Guidelines for Ethical Conduct in the Care and Use of Nonhuman

GUIDELINES FOR ETHICAL CONDUCT in the Care

and Use of Nonhuman Animals in Research

FEBRUARY 2022

1 These guidelines are scheduled to expire 10 years from (the date of adoption by the APA Council of Representatives). After this date users

are encouraged to contact the APA Science Directorate to determine whether this document remains in effect.

A foundational aspect of the discipline of psychology is teaching about and research on the behavior of nonhuman

animals. Studying other animals is critical to understanding basic principles underlying behavior and to advancing the

welfare of both human and nonhuman animals. While psychologists must conduct their teaching and research in a

manner consonant with relevant laws and regulations, ethical concerns further mandate that psychologists consider

the costs and benefits of procedures involving nonhuman animals before proceeding with these activities.

The following guidelines were developed by the American Psychological Association (APA) for use by psychologists

working with nonhuman animals. The guidelines are informed by relevant sections of the Ethical Principles of Psychologists

and Code of Conduct (APA, 2017).The acquisition, care, housing, use, and disposition of nonhuman animals in research

must comply with applicable federal, state, and local laws and regulations, institutional policies, and with international

conventions to which the United States is a party. APA members working outside the United States must also follow all

applicable laws and regulations of the country in which they conduct research.

It is important to recognize that this document constitutes “guidelines,” which serve a different purpose than “stan-

dards.” Standards, unlike guidelines, require mandatory compliance, and may be accompanied by an enforcement

mechanism. This document is meant to be aspirational and thereby provides recommendations for the professional

conduct of specified activities. These guidelines are not intended to be mandatory, exhaustive, or definitive and should

not take precedence over the professional judgment of individuals who have competence in the subject addressed.

Questions about these guidelines should be referred to the APA Committee on Animal Research and Ethics (CARE)

via email at [email protected], by phone at 202-336-6000, or in writing to the American Psychological Association,

Science Directorate, Office of Research Ethics, 750 First St., NE, Washington, DC 20002-4242.

AMERICAN PSYCHOLOGICAL ASSOCIATION GUIDELINES FOR ETHICAL CONDUCT IN THE CARE AND USE OF NONHUMAN ANIMALS IN RESEARCH

JUSTIFICATION OF THE RESEARCH

A. Research should be undertaken with a clear scientific purpose.

There should be a reasonable expectation that the research will

a) increase knowledge of the process underlying the evolution,

development, maintenance, alteration, control, or biological sig-

nificance of behavior; b) determine the replicability and general-

ity of prior research; c) increase understanding of the species

under study; or d) provide results that benefit the health or

welfare of humans or other animals.

B. The scientific purpose of the research should be of sufficient

potential significance to justify the use of nonhuman animals. In

general, psychologists should act on the assumption that proce-

dures that are likely to produce pain in humans may also do so in

other animals, unless there is species-specific evidence of pain

or stress to the contrary.

C. In proposing a research project, the psychologist should be famil-

iar with the appropriate literature, consider the possibility of

nonanimal alternatives, and use procedures that minimize the

number of nonhuman animals in research. If nonhuman animals

are to be used, the species chosen for the study should be the

best suited to answer the question(s) posed.

D. Research on nonhuman animals may not be conducted until the

protocol has been reviewed and approved by an appropriate

animal care committee; typically, an Institutional Animal Care

and Use Committee (IACUC), to ensure that the procedures are

appropriate and abide by the principles for humane experimental

techniques embodied by the 3Rs – Replacement, Reduction, and

Refinement (Russell & Burch, 1959).

E. The researcher(s) should monitor the research and the subjects’

welfare throughout the course of an investigation to ensure con-

tinued justification for the research.

PERSONNEL

A. Psychologists should ensure that personnel involved in their

research with nonhuman animals be familiar with these guide-

lines.

B. Investigators and personnel should complete all required institu-

tional research trainings for the ethical conduct of such research.

C. Research procedures with nonhuman animals should conform to

the Animal Welfare Act (7 U.S.C. §2131 et. seq.) and when appli-

cable, the Public Health Service Policy on Humane Care and Use

of Laboratory Animals (PHS, 2015) and the Guide for the Care

and Use of Laboratory Animals (National Resource Council,

2011), as well as other applicable federal regulations, policies,

and guidelines, regarding personnel, supervision, record keeping,

and veterinary care.

D. As behavior is not only the focus of study of many experiments

but also a primary source of information about an animal’s health

and well-being, investigators should watch for and recognize

deviations from normal, species-typical behaviors as indicators

of potential health problems.

E. Psychologists should assume it is their responsibility that all

individuals who work with nonhuman animals under their super-

vision receive explicit instruction in experimental methods and

in the care, maintenance, and handling of the species being

studied. The activities that any individuals may engage in must

not exceed their respective competencies, training, and experi-

ence in either the laboratory or the field setting.

