian in British Columbia;

"SFU" is the Simon Fraser University;

e. "ACF" is the Simon Fraser University Animal Care Facility;

f. "ARC" is the Simon Fraser University Animal Resource Centre;

"UACC" is the Simon Fraser University Animal Care Committee; and

"CCAC" is the Canadian Council on Animal Care.

3. Scope

This policy applies to all research and teaching involving Animals that is undertaken

under the auspices of SFU and/or using the resources of SFU. All projects must have an

SFU faculty member (or equivalent as defined in 2b above) as P1.

4. Standards

The University adopts standards compliant with:

(a) the policies and guidelines of the CCAC, which are reflected in the

Memorandum of Understanding between SFU and the three Canadian federal

granting agencies; (b) the policies and procedures of SFU and the UACC;

and (c) all relevant federal and provincial regulations.

5. Policy

a. Authority

The UACC has the authority, on behalf of the Vice-President, Research, to:

Stop any procedure if it considers unnecessary distress or pain to be experienced

by an Animal;

ii.

Stop immediately any use of Animals which deviates from the approved use, or

which employs any non-approved procedure or any procedure causing unforeseen

pain or distress to Animals;

iii.

Have an Animal euthanized if pain or distress caused to the Animal cannot be

alleviated.

b. Responsibility

The day to day care and welfare of all Animals used in research or teaching under

the auspices of SFU are the direct responsibility of the Director of Animal Care.

Breaches of appropriate care and welfare shall be dealt with by the Director.

Continuing and/or serious breaches shall be reported to the Chair of the UACC

who, together with the Director, shall decide upon appropriate action. A report of

such action shall be made at the next meeting of the UACC. If thought

appropriate, a report shall also be made to the Vice-President, Research.

ii.

All faculty members, graduate and undergraduate students using Animals in

research or teaching must have the necessary expertise and appropriate training in

accordance with the policies of SFU and the policies and guidelines of the CCAC.

The Director will decide upon the appropriate methods of achieving these levels.

iii.

The acquisition (by purchase, breeding, stock or, with proper authorization

obtained, from the wild) of all the Animals required for all projects is arranged

through the Director. The Director is also responsible for the disposal of the

Animals when the project terminates. Animals remain under the ownership of

SFU until disposal by approved SFU policies, such as euthanasia or adoption.

iv.

The Director, in close collaboration with and support of the UACC, is responsible

for monitoring the compliance of researchers with SFU policy and the terms of

the approval of their projects. If the Director observes or becomes aware that

relevant regulations or guidelines are not being followed in any teaching program

or research study, she/he advises the Principal Investigator so that prompt

remedial action can be taken. In the event that this is not done to her/his

satisfaction or in circumstances where in her/his opinion the animals are being

subjected to unnecessary or severe or prolonged distress or suffering, the Director

may take whatever action she/he considers necessary to remedy the situation. The

Director keeps the UACC Chair and the Vice President, Research fully informed

. ?

of such incidents and the reasons for the action taken. She/he may also, at her/his

discretion, seek the advice of the CCAC or other experts as may be appropriate.

The Director maintains up-to-date records of all Animals maintained at each

designated location, showing their location, number, species, conditions of

maintenance, and the person(s) responsible for their care. The Director of Animal

Care reports, at least yearly to the Chair of the UACC with a summary of such

records, and to the CCAC as required.

vi.

The UACC ensures that appropriate housing and caging are provided for all

captive Animals in all designated locations listed in

5d.

vii.

All proposals for the use of Animals in research or teaching require the prior

approval of the UACC. The detailed responsibilities and powers of the UACC are

those set out in its Terms of Reference and its Procedures. These are published

and may be modified from time to time under the authority of the Vice President,

Research. The current procedures for consideration of applications for the use of

Animals are attached to this policy.

viii.

The Director shall undertake continuing education/training opportunities in

experimental animal care and use.

c. UACC Membership

UACC members will be appointed by the Vice-President, Research for terms of no less

than two years and no more than four years (renewable once, normally). The complement

of the committees will vary and should be determined by the needs of SFU Researchers,

but should include:

a. scientists and/or teachers experienced in animal care and use, who may or may not be

actively using animals during their term on the UACC;

b. a veterinarian, preferably experienced in experimental animal care and use, who is

being provided with continuing education/training opportunities in experimental

animal care and use;

c. an institutional member whose normal activities do not depend on or involve animal

use for research, teaching or testing;

d. at least one person representing community interests and concerns, and who has no

affiliation with the institution, and who is not involved in animal use for research,

teaching or testing;

e. technical staff representation (either an animal care, an animal facility, or an animal

research technician);

student representation (graduate and/or undergraduate).

