Animal Care and Use

Policy number: 10.9

Policy section: Research

Revised Date: January 13, 2026

1.  Definitions

Definitions of capitalized terms are set forth in Appendix A.

2.  Policy Statement

It is the policy of the University that the use of Animals in Research, testing, and teaching will conform to all applicable laws, rules, and regulations of the United States Government and the State of Texas. All such Research, testing, or teaching must be performed in compliance with the highest standards of ethics, practice, and conduct of each of the fields or disciplines involved.

3.  Purpose

  1. The purpose of this policy is to establish rules, requirements, and procedures that govern the humane conduct of Animal-based activities, to ensure compliance with external regulations and to establish roles and responsibilities of those individuals who are involved in the care and use of Animals in Research, testing and teaching.
  2. The University is committed to the highest ethical standards of Animal care and use, and to ensuring compliance with all relevant laws, regulations, rules, and guidelines governing the humane care and use of Animals. All laws, regulations, rules, and guidelines, including, but not limited to, the Public Health Service (PHS) Policy on Humane Care and Use of Laboratory Animals, the Guide for the Care and Use of Laboratory Animals (the Guide), theUnited States Department of Agriculture (USDA) Animal Welfare Act and Regulations, the Health Research Extension Act of 1985, and the U.S. Government Principles for the Utilization and care of Vertebrate Animals Used in Testing, Research and Training must be followed, as applicable.

4.  General Policy Points

  1. To ensure compliance with regulations regarding the humane care and use of Animals in Research, testing, and teaching, the President has delegated the responsibility of Institutional Official (IO) to the Vice Provost for Research and Chief Innovation Officer. The Institutional Official has the legal, administrative, and operational authority to commit University resources to ensure compliance with the PHS Policy and other requirements. The Institutional Official is authorized by the President to sign the University’s PHS Animal Welfare Assurance with the NIH Office of Laboratory Animal Welfare (OLAW).
  2. In accordance with the Health Research Extension Act and the Animal Welfare Act, the University has established the Institutional Animal Care & Use Committee (IACUC) to oversee Research, testing, and teaching using Animal subjects. The IACUC will consist of no fewer than five members with varying backgrounds who will be appointed by the Institutional Official. At least one member will be a licensed Doctor of Veterinary Medicine (Attending Veterinarian) at least one member will be a practicing scientist experienced in research with animals, at least one member will be a person whose primary concerns are in a nonscientific area. And at least one member will be unaffiliated with the University other than as member of the IACUC. Once appointed, the IACUC reports to and advises the Institutional Official.
  3. The IACUC must exercise its responsibility and authority to approve, withhold approval of, require changes in, or suspend Protocols involving Animals in accordance with federal law, regulations, and federal and state agency guidelines. The acquisition or use of Animals in Research, testing, or teaching, as covered by this policy will not be permitted until the IACUC has reviewed and approved the Protocol. The IACUC will not consider requests for retroactive approvals. The IACUC’s authority to review and approve Protocols is independent of the Institutional Official. The Institutional Official does not have the authority to overturn any IACUC decision. If the IACUC approves a Protocol, however, the University is not required or obligated to conduct the activity, nor is there a guarantee of Animal space in the Laboratory Animal Resource Center (LARC) Facility. The IACUC may also require that Protocols undergo additional institutional review (e.g., Institutional Biosafety Committee, Radiation Safety Committee, or other University oversight committees) as deemed appropriate by the IACUC.
  4. The IACUC must perform semiannual evaluations of the University’s program for human care and use of animals. In its semiannual reports, the IACUC must advise the Institutional Official of the status of the University’s compliance, report plans and schedules for correcting deficiencies necessary to maintain or achieve compliance and make recommendations to the Institutional Official regarding any aspect of the University’s Animal program, facilities, or personnel training.

5.  Roles and Responsibilities: Institutional Official

  1. The Institutional Official is responsible for oversight of the IACUC and serves as the signatory official on the University’s PHS Animal Welfare Assurance. The Institutional Official appoints IACUC members and ensures that the IACUC retains autonomy and remains free from undue influence.
  2. The Institutional Official is responsible for maintaining regular communication with the IACUC, receiving semiannual reports from the IACUC, and enabling the provision of adequate resources to the components of the IACUC to perform their respective functions.

