IACUC POLICY ON REPORT AND FOLLOW-UP OF
ANIMAL CARE AND USE CONCERNS (Rev. 2/12, Rev. 5/10, Rev. 2/05, Rev.
11/03, Rev. 6/01/01)
UCSF recognizes that it is a privilege to use
animals in research and instruction, and is committed to protecting
the welfare of these animals. The Institutional Animal Care and
Use Committee, and the Laboratory Animal Resource Center rely
upon all who work with research animals at the University to
share this commitment. Thus, any time any
UCSF employee has concerns with respect to the animal care or
use at UCSF, they are encouraged to report the situation immediately.
These concerns may include but are not limited to all aspects
of the NIH Guide for the Care and Use of Laboratory Animals.
For any situation in which UCSF personnel become
concerned about any aspect of animal care or use at the University,
the Institutional Animal Care and Use Committee (IACUC), and
the Laboratory Animal Resource Center (LARC) have established
a formal process and set of procedures for reporting and following
up on such concerns.
Individuals may report their concerns by phone,
in writing, or by fax or e-mail if confidentiality is not an
(see specific information below, under "Individual Reporting
The person making the report is not required to
provide his or her name. A LARC veterinarian
will evaluate the situation, attend to the health of the animals,
and then complete a report form that is immediately forwarded
to the IACUC. The IACUC will take appropriate action in a timely
manner. The procedures for reporting and follow-up of animal
care or use
concerns are described below.
Individual Reporting Concern
All calls and reports may be made anonymously.
Any individual identifying any animal care and/or
use concern(s) or possible protocol violation(s) should do either
of the following:
1) Talk to or call one of the individuals listed
below. Contact numbers are also listed on flyers posted throughout
the LARC facilities.
LARC On-Call Veterinarian
Phone: 502-8687; Fax: 502-8252; Box 0564
Institutional Animal Care and Use Committee (IACUC) Office
Phone: 476-2197; Fax: 502-7991; Box 0547
UCSF Institutional Official
Phone: 476-1825; Box 0294
2) Obtain a copy of the "UCSF
Animal Care and Use Reporting Form". The individual may
also call the LARC office (476-2204) or the IACUC office (476-2197)
for a copy of the form.
Then fill out Part A of the form. Once Part
A is completed, forward a copy to the form to one of the fax
box numbers listed above. Alternatively, if anonymity is not
at issue, you can instead hand the form directly to a LARC
veterinarian or drop the form off at the LARC or IACUC
Note: If a concerned individual calls instead of filling
out the form, the person who takes the call will fill out Section
A of the Report Form and forward it to a veterinarian.
1) The veterinarian will immediately attend
to any health issues of the animal(s), up to an including immediate
termination of the experiment on the animal(s), if needed.
2) The veterinarian will then complete Part
B of the form. Part B documents the veterinary evaluation of the
situation, any discussions with personnel on site and/or with
the PI, any actions taken with respect to the health of the animals
and an initial assessment of whether there were any possible protocol
violations. Note: This Report Form does not replace Health
Notes entered in the charts.
3) After completing Part B, the veterinarian
will forward a copy of the form to the IACUC office and the PI. He
will then make the following determination:
a) If neither major animal health concerns nor protocol
violations were noted in Part B, then the information on this
form will be provided to the IACUC at one of its regularly scheduled meetings.
b) If any health concerns or possible protocol violations
were found, the veterinarian will immediately contact (by phone
or pager) the IACUC Chair and fax a copy of the Report Form to him/her.
Examples of protocol violations include the following: personnel
who are not listed on the approved protocol and/or not properly
trained performing procedures; procedures not listed in protocol
being performed; procedures listed in protocol not being performed
as appropriate. The veterinarian will also alert the PI to the
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Institutional Animal Care and Use Committee
Depending on its assessment of the report, the
IACUC will handle the matter as follows:
1) If the situation is determined to be severe,
the Chair or Vice Chair will call an immediate meeting of a subcommittee
composed of the Chair, a veterinarian, and one other IACUC member.
This subcommittee will review the case immediately and take appropriate
action. This action may include placing a temporary hold on all
activity on the study until the full committee is able to meet
and review the incident. The PI, or Alternate Responsible Individual
if the PI is unavailable, will be notified of such action (by
phone or pager) by the Chair and in writing by the IACUC office.
The veterinarian will notify LARC. If a temporary hold is placed
on the study, the investigator will not be able to order more
animals until the matter is resolved.
2) At the next meeting of the full IACUC, which
may be either a regularly scheduled meeting or a specially convened
meeting if necessary, the full committee will review and evaluate
the report and any additional information. The full committee
will determine the appropriate course of action and/or sanctions
to follow. This determination will be based on several factors
including but not limited to the nature, cause and severity of
the violation as well as other circumstances.
3) After reviewing the facts surrounding the
violation, and after having given the investigators an opportunity
to present his or her case to the IACUC, the Committee will take
appropriate corrective action. This action may range from, but
is not limited to, requiring more frequent laboratory inspections
and/or monitoring, requiring additional training, placing the
PI on probation for a period of time, removing certification of
certain individuals, to suspension of the approval of the protocol.
4) The IACUC will immediately notify the PI and
LARC in writing of any enforcement actions taken and any corrective
5) Only the IACUC can authorize protocol reinstatements.
All reinstatements will be made in writing to the PI and to LARC.
Notes about Protocol Suspensions:
- All suspensions have to be reported to the
Office of Laboratory Animal Welfare (OLAW) at the NIH and
the federal granting agencies.
If regulated species are involved in the research, then the
USDA must also be notified. The reports need to include the
reasons for the suspension and the corrective action taken.
- All animals housed under a suspended protocol
will be transferred to a LARC holding protocol; the PI (and
his or her staff) will
not be allowed to continue the research with these animals
during the period of the suspension.
- The PI will be liable for continued housing
per diems as well as any additional animal care costs incurred
as a result of
will contact the investigator before he completes Part B of the
UCSF Animal Care and Use Concerns Reporting Form.
The investigator will be given an opportunity
to present his or her case before the Committee. The case may
be made in writing or in person.
Unless a sanction results in a suspension
of the IACUC approval by a convened quorum of the IACUC, if
a PI disagrees with the findings of, or the sanctions imposed
by, the IACUC, he or she may appeal to the Institutional Official
(currently Elizabeth Boyd, Ph.D., Associate Vice Chancellor, Ethics and Compliance..).