SCIENCE FACULTY ANIMAL ETHICS COMMITTEE GUIDELINES & PROCEDURES

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1 SCIENCE FACULTY ANIMAL ETHICS COMMITTEE GUIDELINES & PROCEDURES WHEN AND WHY DO I NEED ANIMAL ETHICS CLEARANCE? Why apply for animal ethics clearance? UCT subscribes to strict national and international norms concerning the ethical use of animals in teaching and research. The Science Faculty Animal Ethics Committee (SFAEC) is tasked with ensuring that scientific research and teaching activities involving animals (here defined as cephalopods, decapods and vertebrates) in the Faculty of Science comply contextually with the relevant provisions of the South African National Standard SANS 10386:2008 (The care and use of animals for scientific purposes - hereafter stated as the SANS code) and UCT policies for animal use, incorporating the core ethical principles of Replacement of the use of animals with alternative models where feasible Reduction of the number of individual animals used Refinement of experimental design, procedures, care and husbandry, to minimise or eliminate the impact on individual animals in terms of actual or potential pain, suffering, stress, and lasting harm. The main role of the SFAEC is thus to ensure that activities involving the use of animals undergo a prior, rigorous and scientifically-informed ethical review process. Applicants should consult the SFAEC Terms of Reference and the SFAEC Standard Operating Procedure before submitting an application. Once an application is received, the committee evaluates it to inter-alia ensure that animal experimentation takes place only where scientifically and ethically justifiable; confirm that researchers/teachers are adequately qualified/trained to perform the research or activities involving animals, and that necessary permits for such animal usage is (or will be) obtained;; assess the benefits (scientific/educational quality and outcomes) of a proposed animal usage activity against the costs (stress/discomfort that target animals will suffer). Failure of applicants to supply the required information in sufficient detail or to adequately motivate the benefits of the proposed animal usage activity will inevitably result in delays or refusal of SFAEC ethics authorization. Who must apply? All academic staff, visiting academics and researchers (including Honorary Research Associates) using animals (including specimens acquired from other parties outside UCT) for research, teaching or experiments as an activity of the Science Faculty of the University of Cape Town must submit a protocol (application) for ethics approval to the Science Faculty Animal Ethics Committee (SFAEC). This includes work done by UCT staff, postdoctoral fellows, postgraduate students or Honorary

2 Research Associates elsewhere, even if animal ethics clearance from another institution has been obtained. The Principal Investigator (PI) listed in applications should be the researcher, teacher overseeing educational activities using animals, or postgraduate supervisor that assumes overall responsibility for the ethical care and use of animals targeted by the proposed activity\project. Postgraduate students may not submit applications, but should be listed as participants on applications submitted by their supervisor(s) or UCT host(s). (SFAEC clearance is required before any postgraduate degree based on usage of animals, as defined above, is approved by the Dean of Science.) Postdoctoral fellows and visiting scientists must list their UCT hosts as participants on their SFAEC applications For teaching involving the use of animals, the Course Convenor must inform teachers overseeing animal usage activities of the need to submit an application at least annually. The teacher(s) involved in animal usage must then submit an application in the capacity of Principal Investigator, listing all animal usage activities they will oversee and other participants that may run practicals or supervise animal usage activities. Duties and responsibilities of the Course Convenor and other listed participants (teaching\support staff and associates) are given in the Animal ethics duties of course convenors and lecturers document on the SFAEC website. Must I apply for ethics clearance if the proposed activity uses dead animals? SFAEC approval is required to use the remains of an animal that is killed for a scientific purpose. (Remains include cadavers, tissue samples, genetic material, body fluids, excreta, bones etc.) This means that if an animal is killed specifically so that parts of the animal can be used for scientific purposes, then the use of that animal, including killing it, requires SFAEC approval. SFAEC approval is not required to use the remains of an animal if no aspect of the animal's life and death were altered for the scientific purpose, i.e. if the animal's life and death would have been exactly the same whether or not the scientific purpose occurred. In accordance with the SANS Code, the SFAEC encourages the sharing of tissues or remains of animals in additional activities, providing the initial use and death of the animal was approved as required, as this maximises the potential benefit from the original use of the animal with no additional welfare impact. Examples of when SFAEC approval is not required Use of organs or other material from animals killed as part of routine commercial food and fibre production; e.g. sourced from butchers, fish shops or abattoirs. Use of carcasses or samples from animals killed at veterinary clinics or shelters for other (veterinary or management) reasons. Use of animal carcasses from culling exercises conducted by CapeNature or equivalent conservation entities, providing that permit regulations are complied with Use of samples from animal killed as part of a routine, unmodified pest animal control program. Use of carcasses or samples from animals found dead (e.g. road kill) Use of tissue samples stored in laboratories from animals whose care and euthanasia has already been approved and monitored as part of an earlier AEC-approved activity. Use of specimens housed in museums and research collections

