Individual allegations and reports submitted to the IACUC for investigation through, for example, the Animal Concern Hotline, the Attending Veterinarian (AV), the IACUC Chair, or the Animal Care & Use Office (ACUO) are routed to the ACUO. The ACUO initiates an ACC assessment and the development of a subsequent report.

• Upon receipt: the ACC performs 1) a preliminary assessment of each allegation; and 2) provides a summary of the allegation to the IACUC Chair, ACUO Director, and the AV. 
• The IACUC Chair, ACUO Director, and/or the AV will take immediate action to ensure the welfare of any animal or human associated with the allegation. This action may include the immediate suspension of animal activities and/or an individual’s ability to conduct animal activities until, at minimum, an investigation is conducted.
• An inquiry process is initiated if at least one member of the ACC determines the allegation or report is credible or meets the definition of serious noncompliance. Otherwise, a summary of the findings is communicated to the IACUC during the next scheduled meeting as a matter of information.

• During the inquiry, the ACC collects the necessary information required to determine if an allegation or report warrants a formal IACUC investigation.
• The ACC will communicate, as needed, with the PI, his/her animal users, ULAM, and/or any other relevant individual(s).
• If an IACUC investigation is to occur, the ACC will also determine whether the PI will be required to attend the IACUC meeting to explain the circumstances and/or discuss possible resolutions to the problem. In addition, the ACC may ask others (e.g., faculty, research technicians, animal care staff, and/or students) to attend the meeting to provide information.
• The ACC, through the ACUO Associate Director of Compliance, will also file preliminary reports with relevant agencies (e.g., the Office of Laboratory Animal Welfare (OLAW), USDA, DoD, AAALAC).

• During a convened meeting of a majority of IACUC voting members, the ACC presents its inquiry findings.
• If the IACUC determines an allegation is noncompliance and/or a program deficiency, the committee identifies the appropriate corrective actions to be taken, in accordance with Appendix 2. The action is formalized through a motion and committee vote.
• Once the investigation is completed, the ACC, through the ACUO, will provide formal notification to the PI. The correspondence will summarize the findings of the IACUC and, when applicable, provide IACUC-implemented corrective actions.
• The IACUC, through the IO, will promptly (i.e., within 30 days) provide a full explanation of the circumstances and actions as a written report to AAALAC, OLAW, and the USDA, as applicable. The report will be prepared by the ACUO and ACC.

1. conditions that jeopardize the health or well-being of animals, including natural disasters, accidents, and mechanical failures, resulting in actual harm or death to animals;
2. conduct of animal-related activities without appropriate IACUC review and approval;
3. failure to adhere to IACUC-approved protocols;
4. implementation of any significant change to IACUC-approved protocols without prior IACUC approval as required by IV.B.7.;
5. conduct of animal-related activities beyond the expiration date established by the IACUC (note that a complete review under IV.C is required at least once every three years);
6. conduct of official IACUC business requiring a quorum (full Committee review of an activity in accord with IV.C.2 or suspension in accord with IV.C.6) in the absence of a quorum;
7. conduct of official IACUC business during a period of time that the Committee is improperly constituted;
8. failure to correct deficiencies identified during the semiannual evaluation in a timely manner;
9. chronic failure to provide space for animals in accordance with recommendations of the Guide unless the IACUC has approved a protocol-specific deviation from the Guide based on written scientific justification;
10. participation in animal-related activities by individuals who have not been determined by the IACUC to be appropriately qualified and trained as required by IV.C.1.f;
11. failure to monitor animals post-procedurally as necessary to ensure well-being (e.g., during recovery from anesthesia or during recuperation from invasive or debilitating procedures);
12. failure to maintain appropriate animal-related records (e.g., identification, medical, husbandry);
13. failure to ensure death of animals after euthanasia procedures (e.g., failed euthanasia with CO₂);
14. failure of animal care and use personnel to carry out veterinary orders (e.g., treatments); or
15. IACUC suspension or other institutional intervention that results in the temporary or permanent interruption of an activity due to noncompliance with the Policy, Animal Welfare Act, the Guide, or the institution's Animal Welfare Assurance.

1. death of animals that have reached the end of their natural life spans;
2. death or failures of neonates to thrive when husbandry and veterinary medical oversight of dams and litters was appropriate;
3. animal death or illness from spontaneous disease when appropriate quarantine, preventive medical, surveillance, diagnostic, and therapeutic procedures were in place and followed;
4. animal death or injuries related to manipulations that fall within parameters described in the IACUC-approved protocol; or
5. infrequent incidents of drowning or near-drowning of rodents in cages when it is determined that the cause was water valves jammed with bedding (frequent problems of this nature, however, must be reported promptly along with corrective plans and schedules).”

1. A single incident of noncompliance with the PI having no additional noncompliant incidents associated with his/her research program over the past 3 years, and that incident having no direct negative impact on animal welfare. The PI receives a formal notice from the IACUC that identifies the importance of maintaining a compliant research program and the impact incidents of noncompliance can have on U-M’s overall ACUP.
2. A single incident of noncompliance with the PI having no additional noncompliant incidents associated with his/her research program over the past 3 years, and that incident having a direct negative impact on animal welfare. The PI receives a formal notice from the IACUC that identifies the importance of maintaining a compliant research program and the impact incidents of noncompliance can have on U-M’s overall ACUP. In addition, the PI is required to provide an action plan to prevent reoccurrences.

All individuals listed as animal handlers on the protocol are required to retake the Orientation to Animal Care and Use online module within thirty days of the notice. In addition, at least one or more of the following corrective actions will be imposed:

1. The PI and/or other individuals will prepare a training module that will be presented at an appropriate forum such as an ethics class or town hall meeting, or the training may be included in the ACUP Newsletter.
2. Select procedures or an individual’s activities on a protocol can only be conducted under the supervision of an IACUC-identified individual (e.g., a veterinarian or an ACUO member).
3. The PI’s research program may be placed on probation, during which the IACUC may mandate “for cause” post-approval monitoring (PAM) visits by ACUO staff members, with the stipulation that any additional serious noncompliant incidents identified during the probation period would result in additional corrective actions.
4. Requirement for the PI to be physically present for select animal activities (e.g., survival surgery), and for he/she to conduct post-procedure observations and sign the relevant records to ensure he/she is overseeing the animal activities associated with his/her research.
5. Requirement for the PI to submit scheduled reports to the IACUC on the status of his/her research program. 
6. Any other relevant sanction as determined by the IACUC.

All individuals listed as animal handlers on the protocol are required to retake the Orientation to Animal Care and Use online module within thirty days of the notice. In addition, at least one or more of the following corrective actions will be imposed:

1. An individual’s access to the animal facilities is restricted (e.g., loss of access or supervised access only).
2. Suspension (indefinitely or for a defined time period) of an individual’s privilege to conduct animal activities.
3. The suspension of a procedure within a protocol.
4. Suspension (for a defined time period) of an approved protocol.
5. Any other sanction as determined by the IACUC.