Guidelines for Ethical Conduct in the Care and Use of Nonhuman Animals in Research
←
→
Page content transcription
If your browser does not render page correctly, please read the page content below
Guidelines for
Ethical Conduct in
the Care and Use of
Nonhuman Animals
in ResearchGuidelines for Ethical party. APA members working outside the
United States must also follow all applicable
Conduct in the Care laws and regulations of the country in which
they conduct research.
and Use of Nonhuman Questions about these guidelines should be
Animals in Research1 referred to the APA Committee on Animal
Research and Ethics (CARE) via email at
researchethics@apa.org, by phone at 202-
336-6000, or in writing to the APA Science
As a field of study, psychology examines Directorate, Office of Research Ethics, 750
a broad range of research and applied First St., NE, Washington, DC 20002-4242.
areas. Important parts of such work are
Violations of the Ethical Principles of
teaching and research on the behavior of
Psychologists and Code of Conduct by an APA
nonhuman animals, which contribute to the
member should be reported to the APA Ethics
understanding of basic principles underlying
Committee by phone at 202-336-5930, or in
behavior and to advancing the welfare of
writing to the APA Ethics Office, 750 First
both human and nonhuman animals. While
St., NE, Washington, DC 20002-4242.
psychologists must conduct their teaching and
research in a manner consonant with relevant
laws and regulations, ethical concerns further I. Justification of the
mandate that psychologists consider the costs Research
and benefits of procedures involving animals
before proceeding with these activities. A. Research should be undertaken with a
clear scientific purpose. There should be
The following guidelines were developed
a reasonable expectation that the research
by the American Psychological Association
will a) increase knowledge of the process
(APA) for use by psychologists working with
underlying the evolution, development,
nonhuman animals. They are informed
maintenance, alteration, control, or biological
by Section 8.09 of the Ethical Principles of
significance of behavior; b) determine the
Psychologists and Code of Conduct (APA, 2010).
replicability and generality of prior research;
The acquisition, care, housing, use, and
c) increase understanding of the species under
disposition of nonhuman animals in research
study; or d) provide results that benefit the
must be in compliance with applicable
health or welfare of humans or other animals.
federal, state, and local, laws and regulations,
institutional policies, and with international B. The scientific purpose of the research
conventions to which the United States is a should be of sufficient potential significance
to justif y the use of nonhuman animals.
In general, psychologists should act on the
1. These guidelines are scheduled to expire 10 assumption that procedures that are likely to
years from February 24, 2012 (the date of adoption produce pain in humans may also do so in
by the APA Council of Representatives). After other animals, unless there is species-specific
this date users are encouraged to contact the APA evidence of pain or stress to the contrary.
Science Directorate to determine if this document
remains in effect.
2 3C. I n proposi ng a resea rch projec t, t he assessment and treatment of health problems.
p s yc holo g i s t s ho u ld b e f a m i l i a r w it h
D. Psychologists should assume it t hei r
t he appropr iate literat ure, consider t he
respon sibi l it y t hat a l l i nd iv idu a ls who
possibility of non-animal alternatives, and
work with nonhuman animals under their
use procedures that minimize the number of
super vision receive explicit inst r uction
nonhuman animals in research. If nonhuman
in experimental methods and in the care,
animals are to be used, the species chosen for
maintenance, and handling of the species
the study should be the best suited to answer
be i ng s t ud ied. T he a c t iv it ie s t h at a ny
the question(s) posed.
individuals are allowed to engage in must not
D. Research on nonhuman animals may not exceed their respective competencies, training,
be conducted until the protocol has been and experience in either the laboratory or the
reviewed by an appropriate animal care field setting.
committee; typically, an Institutional Animal
Care and Use Committee (IACUC), to ensure III. Care and Housing of
that the procedures are appropriate and
humane. Laboratory Animals
As a scientific and professional organization,
E. The psychologist(s) should monitor the
APA recognizes the complexities of defining
research and the subjects’ welfare throughout
psychological well-being for both human and
the course of an investigation to ensure
non-human animals. APA does not provide
continued justification for the research.
