Skip to Main Content

Post Approval Administration

One major investigator responsibility is to be compliant all IACUC policies, decisions, conditions, and requirements. This means ensuring that the research is implemented as specified in the approved IACUC protocol. Review the below topics to view what is required after the IACUC provides approval.

Modifications and Amendments

Animal welfare regulations require that investigators obtain IACUC approval for all significant changes to approved animal research protocols. The IACUC has developed guidelines and procedures to help investigators determine what qualifies as a significant change to an approved protocol for animal use as well as a process to follow for procedures that may be handled administratively.. Using Office of Laboratory Animal Welfare gudiance on Significant Changes to Animal Activities, the IACUC defines modifications and amendments as:

Significant Changes requiring full committee or designated member review

A significant change requiring full committee or designated member review are those that are a modification to, amendment of or deviation from previously approved protocol procedures that have, or have the potential to have, a negative impact on animal welfare.

Examples include:

  • changes from nonsurvival to survival surgery;
  • changes resulting in greater pain, distress, or degree of invasiveness;
  • changes in housing and or use of animals in a location that is not part of the animal program overseen by the IACUC;
  • changes in species;
  • changes in study objectives;
  • changes in Principal Investigator (PI); and
  • changes that impact personnel safety.

A Request for Significant Change to an Animal Use Protocol must be submitted to iacucsubmissions@umbc.edu at least 30 days before the scheduled meeting. Please highlight any proposed wording changes in a revised IACUC protocol application by highlighting in yellow and underlining and attach those changed documents to this form. This will assist the reviewer with understanding the changes investigators are planning to make. Please review these instructions when submitting a modification of protocol documents to the IACUC. An approval letter following IACUC review at a convened meeting will follow. Requests not received by that deadline date will be automatically placed on the agenda for the next scheduled meeting. The current academic year schedule is found at:http://research.umbc.edu/umbc-iacuc-forms-and-procedures/#meetings.

Significant Changes requiring attending veterinarian authorization

A significant change requiring attending veterinarian authorization are those that are a modification to or amendment of previously approved protocol procedures may not have a direct impact on animal welfare, but are considered significant. This process is incorporated into UMBC animal care and use program and follows the August 2014 NIH Guidance on Significant Changes to Animal Activities Notice( Number: NOT-OD-14-126).

Examples include:

Request for Significant Change to an Animal Use Protocol must be submitted to iacucsubmissions@umbc.edu at least two (2) weeks prior to implementing the proposed changes. lease highlight any proposed wording changes in a revised IACUC protocol application by highlighting in yellow and underlining and attach those changed documents to this form. This will assist the reviewer with understanding the changes investigators are planning to make. Please review these instructions when submitting a modification of protocol documents to the IACUC. ORPC staff will consult with the attending veterinarian to determine is this request can be approved. An approval letter following veterinarian review will follow. Requests that do not satisfy this level of review will be placed on the agenda for the next scheduled meeting.

Changes that may be handled administratively

OLAW’s guidance allows for some proposed changes to protocols to be reviewed by an IACUC administration office (e.g. the ORPC) and presented, where appropriate, to the IACUC Chair and/or attending veterinarian for administrative approval.

Examples include:

  • correction of typographical errors;
  • correction of grammar;
  • contact information updates;
  • change in personnel, other than the PI (including documenting training), and
  • investigators using fewer animals than approved.

Request for Minor Change/Amendment to an Animal Use Protocol must be submitted to iacucsubmissions@umbc.edu at least two (2) weeks prior to implementing the proposed changes. The OPRC staff will review the requests and provide documentation of the receipt of such changes and indicating these modifications have been added to the approved protocol

Annual Review / 3 Year Renewals

Annual Review

The Office of Research Protections and Compliance (ORPC) will forward a courtesy email notification to investigators of the requirements for annual review at least thirty (30) days before the protocol’s anniversary date, but ultimate responsibility for submitting the annual review report on time lies with the researchers. This report requests information about the activity of the protocol, whether any complications have been observed and if there any proposed changes for the upcoming year. Delinquency is submitting an annual report will result in an administrative hold being placed on the protocol.

The completed report is to be submitted to the IACUC Chair prior to the anniversary date. The annual reports are reviewed by the IACUC committee and forwarded to the next committee meeting for informational purposes only. If complications or modifications are identified in the report, the IACUC Chair and/or other members, as needed, will review the annual report. An annual report requesting significant modifications will undergo full committee review or designated review.

Click to download the Protocol Annual Review Report (Years 1 and 2)

Third Year Renewal

PHS Policy (IV.C.5.) states “the IACUC shall conduct continuing review of activities covered by this policy at appropriate intervals as determined by the IACUC but not less than once every three (3) years”.  UMBC animal research protocols are approved for a three-year term. The investigator or instructor must resubmit, at least ninety (90)  days before the next regularly scheduled IACUC meeting, a new application for Committee review in order to continue research activities.

It is the responsibility of the principal investigator (PI) to maintain the “approval” status of his or her protocol(s). ORPC will generally give advanced notice when protocols need three-year renewals and will provide help when requested.

Per PHS Policy, the IACUC may not extend the three-year approval by any means other than IACUC review and approval using the procedures of IV.C.2. When IACUC approval expires, it is no longer valid – there are no exceptions and no extensions of approval granted by the IACUC.

No experimental use or observation of animals may take place during a protocol lapse period. Continuation of animal activities beyond the expiration is a serious and reportable violation of PHS Policy.

Reports of adverse events, which are events that occur consistent with routine care or expected outcomes that results in an unexpected morbidity or mortality in animals that was not described in the animal use protocol, should be reported at the time of the problem or event and summarized in the Annual Report, including an explanation of how these events/problems were resolved.

A new Animal Research Protocol Form must be submitted; this form undergoes the same review process as any new protocol. The renewal should include all previous modifications or amendments made to the protocol since its original approval.

Click to download the Protocol Annual Review Report (Final)

return to IACUC info