Unit 1:    The Science of Animal Research

III    Laws, Standards and Regulations

Panting dogReading ASSIGNMENTGuide for the Care and Use of Animals  (Note & Introduction)
                                                   US Government Principles for Utilization & Care of Animals
                                                   In-text links are recommended readings

Panting dogReading RECOMMENDATION:  Laws & Regs Affecting Animal Research

A.  Introduction

People care about the welfare of animals, whether they're used as pets, for entertainment in zoos and horse racing, for meat, eggs and milk, or for research.  Many people join organizations whose goal is to safeguard animals and prevent their misuse.  

Love your bunny!
 

Diverse agencies such as the Humane Society of the United States (HSUS),  the Scientists' Center for Animal Welfare (SCAW) and People for the Ethical Treatment of Animals (PETA) scrutinize activities using animals.  This interest by animal welfare and animal rights organizations has, through their questions and concerns, contributed positively to the regulations in effect today.  

Everyone who works with animals--in the research laboratory, in the veterinary clinic, and even with their own pets--is responsible for ensuring that these animals receive the best care possible.  Part of this responsibility is knowledge and understanding of all regulations that apply in their situation.

Many people think that experimenters can do anything they want to their animals.  This is not true, however.  Thousands of pages of laws, standards and regulations have been written and are enforced to protect the welfare of laboratory animals. 

 B.  Types of Regulations

There are two types of regulations that apply to laboratory animal research:
       Involuntary regulations that must be followed according to law or
           funding
      Voluntary regulations that a research facility chooses to follow

The United States Congress, through the Animal Welfare Act, established APHIS (the Animal and Plant Health Inspection Service) as part of the United States Department of Agriculture (USDA) to develop and enforce standards for the use of animals in any type of research.  Other government agencies, such as the Food and Drug Administration (FDA) and Public Health Service (PHS), have regulations that apply only to research facilities that are developing drugs or receive funding from the agency.  These are involuntary regulations.

Voluntary standards have been created by the American Association for Laboratory Animal Science (AALAS) for professional certification and by AAALAC (Association for the Assessment and Accreditation for Laboratory Animal Care International) for facility accreditation.  Many research laboratories choose certification by these agencies to ensure high quality animal care.

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C.  Federal Rules and Regulations

The first animal welfare regulation was the Twenty-Eight Hour Law of 1873.  It stated that livestock being transported must be rested and given water at least once every twenty-eight hours.

The Animal Welfare Act:

The first law  to protect research animals was enacted on August 26, 1966.  Called the Laboratory Animal Welfare Act, it required that minimum standards of care be provided for certain animals used for research or other purposes.  The law authorized the development and enforcement of regulations  by the Animal and Plant Health Inspection Service in the U.S. Department of Agriculture.   It was initially  written to protect dogs and cats from theft  and to ensure their humane treatment.  Research facilities that used dogs or cats were required to register with the USDA.  The law prohibited, however, any rules that would interfere with actual research.  According to the Act, an "animal" was limited to the dog, cat, nonhuman primate, guinea pig, hamster and rabbit.

Several amendments have been made to the original Act and it was renamed the Animal Welfare Act (AWA) in 1970.  The definition of "animal" was broadened to include all warm-blooded animals determined by the Secretary of Agriculture as being used or intended for use in experimentation or exhibition.  Facilities that use any of these animals must register with the USDA and file an annual report documenting the animals used and the care provided to them.  Interference of research by the USDA continued to be prohibited.

The 1976 Animal Welfare Act amendments set standards for animal transporters and outlawed animal fighting.  In addition, rats and mice bred specifically for research, birds, horses and farm animals used for production research were excluded from the definition of "animal."   

The 1985 amendment entitled the "Improved Standards for Laboratory Animals Act" radically changed the relationship of the government to actual research activities.  This amendment improved the standards for research animal care by establishing a number of different programs, increasing enforcement of the Act, and directly regulating research protocols.  

The Chief Executive Officer (CEO) of the research facility is required to appoint an Institutional Animal Care and Use Committee (IACUC), which is responsible for overseeing the appropriate use and care of animals at the facility.  The IACUC must consist of at least three members, including a veterinarian and someone unaffiliated with the laboratory.  The IACUC must meet at least once every six months and inspect the research facility, review all activities and programs, and write a report for submission to the CEO.   