6.  Roles and Responsibilities: Institutional Animal Care and Use Committee

The IACUC reports to the Institutional Official. The IACUC is responsible for the general oversight, evaluation, and compliance of the University’s Animal care and use program. This responsibility includes, but is not limited to, the following:

  1. reviewing at least once every six months the University’s program for humane care and use of Animals, using the Guide as a basis for evaluation;
  2. inspecting at least once every six months all of the University’s Animal facilities, including satellite facilities, using the Guide as a basis for evaluation;
  3. preparing at least once every six months written reports of the IACUC evaluations and submitting the reports to the Institutional Official;
  4. ensuring that personnel conducting procedures on the species being maintained or studied will be appropriately qualified and trained in those procedures;
  5. conducting oversight of Animal activities to ensure the well-being of Animals and to provide opportunities for refinement of Research procedures;
  6. reviewing concerns brought to its attention involving the care and use of Animals at the University;
  7. making written recommendations to the Institutional Official regarding any aspect of the University’s Animal program, facilities, or personnel training;
  8. reviewing and approving, requiring modifications in (to secure approval), or withholding approval of activities related to the care and use of Animals;
  9. notifying Principal Investigators and the institution in writing of its decision to approve or withhold approval of those activities related to the care and use of Animals, or of modifications required to secure IACUC approval;
  10. conducting yearly continuing review of each previously approved, ongoing activity related to the care and use of Animals and at appropriate intervals as determined by the IACUC, including complete renewal of Protocols once every three years;
  11. suspending an activity involving Animals, in accordance with PHS Policy;
  12. performing post approval monitoring of previously approved activities; and
  13. notifying Principal Investigators, the Institutional Official, and appropriate federal oversight agencies of any suspensions and the corrective actions taken when reinstatement of the approval occurs.

7.  Roles and Responsibilities: Principal Investigator

The Principal Investigator is charged with:

  1. completing necessary and appropriate forms for submission in accordance with the requirements of the University and any Sponsor ;
  2. filing an Animal Use Protocol form with the IACUC for prospective review and approval of all activities involving the use of live Animals in research, testing, or teaching. Such uses include pilot projects and preliminary studies, whether or not they are part of a Sponsored Project. Approval may be granted for up to three years, Protocols must be reviewed annually, and amended to reflect any changes in Protocol, personnel or Animal species/numbers;
  3. on a yearly basis, filing a Continuing Review form with the IACUC for prospective review of all currently approved activities;
  4. ensuring that Protocols are amended to reflect any changes in the Protocol, and that changes are approved by the IACUC prior to implementation;
  5. ensuring that IACUC approvals have been obtained, prior to the implementation of any work with live animals;
  6. ensuring that the project is performed in accordance with the IACUC-approved Protocol;
  7. preparing proposals for Funding that includes Animal projects in accordance with the requirements of the University and the Sponsor, and performing Sponsored Projects in accordance with Sponsor requirements and the associated IACUC-approved Protocol.
  8. Ensuring that any locations outside of the Laboratory Animal Resource Center (LARC) Facility used to hold, house, or perform Research, testing, or teaching activities using live Animals have been reported to the IACUC in the Protocol and that approval is obtained prior to the use of live animals in that location;
  9. ensuring that no Animals are purchased or otherwise acquired without having an IACUC-approved Protocol;
  10. ensuring that no Animals are sold, transferred, donated, or otherwise removed from the University without notification and approval of the IACUC;
  11. taking responsibility for the appropriate training of their Research staff in the humane care and use of Animals, ensuring that they are qualified to perform their duties, and that they understand their obligations to comply with all relevant regulations and the specifics of the approved Protocol. Documentation of this training may be requested by regulatory and accrediting agencies and by the IACUC;
  12. reporting promptly to the IACUC any serious or continuing non-compliance with the Protocol, the requirements of this policy, or the determination of the IACUC;
  13. ensuring that specific requirements of federal regulatory agencies, including the PHS and the USDA/Animal and Plant Health Inspection Service (“USDA/APHIS”), are followed when Animal use takes place at an on-University site as a consequence of a sub-grant or subcontract (including the use of Animals in antibody production). Proof of an approved PHS Animal Welfare Assurance must be provided to the IACUC whenever PHS-supported Animal use activities are performed by a non-University entity. In addition, when certain species are utilized at a non-University site, that entity must be registered with the USDA and proof of that registration may be required by the IACUC.
  14. ensuring that Animals are not housed for more than 12 hours outside of the LARC Facility without the prior review and approval of the IACUC. The IACUC will review any new housing requests in consultation with the Attending Veterinarian; and
  15. performing all survival surgical procedures on non-rodent mammalian species in designated surgical suites approved by the IACUC in consultation with the Attending Veterinarian.

