Surgery and Anesthesia Recordkeeping (Rodents)
IACUP Policy
Effective Date: February 2026
I. Purpose
Careful monitoring and timely attention to problems are critical in preserving animal welfare in research animals. Accordingly, ensuring that surgical and anesthesia records are sufficient is critical to both regulatory compliance and animal welfare. This policy has been created to ensure compliance with federal law and the Guide for the Care and Use of Laboratory Animals, Eighth Edition.
II. Regulatory or Accreditation Authority
The Guide for the Care and Use of Laboratory Animals, 8th Edition, November 2013. Veterinary Care, pp. 115, 119.
9 C.F.R. §2.35 Recordkeeping Requirements
AAALAC, International, FAQ Veterinary Medical Care #4
III. Scope
This policy applies to all laboratory rodents at UCSF which undergo surgery or anesthesia as part of an experimental protocol.
IV. Policy
A. Survival Surgery and Anesthesia Record content
Complete recordkeeping demonstrates both protocol compliance and animal welfare and can help detect surgical or anesthetic trends. The Guide for the Care and Use of Laboratory Animals states “Medical records are a key element of the veterinary care program and are considered critical for documenting animal well-being as well as tracking animal care and use at a facility.” (p. 115)
Records documenting any anesthetic procedure lasting longer than 15 minutes and survival surgery of any duration must be retained by the lab. The following information must be included:
- Principle Investigator (PI) name and IACUC protocol number
- Title of procedure (e.g., craniotomy, MRI scan)
- Date of surgery (= Day 0)
- Names or initials of personnel performing the procedure and providing post-operative care, written legibly so that the individual can be identified
- Animal IDs, species, and bodyweight(s)
- Names and dosages of all agents administered before, during, and after anesthesia and/or surgery.
- Times of all agent administrations
- Anesthesia end time, meaning full recovery (i.e., animals are awake, ambulating normally)
- Any complications (e.g., respiratory distress, bleeding, prolonged recovery, or unanticipated mortality) that occurred
- Names of all post-operative analgesia agents and dates/times of administration
Labs may use the IACUC rodent anesthesia or surgery record templates (see below) or create their own so long as the above information is included. Formats should be easy to follow, and templates should be tailored based on protocol commitments and researcher needs.
Well-known medical abbreviations (see chart below) and common abbreviations for anesthetics and analgesics may be used. If using abbreviated experimental drug names, provide keys or guides with records.
Checkboxes, highlighted text, and similar reminders (see example below) may be included in various sections of the record templates to help streamline documentation requirements.
The day surgery is performed is Day 0. On Day 0, perform an initial post-operative monitoring upon animal’s recovery from anesthesia. Monitor animal again, later in Day 0 (at the interval described in the approved protocol). Monitor animal post-operatively at least once daily for a minimum of 2 days post Day 0 (surgery), including weekends and holidays.
B. Post-operative green tag system
The green surgery cards are a system for labs to communicate at cage side to LARC, IACUC, and others that the required daily post-surgical monitoring is performed. The green cards do not replace the surgical record. Continue to document all post-operative treatments and abnormal observations on the surgical record as per your protocol.
Use one green card for each surgery day (a cage could have more than one card with different dates)
Do not pre-fill green tags. Fill out the surgery date (Day 0) and affix the green tag to the cage (can be taped or placed in a card holder). On postoperative Day 1, assess animals and enter date and your initial on green card, repeat assessment on Day 2 and enter date on green card.
If the emergency contact is different than the name and number listed on the cage card, the surgeon can list the emergency contact info on the back of the green card, or alternatively, post the emergency contact’s info at the room or rack level.
C. Protocol congruency
Records must be congruent with approved procedures, agents, frequencies & total durations described in the IACUC protocols. Unapproved procedures, agents, and deviations from frequencies & total durations are non-compliances. Secure IACUC approval on protocol modifications prior to any changes in procedures, agent administrations, and/or personnel who perform anesthesia or surgery.
Provide flexibility when choosing anesthetics and analgesics whenever possible. List all drugs that may be used. Inclusion of alternatives can prevent non-compliance when drugs become unavailable.
Provide flexibility in drug administration time intervals and use time ranges instead of defined time points (e.g., 4-8 hours post-surgery vs. at 6 hours post-surgery).
D. Storage and retention
Records may be stored in paper or digital form. Paper records should be stored in binders in readily accessible areas, such as surgery suites, housing room drawers, and similar non-locked locations for ease of access. Electronic records should be backed up in the event of hardware failure or similar losses.
Records should be neat, organized, legible, and made available for review by IACUC and LARC staff upon request. All non-USDA rodent anesthesia and surgery records must be retained for a minimum of one year. USDA-species records must be retained for at least three years.
Green surgery tags can be removed from the cage after 7 days.