Purpose

Transportation of research mice and rats is often necessary to accomplish research goals.  Transporting from one location to another can be stressful to the animals and can increase the potential for disease transmission or injury.  A number of factors must be considered when transporting research laboratory animals that can impact on animal welfare and study parameters.  In addition, animals must be transported in accordance with applicable regulatory laws and guidelines.

The use of personal vehicles to transport animals is strongly discouraged; whenever possible a University-owned vehicle or commercial carrier should be used to transport animals to minimize stress and reduce the potential exposure to hazards.  However, the UConn Health Institutional Animal Care and Use Committee (IACUC) recognizes that the use of personal vehicles may be the only way to transport animals between institutions, especially between UConn campuses and to nearby locations.  UConn Health is not responsible for any damages to the private vehicle caused by the transport of laboratory animals.  This policy will outline requirements that must be met when using a personal vehicle to transport animals to/from UConn Health.

Action

General

1. Transportation by personal vehicle must be described in the IACUC protocol and approved by the IACUC. This should include the destination(s), description of the car, identification of who will be performing the transportation, provision of food and/or water (or gel pack), an emergency plan (e.g., in case of accident, car breaking down, etc.) and a plan for disinfection of the vehicle after the transportation of the animals is completed.
2. Any transfer or transport of animals from UConn Health requires the Center for Comparative Medicine (CCM) to be notified indicating the number of cages to be transported, animal room, and overnight stay (if applicable).
3. Only research laboratory mice and rats may be transported by personal vehicle.
4. Animals that have been treated with hazardous agents (i.e., biological, chemical, radiological) cannot be transported in a personal vehicle.
5. Transportation must be immediate and direct; personnel cannot make stops during the transportation (e.g., stop for dinner). If a stop is necessary (e.g., restroom), animals should not be visible or left in direct sunlight.
6. Animals should not be left unattended during transport.
7. A current health certificate is required to bring animals to the UConn Health vivarium.
8. If the animal is brought back to CCM, it will be housed in short-term housing or in quarantine for the remainder of its stay at UConn Health.

Animal Shipping Containers

1. Containers used when shipping animals must be able to be sanitized, spill proof, prevent waste from falling outside of the container, secure and escape proof, provide adequate ventilation, have a solid floor, and be free of any sharp edges that could harm the animal.
2. If animal housing cages are used, cage tops should be taped or otherwise secured to the cage; cages should be placed into a secondary containment container.
3. Whenever possible, CCM recommends the use of transport containers – JAX Boxes (18x16x11) wherein the PI can house up to 10 mice. These transport containers can be purchased from CCM.  In general, JAX transport containers are securely tightened and have provision of clean autoclaved bedding, feed, and hydrogel pack.  If transport is to occur outside of UCH, transport containers MUST be used.
4. Provision of feed and water during transportation can be problematic because of the potential for spillage. Small rodents lose heat more quickly than larger animals, require more calories per unit of body mass, and become dehydrated more quickly than larger animals.  Animals should be provided food pellets and gel packs during transportation.
5. Animal containers must be secured into the vehicle via seatbelt, or other similar positive (not stretchable) restraint device (e.g., nylon straps tightened with a ratchet).
6. Cages should not be stacked one on top of the other as this can decrease air circulation.
7. Maximum number of cages to be transported is 2-4 cages or 2 JAX transport containers.
8. Animals must be in the passenger compartment airspace of the vehicle (e.g., not in the trunk)
9. Container must have an emergency contact name(s) and number(s).

Personal Vehicles

1. Animals may not be transported by bus, shuttle bus, plane, or train.
2. Vehicles must be inspected by the IACUC prior to first use and during the semi-annual facility inspection times if the vehicle is continually used for transport.
3. Personnel requesting personal vehicle transport must provide a copy of a valid driver’s license and proof of insurance.
4. Vehicles must have adequately working heating and air conditioning to provide an appropriate ambient temperature for the safe transportation of mice (4-30°C [37-91°F]) and rats (6-33°C [43-93°F]).
5. Personnel transporting laboratory animals should be the owner of the personal vehicle to be used.

