Context: The Study of Wild Birds: Chapter I. Introduction A. Overview
Context: The Study of Wild Birds: Chapter I. Introduction A. Overview
Context: The Study of Wild Birds: Chapter I. Introduction A. Overview
INTRODUCTION
A. Overview
Ornithologists study wild birds to fill the need and desire to understand the lives of birds in
natural environments. Although some studies of wild birds take place in laboratories and
aviaries, a growing number of studies of fundamental scientific issues such as behavioral
ecology and ecophysiology are conducted on wild animals under natural conditions, as
scientists have come to understand the limitations of laboratory and captive work in those areas.
Studies are also undertaken for the express purpose of developing appropriate conservation or
management strategies in a world in which most species face challenges resulting from
anthropogenic changes to the landscape. In either case, the birds studied benefit from that
research, as do other species that share their habitats. Often the individual study animals
themselves benefit from the research. Whether the primary motivation of ornithological study is
the advancement of scientific knowledge or the acquisition of information used for management
purposes, wildlife research yields results that are directly relevant to the welfare and
conservation of the species, communities, and ecosystems studied. Indeed, species
conservation would not be possible without a solid base of information derived from field studies
and it could be argued that conservation decisions and actions made without the benefit of a
scientific basis could be ineffective or even harmful.
The deep appreciation of and concern for birds that motivates ornithologists to dedicate their
research careers to this underappreciated and underfunded research discipline is also
expressed in their concern for the impacts of the research on the birds they study. And from a
purely practical standpoint, they also realize that they must minimize the impacts of research
methods to ensure that the scientific results are valid. They also realize that their methods will
be scrutinized and judged not only by the Institutional Animal Care and Use Committees, but
also by journals and by the general public.
These Guidelines are formulated with consideration of animal welfare and research needs in the
context of these premises, and in the context of the conditions under which wild birds are
studied. Guidelines for the care of animals bred in captivity for use in biomedical research
generally are not appropriate to wild vertebrates studied in the field or even in captivity. Studies
of wild animals entail conditions that are not encountered in laboratory situations. The ordinary
The ornithological profession has long been diligent about assessing the impacts of research
methods and has sought to modify methods to reduce impacts or to find alternative methods.
Consistent with these interests in the advancement of scientific knowledge, bird conservation,
and the well-being of individual birds and bird populations, the American Ornithologists’ Union in
1975 first published the Report of the American Ornithologists' Union ad hoc Committee on the
Scientific and Educational Use of Wild Birds. In 1988, the American Ornithologists' Union, the
Cooper Ornithological Society, and the Wilson Ornithological Society, with encouragement and
financing from the National Science Foundation, published the first edition of Guidelines for the
Use of Wild Birds in Research. When the Ornithological Council was formed by these societies,
together with the Waterbird Society, the Raptor Research Foundation, and the Association of
Field Ornithologists, responsibility for periodic revision of Guidelines was assigned to the
Ornithological Council. A major revision was published in 1997, followed by a minor revision in
1999. Each iteration has been peer-reviewed, as has this current revision.
In 2007, the Ornithological Council embarked upon this major revision for the following reasons:
Outcome-oriented approach
These Guidelines are outcome-oriented. The intent is to examine the kinds of impacts that result
from research methods, with the goal of eliminating or minimizing those impacts. Researchers
should always strive to use the method that eliminates or reduces impact to the maximum
extent, consistent with the purpose of the research. In other words, we advocate the consistent
application of the refinement principle: choose methods to lessen or eliminate stress, pain and
suffering, and to make the animals more comfortable. This refinement principle is one of the “3
Rs” that became the touchstone of animal research after publication of The Principles of
Humane Experimental Technique (Russell and Burch 1959). Based on a scientific study of
humane technique pertaining to research involving laboratory animals, the first principle calls for
Due to the considerable anatomical, behavioral, and physiological diversity of the birds species,
and to the fact that usually the investigator will be an authority on the requirements and
tolerances of the species under study, ultimate responsibility for certain techniques or
procedures may best be left to the investigator. This approach is consistent with that taken by
Most of the scientific papers discussed in the text describe methods, and we provide a resource
list that includes many references on field techniques but this Guide is not intended to be a
complete reference on techniques and procedures.
These Guidelines include current information about techniques relevant to birds and policies
relevant to ornithological research. Advances in methods and changes to policy will require
future amendments. For that reason, these Guidelines will be supplemented continually through
updates (on BIRDNET) as needed. The Ornithological Council will maintain a literature
database accessible to individual members of the member societies of the Ornithological
Council and to members of Institutional Animal Care and Use Committees and officials of
federal and state agencies upon request.
