Policy 7117 – Animal Care and Use Policy on Complaints

Revision Date: 9/6/2005

Original Effective Date: 5/13/2003

Responsible Office: Office of Research and Innovation 

Reference: Office of Laboratory Animal Welfare

The Louisiana Tech University IACUC policy on handling complaints concerning animal
mistreatment or protocol noncompliance using the OLAW Policies & Procedures Guidebook
(i.e., the Guide) and “IACUC Handbook” to establish this policy.

1. Actual or perceived mistreatment of an animal may be physical or psychological. Actual
   mistreatment is best thought of as any noncompliance with the regulations of any regulatory
   agency with jurisdiction over animal care or noncompliance with policies or procedures
   approved by the Louisiana Tech IACUC. Perceived mistreatment arises when someone feels
   that an animal is being misused or abused or that a particular protocol is detrimental
   to the health or welfare of an animal or person associated with animal care.

2. In the event of any concern or complaint concerning animal care or use at Louisiana
   Tech, the IACUC has a definite role.

   1. If the complaint concerns noncompliance with an approved protocol, the IACUC must
      investigate and remedy the situation and, if necessary, impose sanctions.

   2. If the complaint concerns animal use that has been approved by the IACUC the response
      may be, (1) no action after a review of the protocol, (2) revision of the protocol,
      or (3) education of the complainant.

3. Any complaint must be directed to the Chairperson of the IACUC by whoever receives
   the complaint initially.

   1. Any and all communications concerning the misuse of animals should be taken seriously.

      1. Anyone may make a complaint, both university employees and the public. The complainant
         is protected against recrimination by the statement on Retaliation in the Louisiana
         Tech “Manual of Policies and Procedures,” Section 1441.

      2. The identity of the complainant will be kept confidential, and he or she must be made
         aware of this protection.

      3. The formal complaint must be made in writing to the chairperson of the IACUC. The
         chairperson may talk with the complainant prior to receipt of the formal complaint.

      4. A typewritten copy of the complaint with the identification of the complainant deleted
         will be given to the persons named if the Chairperson of the IACUC deems the complaint
         valid.

      5. In the event that the complaint is against the Chairperson of the IACUC, or if the
         Chairperson has a special association with the complainant or the person against whom
         the complaint has been filed, the Chair will not act. Instead, the Chief Research
         and Innovation Officer will initiate action on the complaint.

   2. The Chair may review the complaint and, if warranted, initiate an investigation and/or
      suggest a sanction.

      1. The Chair must inform the members of the IACUC within 24 hours of the complaint and
         the actions he or she has taken. If the Chairperson deems the complaint invalid or
         not worthy of investigation, the IACUC may overturn this action of the Chair by a
         majority vote of all members present. The Chair may not vote on a motion to overturn
         his/her decision. If the Chair or the Attending Veterinarian deems that the non-compliance
         severe enough to warrant a suspension of the activity, the IACUC must meet within
         24 hours to review the suspension and determine the final sanction.

      2. The members of the IACUC may request an investigation or a modification of any action
         taken by the Chair.

      3. No sanction may be imposed without a hearing by the full IACUC. In the event a sanction
         is imposed, the person receiving the sanction must be notified by mail and given a
         chance for appeal. The Institutional Official (IO) in consultation with the IACUC
         shall review the reasons for suspension, take appropriate corrective action, and report
         that action with a full explanation to OLAW.

      4. Sanctions may include the following:

         1. Suspension of the activity

            1. Temporary suspension until the infraction is corrected;

            2. Permanent suspension if the violation is major and/or the investigator does not make
               correction

         2. Denial of access to the facility by a particular individual(s) who has/have been responsible
            for the infraction. If the individual(s) is denied access, the IACUC may approve of
            another individual to complete the work. If expenses are involved, there may be a
            charge for services rendered

         3. A written reprimand to be placed in the individual’s personnel file

         4. A written warning or reprimand given to the individual(s)

      5. The Institutional Officer (IO) will be notified of the action. The IO may increase
         the severity of the sanction, but may not reduce it.

      6. In an extreme situation, the chief officer of the institution (i.e., University President)
         may be notified of the sanction and may increase the severity of the action, but may
         not reduce it.

   3. At the end of the action on the complaint, a report must be entered into the minutes
      of the next meeting. This report should include records of votes and a minority report
      if there was a non-unanimous vote. Since these are public records, the name of the
      complainant will not be used.

      1. All records of the complaint and investigation will be kept for a period of 10 years
         after the complaint is filed.

      2. Records other than the minutes of public meetings will remain sealed and available
         only via a court order or at the request of a government regulatory agency with jurisdiction
         over the IACUC.

4. The IACUC may seek legal or outside professional advice if necessary. The complainant
   may not involve legal council until and unless formal legal action is instituted by
   any party to the complaint.

5. A summary of this policy will be entered into the Louisiana Tech University “Manual
   of Policies and Procedures,” section 1300, General Policies and section 7100, Research and Innovation, subsection 7102, Animal Welfare.

6. The official media contact for the IACUC will be the committee Chair and if the Chair
   is not available, then the IACUC Institutional Officer would act as official contact
   to the news media.

7. A summary of this policy will be posted in plain view within each animal facility
   at the University.