Personnel Performing Transport

1. Personnel performing the transportation, other than employees of the Center for Comparative Medicine, must be UConn Health faculty members.
2. Personnel must have completed training on transportation prior to transporting animals.
3. A maximum of two (2) individuals can be in the vehicle when transporting research animals. Both must have current animal care and use training through UConn Health.
4. Non-research personnel may not be in the vehicle when laboratory animals are being transported.
5. There may be no eating, drinking, or smoking while transporting laboratory animals.
6. Personnel performing the transportation must have a mobile phone with them during the transportation of animals.

Documentation

1. Personnel performing transport of laboratory animals must maintain a log of transport. This long should contain the time animals were placed into the vehicle, the length of time of the trip, the mileage of the trip, and the time animals arrived at the final destination.
2. Signatures must be acquired at the originating destination and at the final destination. Paperwork should evaluate the condition of the animals prior to the transport and upon arrival at their destination.

References

1. The Guide for the Care and Use of Laboratory Animals, 8^th edition. National Academies Press, 2011.
2. Guide for the Humane Transportation of Research Animals. National Academies Press, 2006.
3. Transportation of Laboratory Animals: Proceedings of a Workshop.  ILAR, 2017.

Effective Dates:  June 5, 2025 through June 30, 2028

This policy has been approved by a majority vote of the IACUC members.

State of Connecticut Ethics Laws

University Guide to the State Code of Ethics

All University faculty and staff are subject to the Connecticut state ethics laws.  Connecticut State ethics laws are designed to prevent a state employee, his/her family, and any associated business(es) from benefiting personally from his/her position as a state employee. The guidance on Consulting Approval, Purchasing Goods or Services, Employment of Students, and Use of University Facilities/Resources, are intended to help the University community comply with state ethics laws and University policy.  While the University has developed its own policy based upon state ethics laws, the University Guide to the State Code of Ethics, the final authority to interpret and enforce these laws rests with the Office of State Ethics, an independent regulatory division of the state.

This policy includes several considerations related to conflicts of interest.

For guidance regarding individual situations, contact the Ethics Liaison.

University Policies

The following University policies are of particular importance for members of the University community who hold a financial interest in, or conduct University activities with, a faculty affiliated company.  Additional guidelines on these topics are available within this site.

Code of Conduct

The Code of Conduct includes campus-wide standards on conflict of interest.

For guidance regarding individual situations, contact the Office of University Compliance.

Faculty Consulting Policy

This policy addresses when a faculty member is working for a faculty affiliated company in a paid or unpaid capacity, including as an employee, consultant, or advisor.

For guidance regarding individual situations, contact the Faculty Consulting Office.

Use of Students in Outside Employment

This policy addresses if a student is to be employed by a faculty affiliated company / external entity.

Financial Conflict of Interest in Research (UConn Health)

Individuals at UConn Health who are involved in University research as an Investigator must make full and timely disclosures of financial interests, including any financial interests with a faculty affiliated company / external entity, according to this policy.

Individual Financial Conflicts of Interest in Clinical Health Care Policy

This Policy on Financial Conflicts of Interest in Clinical Health Care promotes objectivity in clinical health care by establishing standards to reasonably ensure that the planning, support and delivery of clinical health care will not be biased by any conflicting financial interest of a Clinical Practitioner. This Policy applies to all aspects of clinical health care. While UConn Health encourages Clinical Practitioners to engage in appropriate outside relationships, all Clinical Practitioners must in accordance with this Policy disclose any significant financial interest (including those of a spouse or dependent child) that relate to the Clinical Practitioner’s institutional responsibilities and, if applicable, comply with any financial conflict of interest management or mitigation plans.

If a faculty member, or any other University personnel subject to the consulting policy, do any work for a faculty affiliated company, whether or not compensation is received, prior consulting approval from the University is required.  This approval is required even if the faculty affiliated company is not currently paying the faculty member.

For faculty members who have an ownership interest in a start-up company, that ownership must be disclosed when seeking consulting approval.

Faculty members must get consulting approval from the Department Head, Dean, and Provost if working for a faculty affiliated company in a paid or unpaid capacity.

Faculty must seek approval for the Use of University Resources, including University equipment, while consulting.  Faculty members must reimburse the University for using University resources beyond di minimus amounts.

Approval under the University’s Faculty Consulting system is in addition to any other disclosure statements (e.g., for research financial disclosures).

Any consulting activity that is ongoing requires a new request form every fiscal year.

For questions related to the faculty consulting policy, contact the campus Faculty Consulting Office.