All activities related to the animals must be written as an Animal Care and Use Plan (ACUP).  These ACUPs must be submitted to the IACUC for review and approval.  The Animal Care and Use Plans are detailed descriptions of the experiment and animal husbandry, and must include:

      The species and number of animals
      Husbandry procedures 
      Exact description of the experimental protocol
      Description of any painful procedures and measure taken to relieve pain
      The disposition of the animals after the experiment

All research facilities must have an attending veterinarian (AV) and a Program of Veterinary Care.  The AV must have a formal relationship with the research facility and may be a full-time employee or a consultant available on an as-needed basis.  The veterinarian should have training and experience working with laboratory animals.

Employees responsible for working with the animals, from the animal caretakers to the principal investigator, must receive training in:

       Experimental techniques and statistical methods
      Husbandry procedures
      Methods to minimize animal use
      Methods to minimize animal pain and stress
      Methods to report deficiencies in animal care or use
      How to use the National Agriculture Library to search for previous experiments
            and alternatives to laboratory animal use

Each registered facility must submit an annual report to APHIS.  This report includes assurances that acceptable standards of care have been met and any procedures that produce pain or stress are justified.  Research that may result in pain or stress must include a statement from the principal investigator that alternatives were considered and why pain was not relieved.

All records, including ACUPs, minutes of the IACUC meetings, and records of animals must be maintained for at least three years.  They must be presented to an APHIS inspector at their request.  

An exercise program for dogs and provision of environmental enrichment for nonhuman primates must be developed.  

The Pet Protection Act is a 1990 amendment to the Animal Welfare Act that established standards to minimize the chance that a lost pet (dog or cat) would be sold by an animal shelter for research.  (New York State law prohibits the release of any animal from a shelter for use in research.)  

The current Animal Welfare Act definition of "animal" is:

Any live or dead dog, cat, nonhuman primate, guinea pig, hamster, rabbit or any other warm-blooded animal which is being used, or is intended for use for research,  teaching, testing, experimentation, or exhibition purposes, or as a pet.  This term excludes:  birds, rats, of the genus Rattus and mice of the genus Mus bred for use in research, and horses not used for research purposes and other farm animals, such as but not limited to livestock or poultry, used for or intended for use as food or fiber, or livestock or poultry used or intended for use for improving animal nutrition, breeding, management or production...

The USDA was petitioned in January of 1999 to include rats, mice and birds in its definition of "animal".  It settled out-of-court in October 2000 and agreed to consider the developing rules that would cover these species.  The 2002 Farm Bill permanently excluded rats, mice and birds bred for research from coverage by the USDA.

Redefinition of pain and distress and improved methods of reporting pain and distress in laboratory animals began in 2000.  In response, the Humane Society of the United States has developed a "Pain and Distress Initiative" with the goal of eliminating pain and distress in laboratory animals by the year 2020.

It is important for animal facility personnel to be aware of additions, clarifications and developing issues related to the Animal Welfare Act.   These rules are designed to improve the welfare of the animals in our care.  The AWIC website is an excellent source for information on government regulations addressing animals.

The Controlled Substance Act:

This act is administered by the Drug Enforcement Administration (DEA), part of the Justice Department.  The DEA regulates the security and management of potentially addictive or harmful drugs, including anesthetics and euthanasia solutions.

The Good Laboratory Practices Act:

The Good Laboratory Practices Act (GLP) was enacted in 1987.  It is administered by the U.S. Food and Drug Administration to ensure appropriate standards of care for animals used in the development and safety testing of drugs.  The GLP requires the research facility to establish a Quality Assurance (QA) unit to develop Standard Operating Procedures for all drug studies.

The Guide for the Care and Use of Laboratory Animals:

Written by the Institute of Laboratory Animal Resources (ILAR) and the Public Health Service (PHS) in 1966, The Guide details minimum standards for research facilities.  The Public Health Service, AAALAC and New York State use The Guide for their standards. The most recent update was completed in 1996 and includes information on:

      Institutional policies and responsibilities  (including IACUC & research protocols)
      Animal environment, housing and management
      Veterinary medical care
      The physical plant  (the facility, surgical suite & construction guidelines)

The Health Research Extension Act regulates experimental design and animal care for any facility that receives funding from the United States Public Health Service (a major supplier of funds for pure and applied research in the United States).  Rats and mice are covered by this act.  Failure to comply with the Act may result in withdrawal of funding for the Principal Investigator.

