Preparing and Submitting a Protocol

Protocol Preparation. The protocol is the complete description of the research or training plan that is outlined in the protocol that involves the care and use of animals. In order to facilitate review, the request that protocols be prepared carefully and completely in accordance with IACUC Guidelines. All protocols must be typed. The protocols become part of the permanent records maintained by the Committee and therefore, are subject to inspection and review by various granting, accrediting and governmental agencies.

Departmental Signatures. After preparation of the protocol, the principle investigator must then submit it to his/her department chairperson for approval and signature. If the principle investigator is the department chairperson, the Dean's signature is required. For projects involving personnel from more than one department, investigators must submit the protocol to the chairperson of each department for signature.

IACUC Policy on who may be a Principal Investigator on a Protocol.

Review by the Attending Veterinarian (AV). The AV or a designee, a ULAR veterinarian, must review all Category C protocols (those involving unrelieved pain or distress), all Category B protocols involving USDA covered species, and all protocols that employ neuromuscular blocking agents. The Principal Investigator should discuss the protocol with a ULAR veterinarian during the protocol development. However, IACUC staff will send protocols meeting these criteria directly to a ULAR veterinarian.

Submitting a protocol:

1. The original and one copy of the completed protocol with the appropriate signatures should be submitted.

 All submissions must be e-mailed to IACUC@pobox.upenn.edu  and the signed protocol and copy should be mailed to ORA:

The protocol may or may not need to be submitted to the ORA office before or no later than the time the grant is given to the Office of Research Services for processing depends on the funding agencies instructions. If the grant is a federal grant it falls under Just-In-Time and a protocol does NOT need to submitted at the same time as the grant is submitted. If the PI receives a good score following grant review by the federal funding agency, please submit your protocol at that time in order to avoid a time constraint. Do Not wait until the funding agency tells you that you will be funded. Investigators should check well in advance of a deadline to assure timely review. IACUC meeting schedule and submission deadlines.

Agencies, which fund research, require certification by an authorized official of the institution that research, involving the care and use of vertebrate animals as described in the application, and in the case of NIH, the grant application itself has been approved by an IACUC.

The University of Pennsylvania requires the same review process for all protocols regardless of the source of funding (federal, private or department).

Protocols received by ORA will be date stamped and assigned a protocol number. A file will be opened and the original will become the file copy. The Electronic copies of the protocols to be reviewed are available to all members of the IACUC. The agenda, including protocol titles and principal investigators will be distributed to all IACUC members electronically.

Protocol Review and Protocol Categories

Other Review Items