The Ornithological Council will provide the text of Guidelines free of charge and will make a
Spanish translation available. We hope to provide other translations if possible.
Discussion of policy and procedure focuses on the United States. Seven of the eleven member
societies of the Ornithological Council are based in the United States; though some are
international in scope and the members of these scientific societies study birds everywhere in
the world. When they conduct research in the United States or receive funding from a federal
agency, even if the research takes place outside the United States, they must comply with
United States law. The system of statutes, regulations, and procedures in the United States that
mandate the scrutiny of research involving animals is perhaps the most elaborate and rigorous
in the Western Hemisphere. The basic principles of animal welfare - particularly the reduction,
replacement, and refinement principles - are universal, as is the science.
United States
Government frameworks for the agencies and organizations that regulate or oversee
ornithological research vary from one country to another. In the United States, four federal
agencies and fifty state agencies oversee research on wild birds. The U.S. Fish and Wildlife
Service requires permits pursuant to the mandates of the Migratory Bird Treaty Act or the
Endangered Species Act, though the Bird Banding Laboratory of the U.S. Geological Survey
issues permits for bird marking. Nearly all of the fifty states require permits for research
involving wild birds. The federal and state laws implemented by these agencies are intended to
protect bird populations, though the permit regulations in the United States allude very briefly to
humane conditions for live wildlife possessed under a permit. Substantial detail about permitting
requirements is provided on BIRDNET.
The Animal Welfare Act, as initially enacted by Congress in 1970 (P.L.91-579) and later
amended in 1976 (P.L.94-279) and now codified in the U.S. Code at 7 U.S.C. 2131 et seq. is
intended to “insure that animals intended for use in research facilities or for exhibition purposes
or for use as pets are provided humane care and treatment.” The U.S. Department of
Agriculture, Animal and Plant Health Inspection Service Animal Care program implements this
law by issuing and enforcing regulations (9 C.F.R. 2.1 et seq.). As explained more fully below,
Under the Health Research Extension Act of 1985 (P.L. 99-158, codified at 42 U.S.C.289d), the
director of the National Institutes of Health established guidelines for the proper care and use of
animals used in biomedical and behavioral research. Though this statute and the guidelines do
not apply to most ornithological research, universities adhere to these guidelines and apply
them to all research involving live vertebrates because to maintain eligibility to receive grants
and contracts from the National Institutes of Health, they must agree to do so. The policy,
known as the Public Health Service Policy on Humane Care and Use of Laboratory Animals, is
overseen by the Office of Laboratory Animal Welfare of the National Institutes of Health. Other
federal funding agencies, such as the National Science Foundation, voluntarily adhere to these
standards and compliance is a condition of receiving grants.
The Animal Welfare Act (and its implementing regulations) varies in some respects from the
Health Research Extension Act and the Public Health Service Policy, primarily with regard to
procedural requirements. To avoid conflict and duplication, the U.S. Department of Agriculture
and the National Institutes of Health have, by agreement, assigned oversight of research issues
to the National Institutes of Health.
In the United States, federal agencies adhere to an interagency policy known as the U.S.
Government Principles for the Utilization and Care of Vertebrate Animals Used in Testing,
Research, and Training. These principles govern the use of animals in research conducted by
federal agencies.
The Institute of Laboratory Animal Research of the National Research Council publishes the
Guide for the Care and Use of Laboratory Animals (ILAR Guide), a leading guidance document
that elaborates upon the underlying philosophy and basic principles for appropriate care of
research animals. This Guide discusses field investigations in a very cursory manner, but is
nonetheless used by Institutional Animal Care and Use Committees in assessing research
protocols for field studies. At the time of this revision, the Guide itself was undergoing revision.
The Institute, which also publishes a quarterly journal, has no oversight or regulatory functions
The Canadian Wildlife Service implements that country’s Migratory Birds Convention Act; the
Bird Banding Office of the issues permits for marking birds and the provincial and territorial
offices issue permits for other research activities.