Employee Protection:

The Occupational Safety and Health Administration (OSHA) and the National Institute of Occupational Safety and Health (NIOSH) are the federal agencies responsible for ensuring the health of employees in the work place. 

The most frequent health risk associated with research animals is allergy.  About 33% of animal handlers have laboratory animal allergies and 10% of animal handlers have asthma.

Common allergens include the urine, saliva and fur from rats, mice, guinea pigs, rabbits and cats, especially males.  Most allergies develop within 36 months of starting work with animals, but may be delayed for years.  Clinical signs vary and may result in permanent disability.  Signs may include pruritis, conjunctivitis, rhinitis, asthma and anaphylaxis.

Other problems can be associated with research animals.  Direct injury can occur if an animal bites, scratches or kicks the people working with it.  Laboratory animals can also be a source for zoonotic infections-- animal diseases that are infective to man--such as:
      Rat bite fever  (Streptobacillus moniliformis)
      Tuberculosis  (Mycobacterium spp.-  esp. from primates)
      Contagious echthyma  (a poxvirus of sheep and goats)
      Q fever  (Coxiella burnetti- from sheep and goats)
      Herpes B  (Cercopithecine herpesvirus 1- from primates)
      Parrot fever  (Chlamydia psittici-  from birds)
      Ringworm fungus  (Microsporum spp.-  from cats, guinea pigs & others)
      Diarrhea  (Salmonella and other bacteria from any animal)
      Q fever  (Coxiella burnetti from sheep, goats and cattle)
      Rabies  (from almost any animal, except small rodents)

Latex allergy is an additional problem that may arise as a reaction to the natural rubber in the gloves worn to decrease the development to animal allergens.  The reactions associated with latex allergy are similar to those of animal-associated allergy and should be reported to your supervisor immediately.  Alternate glove materials are available and should be substituted for latex gloves.  

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D.  Local Regulations

Each of the states has developed standards that regulate the use of animals.  New York State has passed several laws that affect the welfare of animals.  

The Public Health Law is administered by the New York State Department of Health (DOH).  DOH is responsible for approving facilities using living mammals (including rats and mice) and other animals for scientific tests and education.  The care and treatment of these animals must be humane and appropriate as described in the Guide for the Care and Use of Laboratory Animals and in detailed standards written in 1993.

General animal welfare is protected by the New York State Agriculture and Markets regulations enacted in 1990 (sometimes called the "pound law" -  see Lost and Strayed Animals 115/1894).  This law prohibits the release of any dog or cat from an animal shelter for any purpose except for adoption as a pet. 

E.  Voluntary Regulations

Voluntary regulations are those standards that a facility chooses to use to ensure that high quality care is provided to the animals that it uses.  

AAALAC is a peer-review organization that sets high standards for all animals used in research, including invertebrates.  On-site inspections every three years and annual reports are essential parts of the AAALAC accreditation process.

AALAS has established standards for training and testing of Assistant Laboratory Animal Technicians, Laboratory Animal Technicians and Laboratory Animal Technologists.  In addition to certification, personnel can be entered on a registry established to encourage continuing education.  

Facilities may also establish internal standards that exceed those mandated by regulations, such as requiring Laboratory Animal Technicians to be Licensed Veterinary Technicians or developing enrichment protocols for all species of animals used.

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Study Guide-  Laws, Standards & Regulations

1.      What is the difference between a voluntary and an involuntary regulation?   
2.         What is the name of a voluntary regulation (law)?  an involuntary regulation?
3.         What is the name and date of the first federal law that set standards for lab animal care?
4.         Which agency was authorized to develop the standards?
5.         What were the two goals of this Act?
6.         When was the Improved Standards for Laboratory Animals Act amendment enacted?
7.         What do the initials IACUC stand for?
8.         What is the function of the IACUC?
9.         How frequently must the IACUC meet?
10.       List specific topics of training that must be provided to lab animal personnel.
11.       How long must records be kept?
12.       What does the Controlled Substance Act regulate & what agency does it apply to?
13.       What does the Good Laboratory Practices Act regulate & what agency does it apply
             to?
14.      What is the Health Research Extension Act and what agency does it apply to?

15.       What does The Guide for the Care and Use of Laboratory Animals do and what agency
            does it apply to?
16.       List the US “Principles for the Utilization and Care of Vertebrate Animals Used in Testing,
            Teaching and Training” and give an example of each.
17.       Which agency administers lab animal use regulations in New York State?

18.       What does the NYS pound law state?

08/10/04