CARE AND HOUSING OF LABORATORY ANIMALS

As a scientific and professional organization, APA recognizes the

complexities of defining psychological well-being for both human

and nonhuman animals. APA does not provide specific guidelines

for the maintenance of psychological well-being of research ani-

mals, as procedures that are appropriate for a particular species

may not be for others. Psychologists who are familiar with the

species, relevant literature, federal guidelines, and their institu-

tion’s research facility should consider the appropriateness of

measures such as social housing and enrichment to maintain or

improve psychological well-being of those species.

A. The facilities housing laboratory animals should meet or exceed

current regulations and guidelines (USDA, 1990, 1991; NIH,

2015) and are required to be inspected twice a year (USDA, 1989;

NIH, 2015).

B. All procedures carried out on nonhuman animals are to be

reviewed by an IACUC to ensure that the procedures are appro-

priate and humane. The committee must have representation

from within the institution and from the local community. In the

event that it is not possible to constitute an appropriate IACUC

in the psychologist’s own institution, psychologists should seek

advice and obtain review from a corresponding committee of a

cooperative institution.

C. Laboratory animals are to be provided with humane care and

healthful conditions during their stay in any facilities of the insti-

tution. Responsibilities for the conditions under which animals

are kept, both within and outside of the context of active exper-

imentation or teaching, rests with the psychologist under the

supervision of the IACUC (where required by federal regulations)

and with individuals appointed by the institution to oversee lab-

oratory animal care.

AMERICAN PSYCHOLOGICAL ASSOCIATION GUIDELINES FOR ETHICAL CONDUCT IN THE CARE AND USE OF NONHUMAN ANIMALS IN RESEARCH

ACQUISITION OF LABORATORY ANIMALS

A. Laboratory animals not bred in the psychologist’s facility are to

be acquired lawfully. The USDA and local ordinances should be

determined and followed prior to IACUC protocol submission.

B. Psychologists should make every effort to ensure that those

responsible for transporting the nonhuman animals to the facility

provide adequate food, water, ventilation, and space, and impose

no unnecessary stress on the animals (NRC, 2006).

C. Nonhuman animals taken from the wild should be trapped in a

humane manner and in accordance with applicable federal, state,

and local regulations.

D. Use of endangered, threatened, or imported nonhuman animals

must only be conducted with full attention to required permits

and ethical concerns. Information and permit applications may

be obtained from the Fish and Wildlife Service website at www.

fws.gov.

EXPERIMENTAL PROCEDURES

Consideration for the humane treatment and well-being of the lab-

oratory animal should be incorporated into the design and conduct

of all procedures involving such animals, while keeping in mind the

primary goal of undertaking the specific procedures of the research

project—the acquisition of sound, replicable data. The conduct of all

procedures is governed by Guideline I (Justification of Research)

above.

A. Observational and other noninvasive forms of behavioral studies

that involve no aversive stimulation to, or elicit no sign of distress

from, the nonhuman animal are acceptable.

B. Whenever possible behavioral procedures should be used that

minimize discomfort to the nonhuman animal. Psychologists

should adjust the parameters of aversive stimulation to the min-

imal levels compatible with the aims of the research. Consideration

should be given to providing the research animals control over

the potential aversive stimulation whenever it is consistent with

the goals of the research. Whenever reasonable, psychologists

are encouraged to first test on themselves the painful stimuli to

be used on nonhuman animal subjects.

C. Procedures in which the research animal is anesthetized and

insensitive to pain throughout the procedure, and is euthanized

(AVMA, 2020) before regaining consciousness are generally

acceptable.

D. Procedures involving more than momentary or slight aversive

stimulation, which is not relieved by medication or other accept-

able methods, should be undertaken only when the objectives of

the research cannot be achieved by other methods.

E. Experimental procedures that require prolonged aversive condi-

tions or produce tissue damage or metabolic disturbances

require greater justification and surveillance by the psychologist

and IACUC. A research animal observed to be in a state of severe

distress or chronic pain that cannot be alleviated and is not

essential to the purposes of the research should be euthanized

immediately (AVMA, 2020).

F. Procedures that employ restraint must conform to federal regu-

lations and guidelines.

G. Procedures involving the use of paralytic agents without reduc-

tion in pain sensation require prudence and humane concern.

Use of muscle relaxants or paralytics alone during surgery, with-

out anesthesia, is unacceptable.

H. Surgical procedures, because of their invasive nature, require

close supervision and attention to humane considerations by

the psychologist. Aseptic (methods that minimize risks of

infection) techniques must be used on laboratory animals

whenever possible.

1. All surgical procedures and anesthetization should be con-

ducted under the direct supervision of a person who is trained

and competent in the use of the procedures.