In Canada, oversight of animal welfare in research falls to the Canadian Council on Animal
Care. This non-governmental organization was created when the Medical Research Council of
the Canadian Institutes of Health requested that the National Research Council (the
Government of Canada's premier organization for research) establish a committee to
investigate the care and use of experimental animals in Canada. In 1968, following the
Committee's recommendation to create a voluntary control program exercised by scientists in
each institution, subject to peer review and committed to implementing the guiding principles of
an independent advisory body, the Canadian Council on Animal Care (Canadian Council on
Animal Care) was established. The Canadian Council on Animal Care was incorporated as a
non-profit, autonomous and independent body in 1982. It receives most of its funding from the
Canadian Institutes of Health Research (CIHR) and the Natural Sciences and Engineering
Research Council (NSERC), with additional contributions from federal science-based
departments and private institutions.
The Canadian Council on Animal Care mission statement underlines the focus of the
organization on the ethical principles of animal-based experimentation:
The purpose of the Canadian Council on Animal Care is to act in the interests of
the people of Canada to ensure through programs of education, assessment and
persuasion that the use of animals, where necessary, for research, teaching and
testing employs optimal physical and psychological care according to acceptable
scientific standards, and to promote an increased level of knowledge, Animal
Welfare Act, and sensitivity to relevant ethical principles.
The Canadian Food Inspection Agency enforces the regulations through routine inspections,
unannounced site inspections and response to reports of non-compliance. Federal and
provincial laws prohibit cruelty to animals; most entail criminal sanctions.
Private organizations also play a role in assuring the welfare of animals studied in scientific
research. Principle among them is the Association for the Assessment and Accreditation of
Laboratory Animal Care International. Virtually all U. S. academic and research institutions
belong to this organization and seek accreditation by meeting its exacting standards. It is the
only private accrediting organization recognized by the Public Health Service of the U.S.
Department of Health and Human Services. The Scientists Center for Animal Welfare and
PRIM&R (Public Responsibility in Medicine and Research; its membership arm known as the
Applied Research Ethics National Association is now fully subsumed into PRIM&R) are
membership organizations that advance ethical standards in the conduct of research involving
live animals through training, workshops, and publications.
International organizations
Efforts to develop international, harmonized standards for the care and treatment of animals
used in research are underway. The International Council for Laboratory Animal Science dates
to 1955, when the International Union of Biological Sciences appointed an international
committee to study the problems that existed within those scientific fields in which live animals
were used in experimental procedures. Later that year the United Nations Educational, Scientific
and Cultural Organization requested information on the production and use of laboratory
animals in various countries. These two initiatives resulted in agreement to establish an
independent non-governmental scientific committee with the aim to raise the standards in the
use of laboratory animals on a global basis. It was in this way and under the auspices of these
two organizations that the International Council for Laboratory Animal Science was established
in 1956. The Ornithological Council joined this international body in 2007 to represent scientific
ornithology because so many of the members of the societies that comprise the Council conduct
their research outside the United States. To date, the International Council for Laboratory
Animal Science has focused primarily on biomedical research and on oversight procedures
rather than substantive standards, but in anticipation of the eventual inclusion of field biology,
the Ornithological Council seeks to become an authoritative source of information for this and
other, similar multinational efforts.
United States
“The term ``research facility'' means any school (except an elementary or secondary school),
institution, or organization, or person that uses or intends to use live animals in research, tests,
or experiments, and that (1) purchases or transports live animals in commerce, or (2) receives
funds under a grant, award, loan, or contract from a department, agency, or instrumentality of
the United States for the purpose of carrying out research, tests, or experiments…” The Public
Health Service Act required the Director of the National Institutes of Health to establish
guidelines for the proper care and treatment of animals used in research and also required that
every institution receiving funding from the National Institutes of Health to assure that agency
that it would comply with those guidelines. In 1986, the National Institutes published those
guidelines, known as the Public Health Service Policy on Humane Care and Use of Laboratory
Animals. These guidelines, since updated at least twice, require that “In order to approve
proposed research projects or proposed significant changes in ongoing research projects, the
Institutional Animal Care and Use Committee shall conduct a review of those components
related to the care and use of animals and determine that the proposed research projects are in
accordance with this Policy. In making this determination, the Institutional Animal Care and Use
Committee shall confirm that the research project will be conducted in accordance with the
Animal Welfare Act insofar as it applies to the research project, and that the research project is
consistent with the [ILAR] Guide [to the Care and Use of Laboratory Animals] unless acceptable
justification for a departure is presented.”
