Replacement Or Reduction of Gene-Edited Animals in Biomedical Research: a Comparative Ethics and Policy Analysis Matthias Eggel
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NORTH CAROLINA LAW REVIEW Volume 97 Number 5 Legal, Ethical, and Policy Implications of Article 13 New Gene-Editing Technologies 6-1-2019 Replacement or Reduction of Gene-Edited Animals in Biomedical Research: A Comparative Ethics and Policy Analysis Matthias Eggel Rebecca L. Walker Follow this and additional works at: https://scholarship.law.unc.edu/nclr Part of the Law Commons Recommended Citation Matthias Eggel & Rebecca L. Walker, Replacement or Reduction of Gene-Edited Animals in Biomedical Research: A Comparative Ethics and Policy Analysis, 97 N.C. L. Rev. 1241 (2019). Available at: https://scholarship.law.unc.edu/nclr/vol97/iss5/13 This Article is brought to you for free and open access by Carolina Law Scholarship Repository. It has been accepted for inclusion in North Carolina Law Review by an authorized editor of Carolina Law Scholarship Repository. For more information, please contact [email protected]. 97 N.C. L. REV. 1241 (2019) REPLACEMENT OR REDUCTION OF GENE- EDITED ANIMALS IN BIOMEDICAL RESEARCH: A COMPARATIVE ETHICS AND POLICY ANALYSIS* MATTHIAS EGGEL** & REBECCA L. WALKER*** Since William Bateson’s 1906 coinage of the term “genetics,” the rise of mice as a model organism for biomedical research has gone hand in hand with genomic developments. In today’s research environment, mice and rats make up the vast majority of all research subjects. While the advent of gene-editing tools such as CRISPR has made genetic manipulation of mice easier, these tools also signal a new trend toward an increased use of large- animal models such as dogs, pigs, and nonhuman primates. Especially for neurological impairments, CRISPR gene editing offers the potential to generate large-animal models that better mimic human diseases. What are the ethical and regulatory implications of this trend? The professional and ethical framework for responsible conduct of animal research is widely recognized as the “three Rs”: Reduction, Refinement, and Replacement. This Article points to the tension between reduction (decreasing the overall numbers of animals used) and relative replacement (the use of mice and rats instead of species with more “complex” capacities) that is implied by such a trade- off. The Article argues, however, that a comparative analysis of regulatory frameworks in the United States and in the European Union shows that neither offers any substantial guidance to moderate a trend toward greater use of large-animal models. * © 2019 Matthias Eggel & Rebecca L. Walker. ** Post-Doctoral fellow in Bioethics, University of Zurich. University of Berne Ph.D. (Molecular Biology and Biochemistry) 2015, University of Zurich Ph.D. (Bioethics) 2018. Dr. Eggel’s work is funded by the Messerli Foundation. *** Professor of Social Medicine, University of North Carolina at Chapel Hill; Ph.D. Stanford University (Philosophy). Dr. Walker’s work on this Article was funded in part by the UNC Center for Genomics and Society through the National Human Genome Research Institute (award number 2P50HG004488). The authors would like to thank the editors of the North Carolina Law Review, especially Robby Lucas, for helpful comments and suggestions leading to improvements in this Article, as well as collaborators in the UNC Center for Genomics and Society for background discussions about ethical and policy issues related to genome editing. 97 N.C. L. REV. 1241 (2019) 1242 NORTH CAROLINA LAW REVIEW [Vol. 97 Nevertheless, we raise several ethical questions associated with the trend toward using relatively fewer animals but replacing less cognitively developed animals with those with potentially greater morally relevant capacities and moral standing. INTRODUCTION ..................................................................................... 1242 I. GENE EDITING AND EFFICIENT AND EFFECTIVE LARGE- ANIMAL MODELS ....................................................................... 1245 II. THE U.S. AND E.U. REGULATORY FRAMEWORKS FOR ANIMAL RESEARCH .................................................................. 1250 A. E.U. Regulation .................................................................... 1250 B. U.S. Regulation .................................................................... 1251 C. Nongovernmental Regulation ............................................. 1253 III. ANIMAL MORAL STATUS IN U.S. AND E.U. REGULATORY GUIDANCE .................................................................................. 1254 A. Regulatory Language Describing the Value of Animals .. 1254 B. The E.U.’s Harm-Benefit Analysis Requirement .............. 1255 C. The E.U.’s Upper Pain Threshold ...................................... 