8. Roles and Responsibilities: Research Integrity & Compliance

The Research Integrity & Compliance (RIC) office, within the Office of Research and Innovation, is led by the Director of Research Integrity & Compliance, reporting to the Vice Provost for Research and Chief Innovation Officer. RIC is responsible for:

  1. developing, managing and evaluating policies and procedures that promote compliance with federal, state, and local regulations governing sponsored and University-funded Research, testing, and teaching, including the Animal Welfare Act and the Health Research Extension Act. This responsibility includes monitoring changes in regulations and policies that relate to Animal Subjects care and use and overseeing all aspects of Research compliance;
  2. advising the Institutional Official on key matters regarding Research at the University;
  3. submitting, implementing, and maintaining an approved PHS Animal Welfare Assurance through the Institutional Official;
  4. providing information to the Institutional Official regarding the needs and resources required for the Research compliance operations;
  5. assisting Principal Investigators and research staff in their efforts to carry out the University’s Research mission;
  6. pre-reviewing initial and revised IACUC Protocols and related documents for completeness and accuracy prior to submitting to the IACUC for their review and approval;
  7. developing a training and education program as required and as appropriate for University Investigators, LARC Facility staff, and IACUC members, and ensuring that training is completed in a timely manner; and
  8. serving as the primary contact and liaison at the University for communications with federal, state, and local regulatory agencies with respect to Animal Care and Use conducted under the University’s PHS Animal Welfare Assurance or under the oversight of the University’s IACUC.

9.  Roles and Responsibilities: Institutional Biosafety Committee

The Institutional Biosafety Committee (IBC) is responsible for reviewing Research that involves, but is not limited to, recombinant or synthetic nucleic acid molecules, RNAi, pathogens, human materials and other potentially infectious material, as well as transgenic animals for compliance with federal guidelines.  The IBC ensures that Research using such materials with Animals is conducted in a safe manner. The Committee is responsible for approving Research with biological agents conducted on Animals, promulgating procedures for doing such Research and generally ensuring that such Research complies with the Committee’s standards.  The IACUC may require that the Principal Investigator obtain IBC approval for the use of such materials prior to granting IACUC approval for the Animal work.

10.  Roles and Responsibilities: Laboratory Animal Resource Center (LARC)

The LARC is a University supported facility for Research, testing, and teaching activities conducted by Principal Investigators.

  1. The LARC Facility Manager reports directly to the Associate Director of Research Compliance, and
  2. in collaboration with the Research Integrity & Compliance (RIC) Director and the Institutional Official, allocates housing and procedural space within LARC, and
  3. in consultation with the Attending Veterinarian and Research Integrity & Compliance, develops and implements Standard Operating Procedures (SOPs)as needed for daily facility operations.

11.  Related Policies, Statutes and Documents

  • University Policy 10.1, Sponsored Research and Activities
  • The Guide for the Care and Use of Laboratory Animals
  • PHS Policy on Humane Care and Use of Laboratory Animals
  • USDA Animal Welfare Act and Regulations
  • The Health Research Extension Act of 1985
  • U.S. Government Principles for the Utilization and Care of Vertebrate Animals Used in Testing, Research and Training

Appendix A: Definitions

“Animal” means any live vertebrate animal used or intended for use in Research, testing, or teaching.