Other federal agencies that fund research adopted these rules on a voluntary basis. For
instance, the National Science Foundation Award and Administration Guide provides that:
Any project proposing use of vertebrate animals for research or education shall
comply with the Animal Welfare Act [7 U.S.C. 2131 et seq.] and the regulations
promulgated thereunder by the Secretary of Agriculture [9 CFR 1.1-4.11]
pertaining to the humane care, handling, and treatment of vertebrate animals
held or used for research, teaching or other activities supported by Federal
awards. In accordance with these requirements, proposed projects involving use
of any vertebrate animal for research or education must be approved by the
submitting organization's Institutional Animal Care and Use Committee
(Institutional Animal Care and Use Committee) before an award can be made.
For this approval to be accepted by NSF, the organization must have a current
Public Health Service (PHS) Approved Assurance.
The Departments of Defense, the National Aeronautic and Space Administration, the
U.S. Department of Agriculture, and other grant-making agencies have similar policies.
Technically, then, if a research project does not involve the transport or purchase of animals
across state lines, and if the facility receives no federal funding, then the Animal Welfare Act is
not applicable. In that case, while ornithologists or research facilities may not need to follow the
procedural mandates of the Animal Welfare Act, they should still adhere to the principles of
appropriate care and use. These facilities might also want to consider establishing a review
board of the nature of an Institutional Animal Care and Use Committee, with one or more
scientists unaffiliated with the facility assessing the research protocols used by the researchers
of that facility. The absence of federal requirements should be considered as no more than an
Some research facilities that are not legally subject to the requirements of the Animal Welfare
Act and the Public Health Service Act have investigated the possibility of asking the Institutional
Animal Care and Use Committee of nearby universities or other research organizations to
review their research protocols. Most universities are unwilling to do so, in part because their
own committees, comprised of volunteers, are already overtaxed. Universities and other
research organizations also shy from accepting this responsibility because they are required to
provide a formal “assurance” document to the National Institutes of Health (Office of Laboratory
Animal Welfare) committing to adhere to and implement numerous laws, regulations, and
policies, including review of research protocols, facilities inspections, record-keeping, and
reporting requirements. Eligibility for funding from the Public Health Service of the U.S.
Department of Health and Human Services is conditioned upon fulfillment of the assurance. A
university or research organization, having no authority or oversight over another organization,
would not want to risk its eligibility for federal funding by voluntarily accepting any level of
responsibility for the activities of that organization.
Ornithologists in the United States know that their research has always been regulated,
notwithstanding the fact that research involving birds – wild, captive, or bred-in-captivity, is not
covered by the Animal Welfare Act or the implementing regulations, though regulations likely will
be promulgated by 2009. The regulation of ornithological research in the United States stems
from the policies of the Public Health Service, which cover all live vertebrates, and that
determine eligibility for federal research funding.
The Animal Welfare Act (Animal Welfare Act) as originally enacted in 1966 (P.L. 89-544) did not
include birds. The 1970 amendments (P.L.91-579) defined animals to be covered under the
Animal Welfare Act as “any live or dead dog, cat, monkey (nonhuman primate mammal), guinea
(g) The term "animal" means any live or dead dog, cat, monkey (nonhuman
primate mammal), guinea pig, hamster, rabbit, or such other warm-blooded
animal, as the Secretary may determine is being used, or is intended for use, for
research, testing experimentation, or exhibition purposes, or as a pet; but such
term excludes (1) birds, rats of the genus Rattus, and mice of the genus Mus,
bred for use in research…
This provision was intended to codify the original regulation promulgated by the Department of
Agriculture to exclude rats, mice, and birds. Unfortunately, a printer’s error, in the form of an
insertion of a comma prior to the word “bred” caused the Animal and Plant Health Inspection
Service Animal Care staff to interpret the new statutory language to mean that the condition
“bred for use in research” applied to birds as well as rats and mice. The USDA then prepared to
promulgate regulations accordingly. The Ornithological Council sought to have this error
corrected by way of a revision in the 2007 Farm Bill; counsel for the Senate Agriculture
Committee agreed that it had been a printer’s error and should be corrected. Despite strenuous
efforts by the Ornithological Council, the Congress declined to correct this error. The USDA will
now proceed to draft new regulations pertaining to research involving wild birds, whether
studied in the field or the lab. The proposed regulation should be published for comment in
2010.