The Director or the person responsible for the management of the animal facilities,

should be included on the UACC. The UACC must have a Chair who should not be

directly involved in the management of the institutional animal facilities, nor be the

consulting veterinarian for the institution, nor be involved in the preparation of a

significant number of the protocols to be reviewed by the committee, in order to avoid

potential conflicts of interest. Provision should be made to co-opt other persons to the

UACC as the need arises. A reasonable quorum, such as a majority of the members,

should be established for UACC meetings. Meetings should be scheduled at times that

are convenient for all members, including community representatives.

d.. Animals.

Animals shall be maintained only in designated locations. Such locations are:

The ACF

ii.

The ARC

iii.

The Alcan Aquatic Research Centre and its outdoor tanks,

iv.

The Department of Biological Sciences

V. The School of Kinesiology

vi.

Off campus (such as field) locations approved by the UACC; and

vii.

Such additional locations as may be approved by the Director of Animal

Care.

e. Fees.

per diem

charge is made for the Animals housed on campus. Additional charges are

made for services above and beyond the normal housing and care of Animals.

Standard Operating Procedures (SOPs)

SOPs and other guidelines for the ACF, ARC, satellite facilities and field locations

are developed and published by the Director after having been approved by the

UACC.

Peer Review

The UACC must ensure that, for research projects, a peer review of scientific merit is

carried out; if the review is not carried out by an external, peer review agency, the

UACC will require that it be obtained according to the CCAC guidelines specified in:

Animal Use Protocol Review, 1997

(see also the

CCAC Policy on the Importance of

Independent Peer Review of the Scientific Merit ofAnimal-Based Research Projects,

2000).

h. External Research Organizations:

Protocols submitted by external research organizations will be considered on a fee

for service basis by the UACC based on availability of appropriate resources and

prior approval by the UACC. A service contract will be required to govern such

arrangements. The Director will act as the SFU point of contact for such external

research organizations.

i. Adoption

Under certain circumstances, Animals that have been used for research or

teaching projects at SFU may be deemed suitable candidates for adoption.

Anyone interested in adopting an Animal will be required to fill out an "Adoption

Agreement for Research Animals," available from the Director. The Director

reserves the right to refuse adoption to an individual, at his/her discretion.

Interpretation

Questions of interpretation or application of this policy or its procedures shall be referred

to the President, whose decision shall be final.

[I]

Simon Fraser University

University Animal Care Committee

Procedures

Consideration of Applications to Use Animals for Research or Teaching

The Principal Investigator (P1) submits a completed form entitled "Application to Use

Animals for Research or Teaching" to the Director at least eight weeks before the planned

commencement of the project. In certain cases, such as teaching protocols, the Director

may agree to a different time scale. Researchers wishing to use Invertebrates should fill

out the "Application to use invertebrates/tissues for research or teaching" form. This form

can be submitted at any time. In all cases sufficient time must be allowed for the

acquisition of animals and equipment and for the review of the procedures to be employed

in the project. It is recommended that the application be reviewed by the Director of Animal

Care prior to submission. The Application form is available from the Director of Animal Care

(604-291-4738). The P1 must renew their research applications annually and in the case of

teaching protocols, they must be renewed every semester. After the fourth year (third

renewal), a new application form must be submitted. Any changes to the application must

be submitted as an amendment and approved before implementation. Major changes may

warrant submission of a new application.

As part of the application, the P1 assigns to the project a Category of Invasiveness (COI)

level from A to E based on the nature of the research being conducted. A description of

each category is available by contacting the Director of Animal Care, or accessing the

CCAC's website, www.ccac.ca

. If the Director does not accept the COI assigned by the

P1, a final decision is made by the UACC. Endpoint agreements must be submitted as

part of all COT B,C,D and E applications. Progress reports are to be provided after the

fourth renewal, or whenever requested by the UACC.

Protocols assigned a COI of B, C, D, or E must be submitted at least 3 weeks prior to the

next UACC meeting (usually held monthly) for review. Protocols with a COI of A may

be submitted at any time.

Upon receipt by the Director, she/he reviews the application for consistency with the

UACC Terms of References, assigns a project number and considers the following

factors:

the determination of whether the proposed treatment of animals conforms to the

standards specified in this Policy, and

ii)

the availability of required resources (animals, space, equipment, and staff),

e) For COI A protocols, amendments,

st ,

fld

and

3rd

renewals:

i) After review by the Director, the application is forwarded to the UACC subcommittee

for review and decision by consensus. The subcommittee consists of the Director of

Animal Care, the UACC Chair, a scientist and a community member who is selected by

the UACC.