Subaward from Faculty Affiliated Company to UConn

The University may accept research subcontracts/subawards from faculty affiliated companies (FAC) in which the FAC is the sponsor. All of the relevant requirements and policies for subcontracting to the University apply regardless of the fact that the subcontracting entity is a FAC. The University Conflict of Interest Committee(s) may place specific requirements on the investigator or others working on the project to manage, reduce or eliminate the conflict.

Subaward from UConn to a Faculty Affiliated Company

If the Principal Investigator (PI) is a faculty member who has an interest in a FAC, the University will not subcontract or issue a subaward to any FAC in which the PI has an interest.

If a Co-PI on the grant has an interest in a FAC, specific rules apply if there is a subcontract or a subaward to any FAC in which the Co-PI has an interest. As a state employee, a Co-PI may be prohibited by state ethics law from having the FAC contract with the University. There is an exception that allows a subcontract or subaward if it is intended to support a collaboration to develop and commercialize an invention or discovery. Many subcontracts and subawards may come within this exception. They are permitted, provided that the following additional requirements are also met:

1. the PI does not have an ownership or other interest in the FAC receiving the subcontract or subaward
2. the PI does not receive any financial gain from making the award
3. the PI has made an independent decision based on the merits to select the FAC and the decision is not based on other factors such as personal or professional relations with the Co-PI
4. the Co-PI did not participate in the decision to make the award to the FAC
5. the FAC receiving the subaward or subcontract must be qualified to do the work, and the economic and other terms must be commercially reasonable; and
6. the evaluation of the work product and the approval of invoices from the company must be done by the PI independently, without the participation of the Co-PI. In addition, in these situations, UConn will inform the sponsor of the potential conflict and confirm that the sponsor has no objections.

The PI cannot receive a payment from the Co-PI or the company receiving the subaward or subcontract. Nor can there be any agreement to funnel subawards or subcontracts to a company in which the PI has an interest.

As noted elsewhere, this does not address any restrictions that may be imposed by the funding source, whether a federal grant or otherwise. The application of those rules needs to be evaluated in the context of the specific situation.

For assistance at UConn Health (Farmington), contact Paul Hudobenko, Director, Sponsored Program Services, at hudobenko@uchc.edu.

Disclosure in Publications, Presentations, and Transactions

Individuals must disclose ownership and consulting relationships, if any, with a faculty affiliated company/external entity in all publications, presentations, and transactions related to the  company’s technology.  Likewise, the faculty affiliated company would disclose its relationship with the faculty member, and the individual’s role with the company, in all publications, presentations, and transactions related to the individual’s work in the development and marketing of its technology.

When an individual files an application for any grant or contract, whether through the University or through a faculty affiliated company/external entity, the individual must disclose their financial interest with the company as required by the granting or contracting entity.

For Investigators who own equity in a faculty affiliated company or start-up company, the ownership must also be disclosed through the University’s financial interest filing process described below.

Financial Conflict of Interest in Research and/or Clinical Care  – Disclosure and Management

Individuals at the University involved in research or clinical care must make full and timely disclosures to the applicable Financial Conflict of Interest Committee of all financial interests meeting the disclosure threshold for Significant Financial Interests (SFIs) within the InfoEd External Interests system.

This includes disclosure of any and all equity or other ownership interests in non publicly-traded entities, such as faculty affiliated companies or other non-public external entities, even if the company has no current value or the value is unknown.

For investigators:  These disclosures are reviewed and, where required, managed, reduced, or eliminated to address potential conflicts in the design, conduct, or reporting of research according to the University’s Financial Conflict of Interest in Research policy.  In some instances, there may be specific sponsor policies or requirements that are more restrictive than State ethics laws and UConn policy, and such applicable portions of sponsor policies or requirements will take precedence, while other aspects of State or University policy will remain in force.  Investigators should review the terms of all awards and must comply with all terms and conditions to be certain there are no additional restrictions pertaining to a company relationship.

Obligation to Update and Provide Information

If there is a change in an individual’s status or responsibilities related to a faculty affiliated company/external entity, the financial disclosure may be required to be updated and other University areas may also need to be notified (e.g., Faculty Consulting Office).  According to University policy, the research financial disclosure is required to be updated within thirty (30) days of the acquisition or discovery of any new significant financial interests.