“Animal Welfare Act” means the USDA Animal Welfare Act of 1966, as amended (7 U.S.C. 2131 et. seq.), and as amended or superseded from time to time.

“Attending Veterinarian” means the member of the IACUC who is a licensed Doctor of Veterinary Medicine as required by the Health Research Extension Act and Animal Welfare Act.

“Funding” means financial support for Research, testing, or teaching, including money, property, services, or anything of value in lieu of money. For purposes of this policy, Funding may be provided by an external Sponsored Project or by the University.

“The Guide” means the Guide for the Care and Use of Laboratory Animals, published by the National Research Council, 8th Edition, 2011, as amended or superseded from time to time.

“Health Research Extension Act” means the Health Research Extension Act of 1985 (Public Law 99-158), which provides the legislative mandate for the PHS Policy, and as amended or superseded from time to time.

“IACUC” means the Institutional Animal Care and Use Committee appointed by the Institutional Official, which is charged with the responsibility of providing local review and oversight of activities using Animals.

“Institutional Official” means the University employee responsible for ensuring that activities using Animals at the University are humane and in compliance with all applicable laws, regulations, and University Policies relating to Animal care and use. The Institutional Official is sometimes referred to as the “IO”.

“LARC” means the Laboratory Animal Resource Center. LARC is the University supported facility for all research, testing, or teaching activities involving live animal subjects.

“PHS” means the United States Public Health Service.

“PHS Animal Welfare Assurance” means the certification signed by the Institutional Official making a commitment on behalf of the University that the requirements of this policy will be met.

“PHS Policy” means the Public Health Service Policy on the Humane Care and Use of Laboratory Animals, published by the PHS, revised and reprinted 2015, and as amended or superseded from time to time.

“Protocol” is a document (including subsequent amendments) that describes the Research, testing, or teaching design or methodology to be employed, the treatment regimen(s), and the proposed methods of analysis that will be performed on the data collected during performance of the project. Typically, a Protocol also gives background and rationale for the Research, testing, or teaching activity.

"Principal Investigator” means the individual ultimately responsible for the design and conduct of a Research, teaching, or testing Protocol, whether or not in connection with a Sponsored Project. This includes submitting and amending Protocols, overseeing staff and their training, maintaining records, and being ultimately accountable for the animals used.  The Principal Investigator is often referred to as the “PI”. The IACUC may establish policies regarding eligibility criteria for Principal Investigators.

“Research” means, for the purposes of this policy, the use of live vertebrate animals for the systematic investigation into and study of materials and sources to establish facts and reach new conclusions.

"Sponsor” means any external entity that provides Funding to the University. Sponsors may be (i) governmental agencies (for example, federal, state, or local governments or their administrative organizations); (ii) nonprofit organizations (for example, universities, nonprofit corporations, foundations, or associations); (iii) for profit organizations (for example, corporations, partnerships, sole proprietorships, and other business entities); or (iv) individuals.

"Sponsored Projects” means all projects, programs, research, training, public service, and other activities that receive external Funding.

“U.S. Government Principles” means the United States Government Principles for the Utilization and Care of Vertebrate Animals Used in Testing, Research and Training, published by the Office of Science and Technology Policy, 1985. and as amended or superseded from time to time.

“University Investigator” is any faculty member, Principal Investigator, research scientist, research associate, post-doc, graduate, student, undergraduate student, or other individual responsible for handling live animals as part of the Research, testing, or teaching activity.

“USDA” means the United States Department of Agriculture.

Revised: January 13, 2026

Adopted: January 15, 2015

The official University Policy Manual is housed in the Office of the University Secretary. The University Secretary is responsible for maintaining new and updated policies and for maintaining this website. Should the official University Policy Manual conflict with any internal policies, procedures, departmental administrative rules, or guidelines, that may be contained in manuals provided by schools, departments, or divisions within the University, the official University Policy Manual controls.