The Ornithological Council believes strongly that birds, both wild and captive-bred,
should be treated humanely, both in the laboratory and in research conducted in the wild. It is
for this reason that we publish this peer-reviewed Guidelines to the Use of Wild Birds in
Research. Our objection to the inclusion of birds in the Animal Welfare Act regulations is based
solely on the fact that it is likely to impose additional burdens on research without producing an
The Animal Welfare Act regulations define “field study" as a study conducted on free-living wild
animals in their natural habitat. Under the implementing regulations, this definition excludes any
study that involves an invasive procedure, harms, or materially alters the behavior of an animal
under study” (9 CFR 1.1). The U.S. Department of Agriculture has declined to define the terms
“invasive procedure,” “harms,” and “materially alters the behavior.” Read broadly, only purely
observational studies would constitute field studies.
Field studies are, under the Animal Welfare Act regulations [9 CFR 2.31(c)(2) and 9 CFR
2.31(d)] exempt from the site inspection and protocol review procedures. However,
ornithologists will nearly certainly find that their institutions require review of all studies, even
class bird walks. Ornithologists should understand that institutions receiving federal funding are
required under the PHS policy to “assure” that all of the institution’s programs and facilities have
been evaluated. To comply with the terms of the “assurance” the institution must require that all
protocols be submitted, even if the specific study methods are not further evaluated. Also note
that the PHS policy does not exclude field study. According to the Office of Laboratory Animal
Welfare:
If the activities are PHS-supported and involve vertebrate animals then the
Institutional Animal Care and Use Committee is responsible for oversight in
accord with PHS Policy. Institutional Animal Care and Use Committees must
know where field studies will be located, what procedures will be involved, and
be sufficiently familiar with the nature of the habitat to assess the potential impact
on the animal subjects. Studies with the potential to impact the health or safety of
personnel or the animal’s environment may need Institutional Animal Care and
Use Committee oversight, even if described as purely observational or
behavioral. When capture, handling, confinement, transportation, anesthesia,
The National Science Foundation Award and Administration Guide expressly includes field
study without defining the term: “The grantee is responsible for the humane care and treatment
of any vertebrate animal used or intended for use in such activities as field or laboratory
research, development, training, experiments, biological testing or for related purposes
supported by NSF grants.”
Discussions of the legality of authority over field studies are largely irrelevant. The respectful
and ethical treatment of animals does not depend on legality. And in practice, research
institutions require the submission for review and approval of all research protocols.
Ornithologists sometimes chafe about being required to submit protocols for purely
observational work, such as point counts and song recording – or even bird walks for students,
which involve no research whatsoever. Realize that the institution is taking measures that it
perceives to be necessary to comply with the terms of its assurance to the National Institutes of
Health, and thus to maintain its eligibility for federal funding. The purpose of requiring review of
proposals for purely observational work is to assure that in fact the work is observational in
nature and that no further review is needed. Unless the protocol is submitted for review, the
research institution cannot know what research is being conducted. However, the purpose of
these reviews is to determine that no further review is needed; there is rarely additional scrutiny.
Generally, these agencies and the Institutional Animal Care and Use Committees do not require
inspection of field study sites, partly because it would be impractical, if not impossible, to send
Institutional Animal Care and Use Committee members to field sites, which may be very distant
from the university and that may not be stationary. Furthermore, study site inspection is, under
the regulations, limited to “any building room, area, enclosure, or other containment outside of a
core facility or centrally designated or managed area in which animals are housed for more than
12 hours.” Researchers should know, however, that universities often regard these mandates as
minimum standards and not as constraints, and so frequently require more of the researcher
than the law suggests. So, for instance, some Institutional Animal Care and Use Committees
ask researchers to carry videotape equipment into the field to record one or more actual
Researchers receiving funding from an agency of the United States government, or working at
institutions that receive federal funding should note that even if research takes place outside the
United States, protocol review and approval by the Institutional Animal Care and Use
Committee. The Grant Policy of the National Science Foundation expressly provides that, “(iv)
awards to U.S. grantees for projects involving the care or use of vertebrate animals at a foreign
institution or foreign field site also require approval of research protocols by the U.S. grantee’s
Institutional Animal Care and Use Committee. If the project is to be funded through an award to
a foreign institution or through an individual fellowship award that will support activities at a
foreign institution, NSF will require a statement of compliance that the activities will be
conducted in accordance with all applicable laws in the foreign country and that the International
Guiding Principles for Biomedical Research Involving Animals will be followed.” See “Vertebrate
Animals” in the National Institutes of Health Animal Award and Administration Guide. The Public
Health Service Policy on the Humane Care and Use of Laboratory Animals issued by the
National Institutes of Health provides that, “This Policy is applicable to all PHS-conducted or
supported activities involving animals, whether the activities are performed at a PHS agency, an
awardee institution, or any other institution and conducted in the United States, the
Commonwealth of Puerto Rico, or any territory or possession of the United States. Institutions in
foreign countries receiving PHS support for activities involving animals shall comply with this
Policy, or provide evidence to the PHS that acceptable standards for the humane care and use
of the animals in PHS-conducted or supported activities will be met. No PHS support for an
activity involving animals will be provided to an individual unless that individual is affiliated with
or sponsored by an institution which can and does assume responsibility for compliance with
this Policy, unless the individual makes other arrangements with the PHS.”