1256 D. The Three Rs in Practice ..................................................... 1257 E. U.S. Species-Specific Protections ........................................ 1258 IV. IMPLICATIONS OF U.S.-E.U. REGULATORY SYSTEM DIFFERENCES FOR THE INCREASED USE OF GENE- EDITED LARGE-ANIMAL MODELS .......................................... 1259 V. POTENTIAL IMPROVEMENTS TO THE U.S. AND E.U. FRAMEWORKS ............................................................................ 1267 CONCLUSION .......................................................................................... 1270 INTRODUCTION In today’s biomedical research environment, mice and rats account for the vast majority of animals used.1 While the advent of new gene-editing tools such as Clustered Regularly Interspaced Short 1. See EUROPEAN COMM’N, REPORT FROM THE COMMISSION TO THE COUNCIL AND THE EUROPEAN PARLIAMENT: SEVENTH REPORT ON THE STATISTICS ON THE NUMBER OF ANIMALS USED FOR EXPERIMENTAL AND OTHER SCIENTIFIC PURPOSES IN THE MEMBER STATES OF THE EUROPEAN UNION 3 (2013), https://eur-lex.europa.eu/ resource.html?uri=cellar:e99d2a56-32fc-4f60-ad69-61ead7e377e8.0001.03/DOC_1&format= PDF [https://perma.cc/72B2-JF85]. Because only some countries collect statistics on the numbers of animals used generally, and rodents in particular, estimates of actual percentages of mice and rats vary as compared to other mammals. Katy Taylor et al., Estimates for Worldwide Laboratory Animal Use in 2005, 36 HUMANE SOC’Y INST. FOR SCI. & POL’Y ANIMAL STUD. REPOSITORY 327, 327–28 (2008). 97 N.C. L. REV. 1241 (2019) 2019] REPLACING GENE-EDITED ANIMALS 1243 Palindromic Repeats (“CRISPR”) paired with specific nucleases (e.g., Cas) has made genetic manipulation of mice easier, they also portend a new trend toward an increased use of large-animal models such as dogs, pigs, and nonhuman primates (“NHPs”), among others.2 These gene-editing tools offer the potential to generate large-animal models that better mimic human diseases and are thus potentially more translatable to human medicine.3 The responsible conduct of animal research has largely been based on the idea of the “three Rs” of reduction, replacement, and refinement of animal research.4 Reduction aims to minimize the number of animals used to those needed for the scientific endeavor. Replacement works to substitute the use of live animals with alternative models, such as computer-based simulation or in vitro studies. Refinement involves lessening harms to animals used in research through changes to research procedures, improved management of pain and distress, and improved housing and caretaking. Within the broader replacement framework, partial or relative replacement envisions substituting cognitively higher- developed animals with cognitively less-developed animals.5 This is based on the idea that more cognitively developed species have an increased sentience and a greater ability to suffer.6 A core professional ethics problem regarding the greater use of gene-edited large-animal models is the tension between reduction and relative replacement. According to relative replacement, there would typically be an incentive to replace larger animals with smaller species if they are also less cognitively developed.7 However, since far fewer 2. See Aaron C. Ericsson, Marcus J. Crim & Craig L. Franklin, A Brief History of Animal Modeling, 110 MO. MED. 201, 203–04 (2013). The advances of gene editing are especially remarkable given that the study of genetics is itself a relatively new academic specialty, as William Bateson coined the term “genetics” only in 1906. KAREN RADER, MAKING MICE: STANDARDIZING ANIMALS FOR BIOMEDICAL RESEARCH, 1900–1955, at 27–28 (2004). 3. Alexandra Wendler & Martin Wehling, The Translatability of Animal Models for Clinical Development: Biomarkers and Disease Models, 10 CURRENT OPINION PHARMACOLOGY 601, 605 (2010). 4. See generally W. M. S. RUSSELL & R. L. BURCH, THE PRINCIPLES OF HUMANE EXPERIMENTAL TECHNIQUE 64 (1959) (discussing “the ways in which inhumanity can be . diminished or removed . under the three broad headings of Replacement, Reduction, and Refinement” (emphasis omitted)). 5. Nicole Fenwick, Gilly Griffin & Clément Gauthier, The Welfare of Animals Used in Science: How the “Three Rs” Ethic Guides Improvements, 50 CANADIAN VETERINARY J. 523, 523 (2009). 6. See id. 7. Id. 97 N.C. L. REV. 1241 (2019) 1244 NORTH CAROLINA LAW REVIEW [Vol. 97 large animals would be used in gene-edited disease-model studies than, for example, the number of mice that would be used in these studies, reduction argues in favor of using gene-edited large-animal models.8 How should this tension between reduction and relative replacement be resolved? To put the point in sharp relief: If possible, should we trade a study using one thousand rodents for a potentially more translatable study using ten NHPs, dogs, or pigs? The