2. Unless there is specific justification for acting otherwise,

research animals should remain under anesthesia until all

surgical procedures are ended.

3. Postoperative monitoring and care, which may include the

use of analgesics and antibiotics, should be provided to min-

imize discomfort, prevent infection, and promote recovery

from the procedure.

4. In general, laboratory animals should not be subjected to

successive survival surgical procedures, except as required

by the nature of the research, the nature of the specific sur-

gery, or for the well-being of the animal. Multiple surgeries on

the same animal must be justified and receive approval from

the IACUC.

I. To minimize the number of nonhuman animals used, investiga-

tors should maximize the amount of data collected from each

subject in a manner that is compatible with the goals of the

research, sound scientific practice, and the welfare of the animal.

J. To ensure their humane treatment and well-being, nonhuman

animals reared in the laboratory must not be released into the

wild because, in most cases, they cannot survive, or they may

survive by disrupting the natural ecology.

K. When euthanasia is appropriate, either as a requirement of the

research or because it constitutes the most humane form of

disposition of a nonhuman animal at the conclusion of the

research:

1. Euthanasia must be accomplished in a humane manner,

appropriate for the species and age, and in such a way as to

ensure immediate death, and in accordance with procedures

outlined in the latest version of the AVMA (American

AMERICAN PSYCHOLOGICAL ASSOCIATION GUIDELINES FOR ETHICAL CONDUCT IN THE CARE AND USE OF NONHUMAN ANIMALS IN RESEARCH

Veterinary Medical Association) Guidelines on Euthanasia of

Animals (2020).

2. Disposal of euthanized laboratory animals must be con-

ducted in accordance with all relevant laws, consistent with

health, environmental, and aesthetic concerns, and as

approved by the IACUC. No animal shall be discarded until its

death is verified.

FIELD RESEARCH

Field research that carries a risk of materially altering the behavior

of nonhuman animals and/or producing damage to sensitive eco-

systems is subject to IACUC approval. Field research, if strictly

observational, may not require animal care committee approval

(USDA, 2000).

A. Psychologists conducting field research should disturb their

populations as little as possible, while acting consistent with the

goals of the research. Every effort should be made to minimize

potential harmful effects of the study on the population and on

other plant and animal species in the area.

B. Research conducted in populated areas must be done with

respect for the property and privacy of the area’s inhabitants.

C. Such research on endangered species should not be conducted

unless IACUC approval has been obtained and all requisite per-

mits are obtained (see section IV.D of this document). Included

in this review should be a risk assessment and guidelines for

prevention of zoonotic disease transmission (i.e., disease trans-

mission between species, including human to nonhuman and

vice versa).

RESEARCH IN OTHER SETTINGS

Research on captive wildlife or domesticated animals outside the

laboratory setting that materially alters the environment or behav-

ior of the nonhuman animals should be subject to IACUC approval

(Ng et al., 2019). This includes settings where the principal subjects

of the research are humans, but nonhuman animals are used as

part of the study, such as research on the efficacy of animal-as-

sisted interventions (AAI) and research conducted in zoos, animal

shelters, and so on. If it is not possible to establish an IACUC at

the psychologists’ own institution, investigators should seek advice

and obtain review from an IACUC of a cooperative institution.

A. Researchers should minimize and mitigate any distress on the

nonhuman animal subject caused by its involvement in the study.

Qualifications for appropriate handling of animal subjects in AAI

settings have been well described by the AVMA (2008).

Psychologists studying the use of AAIs should have the expertise

to recognize behavioral and/or physiological signs of stress and

distress in the species involved in the study. However, when

psychologists lack such expertise, they should ensure that the

research team includes individuals with the necessary expertise

to recognize and intervene to reduce the nonhuman animal sub-

ject’s distress. Any study that carries risk of experiencing, or

being exposed to the experience of, another organism’s pain,

fear, or distress requires greater justification and should be

addressed in the IACUC protocol.

B. When research is conducted in applied settings, such as hospi-

tals, health clinics, and offices of doctors and mental health

professionals, the investigator should understand the risk of, and

declare mitigating strategies for, disease transmission between

human and nonhuman participants. For example, studies of AAIs

in health-care facilities offering mental health services may intro-

duce risks for bi-directional zoonotic transmission of infectious

diseases such as Methicillin-resistant Staphylococcus aureus

(MRSA) (Lefebvre, et al., 2008). Investigators studying AAIs in

health-care settings should therefore adhere to the guidelines for

AAI management offered by the AVMA (2008).

C. In all experimental circumstances, investigators should structure

into the schedule the basic needs of the nonhuman animals such

as food, water, and rest breaks.