The Public Health Service Policy on Humane Care and Use of Laboratory Animals requires that
all institutions subject to the Policy (those receiving funding from the National Institutes of
Health; as noted above, other federal funding agencies have adopted this same policy)
establish an Institutional Animal Care and Use Committee consisting of five members including
a veterinarian, a scientist experienced with animal research, a nonscientist (such as a lawyer,
an ethicist, or a member of the clergy), and an individual who is not affiliated with the institution
in any way. The Institutional Animal Care and Use Committee must review all protocols for
research supported by agency funding to “ confirm that the research project will be conducted in
accordance with the Animal Welfare Act insofar as it applies to the research project, and that
the research project is consistent with the Guide unless acceptable justification for a departure
is presented. The regulations (9 CFR 2.31) that implement the Animal Welfare Act establish the
specific issues to be considered by the Institutional Animal Care and Use Committee in
reviewing research protocols. These considerations, which may not be applicable in some field
research situations, are as follows:
cause more than momentary or slight pain or distress to the animals, and has provided
a written narrative description of the methods and sources used to determine that
alternatives were not available;
c. The principal investigator has provided written assurance that the activities do
d. Procedures that may cause more than momentary or slight pain or distress to
that cannot be relieved will be painlessly killed at the end of the procedure or, if
appropriate, during the procedure.
f. The living conditions of animals will be appropriate for their species and contribute to
their health and comfort. The housing, feeding, and nonmedical care of the animals will
be directed by a veterinarian or other scientist trained and experienced in the proper
care, handling, and use of the species being maintained or studied.
g. Medical care for animals will be available and provided as necessary by a qualified
veterinarian.
i. Activities that involve surgery include appropriate provision for pre-operative and post-
operative care of the animals in accordance with established veterinary medical and
nursing practices. All survival surgery will be performed using aseptic procedures,
including surgical gloves, masks, sterile instruments, and aseptic techniques. Major
operative procedures on non-rodents will be conducted only in facilities intended for that
purpose which shall be operated and maintained under aseptic conditions. Non-major
operative procedures and all surgery on rodents do not require a dedicated facility, but
must be performed using aseptic procedures. Operative procedures conducted at field
sites need not be performed in dedicated facilities, but must be performed using aseptic
procedures.
j. No animal will be used in more than one major operative procedure from which it is
allowed to recover, unless:
To these considerations, the Ornithological Council suggests that ornithologists also consider
these issues when developing their research protocols
b. The investigator must have knowledge of all regulations pertaining to the animals
under study and must obtain all permits necessary for carrying out proposed studies in
the country where the research is to be conducted. Authors should include in all
published papers, reports, and presentations a statement that the necessary permits
were obtained.
c. Before initiating field research, investigators must be familiar with the study species
and its response to disturbance, sensitivity to capture and restraint, and, if necessary,
requirements for captive maintenance to the extent that these factors are known and are
applicable to a particular study. Removal from the wild of adults that may be tending
nests, chicks, or dependent fledglings should, as a general principle, be avoided unless
justified for scientific reasons.
d. Studies should use the fewest animals necessary to reliably answer the questions
posed. An adequate sample size will prevent unnecessary repetition of the study, thus
avoiding additional impacts on wild birds.
e. Every effort should be made prior to removal of animals to understand the population
f. Procedures that are likely to have lasting effects on populations should e undertaken
with caution. Except in the most extraordinary circumstances, procedures likely to affect
the stability or existence of a population are proscribed. In such instances, the
investigator must demonstrate the concurrence of recognized experts that the procedure
is necessary.
g. Researchers should plan to salvage birds where accidental mortality occurs, for
deposit as specimens in museums or teaching collections. The usefulness of specimens
should be maximized by saving as much material as possible, including skins,
carcasses, skeletons, fluids, tissues, and DNA samples. Researchers should learn
methods for preserving and labeling specimens and should have the necessary
materials and equipment available.
h. The principal investigator must ensure that all personnel associated with the project
have been properly trained. Students and technicians must be required to ask questions
and seek assistance. Anyone wishing to use an unfamiliar technique must seek advice
from an expert and, if possible, to visit that expert and practice the technique under the
guidance of the expert. Appropriate expertise may be found in the academic and wildlife
management communities, the zoo and aquarium communities, and among aviculturists.
