Office of Animal Care Compliance
Post Approval-Monitoring Checklist
Date:
Principal Investigator:
Protocol #(s):
Species:
Title:
Protocol approval dates:
until
Breeding protocol? □Yes □ No
Protocol and Personnel
1
Y
N
N/A
2
3
4
Y
Y
Y
N
N
N
N/A
N/A
N/A
5
6
7
Y
Y
Y
N
N
N
N/A
N/A
N/A
8
Y
N
N/A
Do the PI and lab personnel have access to the most recent version of
this protocol and amendments (if any)?
Do the PI and personnel have accurate knowledge of the protocol?
Are all personnel who handle animals listed on the protocol?
Have all personnel who work with animals on this protocol been
approved by the UNM Employee Occupational Health Service?
Are all personnel training records completed and up to date?
Have alternatives to animal research been explained in the protocol?
Is each room where animals are used or transported listed on the
protocol?
Do personnel adhere to proper dress procedures?
Study procedures
9
Y
N
N/A
10 Y
N
N/A
11 Y
N
N/A
12 Y
N
N/A
13 Y
N
N/A
14 Y
N
N/A
15 Y
N
N/A
16 Y
17 Y
N
N
N/A
N/A
18 Y
N
N/A
Are the procedures being used, the same as those described in the
protocol?
Are the species, strain, ages, sex, and numbers of animals consistent
with those in the approved protocol?
Have amendments been submitted for any changes in procedure?
Anesthesia and Analgesia
Are the methods of anesthesia in compliance with what is written in the
protocol?
Are pharmaceutical grade compounds being used for anesthesia (unless
otherwise approved in the protocol)?
Are anesthetized animals being monitored according to what is written
in the protocol?
Is the animal’s body temperature being monitored and maintained
throughout surgery and recovery?
Is the animal allowed to fully recover before left unattended?
Is analgesic used for painful procedures and/or surgery (or is there a
scientific justification for not using analgesia)?
Are analgesic doses, frequency, and routes of administration consistent
with the approved protocol?
19 Y
N
N/A
Is the surgeon or anesthesia tech properly trained to perform anesthesia?
Rodent Surgery
20
21
22
23
Y
Y
Y
Y
N
N
N
N
N/A
N/A
N/A
N/A
24 Y
N
N/A
25
26
27
28
N
N
N
N
N/A
N/A
N/A
N/A
Y
Y
Y
Y
Is there a clean uncluttered dedicated area for surgeries?
Are there surgical and post-operative monitoring techniques in place?
Do the surgeon(s) wear surgical gloves during surgery?
Is the operative field shaved (or is there an IACUC-approved
exception)?
Is an antiseptic solution such as povidone iodine applied to the surgical
area?
Is the surgeon(s) using sterilized surgical instruments?
Are implanted devices sterilized before use?
Is there an appropriate recovery area for this species?
Is the surgeon properly trained in anesthetic, surgical, and postoperative monitoring techniques?
Survival Large Animal (Non-Rodent Mammalian)
Surgery
29
30
31
32
33
Y
Y
Y
Y
Y
N
N
N
N
N
N/A
N/A
N/A
N/A
N/A
34 Y
N
N/A
35 Y
N
N/A
36
37
38
39
Y
Y
Y
Y
N
N
N
N
N/A
N/A
N/A
N/A
40
41
42
43
Y
Y
Y
Y
N
N
N
N
N/A
N/A
N/A
N/A
44 Y
N
N/A
45 Y
N
N/A
46 Y
47 Y
N
N
N/A
N/A
48 Y
N
N/A
Are surgical procedures being performed in a dedicated surgical suite?
Are all personnel performing surgical procedures trained to do so?
Is surgery done using aseptic technique?
Are all drugs, fluids, suture materials, etc. within the expiration dates?
Are scheduled (controlled) drugs stored under double lock and key and
with appropriate records?
Do surgeon(s) wear a mask, cap, sterile gloves, shoe covers if needed
and gown?
Is the surgical area prepped with three scrubs followed by a skin
disinfectant after each?
Does the surgeon perform a thorough hand scrub before surgery?
Are sterile drapes used?
Are all surgical packs and instruments sterilized?
Is there only one major surgery performed on each animal (unless prior
approval by the IACUC)?
Are the criteria for cessation of monitoring indicated and clear?
Is the analgesia used consistent with that described in the protocol?
Is the post-surgical care adequately documented?
Are the surgical sutures or staples removed at appropriate interval, no
later than 14 days?
Are post-operative problems reported to the ARF veterinary staff?
Euthanasia
Does the method of euthanasia correspond with what is written in the
protocol?
Are animal carcasses disposed of promptly and correctly?
Are animals euthanized away from the presence of other animals that
are not being euthanized?
Are vital signs monitored to ensure the animal has expired?
Breeding Colony
49 Y
50 Y
51 Y
N
N
N
N/A
N/A
N/A
Are animals weaned at appropriate time?
Are animals separated into appropriate size cages in a timely manner?
Are mating, birth and weaning record kept up to date?
52 Y
53 Y
54 Y
N
N
N
N/A
N/A
N/A
55 Y
N
N/A
Are animals identified by protocol number and individual ID number?
Are medical/observation/treatment notes complete and adequate?
Are treatments such as antibiotics recoded (dosages, frequency, route,
date, time, initials?
Is there a surgical log? Is it up to date?
56 Y
57 Y
N
N
N/A
N/A
Are injections, blood/tissue collections recorded (amount, date, initials)?
Is the scheduled (controlled) drug log recorded correctly?
General Record-Keeping
Satellite Facilities
58 Y
N
N/A
59 Y
N
N/A
60
61
62
63
Y
Y
Y
Y
N
N
N
N
N/A
N/A
N/A
N/A
64 Y
N
N/A
Is there an IACUC-approved exception to the 12 hour limit on animals
in laboratories?
Do animals removed from the vivarium always have a removal date,
time and initials?
Are daily observations recorded?
Are animals monitored daily including weekends and holidays?
Are daily health observations recorded?
Are sick animals reported to the veterinary staff according the approved
animal care and use protocol?
Is food dated and stored in vermin-proof container as required?