specific guidelines for the maintenance of
psychological well-being of research animals,
II. Personnel as procedures that are appropriate for a
A. Psychologists should ensure that personnel particular species may not be for others.
involved in their research with nonhuman Psychologists who are familiar with the
animals be familiar with these guidelines. species, relevant literature, federal guidelines,
and their institution’s research facility
B. Research procedures with nonhuman context should consider the appropriateness
animals should confor m to t he A nimal of measures such as enrichment to maintain
Welfare Act (7 U.S.C. §2131 et. seq.) and or improve psychological well-being of those
applicable federal regulations, policies, and species.
guidelines, regarding personnel, supervision,
record keeping, and veterinary care. A. The facilities housing laboratory animals
should meet or exceed current regulations and
C. As behavior is not only the focus of study of guidelines (USDA, 1990, 1991; NIH, 2002)
many experiments but also a primary source and are required to be inspected twice a year
of information about an animal’s health and (USDA, 1989, NIH, 2002).
well-being, psychologists and their assistants
should be informed about the behavioral B. All procedures carried out on nonhuman
characteristics of their nonhuman animal animals are to be reviewed by an institutional
subjects. Awareness of the difference between animal care and use committee (IACUC) to
unusual behaviors and normal, species- ensure that the procedures are appropriate
specif ic behaviors may allow for earlier and humane. The commit tee must have
4 5representation from within the institution ethical concerns. Information and permit
and from the local community. In event that applications can be obtained from the Fish
it is not possible to constitute an appropriate and Wildlife Service website at http://www.
IACUC in the psychologist’s own institution, fws.gov/.
psychologists should seek advice and obtain
review from a corresponding committee of a V. Experimental Procedures
cooperative institution.
Consideration for the humane treatment and
C. Laboratory animals are to be provided with well-being of the laboratory animal should
humane care and healthful conditions during be incorporated into the design and conduct
their stay in any facilities of the institution. of all procedures involving such animals,
Responsibilities for the conditions under which while keeping in mind the primary goal of
animals are kept, both within and outside undertaking the specific procedures of the
of the context of active experimentation or research project—the acquisition of sound,
teaching, rests with the psychologist under replicable data. The conduct of all procedures
the supervision of the IACUC (where required is governed by Guideline I (Justification of
by federal regulations) and with individuals Research) above.
appoi nted by t he instit ution to oversee
A. Observational and other noninvasive forms
laboratory animal care.
of behavioral studies that involve no aversive
stimulation to, or elicit no sign of distress
IV. Acquisition of from the nonhuman animal are acceptable.
Laboratory Animals B. Whenever possible behavioral procedures
A. Laborator y a n i ma ls not bred i n t he should be used that minimize discomfort to
psychologist’s facility are to be acquired the nonhuman animal. Psychologists should
lawfully. The USDA and local ordinances adjust the parameters of aversive stimulation
should be consulted for information regarding to the minimal levels compatible with the
regulations and approved suppliers. aims of the research. Consideration should
be given to providing the research animals
B. Psychologists should make every effort to control over the potential aversive stimulation
ensure that those responsible for transporting whenever it is consistent with the goals of the
the nonhuman animals to the facility provide research. Whenever reasonable, psychologists
adequate food, water, ventilation, space, and are encouraged to first test the painful stimuli
impose no unnecessary stress on the animals to be used on nonhuman animal subjects on
(NRC, 2006). themselves.
C. Nonhuman animals taken from the wild C. Procedures in which the research animal
should be trapped in a humane manner and in is a nest het i zed a nd i nsensit ive to pai n
accordance with applicable federal, state, and throughout the procedure, and is euthanized
local regulations. (AVMA, 2007) before regaining consciousness
D. Use of endangered, threatened or imported are generally acceptable.
nonhuman animals must only be conducted D. P r o c e d u r e s i n v o l v i n g m o r e t h a n
with full attention to required permits and momentary or slight aversive stimulation,
6 7which is not relieved by medication or other and antibiotics, should be provided to
acceptable methods, should be undertaken minimize discomfort, prevent infection
only when the objectives of the research and promote recovery from the procedure.
cannot be achieved by other methods. 4. In general, laboratory animals should
E. Experimental procedures that require not be subjected to successive survival
prolonged aversive conditions or produce surgical procedures, except as required by
tissue damage or metabolic disturbances the nature of the research, the nature of
require greater justification and surveillance the specific surgery, or for the well-being
by the psychologist and IACUC. A research of the animal. Multiple surgeries on the
animal observed to be in a state of severe same animal must be justified and receive
dist ress or ch ronic pain t hat can not be approval from the IACUC.
alleviated and is not essential to the purposes I. To minimize the number of nonhuman
of t he r e s e a r c h shou ld b e e ut h a n i z e d animals used, multiple research uses of
immediately (AVMA, 2007). individual animals should be considered.