If a decision cannot be made, the application is forwarded to the UACC for

the final decision.

ii) The UACC is informed of all decisions at the next UACC meeting.

f) For COT B, C, D, and E protocols,

4th

renewals, all teaching projects and for protocols?

described under section f)i) above that were not approved by the UACC subcommittee:

After a review is made by the Director, the application is sent to all the UACC

members for review. A decision by consensus is made by the UACC at their next

committee meeting.

ii)

For all D and E protocols, or for any protocols of concern to the UACC, a presentation

by the P1 is required at the UACC meeting at which the application is considered.

The Chair of the UACC informs the P1 of the decision of the UACC in writing.

If the project is approved, copies of the approval letter are forwarded to the Office of

Research Services, if applicable, and to the UACC representative of the Principal

Investigator's department. The ACF/ARC retains signed copies of all approved projects

and approval letters.

j) If the project is not approved, the P1 is asked for more information, and may be required

to submit a revised project proposal for review by members of the UACC.

If these actions fail to lead to approval of the project, at a subsequent meeting of the

UACC, the Chair of the UACC provides the P1 with a written statement of reasons for

non-approval of the project.

The P1 may ask for a hearing before the UACC to appeal the decision. In the event the

appeal is not successful, the PT may appeal to the Vice President, Research who may

appoint an appeal committee. The decision of that committee, if ratified by the Vice

President, Research, would be final. The CCAC may be called upon for information

purposes; however, appeals cannot be directed to the CCAC.

The acquisition of all animals for approved projects is arranged through the Director of

Animal Care in accordance with this Policy.

If the Director proposes to conduct a research protocol involving animals, a consulting

Veterinarian replaces the Director in the above procedures for consideration of the

protocol and monitoring.

Treatment of Animals in Research and Teaching

6/15/05 11:48 AM

*eatment of Animals in Research and Teaching

Back to Web version

Date

Number

SIMON FRASER UNIVERSITY ?

October 26, 2000

R 20.03

Z41

Policies and Procedures

Revision Date

Revision No.

Treatment of Animals in Research and Teaching

1. Purpose

The purpose of this document is to establish policies and procedures for the ethical treatment and handling of all

animals used in teaching and research under the auspices of Simon Fraser University.

2. Definitions

a. Animals are here defined as non-human, living vertebrates.

Principal Investigator is the faculty member (or equivalent) in charge of a research or teaching project.

c. A.C.F. is the Simon Fraser University Animal Care Facility.

d. U.A.C.C. is the Simon Fraser University Animal Care Committee.

3. Policy

Standards. The University shall adopt as a minimum standard the guidelines of the Canadian Council on Animal

Care as described in the Council's "Guide to the Care and Use of Experimental Animals', Vols. 1 and 2, and in its

publication "Ethics of Animal Experimentation'. And all regulations and policies of the SFU Animal Care Facility.

Standard of Procedures Manual (Available at the ACF office).

b. Director of Animal Care. The Director shall be appointed by the Vice-President, Research. He/she shall be

qualfied to practice as a veterinarian in British Columbia.

U.A.C.C. The members of the U.A.C.C. shall be appointed by the Vice-President, Research. The membership of

the U.A.C.C. will consist of: a Chair, to be appointed by the Vice-President, Research for a three-year term (he/

• ?

she should preferably not be directly involved in the research use of animals);

the Director of

Animal Care; one

representative each from the Departments of Biological Sciences, Kinesiology and Psychology; one lay member,

representing the general public. The U.A.C.C. shall meet at least once each semester. A quorum will comprise

four persons. The proceedings of each meeting shall be recorded as minutes of the committee.

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d. Responsibility for Animals. All animals used in teaching or research under the auspices of Simon Fraser

University are the responsibility -of the Director of Animal Care. The Director will ensure that all faculty members,

graduate or undergraduate students undertaking teaching or research which involves the use of animals, ha

the necessary expertise and appropriate training in accordance with the policies of the University and the

guidelines of the C.C.A.C.

Should the Director observe or become aware that the above guidelines are not being followed in any teaching

program or research study, she/he will advise the principal investigator so that prompt remedial action can be

taken.

In the event that this is not done to her/his satisfaction or in circumstances where in her/his opinion the animals

are being subjected to unnecessary or severe or prolonged distress or suffering, the Director shall take

whatever independent action she/he considers necessary. However, the Director shall keep the U.A.C.C. Chair

fully informed of such incidents and the reasons for the action taken. She/He may also, at her/his discretion,

seek the advice of the C.C.A.C.

e. Location of Animals. Animals shall be maintained only in designated locations. Such locations are:

i. The A.C.F.;

ii.

