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NIH Regional Seminar on Program Funding and Grants AdministrationResearch Involving. . . Animals (OLAW)
Eileen M. Morgan
Director, Division of Assurances
NIH/OER/OLAW
June 24-25, 2011
OLAW provides guidance and interpretation of PHS Policy, supports educational programs, and monitors compliance with the Policy by Assured institutions and PHS funding components to ensure the humane care and use of animals in PHS-supported research, testing, and training and thereby contributing to the quality of research. OLAW Mission Statement OLAW Responsibilities Oversee implementation of PHS Policy
Provide interpretation and guidance
Negotiate Animal Welfare Assurances
Evaluate compliance
Institutional self reporting
Third party allegations
Educational activities
Workshops
Resources
Training sessions
Webinars
OLAW Educational Programs Partnerships with organizations and institutions
Workshops, meetings, conferences
Webinars
IACUC 101 / 201-Plus training programs
IACUC Guidebook, 2nd edition
Web-based tutorial, resources
Published articles, FAQs, commentary
Policy interpretations published in NIH Guide for Grants and Contracts Authorizing Legislation - Public Law 99-158 (11/20/85) Health Research Extension Act NIH Director to establish guidelines for research funded by NIH and other PHS agencies
Animal Welfare Assurance mechanism
Institutional Animal Care and Use Committee (IACUC) with oversight authority
Institutional opportunity to correct deficiencies
“It is far preferable to place primary responsibility for assuring compliance with NIH guidelines on committees within institutions rather than relying on intrusive Federal inspections.”
Congressional committee report accompanying
the 1985 Health Research Extension Act OLAW’s Philosophy PHS Policy All vertebrate animals
Animal Welfare Assurance
Institutional program of animal care and use
Institutional Animal Care and Use Committee
Self-regulation by institution
Requirements
Record keeping – program and IACUC records
Reporting – annual and non-compliance PHS Policy Applicability Applicable to all PHS-conducted or supported activities involving animals
Animal- any live vertebrate animal used or intended for use in research, training, experimentation, biological testing
PHS agencies- CDC, FDA, NIH PHS Policy: Standards for Animal Care and Use AVMA Guidelines on Euthanasia (Formerly Report of the AVMA Panel on Euthanasia) _________________________________ June 2007 Guide for the Care and Use of Laboratory Animals 8th Edition Update of the Guide for the Care and Use of Laboratory Animals
Notice NOT-OD-11-XX
Publication January 2011
Notice on Guide Eighth edition released January 2011
PDF file available for download at OLAW web site
Comment period
Educational Efforts and the Guide Present at future workshops
Online Seminars for IACUC Staff, IOs
Update website tutorial
Update Semiannual Program and Facility Checklists
Update Sample Animal Study Proposal
Update FAQs
Provide interpretation as needed
Limited distribution of print version Animal Welfare Assurance Contract with Federal Government
Documents institutional commitment
Description of institutional programs, procedures
Principle method for compliance oversight
Animal Welfare Assurance No activity involving animals may be conducted or supported until an Assurance is in place
Assurance sets forth compliance with Policy
Animal program must be based on Guide
No Assurance= No PHS support for animal work Types of Animal Welfare Assurances Domestic Assurance
Inter-Institutional Assurance
Foreign Assurance Domestic Animal Welfare Assurance Control their own animal facilities
Have a complete animal care and use program
Institutional Official (IO)
IACUC
Veterinarian
Remain in effect for up to 4 years
Assurance signed by IO
Can be renewed
PHS funding
Requested by grant management personnel
Domestic Animal Welfare Assurance Describes animal care and use program
Lines of authority and responsibility
Institutional Animal Care and Use Committee
Procedures to implement the PHS Policy
Program of veterinary care
Occupational safety and health program for personnel
Training of personnel (investigators, technicians, IACUC)
Facilities
Species
Inter-institutional Assurance Grantee organization does not have animal care and use program
Animal work conducted at Assured Institution
Good for life of grant (project specific)
Requested by grants management personnel
Foreign Animal Welfare Assurance Negotiated when
Prime grantee is foreign institute
Domestic grantee conducting animal work at foreign site
Domestic grantee’s IACUC approves animal activities performed at foreign site
Guided by International Guiding Principles for Biomedical Research Involving Animals (developed by CIOMS)
Requires list of titles of governing laws, regulations and policies from the country of origin (in English)
5 year approval period
Requires 1 signature from a representative from the foreign organization plus 2 additional points of contact Prime grantee is accountable to NIH and must confirm:
Assurance
IACUC approval (dated within 3 years)
Only required from one Assured entity
Animal welfare requirements apply to all consortium participants and sub-projects
For more information see NIH GPS, Part II, Terms and Conditions of NIH Grant Awards, Consortium Agreements
Consortium Agreements: Sub-awards Grants Policy Requirements Animal Welfare Assurance for the applicant organization and all performance sites.