F. Procedures that employ restraint must Such uses must be compatible with the goals
conform to federal regulations and guidelines. of the research, sound scientific practice, and
the welfare of the animal.
G. Procedures involving the use of paralytic
agents without reduction in pain sensation J. To ensure their humane treatment and
require particular prudence and humane well-being, laboratory animals generally may
concern. Use of muscle relaxants or paralytics not be released from institutional facilities.
alone during surgery, without anesthesia, is Nonhuman animals reared in the laboratory
unacceptable. must not be released into the wild because, in
most cases, they cannot survive or they may
H. Surgical procedures, because of their survive by disrupting the natural ecology.
invasive nature, require close supervision and Return of any wild-caught animal to the field
attention to humane considerations by the also carries risks, both to the formerly captive
psychologist. Aseptic (methods that minimize animals and to the ecosystem.
risks of infection) techniques must be used on
laboratory animals whenever possible. K. When euthanasia is appropriate, either
as a requirement of the research or because
1. A l l s u r g i c a l p r o c e d u r e s a n d it constit utes t he most humane for m of
anesthetization should be conducted disposition of a nonhuman animal at the
under the direct supervision of a person conclusion of the research:
who is trained and competent in the use of
the procedures. 1. Euthanasia must be accomplished in a
humane manner, appropriate for the species
2. Unless there is specific justification for and age, and in such a way as to ensure
acting otherwise, research animals should immediate death, and in accordance with
be maintained under anesthesia until all procedures outlined in the latest version of
surgical procedures are ended. the “AVMA (American Veterinary Medical
3. Postoperat ive mon itor i ng a nd ca re, Association) Guidelines on Euthanasia
which may include the use of analgesics (2007),” available from http://www.avma.
8 9org/issues/animal_welfare/euthanasia. and discussion of the ethics and values of
pdf. nonhuman animal research in all relevant
2. D i s p os a l of e ut h a n i zed l a b or ator y courses.
animals must be conducted in accord A. Nonhuman animals may be used for
with all relevant legislation, consistent educational purposes only after review by
with health, environmental, and aesthetic an IACUC or committee appropriate to the
concerns, and as approved by the IACUC. institution.
No animal shall be discarded until its
death is verified. B. Consideration should be given to the
possibility of using non-animal alternatives.
VI. Field Research Some procedures that can be justified for
research purposes may not be justified for
Field research that car ries a risk of educational purposes.
materially altering the behavior of nonhuman
animals and/or producing damage to sensitive It is important to recognize that this
ecosystems is subject to IACUC approval. document constitutes “guidelines,” which
Field research, if strictly observational, may serve a different purpose than “standards.”
not require animal care committee approval Sta nd a rds, u n l i ke g uidel i nes, requi re
(USDA, 2000). m a nd ator y compl ia nce, a nd m ay be
accompanied by an enforcement mechanism.
A. Psychologists conducting field research This document is meant to be aspirational
should disturb their populations as little as in intent, and to provide recommendations
possible, while acting consistent with the for the professional conduct of specified
goals of the research. Every effort should be activities. These guidelines are not intended
made to minimize potential harmful effects to be mandatory, exhaustive, or definitive and
of the study on the population and on other should not take precedence over the judgment
plant and animal species in the area. of individuals who have competence in the
subject addressed.
B. Research conducted in populated areas
must be done with respect for the property APA has adopted separate guidelines for
and privacy of the inhabitants of the area. the use of nonhuman animals in research
and teaching at the pre-college level. A copy
C. Such research on endangered species should of the APA Guidelines for the Use of Animals in
not be conducted unless IACUC approval has Behavioral Projects in Schools (K–12) can be
been obtained and all requisite permits are obtained via email at researchethics@apa.org,
obtained (see IV.D of this brochure.) by phone at 202-336-6000, or in writing to the
APA Science Directorate, Office of Research
VII. Educational Use of Ethics, 750 First St., NE, Washington, DC
Nonhuman Animals 20002-4242 or downloaded at http://www.
apa.org/science/leadership/care/animal-
Laboratory exercises as well as classroom guide.pdf.
