Policies

Reporting and investigating animal welfare concerns, noncompliance, unexpected findings or adverse events

The humane care and use of animals is of paramount importance to the University of Louisville. Undesirable, unexpected outcomes and unanticipated events that result in significant negative impacts on animal health and well-being or animal use not approved by the University Committee for Animal Welfare (UCAW) must be reported to the UCAW by the principal investigator or their designee. A notification should be submitted within 48 hours of discovering the unexpected finding, adverse event or noncompliant activity and a preliminary report submitted within one week of the event(s). Preferable notification should be via the UCAW website form, but can also include emailing the UCAW office or Comparative Medicine Research Unit (CMRU) veterinary faculty. Additionally, individuals who may have specific concerns about animal care and treatment are strongly encouraged to report their observations of suspected deficiencies to the UCAW, CMRU, Institutional Official (Executive Vice President for Research and Innovation) or the University Integrity and Compliance Office. Individuals generating a report of concern shall not be discriminated against or be subject to any reprisal for generating the report per UofL Policy “Duty to Report and Non-Retaliation.” Individuals who desire anonymity may be certain that the UCAW will handle a report of concern in confidence to the extent permitted by law. Signs alerting personnel to their opportunity to report concerns should be posted in all animal use areas, including laboratories where live animals are used.

• Reporting and Investigating Animal Welfare Concerns, Noncompliance, Unexpected Findings, or Adverse Events Policy [PDF]
• Reporting Form (sign-in required)

Below are signs, in both English and Chinese, on how to submit information regarding a Report of Concern (ROC). 

Please print and post in all locations where animal work is performed.

Download English Sign

Download Chinese Sign

The University of Louisville (UofL) has elected to offer the adoption of animals designated for research or teaching. The adoptable status of an animal is determined by the attending veterinarian and/or clinical veterinarian. Adoption is done in consultation with the principal investigator and coordinated by the Comparative Medicine Research Unit. Any such adoption shall comply with applicable regulatory guidance and requirements and the associated UofL guidance and procedures.

• Adoption of Research Animals Policy [PDF]
• Appendices I-III: Adoption Form [PDF] Adoption Questionnaire [PDF] and Animal Adoption Agreement [PDF]

A UCAW proposal must be completed and approved prior to commencing any form of field investigation utilizing vertebrate animals. The UofL UCAW requires that a proposal be submitted for any and all types of field investigations, even those that are only observational in nature.

A field investigation is defined as a study conducted on wild (non-domesticated) vertebrate animals in their natural habitat or in confinement that may or may not involve an invasive procedure, harm or materially alter or influence the behavior or activities of an animal under study. Investigators should not only complete the section of the UCAW proposal that deals specifically with field investigations but also other general sections of the UCAW as applicable. In addition to specific target species and information concerning proposed procedures and activities, the UCAW proposal must also demonstrate knowledge of relevant zoonotic diseases, associated safety issues and any laws or regulations that apply.

• IACUC Policy: Field Investigations [PDF]  New August 20, 2020
• IACUC Information Sheet: Proposal Form - Field Investigations

Pets used in research must be covered under an UCAW-approved proposal. Informed consent of the owner must be obtained prior to the conduct of the research. A completed Informed Consent and Release Form tailored specifically to the intended use of animals is required. An OLAW-approved Animal Welfare Assurance must cover all performance sites for PHS-funded research. If the research activity is being conducted in collaboration with a private veterinary practice, the investigator should consider the use of a memorandum of understanding or other written agreement. The veterinary clinical care of a privately owned animal is not a research activity, is not provided by UofL and does not require UCAW approval. Zoonotic transmission of diseases from pets enrolled in research must to be considered as a potential occupational health hazard and a process to verify proof of vaccination (e.g., rabies, DHLPP) should be included in the UCAW proposal for pets that are typically vaccinated against the disease.

• Research Studies Utilizing Privately Owned Animals [PDF]
• Animal Consent Template [PDF]

Rodents undergo anesthesia for a variety of experimental or maintenance purposes. Appropriate anesthetics and the depth of anesthesia are vital to both animal health and welfare and the integrity of experimental data. All anesthetics must be administered as described and approved in the associated UCAW proposal. While under anesthesia, rodents must be appropriately monitored during and after anesthesia until fully recovered. Anesthesia, analgesia and peri-operative monitoring must be appropriate for the species and procedures performed, and must be recorded. Note: the Performing Rodent Survival Surgery [PDF] policy details additional requirements for survival surgeries. 

UCAW Policy: 

• Rodent Anesthesia [PDF] (REVISED, May 19, 2022)

Guidelines:

• Recommended Surgical Disinfectants, Sterilants and Suture Material [PDF]
• Recommended Rodent Anesthetics and Analgesics [PDF] (REVISED, Oct. 19, 2023)
• Rodent Survival Surgery Checklist (REVISED, Jan. 16, 2020)

Sample Surgery and Anesthesia Forms: 

• Rodent Surgery & Anesthesia Record - Single Animal (NEW, Jan. 16, 2020)
• Rodent Surgery & Anesthesia Record - Multiple Animals (REVISED, Jan. 26, 2026) Note: Entries in red on the form are examples and should be deleted before use in your lab.
• Rodent Non-Surgical Anesthesia Record - Multiple Animals (REVISED, May 19, 2022)

Survival surgical procedures in rodents requires aseptic techniques appropriate for the procedure being performed, including an appropriately prepared, dedicated surgical area; sterile instruments and both animal and surgeon preparation. Anesthesia, analgesia and peri-operative monitoring must be appropriate for the species and procedures performed and must be recorded.

UCAW Policy: 

• Performing Rodent Survival Surgery [PDF] (REVISED  Oct. 16, 2025)
• Rodent Anesthesia [PDF]  (REVISED  May 19, 2022)
   

Guidelines:

• Recommended Disinfectants, Surgical Sterilants, and Suture Material [PDF] (REVISED  Oct. 16, 2025)
• Recommended Rodent Anesthetics and Analgesics [PDF] (REVISED  July 18, 2024)
• Rodent Survival Surgery Checklist (REVISED  Jan. 16, 2020)

Sample Surgery & Anesthesia Forms: 

• Rodent Surgery & Anesthesia Record - Single Animal (NEW  Jan. 16, 2020)
• Rodent Surgery & Anesthesia Record - Multiple Animals (REVISED  Jan. 26, 2026) Note: Entries in red on the form are examples and should be deleted before use in your lab.
• Rodent Non-Surgical Anesthesia Record - Multiple Animals (REVISED  May 19, 2022)

Learn more about rodent surgery