EDUCATIONAL USE OF NONHUMAN ANIMALS

Laboratory exercises as well as classroom demonstrations involving

live animals are of great value as instructional aids. Psychologists

are encouraged to include instruction and discussion of the ethics

and values of nonhuman animal research in relevant courses.

A. Nonhuman animals may be used for educational purposes only

after review by an IACUC or other appropriate institutional com-

mittee.

B. Consideration should be given to the possibility of using nonan-

imal alternatives. Procedures that may be justified for research

purposes may not be so for educational purposes (e.g., animal

models of pain that are used to develop safer analgesics would

be in excess of what is needed to merely demonstrate the use of

animal models in the study of behavior and cognition).

C. All handlers of nonhuman animals in educational settings should

adhere to the recommendations outlined above for personnel,

housing, and acquisition of subjects.

APA has adopted separate guidelines for the use of nonhuman ani-

mals in research and teaching at the pre-college level. A copy of the

APA Guidelines for the Use of Nonhuman Animals in Behavioral Projects

in Schools (K-12) can be obtained via email at science@apa.org, by

phone at 202-336-6000, or in writing to the American Psychological

Association, Science Directorate, Office of Research Ethics, 750 First

St., NE, Washington, DC 20002-4242 or downloaded at apa.org/

science/leadership/care/animal-guide.pdf.

AMERICAN PSYCHOLOGICAL ASSOCIATION GUIDELINES FOR ETHICAL CONDUCT IN THE CARE AND USE OF NONHUMAN ANIMALS IN RESEARCH

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American Veterinary Medical Association. (2008). Guidelines for

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ajic.2007.09.005

American Veterinary Medical Association. (2020). AVMA guidelines

for the euthanasia of animals. https://www.avma.org/sites/default/

files/2020-01/2020-Euthanasia-Final-1-17-20.pdf

Animal Welfare Act 7 U.S.C. § 2131 et seq. http://awic.nal.usda.

gov/nal_display/index.php?info_center=3&tax_level=3&tax_

subject=182&topic_id=1118&level3_id=6735

Institute for Laboratory Animal Research. (2011). Guide for the care and

use of laboratory animals (8th ed.). Washington, DC: The National

Academies Press

Lefebvre, S. L., Peregrine, A. S., Golab, G. C., Gumley, N. R., Waltner-

Toews, D., & Weese, J. S. (2008). A veterinary perspective on the

recently published guidelines for animal-assisted interventions

in health-care facilities. Journal of the American Veterinary

Medical Association, 233(3), 394-402. https://doi.org/10.2460/

javma.233.3.394

National Institutes of Health Office of Laboratory Animal Welfare.

(2015). Public Health Service Policy on the Humane Care and Use

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transportation of research animals. Washington, DC: The National

Academies Press.

Ng, Z., Morse, L., Albright, J., Viera, A., & Souza, M. (2019). Describing

the use of animals in animal-assisted intervention research.Journal of

Applied Animal Welfare Science,22(4), 364-376.

Russell W.M.S., & Burch, R. L. (1959). The principles of humane

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Additional Resources

Dess, N. K., & Foltin, R. W. (2004). The ethics cascade. In C. K. Akins, S.

Panicker, & C. L. Cunningham (Eds.). Laboratory animals in research

and teaching: Ethics, care, and methods (pp. 31-39). APA.

National Institutes of Mental Health. (2002). Methods and welfare

considerations in behavioral research with animals: Report of a

National Institutes of Health Workshop. Morrison, A. R., Evans, H. L.,

Ator, N. A., & Nakamura, R. K. (Eds.). NIH Publications No. 02-5083.

Washington, DC: US Government Printing Office.

National Research Council. (2011). Guide for the care and use of

laboratory animals. (8th ed.). Washington, DC: The National

Academies Press.

National Research Council. (2003). Guidelines for the care and use of

mammals in neuroscience and behavioral research. Washington, DC:

The National Academies Press.

National Research Council. (2008). Recognition and alleviation of

distress in laboratory animals. Washington, DC: The National

Academies Press.

National Research Council. (2009). Recognition and alleviation of pain in

laboratory animals. Washington, DC: The National Academies Press.

Guidelines for Ethical Conduct in the Care and Use of Nonhuman Animals

in Research was developed by the American Psychological Association

Committee on Animal Research and Ethics in 2020and 2021. Members

on the committee were Rita Colwill, PhD, Juan Dominguez, PhD, Kevin

Freeman, PhD, Pamela Hunt, PhD, Agnès Lacreuse, PhD, Peter Pierre,

PhD, Tania Roth, PhD, Malini Suchak, PhD, and Sangeeta Panicker, PhD

(Staff Liaison). Inquiries about these guidelines should be made to the

American Psychological Association, Science Directorate, Office of

Research Ethics, 750 First Street, NE, Washington, DC 20002, or via

e-mail at [email protected].

by the APA Council of Representatives, February 2022.