Verification that the IACUC has reviewed and approved those sections of the application that involve the use of vertebrate animals.
Completed Vertebrate Animal Section, VAS
Grant Applicant to Address Vertebrate Animal Use (electronic submission) SF 424 ~ Research & Related Application
Project / Performance Site Location(s)
Other Project Information (Section 2 & 2a)
PHS 398 ~ Research Plan
Research Plan Attachments
Other Research Plan Sections (11. Vertebrate Animals)
PDF format
Five Points of Vertebrate Animal Section (VAS) addressed SF424
SF SF Grantee Information needs to be reflected Grant Applicant to Address Five Points Describe proposed use and list species, strains, ages, sex, and numbers of animals to be used
Justify: use, species, and numbers
Veterinary care to include Performance site (separate VAS required for each Performance site)
Procedures to minimize pain and distress
Pain and distress will be limited to that which is unavoidable
Describe use of analgesics, anesthetics, etc.
Describe method of euthanasia
Reasons for selection of method
If not consistent with AVMA Guidelines - provide justification. Worksheet for Review of VAS Five bulleted items to match with 5 Elements
Single page checklist
Covers all required elements
Highlights critical aspects of the VAS 5 points
Readily see when item is incomplete
Aid in review by reviewers
Prompt discussion by SROs of problems they may see with VAS http://grants.nih.gov/grants/olaw/VASchecklist.pdf VAS Worksheet Purpose Help applicant to include needed information to address animal welfare
Help reviewer determine if the applicant has appropriately addressed the required five points
Ensure weaknesses identified during review are included in the summary statement and addressed prior to award
Encourage consistency in review
Funding Component (IC) and Peer Review Responsibilities Consideration of animal welfare during peer review (may affect score of application)
If reviewers express concerns about animal care and use, the concerns must be resolved prior to funding (Animal Welfare Concerns)
Ensure that institution has an Assurance
If no Assurance, the IC requests that OLAW negotiate Assurance
Verify IACUC approval – valid date for 3 yrs.
NIH Regional Seminar on Program Funding and Grants AdministrationResearch Involving. . . Animals (OLAW)
Axel Wolff, DVM
Director, Division of Compliance Oversight
NIH/OER/OLAW
Enforced Self-regulation Performance standards
Flexibility
Self-monitoring
Self-correcting
Self-reporting
OLAW oversight
PHS Policy IV.F.3. The IACUC, through the IO, shall promptly provide OLAW with a full explanation of the circumstances and actions taken with respect to:
Any serious or continuing noncompliance with PHS Policy
Any serious deviation from the Guide
Any suspension of an activity by the IACUC Health Research Extension Act If the Director of NIH determines that:
Animal care conditions at PHS funded site do not meet applicable guidelines
The entity has been informed of this and given a reasonable opportunity to take corrective action, and
If no corrective action has been taken NIH shall suspend or revoke the grant or contract OLAW’s authority May request, negotiate, approve or disapprove Assurance
May limit the effective period of approval
May restrict, condition, or withdraw approval
May review, approve, disapprove waivers to the PHS Policy
OLAW is responsible for administration and coordination of PHS Policy
IACUC Authority The IACUC may suspend an activity that it previously approved if not in accordance with Animal Welfare Act, Guide, Assurance, PHS Policy
IACUC must review matter at convened meeting of quorum, suspension vote of majority of quorum present
Suspension cannot be overturned by IO or other officials Institutional Accountability The institution is accountable for:
Financial, administrative aspects of award
The animal care and use program, IACUC
The investigator is accountable for:
The research
Compliance with animal care and use program
The IACUC, together with IO, exercises oversight over institutional animal care and use Institutional Official Designated representative of grantee organization in matters related to the award and administration of PHS grants
Accountable for appropriate use of funds and performance of activities resulting from application
Signs Assurance- commits institution to meet requirements of PHS Policy Principal Investigator Designated by grantee as responsible for scientific and technical aspects of project