Most guidance available to Institutional Animal Care and Use Committees pertains primarily to
biomedical research or research in the controlled environment of a laboratory. The Institute for
Laboratory Animal Research of the National Research Council of the National Academies of
Science publishes the Guide for the Care and Use of Laboratory Animals. As the title suggests,
the discussion pertaining to wild animals studied in the field or in the laboratory is minimal.
Nonetheless, this resource, together with the Institutional Animal Care and Use Committee
For various reasons, field biologists rarely serve on Institutional Animal Care and Use
Committees. As a result, it is often necessary for the ornithologist to help Institutional Animal
Care and Use Committee members to understand the nature of research in field conditions. In
addition, the ornithologist should be prepared to provide evidence – from these Guidelines and
the supporting literature – of the known impacts (or lack of impacts) of field research methods.
In other words, the ornithologist should regard the protocol review as an opportunity to impart
information and to educate. Approaching the protocol review as an adversarial proceeding
serves no purpose, and is generally detrimental.
The Ornithological Council strongly encourages field biologists to serve on these committees,
which are intended to allow scientific research to be assessed through a peer review system. If
field biologists do not serve, there may be no committee members who have the expertise to
serve as true peers.
Standards of review for field studies: a note for Institutional Animal Care and Use
Committees
Field biology takes place in uncontrolled and usually uncontrollable environments that differ
drastically from laboratory work. The Institutional Animal Care and Use Committee must
necessarily consider procedures and techniques that are practical for implementation at the site
of the research. Prevailing conditions may prevent investigators from following even these
Guidelines to the letter at all times. Investigators must, however, make a good faith effort to
follow the spirit of these Guidelines and to justify deviations when they can be foreseen. The
omission from these Guidelines of a specific research or husbandry technique (or their
When studies on wild birds are to be reviewed, the Institutional Animal Care and Use
Committee should attempt to include personnel who understand the nature and impact of the
proposed field investigation, the housing of the species to be studied, and knowledge
concerning the risks associated with maintaining certain species of wild birds in captivity. Each
Institutional Animal Care and Use Committee should, therefore, attempt to include at least one
institution-appointed member who is experienced in wildlife biology. Such personnel may be
appointed to the committee on an ad hoc basis to provide necessary expertise. When sufficient
personnel with the necessary expertise in this area are not available within an institution, a
consultant qualified to address these issues should be requested by the Institutional Animal
Care and Use Committee, though such consultants are not permitted to vote. The Ornithological
Council is willing and able to identify experts for consultation with Institutional Animal Care and
Use Committees.
Population-level impacts
A particular subject of concern involves oversight of the impact of the proposed research at the
population level. There is no legal authority for the assessment of population-level impacts by
Institutional Animal Care and Use Committees. Neither the Animal Welfare Act nor the Public
Health Research Extension Act of 1985, nor the regulations or policies issued pursuant to those
statutes, mention population-level impacts. Nonetheless, there is no official recognition or
To address this situation, the Ornithological Council has organized meetings and participated in
training programs for agency officials and members of Institutional Animal Care and Use
Committees to impart information about permit requirements and to assure these oversight
entities that the permit systems that implement the Migratory Bird Treaty Act and the
Endangered Species Act, as well as state laws, are intended to address population impacts.
The issuance of permits by the U.S. Fish and Wildlife Service, the U.S. Bird Banding Laboratory
of the U.S. Geological Survey, and state agencies signifies that these agencies – who possess
the expertise to make such assessments – have determined that the permitted activity will not
affect bird populations or that any such impacts are merited by the need for the scientific
information that will be generated. When the Applied Research Ethics National Association (now
known as Public Responsibility in Research & Medicine) revised its Institutional Animal Care
and Use Committee Guidebook, the editors graciously included submission of text by the
Ornithological Council explaining the permit requirements and the significance of the issuance
of permits. That guidance specifically states that:
- in the wild, it is difficult, if not impossible, to assess the size of a local population, even
with time-consuming surveys (even in the unlikely event that the researcher has
adequate funding to conduct such surveys)
- in some cases, the ability to detect impacts requires the use of the same methods that
are to be used in the study itself; for instance, to determine the impact of capture and
marking requires that individuals be captured and marked as it is otherwise impossible to
identify individuals in the field. Capturing, marking, and holding in captivity is not an
adequate substitute to determine the impact of marking methods in the field unless field
conditions can be simulated in captivity – an expensive proposition that would also
require additional permits. It is also highly unlikely that field conditions could be
adequately simulated in a captive holding facility.