The Biological Sciences Department, fish-holding facility;

iii.

Off campus location approved by the U.A.C.C;

and such additional locations as may be designated by the Director of Animal Care. When such additional

locations are to be used for a period in excess of one month, the Director of Animal Care shall recommend t

the Vice-President, Research, that the above list be amended to include the additional locations.

f. A per diem charge will be made for the animals housed in the A.C.F.

4. Procedures

Normally, the Principal Investigator, after consulting the Director of Animal Care, shall submit a completed form

entitled "Application to Use Animals for Research or Teaching" to the Director at least eight weeks before the

planned commencement of the project. In all cases sufficient time must be allowed for the acquisition of animals

and equipment and for the review of the procedures to be employed in the project.

The Director of Animal Care shall forward the form to the Chair of the U.A.C.C. with a recommendation for

action. This recommendation shall be based on:

L the availability of required resources (animals, space, equipment, and staff) and

ii. a determination of whether the proposed treatment of animals conforms to the standards specified in

Section 3(a) of this document.

In the case of a teaching project involving animals, the Director of Animal Care shall also determine the need for

qualified personnel to be in attendance when the project is conducted, and shaH- include this decision in the

recommendation.

c. The Chair of the U.A.C.C. shall independently evaluate all animal projects to determine whether the proposed

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Treatment of Animals in Research and Teaching ?

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treatment of animals conforms to the standards specified in Section 3(a) of this document.

• d. If both the Director of Animal Care and the Chair of the U.A.C.C. approve the project, the Chair of the U.A.C.C.

shall notify the Principal Investigator of this decision. Copies of the approved project form shall be forwarded to

the Director of Animal Care and the U.A.C.C. representative of the Principal Investigator's department.

e. If either the Director of Animal Care or the Chair of the U.A.C.C. does not approve the project, one or more of

the following actions will be taken:

I. The Principal Investigator will be asked for more information.

ii.

The Principal Investigator will be asked to submit a modified project proposal.

iii.

The project form will be circulated to members of the U.A.C.C. for comment on the matter(s) of concern.

iv.

A meeting of the U.A.C.C. will be called to discuss the matter(s) of concern.

f. If these actions fail to lead to approval of the project, the Chair of the U.A.C.C. shall provide the Principal

Investigator with a written statement of reasons for non-approval of the project, and shall forward a copy of this

statement to the Vice-President, Research.

When a project has been approved, it is the responsibility of the Director of Animal Care to arrange the acquisition

(by purchase, breeding, stock or with proper authorization obtained from the wild) of the animals required for the

project. The Director of Animal Care also has responsibility for the disposal of the animals when the project

terminates, Such disposal shall not be to the personal advantage of any University employee.

The Director of Animal Care shall keep up-to-date records of all animals maintained at the designated location,

showing their location, number, species, conditions of maintenance, and the person(s) responsible for their care. The

Director of Animal Care shall report, at least yearly to the Chair of the U.A.C.C. with a summary of such records.

Interpretation

Questions of interpretation or application of this policy or its procedures shall be referred to the President, whose decision

shall be final.

Forms

Application to use animals for research or teaching can be obtained from the A.C.F. or from the U.A.C.C. representative in

the department.

Summary of procedures to be followed when seeking approval of research projects or teaching demonstrtations

involving the use of animals

Obtain the necessary forms from the Director of Animal Care (604.291.4737) or from the U.A.C.C. representative in

your department.

2. Fill out the form completely in typed form. (Obtain Provincial and/or Federal Permits where necessary and submit

with your application). It is crucial to specify clearly the details of the objectives and methods of the project.

#es

ubmit the form to the Director of Animal Care at least 8 weeks before the demonstration or start the project. This will

allow sufficient time for the animals to be purchased.

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4. Your application will be reviewed by the Director of Animal Care and the Chair of the U.A.C.C. A statement is needed

why living animals are required for this study. You will be informed of their decision in writing. If approval is not granted

immediately, you will be contacted by theChair of the U.A.C.C. for further consultation.

If you have any questions regarding the procedures, please contact the Director of Animal Care (604.291.4737). You

should also be aware of the Policy and Procedures document (Research and Teaching Animals) which is available fromt

A.C.F. Many other important documents are required to be read before commencement.

Please note carefully: Simon Fraser University requires as minimal standards the conditions of animal maintenance and

treatment described in Guide to the Care and Use of Experimental Animals and Ethics of Animal Experimentation,

publications of the Canadian Council on Animal Care, Volume I and Volume II and all regulations and policies of the SFU

Animal Care facility. Standard of Procedures Manual (available at the ACF Office).

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