Member of grantee team responsible for ensuring compliance with financial and administrative aspects of award Language from face page of 398/SF 424 Signature and Assurance of Principal Investigator/Program Director Assurance:
I certify that the statements herein are true, complete and accurate to the best of my knowledge. I am aware that any false, fictitious, or fraudulent statements or claims may subject me to criminal, civil, or administrative penalties. I agree to accept responsibility for the scientific conduct of the project and to provide the required progress reports if a grant is awarded as a result of this application. Office of Management and Budget Cost Principles and NIH Grants Policy Statement do not permit charges to grant awards for animal activities during periods of time that terms and conditions are not upheld
If work is conducted under noncompliant conditions, the expended grant funds may need to be refunded
Policy on Allowable Costs for Grants Activity Involving Animals Institutions are not permitted to charge for animal activities when terms and conditions are not upheld
Absence of a valid Assurance on file with OLAW
Absence of valid IACUC approval
Failure to obtain IACUC approval for animal activity
Failure to obtain IACUC approval for significant changes prior to implementing
Continuing animal activities after IACUC approval has expired
Continuing animal activities after suspension of IACUC approval
Policy on Allowable Costs for Grants Activity Involving Animals
Institutions are required to report noncompliant situations
OLAW (olawdco@mail.nih.gov or 301-594-2061)
Institute/Center (IC) supporting the award
NIH expects grantees to continue to maintain and care for animals during periods of noncompliance
Funding components may allow expenditure of NIH grant funds for maintenance and care of animals on a case-by-case basis
NIH Policy on Allowable Costs for Activities with Animals when Terms and Conditions are not Upheld
[http://grants.nih.gov/grants/guide/notice-files/NOT-OD-07-044.html] Policy on Allowable Costs for Grants Activity Involving Animals Reportable Issues Data Analysis OLAW opened 4,694 cases from 2000 – 2010
Institutional self-reports
Allegations from employees
Reports from other oversight agencies
OLAW review of Assurance, Annual Report
Reports from funding components
Allegations from other sources
OLAW opened 769 cases in 2010 March 3, 2011 Reportable Issues by Institution Type Government
14% Institution of
Higher Learning
73% Commercial
4% Other
9% March 3, 2011 Types of Reportable Issues Animal Study Protocol Issues
30% Animal
Husbandry 14% Clinical Issues 13% Other
Issues 15% Failure to Follow Institutional Policies 13% Investigator &
Research Team 7% IACUC Responsibility 2% No Violation Found 1% Physical Plant 4% Institutional Responsibility 2%
Reportable Issues 1 Animal Study Protocol Issues
43% Failure to follow protocol
19% Unapproved significant change
16% Work before protocol approval
10% Inadequate oversight
08% Work on expired protocol March 3, 2011 30% Investigator & Research Team Issues
Unauthorized laboratory or animal housing
Unauthorized or unqualified personnel
Food and water restriction issues
7% Reportable Issues 2 March 3, 2011 14% Other
Human error, accident
Natural disaster
Equipment failure
Training failure
Crime, neglect, abuse Animal Husbandry Issues
32% Food and water issues
27% Inadequate records or ID
21% Other husbandry
7% Sanitation failure
7% Space issue
04% Escaped animal(s)
2% Enrichment or social issue 15% Reportable Issues 3 March 3, 2011 Physical Plant 4%
55% HVAC
24% Other
15% Construction & maintenance
6% Emergency power & light IACUC Issues 2% Institutional Issues 2%
59% OHS issues
38% Failure to report to OLAW
3% Other No Violation Found 1% Types of Animals Involved Rodents 52% All Other
Species 6% Ungulates 5% NHPs 6% Not Specified by Institution 24% Carnivores 4% Fish 4% March 3, 2011 Individual Responsible for Reportable Issue PI and Research
Team 69% None 7% Institution 3% Animal Care
Staff 11% IACUC 5% Other 3% Vet Staff 2% March 3, 2011 Institutional Corrective Action Retrain personnel
Counsel, reprimand, terminate employment
Modify institutional policies
Repair or modify facility
Enhance PI and study oversight, probation
Modify, suspend, or terminate animal study protocol
March 3, 2011 Contact OLAW for Advice or Help Not sure if an issue is reportable? It is better to ask or report than not.
