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ARIES will be required as of April 1, 2011 for all Form A and POAP submissions.


The investigator in charge of a project or procedure involving animals or animal tissues shall prepare Form E and one of the protocols "A" -"D". Form F is for salary support only.
Preparing and Submitting a Protocol




- Submissions and revisions should include one signed copy and an electronic copy

- Send submission to the IACUC Office, which will then send the protocol to any other offices (EHRS, HUP, ULAR, etc.)

- Many hyperlinks fixed, updated, or added

- Addition of "core facilities" for production of transgenics (#13)

- Animal identification includes ALL species (#14)

- Clarification on use of analgesics in surgical procedures (#17)

- Inclusion of pilot study data for use of neuromuscular blocking agents (#20)

- Clarification of chronic catheterization (#26)

- Wire-bottom caging for rodents requires scientific justification (#27)


EHRS section (#5) was updated in December 2008.


Note: The 2005 Forms will no longer be accepted. Protocol Review Form. Form A must be prepared carefully and completely in accordance with the requested information on the forms and within these Guidelines. If possible, the study title should not exceed two lines of 50 characters each. Projects involving live vertebrate animals shall be submitted to the IACUC for approval. The completed form is forwarded to the Office of Regulatory Affairs as part of the pre-submission campus review process. An IACUC number will be issued for each protocol and will be used for review, procurement and animal housing. The Protocol Review Form will be used as an official University record and must receive full IACUC approval before initiating any activity involving all vertebrate animals at this institution.


Common Problems and Omissions in Preparing Protocol A



Form B- Annual Review Form (USDA species only) Continuation of Applications to PHS using USDA covered species. Updated Dec 2005

Non-competing continuation applications to PHS are no longer afforded a 60-day grace period for submitting IACUC certification of approval to the sponsor. These protocols must have a current status prior to processing through Research Services. All IACUC protocols must reflect the exact experimental work proposed in any submission to a sponsoring agency and presented in a timely manner for Committee review.



Form C - Animal By-products Protocol Form Updated June 2013

The Office of Animal Welfare has decided that Form C protocols are no longer required for research using animal tissues or byproducts that are obtained from animals on other protocols or from other sources.



Form D - ARIES Offsite Application Updated October 2014

Paper Form D's for new submissions are no longer being accepted. New submissions can be created with ARIES (create an Initial Review). Current paper Form Ds can continue to be updated for continuing reviews of offsite protocols through the paper process, but will need to be resubmitted as an Offiste Application with ARIES when their 3-year renewal is due.


This form must be submitted by investigators for animal work being done at non-Penn facilities with funds that will be administered by Penn. An approval letter from the collaborating institution's IACUC and a copy of their animal protocol is required with this submission (see link below). Note, if the collaborating entity is not AAALAC-accredited and either 1) is a vendor or 2) Penn will retain ownership of the animals at the other location, please contact the Associate Director for IACUC Administration in the Office of Animal Welfare ( This e-mail address is being protected from spam bots, you need JavaScript enabled to view it , 215-573-4982215-573-4982).

Click this link for a letter that can be sent to the IACUC Office/Ethics Committee of the collaborating institution requesting the items needed to complete a new ARIES Offsite Application.


Form E - Occupational Health Risk Assessment Updated October 2014

Form E has been replaced with the Knowledge Link training modules: Occupational Health - Animal Users Risk Assessment (all animal users) and Occupational Health - NHP Users Risk Assessment (nonhuman primate users). Please logon to Knowledge Link and complete the appropriate course based on the species used. These modules will be found in your "Optional Training" section under Course Master ID: UNIV_ALL_IACUC_OCCHEALTHALL (all animal users) and UNIV_ALL_IACUC_OCCHEALTHNHP (nonhuman primate users).


Please Note: The Occupational Health - NHP Users Risk Assessment (nonhuman primate users) must be re-taken annually and The Occupational Health - Animal Users Risk Assessment (all animal users) must be re-taken every three years.



