In response to the questions posed in this scenario, the Office of Laboratory Animal Welfare (OLAW) and the United States Department of Agriculture, Animal and Plant Health Inspection Service, Animal Care (USDA, APHIS, AC) offer the following guidance:

The Public Health Service Policy on Humane Care and Use of Laboratory Animals (PHS Policy) does not specify whether the Chair must be a member of the Committee. The PHS Policy, in section V.A.4., charges OLAW with “advising...awardee institutions concerning implementation of this Policy”1. OLAW's interpretation is that the Chairperson must be a member of the Committee. The Chair is expected to vote unless there is a direct conflict of interest (i.e., involvement in a protocol or another reason to recuse). OLAW's interpretation is supported by the PHS Policy in section IV.A.3.b., which requires the institution to provide the name, position title and credentials of the Chairperson in the Assurance document1. Further, in Part VIII of the sample domestic Assurance, the Chairperson is identified as one of the members of the IACUC2.

Institutions must have an Assurance on file with OLAW in order to receive PHS funding. If an institution does not have an Assurance, the funding component will ask OLAW to negotiate an Assurance before the grant, contract or cooperative agreement is awarded. OLAW contacts the institution to negotiate an Assurance. (OLAW does not accept or process unsolicited applications.) The institution prepares an Assurance document and submits it to OLAW. OLAW negotiates with the institution until the Assurance document meets the standards of the PHS Policy3. During the negotiation, OLAW advises the institution on the proper constitution of an IACUC. This includes the point that the Chairperson is a voting member of the committee.

Because of the dean's senior leadership position within the institution, service as Institutional Official (IO) may be more appropriate than appointment as IACUC Chair. The IO is the key person in the organization with the administrative and operational authority to commit institutional resources to ensure that the animal care and use program complies with the requirements of the PHS Policy4.

For USDA-registered research facilities, there are several issues in this scenario to be addressed. The first is whether the chair can be a non-voting member. The only non-voting persons involved in IACUC activities are consultants who are not members of the Committee5. The Animal Welfare Act Regulations (AWARs) under section 2.31b describe the minimum requirements for IACUC member make-up as a Chair, a veterinarian and a non-affiliated member5. By virtue of being a member of the IACUC, the Chair is engaged in the activities of the IACUC as outlined in section 2.31c-e of the AWARs and therefore must vote5.

The second issue is whether the Chair needs to be affiliated with the institution. The AWARs are silent on this. A third issue, though not directly stated, is whether the dean is also the IO. Although there is no regulatory prohibition against the IO also being Chair of the IACUC, because of the high potential for a conflict of interest, this dual role is discouraged. Animal Care Policy #15 on Institutional Official and IACUC Membership provides guidance on this matter6.

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