The number of individuals typically involved in a single study is highly unlikely to have a
population-level impact, even when the study subjects are removed permanently from the
population. A 1975 assessment by the U.S. Fish and Wildlife Service (Banks 1979) estimated
that the 15,000 birds taken under scientific collecting permits (the deliberate and permanent
removal of individuals from the population) between 1969 and 1972 accounted for less than one
percent of overall annual avian mortality from direct causes (the deliberate killing of birds,
including hunting, depredation control, and other purposes requiring a permit) and a miniscule
fraction of mortality from all causes, including collisions with man-made structures and vehicles,
accidental poisoning, and oil spills. In recent years, the numbers taken under scientific collecting
permits have been considerably lower. A recent analysis of annual reports submitted by holders
of scientific collecting permits revealed that the highest number of individuals of any species
taken under a scientific collecting permit totaled 183 individuals in a single year. The number of
individuals taken in a single year exceeded 100 for only four species, all of them abundant
(unpub. analysis by E. Paul; data obtained from mandatory reports submitted to the U.S. Fish
and Wildlife Service). All others were taken in numbers below 100 per species. In a draft 1997
policy on scientific collecting, the USFWS recognized that “The numbers of birds collected in the
United States for scientific study are extremely low compared with other categories of human-
related activities and apparently have had no obvious or significant impact on species or local
populations.” Clearly, then, research methods that do not result in the death of an individual or
Canada
The Canadian Council on Animal Welfare oversees the basic system of regulation of the welfare
of animals used in research which entails involves the inspection of facilities and the
development of standards that are implemented by Animal Care and Use Committees at
research institutions. The programs of the Council are deemed to be universal in application,
meaning that they apply to all animals used by: i) members, ii) individuals, and iii) employees,
agents or owners acting on behalf of organizations or businesses registered or operating in
Canada for any of the following purposes:
* to investigate or to search carefully for fact or truth in order to produce knowledge about
humans and/or animals;
* to produce products for the purpose of generating a profit. This includes, but is not limited
to: the manufacture of sera, vaccines, diagnostics, or medical/veterinary/biological products; the
capture, production or transportation of animals for use in research, teaching, testing or
manufacturing; and agricultural quality improvement programs."
Unless an institution holds a valid Canadian Council on Animal Care Certificate of Good
Animal Practice®, it cannot receive funding from the federal granting Agencies, and contracts
issued by the federal government can only be awarded to institutions holding a Canadian
Council on Animal Care Certificate of Good Animal Practice.
D. Additional considerations
Publication
Many journals require that authors provide written assurance that the research project was
reviewed and approved by an Institutional Animal Care and Use Committee. They may also
require written assurance that required permits were obtained and were current throughout the
entire research project. Reviewers of submitted papers and journal editors should look for such
assurances and inquire of the authors about omissions of this information. Editors should
consider the potential ramifications of publishing papers reporting research that was not
conducted in compliance with legal and ethical requirements. Likewise, scientific program
committee members reviewing submissions for presentations at society conferences may
request that similar evidence accompany requests for a place on the program. However,
ultimate responsibility remains with each investigator. Whether or not required to do so,
researchers should include such written assurances at the conclusion of each manuscript,
report, or oral presentation, to assure not only the editors and readers, but also the general
public that the conduct of ornithological research meets ethical and legal requirements.
As a matter of good practice, researchers should also provide a copy of the paper to the
permitting agency and to the manager of the land unit where the research was conducted.
No field ornithology course covers all research methods; many cover little more than field
identification, capture and marking, and censusing methods. No advisor knows every research
REFERENCES
BANKS, R.C. 1979. Human-related mortality of birds in the United States. U.S. Fish
And Wildlife Service Special Science Report Wildlife 215, Washington, D.C.
BEKOFF, M. 1993. Experimental induced infanticide: the removal of birds and its ramifications.
Auk 110:404-406
EMLEN, S.T. 1993. Ethics and experimentation: hard choices for the field ornithologist. Auk
110:406-409