demonstrations involving live animals are of
great value as instructional aids. Psychologists
are encouraged to include instr uction
10 11References 8. U. S. Department of Agriculture (1991)
Animal welfare; Standards; Part 3, Final
1. American Psychological Association. Rule. Federal Register, 55(32), (Feb 15, 1991),
(2010). Ethical principles of psychologists 6426-6505.
and code of conduct (2002, Amended June
9. U. S. Department of Agriculture (2000)
1, 2010). Retrieved September 19, 2011
Field study; Definition; Final Rule. Federal
from http://www.apa.org/ethics/code/
Register, 65(27), (Feb 9, 2000), 6312-6314.
index.aspx
2. American Veterinary Medical Association
(2007) AVMA Guidelines on Euthanasia.
Additional Resources
Ret r ieved Apr i l 8, 2010 f rom ht t p:// 1. Dess, N. K. & Foltin, R. W. (2004). The
www.avma.org/issues/animal_welfare/ ethics cascade. In C. K. Akins, S. Panicker,
euthanasia.pdf & C. L. Cunningham (Eds.). Laboratory
animals in research and teaching: Ethics, care,
3. Animal Welfare Act 7 U.S.C. § 2131 et
and methods. (pp 31-39). Washington, DC:
seq. Retrieved April 8, 2010 from http://
APA.
awic.nal.usda.gov/nal _display/index.
php?info_center=3&tax_level=3&tax_ 2. National Instit utes of Mental Health
s ubjec t =182 & topic _ id=1118 &level 3 _ (2002). Methods and welfare considerations
id=6735 in behavioral research wit h animals:
Report of a National Institutes of Health
4. National Institutes of Health Office of
Workshop. Morrison, A. R., Evans, H. L.,
Laboratory Animal Welfare (2002). Public
Ator, N. A. & Nakamura, R. K. (Eds.). NIH
Health Service policy on the humane care
Publications No. 02-5083. Washington,
and use of laboratory animals. Bethesda,
DC: US Government Printing Office.
MD: NIH. Retrieved September 27, 2011
from http://grants.nih.gov/grants/olaw/ 3. National Research Council (2011). Guide
references/phspol.htm for the care and use of laboratory animals.
(8t h Edit ion). Wash i ng ton, DC: T he
5. Na t io n a l R e s e a r c h C ou nc i l (2 0 0 6).
National Academies Press.
Guidelines for the humane transportation of
research animals. Washington, DC: The 4. Na t io n a l R e s e a r c h C o u nc i l (2 0 03).
National Academies Press. G u id e l i ne s fo r t he c a r e a nd u s e of
mammals in neuroscience and behavioral
6. U. S. Department of Agriculture (1989)
research. Washington, DC: The National
A nimal welfare; Final Rules. Federal
Academies Press.
Register, 54(168), (Aug 31, 1989), 36112-
36163. 5. Na t io n a l R e s e a r c h C o u nc i l (2 0 0 8).
Recognition and alleviation of distress in
7. U. S. Department of Agriculture (1990)
laboratory animals. Washington, DC: The
Guinea pigs, hamsters, and rabbits; Final
National Academies Press.
Rule. Federal Register, 55(136), (July 16,
1990), 28879-28884. 6. Na t io n a l R e s e a r c h C o u nc i l (2 0 0 9).
Recognition and alleviation of pain in
laboratory animals. Washington, DC: The
National Academies Press.
12 13Guidelines for Ethical Conduct in the Care and
Use of Nonhuman Animals in Research was
developed by the American Psychological
Association Committee on Animal Research
and Ethics in 2010-11. Members on the
committee were Gary Dunbar, PhD, Jennifer
Higa, PhD, Theresa Jones, PhD, Barbara
Kaminski, PhD, Scott Robinson, PhD,
Rodney Swain, PhD, Pamela Scott-Johnson,
PhD, Eric Wiertelak, PhD, and Sangeeta
Panicker, PhD (Staff Liaison). Inquiries
about these guidelines should be made to the
American Psychological Association, Science
Directorate, Office of Research Ethics, 750
First Street, NE, Washington, DC 20002, or
via e-mail at researchethics@apa.org.
Adopted by the APA Council of Representatives on
February 24, 2012.
14750 First Street NE
Washington, DC 20002
Printed in the U.S.A., July 2012You can also read
