Noncompliance and Reporting and Freedom of Information Act Requests

These modules are useful for educators seeking to teach IACUC members and staff how to categorize compliant and noncompliant incidents, how to evaluate when noncompliant incidents are reportable, and the implications of reporting noncompliance.

Module A: Noncompliance and Reporting/FOIA

Target Audience: IACUC members

Goals: To understand noncompliance in relation to animal welfare concerns and to determine reportability and the impact on animal welfare and science.


  • Recognize potential noncompliance in animal care and use programs
  • Describe the steps for communicating and verifying concerns
  • Categorize compliant vs. noncompliant incidents
  • Evaluate whether a noncompliance is reportable and to whom
  • Explore implications of reporting noncompliance

Active Learning Methods: Case-Based Learning, Concept Mapping, Group Work, Role Play

Other Materials:


Rob W. Anderson, MS, LATG, CPIA
Director, IACUC Office
University of Cincinnati

Rebecca D. Armstrong, DVM, PHD
Director, Research Subject Protection
University of California Berkeley

Amy Kuei-Lan Chuang, CPIA, RQAP-GLP
Associate Director for Animal Research
Virginia Commonwealth University

Randall J. Nelson, PhD
Professor and Associate Vice Chancellor
University of Tennessee Health Science Center

Sally Thompson-Iritani, DVM, PhD, CPIA
Director, Office of Animal Welfare
University of Washington

Module B: Noncompliance Reporting

Target Audience: IACUC members

Goal: To understand the IACUC’s role in noncompliance reporting


  • Assess or develop process for evaluating animal welfare allegations
  • Define the IACUC’s role in reporting noncompliant events
  • Define the four types of noncompliant reportable events
  • Describe the contents of a report keeping in mind the content may be subject to FOIA

Active Learning Methods: Case-Based Learning, Concept Mapping, Consensogram, Group Work, Role Play


Eric Allen, MA, CPIA
Associate Director of Consulting Services
The HRP Consulting Group

Deborah A. Frolicher, BS, CPIA
Director, IACUC Office
The Scripps Research Institute

Sherri L. Goss, CPIA
IACUC Specialist
University of California Davis

Julie Kramer, BSJ, LAT
Research Compliance Specialist
Cincinnati Children's Medical Center

Marie Ortega, CPIA
Associate Director, Animal Care
Mass Eye and Ear Infirmary and Schepens Eye Research

Assistant Director, Animal Welfare Operations
USDA, APHIS, Animal Care

This material is based upon work supported by the National Science Foundation under Grant Nunber 1546975. Any opinions, findings, and conclusions or recommendations expressed in this material are those of the author(s) and do not necessarily reflect the views of the National Science Foundation.