3 Note that the onus rests on Principal Investigators they comply with provincial and national laws and permit regulations concerning the use of animals or animal parts in research/teaching, even if SFAEC approval is not required. Is SFAEC approval needed for animal observational activities? The term observational means different things to different people. Some activities that people call observational do require SFAEC approval; others do not. SFAEC approval is not required for the following activities, providing that such activities do not involve serious disruption of habitat or disturbances to animals, and relevant authorization is obtained from conservation agencies and/or landowners: Observing visually, not including spotlighting, e.g. bird watching and whale watching from a public beach using the naked eye or binoculars, providing that such observation will not stress the animals Recording observations, note taking Making photographic, sound or digital recordings Collecting faeces (scats) and shed feathers. Searching for and recording animal tracks Recording animal tracks through the use of shallow sand pans Using hair tubes to detect presence of animals Activities that 'use' animals for which SFAEC approval is required include: Observational activities that require such close physical proximity to animals that the animals may suffer stress (e.g. monitoring of seabird nesting sites or cave-dwelling bat populations) Spotlighting or using light sources more powerful than a domestic torch for the purposes of visual observation to collect scientific data Trapping of animals (Elliot, pitfall, cage traps, nets etc) Catching and banding birds or bats for scientific use or as part of ecological research programs or surveys Using call playback to stimulate responses by animals Identifying animals by means of marking or placing on or in the animal any form of identifying mark or object, e.g. includes paint or other external marker, microchipping, trimming hair, banding and tagging, toe clipping, ear punching, fitting of GPS loggers, etc. Conducting surveys where animals are caught by hand, examined and released. These lists are not exhaustive, but provide some examples of when animal ethics clearance is/not needed. Principal Investigators should contact the Chair of the SFAEC (sfaec@uct.ac.za) for advice if doubts exist concerning the need for animal ethics clearance. Is SFAEC approval needed for displays and demonstrations using animals? Displaying or demonstrating an animal does use the animal, and animals used in educational displays or demonstrations may suffer discomfort and stress. SFAEC clearance is, therefore, required for the use of animals used for educational displays or demonstration purposes (e.g. wildlife displays at schools, open days and school outreach activities in the field) conducted under the auspices of UCT. Displays of animals that are for purposes other than scientific or teaching purposes do not require SFAEC approval (e.g. fish tank in a departmental museum). PROCEDURES How to apply for animal ethics clearance

4 Applications must be submitted to the committee following the procedures and forms available on the Science Faculty website, at least 5 weeks before the planned animal usage is to commence, but preferably earlier. An electronic copy of the application form, with electronic signatures of all participants, and the HOD should be submitted in MSWord format to sfaec@uct.ac.za. Scanned or PDF copies of applications will be considered only under exceptional circumstances. Applicants from the Biological Sciences Department must submit the application electronically to Sarojini.Pillay@uct.ac.za for electronic signing by the HOD. A copy of the signed application form will then be forwarded to the SFAEC. A hard copy of the approved final applications/protocols with handwritten signatures of the PI and HOD is required once the electronic review process has been finalised. This hardcopy may contain an electronic signature only if the PI is based abroad. Review and approval of applications The SFAEC meets monthly between January and November to evaluate applications. SFAEC submission and meeting dates for 2014 are as follows: Dates for submissions (New studies & renewals) Meeting dates for formal review 24 January 20 February 20 February 27 March 20 March 24 April 24 April 29 May 22 May 26 June 19 June 24 July 23 July 28 August 21 August 25 September 25 September 30 October 23 October 27 November The Committee will authorise only those studies for which animals are essential and that conform to current standards and guidelines, taking into consideration ethical and welfare aspects as well as the scientific and educational value of the proposed research. In the case of proposals for research using Non-Human Primates, the review process includes ratification of the proposal by the Senate Animal Ethics Committee, in accordance with the UCT Non-Human Primate policy. Only after the SAEC has ratified the pre-authorisation by SFAEC may the research be initiated. Submitted applications are circulated electronically to at least three committee members (one of whom shall be a representative of an independent animal welfare organization) to ensure rapid review. Following the SANS Code, decisions on the authorization of proposals can only be made at meetings of the SFAEC.

