0    Identification

Title: Procedure for the Ethical Certification of Research Projects Involving Animals

Person in charge: Dean of Research and Innovation

Approvals:

• Adopted by the Assemblée de direction on December 20, 2005 (ADD-446-228)
• Amended by the Assemblée de direction on June 3, 2008 (ADD-485-309)
• Amended by the Assemblée de direction on June 14, 2011 (ADD-530-433)

P    Preamble

This Procedure was adopted following Polytechnique Montréal’s adherence to the Memorandum of Understanding on the Roles and Responsibilities in the Management of Federal Grants and Awards¹, whereby our institution is committed to ensuring that research involving animals respects the highest ethical standards.

It was in this spirit that Polytechnique Montréal developed the current Procedure, which states the principles to which it adheres and the rules it expects the university community to observe as regards the ethical conduct of research projects involving animals.

1    Background

The three federal research councils require that all research projects conducted with living vertebrates and cephalopods (octopuses and squids) meet rigorous scientific and ethical standards. Regulatory guidelines have been published by the Canadian Council on Animal Care (CCAC), which is the national organization responsible for setting and maintaining standards for the use and care of animals in science in Canada.

Although Polytechnique does not have an animal supply facility or Animal Care Review Board (ACRB), it nonetheless requires researchers whose projects involve the use of animals to follow the applicable federal and provincial guidelines, regulations and laws. Polytechnique also closely monitors the use of funds by researchers conducting projects involving animals, regardless of whether these projects are carried out at Polytechnique or at other institutions.

Prior to using their research funds and starting their work, all Polytechnique researchers who wish to carry out research involving animals must receive a written confirmation from the ACRB of the institution where the work will be carried out, stating that the project complies with current ethical practices in Canada.

At Polytechnique, the presence of living animals for research purposes is limited to a few laboratories for short periods. Polytechnique does not have the necessary infrastructure to keep animals (an animal supply facility) or to assess research projects involving animals (ACRB). Researchers are, however, permitted to conduct research activities involving living animals at Polytechnique, provided they do so in the laboratories designated for this purpose.

2    Principles governing research with animals

Animal welfare in Canada falls under Section 446 of the Criminal Code. Two provinces have specific legislation on experimental animals: Ontario (Animals for Research Act) and Alberta (Universities Act). There are also many other laws that apply to animals used for research, teaching and drug safety tests.

According to the CCAC Guide to the Care and use of Experimental Animals:
The use of animals in research, teaching and testing is acceptable only if it promises to contribute to the understanding of fundamental biological principles, or to the development of knowledge that can reasonably be expected to benefit humans or animals. Animals should be used only if the researcher’s best efforts to find an alternative have failed. A continuing sharing of knowledge, review of the literature, and adherence to the Russell-Burch ‘3R’ tenet of ‘Replacement, Reduction and Refinement’ are also requisites. Those using animals should employ the most humane methods on the smallest number of appropriate animals required to obtain valid information. (Appendix XV-A, p. 283)

3    Definitions

Researcher: The term “researcher” refers to anyone who regularly or occasionally carries out research, creation, development or training activities, including professors employed at Polytechnique, lecturers, visiting professors, researchers, visiting scholars, salaried research personnel, postdoctoral fellows and students.

Institutions: The term “Institutions” refers to universities, hospitals, colleges, research institutes, centres and other agencies that are eligible to manage research funds (including grants and scholarships) on behalf of agencies and grant or award holders.

Agencies: The term “Agencies” refers to all organizations that directly or indirectly fund research activities (through a grant, contract or other type of funding), i.e., federal and provincial granting agencies, private companies, industry partners, foundations, government departments, universities, or any other individual or institution.

Grant holder: The term “Grant holder” refers to all individuals who have been awarded a research grant by an agency.

Award holder: The term “Award holder” refers to all undergraduate, graduate and doctoral students and postdoctoral fellows who have received a scholarship or fellowship from federal or provincial granting agencies, as well as researchers supported by salary or career support grants from federal or provincial granting agencies.

4    Responsibilities

The Dean of Research and Innovation is in charge of applying and updating this Procedure, as well as disseminating it among Polytechnique researchers, and explaining the issues and responsibilities associated with conducting research involving animals.

