Research Administration > RSAWA > ARC > Reporting Allegations of Mistreatment or Other Noncompliance Issues

Reporting Allegations of Mistreatment or Other Noncompliance Issues

 

Definitions

 

Mistreatment: Any action, physical or psychological, which results in wrongful or abusive treatment of an animal.

 

Noncompliance: Violation of University policy or noncompliance with the Public Health Service Policy on Humane Care and Use of Laboratory Animals (PHS Policy), the USDA Animal Welfare Act Regulations (USDA AWAR), and other applicable federal, state, and local laws or regulations governing animal care and use.

 

Who May Report

 

Any person, including any University employee, student, volunteer, or member of the general public, may report concerns involving the care and use of animals at UCLA. Such concerns may be reported anonymously. If the complainant identifies him/herself, protection of his/her identity will be maintained to the extent possible within the legitimate needs of law and the investigation.

 

When and What to Report

 

Based on federal requirements, the ARC has identified several kinds of reportable incidents that may serve as examples to guide individuals in making their determinations. These incidents include, but are not limited to, the following: a condition that is or may be a threat to the health or safety of animals; the conduct of animal-related activities or protocol modifications without prior ARC review and approval; continuing activities past the protocol expiration date; the conduct of activities by uncertified and/or unlisted personnel; continuing noncompliance.

 

If you believe that mistreatment or noncompliance has occurred, timely reporting is essential to protect the animals involved and to facilitate the investigation of the allegations. Owing to the great diversity of potential problems, it is not possible to anticipate all of the incidents that may occur and provide an exhaustive listing of those considered reportable. As such, determination that a problem falls within the letter or spirit of either "mistreatment" or "noncompliance" requires a degree of judgment. Frequently, the attending veterinarian, animal care personnel, and investigators can work together to prevent or resolve a problem. If in doubt, it is better to submit a report, as this may well protect the institution, the complainant, the alleged violator(s) and, of course, the animals.

 

How to Report

 

Reports are encouraged to be made in writing so as to assure a clear understanding of the issues raised, but may be made verbally. Such reports should contain as much specific, factual information as possible to allow for a full investigation and proper assessment of the nature, extent, and urgency of the concern. Information should include, but need not be limited to, the nature, date, time, and location of the occurrence; the person(s) against whom the allegation is being made; and any supporting documentation.

 

Whom to Contact

 

To ensure prompt attention to any reported allegation, as well as to ensure anonymity of any "whistleblower" reports, please contact the ARC administrative staff, Institutional Official, Attending Veterinarian or veterinary staff, ARC Chairman, any ARC member, or the UCLA Compliance Office:

 

  RSAWA – ARC Administrative Staff:   UCLA Compliance Office:
  Phone: (310) 206-6308   Hotline: (800) 403-4744
  Email: arc@research.ucla.edu   File a report online at: universityofcalifornia.edu/hotline
  Mailing Address:

Research Safety & Animal Welfare Administration - ARC
10889 Wilshire Blvd., Suite 600

Los Angeles, CA 90095-1406

     

 

For information on investigative procedures, please refer to the ARC Policy on Investigating Allegations of Mistreatment or Other Noncompliance Issues.

 

Statutory Authority

 

USDA AWAR §2.31(c)(4) "With respect to activities involving animals, the IACUC [1], as an agent of the research facility, shall... review, and, if warranted, investigate concerns involving the care and use of animals at the research facility resulting from public complaints received and from reports of noncompliance received from laboratory or research facility personnel or employees."

 

USDA AWAR §2.32(c)(4) "Training and instruction of personnel must include guidance in... methods whereby deficiencies in animal care and treatment are reported, including deficiencies in animal care and treatment reported by any employee of the facility. No facility employee, Committee member, or laboratory personnel shall be discriminated against or be subject to any reprisal for reporting violations of any regulation or standards under the Act."

 

PHS Policy IV.B.4. "As an agent of the institution, the IACUC shall... review concerns involving the care and use of animals at the institution."

 

 

[1] IACUC = Institutional Animal Care and Use Committee. At UCLA, the IACUC is referred to as the Chancellor's Animal Research Committee (ARC).

 

Approved 4/26/04, Revised 3/1/10, Updated 3/10/14, 1/25/17

Replaces ARC Policy on Reporting, Receiving and Handling Allegations of Mistreatment or Other Noncompliance Issues 2/95