Division of Compliance Oversight
301-594-2061 or 301-594-2921
olawdco@mail.nih.gov
Consequences are less desirable if reportable issue is withheld and discovered later
OLAW needs information on serious reportable issues to represent institution to PHS, Congress, and the media March 3, 2011 Reporting is a Cooperative Process OLAW will provide assistance and guidance
Institution must demonstrate that corrective actions are being implemented
OLAW will evaluate appropriateness of the actions in correcting and preventing the reportable issue
Self-reporting is part of enforced self-regulation
March 3, 2011
Implications of Noncompliance Corrective actions and improved systems
Restrict/withdraw approval of Assurance
Special terms/conditions of awards
Enhanced reporting requirements
Cost disallowance
Suspension/termination of award
Criminal prosecution Other Possible Ramifications Negative publicity for the institution- media
Inquiries from Congress, other Federal regulators
Damage to reputation, assessment of peers
Institutional standing with alumni
Impact from journals- retractions, article withdrawal
Institutional loss of personnel, inability to attract new staff Collaborative relationship exists between NIH and grantee Institution
The partners share a mutual need to assure compliance
Each partner has responsibilities and obligations as stewards of public funds
Institutional self-governance is the foundation of PHS Policy NIH-Supported Research is a Partnership Guidance to Grantees – Guide Notices Instructions for Completion and Peer Review of the Vertebrate Animal Section in NIH Grant Applications and Cooperative Agreements Notice NOT-OD-10-027
Posted April 2010
Grant Application VAS Worksheet located at OLAW main webpage under Guidance section
Guidance to Grantees – Guide Notices Update of Sample Animal Welfare Assurance for Foreign Institutions Notice NOT-OD-10-083
Posted April 2010
Instructions and downloadable form at OLAW web site under Sample Documents
Guidance to Grantees – Guide Notices Instructions for Completion and Technical Evaluation of the Vertebrate Animal Section in NIH Contract Proposals Notice NOT-OD-10-049
Posted April 2010
Workshops and Conferences IACUC 101 or 101/201 Plus Workshops
August 11, Des Moines, IA
September 14-15, Houston, TX
SCAW IACUC Workshops & Conferences
July 15, St. Louis, MO
Dec. 5-6, San Antonio, TX
AWIC Workshops
October 19-20, Beltsville, MD
Upcoming Online Seminars September 2011 Occupational Health and Safety Programs
December 2011 Grants Policy and Congruence
Guidance for Grantees Frequently Asked Questions:
Is social housing required for nonhuman primates when housed in a research setting?
Requirement of USDA regulations (9CFR Ch.1, Part 3, Subpart D, 3.81 (a)
Single housing is the exception
Exemptions based on strong scientific justification, specific veterinary or behavioral reason
Lack of caging not acceptable
Guidance for Grantees (con’t) Frequently Asked Questions:
Should positive reinforcement training be used for nonhuman primates?
Use when safe and feasible
Aids in cooperative activities of research or husbandry
Reduces stress
Reduces need for chemical restraint
SCENARIO: What Would You Do ?? Anywhere University will be subcontracting some of its proposed animal activities to a foreign performance site at May-Oui Institute.
What are the requirements for the grant application and just-in-time approval to allow the animal activities to proceed?
The PI at Research University indicates that he will not be performing any animal activities but in his grant application, indicates he will be obtaining custom rabbit antibodies from Alpha Omega Enterprises.
What are the requirements for the grant application and just-in-time approval to allow the animal activities to proceed?
SCENARIO: What Would You Do ??
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