5 Applications are approved on the basis of consensus at quorate meetings; if consensus cannot be achieved, the decision of the majority of committee members shall be accepted. Minutes from all meetings will be recorded, archived and submitted to the Science Faculty Office (Dean). Each application/protocol is evaluated by the SFAEC and may be: Approved with/without conditions, whereupon the Chair of the SFAEC shall provide the PI with a Letter of Approval and note any special conditions; Rejected if proposed procedures are deemed ethically unacceptable; resubmission of a revised protocol with alternative procedures may be allowed. Referred back to applicant if changes to the protocol are required, in which case the application must be resubmitted. Note that the SFAEC will only consider revised applications twice; if still lacking in relevant detail or motivation, an application may then be rejected and a new application will have to be submitted. Any SFAEC approval is applicable only to the number and types of animals, and the proposed activities that are detailed in a protocol. Approval is valid for the specified duration of a project or for the time period specified on the relevant permit(s) from conservation authorities, with a maximum of three years, after which a new application/protocol (listing the original approval number) must be submitted. SFAEC approval is also subject to the submission of relevant permits from conservation authorities within 60 days, if not already provided. Should any permits expire and be renewed during the execution of the project, PI s are required to submit a copy thereof to the SFAEC. Should there be any changes to the numbers and types of animals to be used, participants and/or procedures to be followed, PI s must obtain further written approval from the SFAEC (see Protocol Amendments below). Should an applicant be dissatisfied with a SFAEC decision regarding the proposed usage of animals, s\he may appeal this decision following the process given in the SFAEC Standard Operating Procedures (available on the SFAEC website). Protocol amendments In the case of minor modifications to protocols, or deviations necessitated by emergencies that could impact on animal health and wellbeing, a PI must obtain authorization from the SFAEC using the Protocol Amendment Form on the SFAEC website. Minor protocol amendments can be approved by the SFAEC Executive Subcommittee without a full ethical screening process. Reporting on authorized animal usage The SFAEC has the right to request progress reports and/or final reports on any teaching or research activities that are approved. These reports may include details of animal usage, animal welfare observations, adherence to protocol-outlined procedures and results achieved compared to animal usage. Protocol deviations and animal ethics violations The SFAEC is obliged to respond to any complaints relating to animal welfare from members of UCT, or problems identified during occasional and unannounced inspection of animal housing facilities and/or operational procedures. In the event of deviations from protocols that are deemed to be serious, the SFAEC may withdraw approval, order the immediate cessation of any teaching or

6 research activity, and refer the matter to the Senate Animal Ethics Committee for further investigation, as outlined in the Standard Operating Procedures on the SFAEC website. Biological Safety Committee clearance All activities involving the use of, or potential exposure to biological agents and other biological materials require authorization from the Science Faculty Biological Safety Committee (BSC). This includes animal handling activities where there is a risk of physical injury or pathogen transfers to researchers and teachers. Although SFAEC approval of protocols is not contingent on authorization from the BSC, all new applications are copied to the Chair of the BSC. Researchers and teachers should, therefore, ensure that they contact the BSC for authorization of proposed animal usage activities. If BSC authorization has been obtained, this must be clearly stated in Section I of the Protocol submission form.