Form F - Salary Support Protocol Updated July 2004

Many grants are only for salary support in which the investigator will be working on an animal protocol that may be approved under a different grant or investigator. The salary support grant does not require a separate protocol with a new protocol number but needs to be linked to an approved animal protocol. This SOP will describe the procedures necessary to link a proposal to a protocol


Form G - Program, Center, and Training Grant Form Updated April 2014

The Office of Animal Welfare has determined that Form G protocols are no longer required for Program, Center, or Training grants.  If your program official is asking for documentation regarding this Program, Center, or Training grant, please contact the Office of Animal Welfare for assistance ( This e-mail address is being protected from spam bots, you need JavaScript enabled to view it ).






Animal Amendment Form - Significant


Any modifications to a protocol (ie. any changes in surgical or non-surgical methods; changes in method of euthanasia; modifications in time points; or revisions to the purpose or aim of the study) require approval by the IACUC prior to implementation. A principle investigator may request these changes by completing and submitting the IACUC amendment form.


Changes in the pain/distress category from A to B, or B to C; or any changes which deviate considerably from the original procedures described by the investigator) may be referred to the full IACUC for review, and may require submission of a new or revised protocol (Form A).

Amendments - Administrative Modifications


Any administrative changes to a protocol (ie. change of funding source or grant title; addition of personnel or change of location for procedures and/or satellite housing) may be completed by submitting the administrative modification form. Please note that although these modifications do not have to go through the complete review process, all documentation and training must be completed and submitted before approval will be granted




Investigators intending to administer or treat live animals with hazardous materials must submit a copy of their Institutional Animal Care and Use Committee (IACUC) animal protocol review form (Form A) to the Office of Environmental Health and Radiation Safety (EHRS) for review and approval before the IACUC will give its full approval to the protocol. For details, see the EHRS Web site.


If you need to amend the material submitted to EHRS, please use the Appendix 2: EHRS . Updated March 2011




Privately-Owned-Animal Protocol (POAP) Review Form Updated February 2007 Protocols using privately-owned animals must be reviewed and approved by the Hospital Protocol Review Committees (VHUP or NBC) before approval by the IACUC.



Appendix 1: Literature Search

Appendix 2: EHRS

Appendix 3: Blood Collection

Appendix 4: Surgical Procedures

Appendix 5: Nonsurgical Procedures with the Potential for Pain or Distress

Appendix 6; Prolonged Restraint

Appendix 7: Food or Water Restriction

Appendix 8: Catheterization in Animals

Appendix 9: Special Housing

Appendix 10: Additives to Food or Water

Appendix 11: Transporting Animals through Human Patient Areas




Immediate Postoperative Care Record - Used to record observations from the time an animal is extubated until returned to colony housing.


Post Operative Care During Periods of Analgesic Administration - Used to record observations and medication administration after the animal is returned to colony housing.


DEA Controlled Substances Record Templates - New December 11, 2014 - Contains templates that can be used for the various required documentations when working with controlled substances.


Compliance Checklist - New December 17, 2014 - A checklist used by IACUC members and regulatory staff during post-approval monitoring visits, which can be used by laboratory staff to prepare for these visits.


Final Disposition Form - This form should be used for each USDA covered animal upon final disposition (e.g. death, euthanasia, adoption).


Request for Housing of Animals Within a Study Area - Updated September 2014 - Paper Housing Request forms will no longer be accepted. All Housing Requests must be submitted in ARIES.  This can be done by going to: My Submissions - Create - Housing Request. 


Exemption Form - To be used if, due to specifications/ requirements of the research protocol, an exemption from the standards, federal regulations, and/or U Penn policies are required. (i.e. space requirement [including innovative enclosures and metabolic cages], use of an animal in more than one major survival surgery, etc.).  If you are submitting or have submitted your protocol via ARIES, please use the Exemption Request form available in ARIES.  This can be found by going to: My Submissions - Create - Exemption Request.

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