Researchers must familiarize themselves with Polytechnique Montréal’s applicable rules governing animal experimentation. In addition, they must ensure that these rules are applied to all aspects of their research activities, and must obtain the necessary approval from the institution’s designated bodies and recognized agencies before undertaking the work.

5    Ethical compliance of a research project

All research projects involving animals that are carried out by Polytechnique Montréal researchers, regardless of their funding source and location of their work, must receive a certificate of ethical acceptability from the ACRB of a recognized institution before their research project can commence.

Polytechnique will release research funds for a project involving the use of living animals only after a recognized ACRB has approved the project. The ACRB can conduct a full review of the detailed protocol or a two-stage review if the activities involving animals will only take place in a future fiscal year and the methodology has yet to be determined. In the latter case, a portion of the funds may be released on a pro-rated basis, following the approval in principle of the research protocol (through a letter of agreement), up to the start of the work involving animals. In all cases, the ACRB’s approval must be maintained for the duration of the project.

In the case of a research grant, Polytechnique must inform the granting agency concerned if the grant or award holder does not obtain ACRB approval for the research project within six months of the award date. In such cases, the agency will decide whether or not the conditions of the award have been fulfilled, and will make a decision accordingly.

6    Project approval procedure

1. Application submitted to the ACRB: All researchers seeking to undertake a research project involving animals must first submit an application for ethical acceptability to the ACRB of the establishment in which they intend to carry out their research.

In the case of research projects to be carried out in an authorized Polytechnique Montréal laboratory, the researcher must submit an application for ethical acceptability to the Comité de déontologie de l'expérimentation sur les animaux (CDEA) of Université de Montréal². 

2. Application submitted to Polytechnique: The researcher must then submit to the Dean of Research and Innovation (or to the Dean’s representative), an ethical acceptability file, which includes the following documents:

1. A copy of the complete file submitted to the ACRB of the institution where the research will be carried out. In the case of work to be carried out in an authorized Polytechnique laboratory, a copy of the file submitted to the CDEA of Université de Montréal;
2. A copy of the grant application or research contract associated with the project involving animals, and the reference number of the award or contract;
3. A valid copy (dated and signed) of the certificate of ethical acceptability or the letter of agreement (for a two-stage review), issued by the ACRB of the institution where the research will be carried out, or by the CDEA for projects to be carried out in an authorized Polytechnique laboratory.

3. Processing of the application: Upon receiving the relevant documents confirming that the project has been approved by the institution’s recognized ACRB, the Dean of Research and Innovation (or the Dean’s representative) issues a Compliance Certificate for a Research Project Involving Animals,confirming the ethical acceptability of the project. The Dean then issues the researcher a copy of this certificate and sends a copy to the Bureau de la recherche et Centre de développement technologique (Office of Research / Centre for Technological Development – BRCDT) and to the Service des finances (finance department), which releases the funds associated with the research project in question.

4. Ethical follow-up: For the duration of the project, the researcher must advise the ACRB of the institution where the work will be carried out of any problems or delays. For all projects conducted in an authorized Polytechnique laboratory, the researcher must report to the CDEA of Université de Montréal. In addition, the researcher must send the Dean of Research and Innovation a brief annual status report indicating the progress of the project and any difficulties or delays, including all renewal notices of the certificate of ethical acceptability initially issued by the institution where the project is being carried out.

5. End of project: The researcher must notify the Dean of Research and Innovation of the conclusion of the research project.

7    Sanctions in cases of non-compliance

In cases of non-compliance with this Procedure, or any law, regulation, standard, policy or guideline applicable to research projects involving animals, including the standards adopted by the Canadian Council on Animal Care and the conditions imposed by the ACRB, Polytechnique can impose whatever sanctions are deemed necessary.

Polytechnique can immediately block the research funds associated with the project or can take any other required measure, depending on the seriousness of the breach. If the project is funded by a granting agency, the latter will be informed without delay.

8    Effective date

This Procedure is effective from the time it is approved by the appropriate bodies.

1 This document was written by the three federal research councils (Natural Sciences and Engineering Research Council of Canada (NSERC), Social Sciences and Humanities Research Council of Canada (SSHRC) and Canadian Institute of Health Research (CIHR)) and signed by Polytechnique Montréal on June 20, 2002, and again on April 14, 2008.
2 Researchers must also familiarize themselves with the Université de Montréal’s Policy on the use of animals in research and teaching.