Post Approval Monitoring

The AEEC is empowered to inspect all animal holding areas and laboratories where experimental animals are used. The purpose is to ensure that the Animals (Control of Experiments) Ordinance and AEEC guidelines are being observed. In order to adhere to the AAALAC requirements, the AEEC must inspect animal facilities and animal study areas at least every six months.
The AEEC has delegated the LASEC PAM team to perform regular animal health visits to all animal holding areas and un-announced visits for non-compliance check according to the Animal Experimentation Regulations at The Chinese University of Hong Kong.
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During the visit, the PAM team may observe:
  1. General Animal Husbandry
  2. Animal health
  3. Protocol compliance
  4. Cage card and post-surgical card (if applicable)
  5. Anesthesia, Surgical Procedures and Post-Surgical Care
  6. Humane endpoints and animal welfare concerns

The user, Principal Investigator, area-in charge, the Attending Veterinarian and AEEC office will be informed of the PAM findings.
Non-compliance records are accumulative for each project. 
According to University Schedule 7, non-compliance can be classified as below:
Category
Description & Examples
Follow up and Consequences
Category A
Minor non-compliance
Minor administrative issues, no immediate animal welfare concerns, examples:
  • Failure to complete cage cards legibly and in full
  • Minor wounds to animals without treatment or corrective action
  • Over stocking of cages
  • ​A verbal reminder/advice to the user concerned will be given either in person or by telephone
  • Corrective action is expected within two working days
  • A follow-up e-mail by the Animal Ethics & Welfare Officer if repeated incidence
Category B
Moderate non-compliance
Important administrative issues, animal welfare concerns requiring follow up, ​ examples:
  • Failure to display a post-operative cage card and post-operative pain relief details, slight deviation from AEEC
  • Unauthorized breeding
  • Inappropriate housing of litters
  • Failure to observe appropriate tumour size and/or presence of untreated ulceration
  • Incorrect AEEC number displayed on cage card
  • Being issued more than 3 previous category A- minor non-compliance reminders
  • Corrective action must be taken within one working day
  • A written notice will be issued to the PI of the project
  • Training will be recommended if repeated incidence
  • Fail to correct may be subjective to upgrade of non-compliance category
Category C
Serious non-compliance
Serious animal welfare concerns, immediate risk to animal well-being
  • Large deviation from the AEEC or license
  • Serious welfare concerns
  • Poor use of analgesia/anesthesia
  • Failure to provide adequate food and/or water
  • Use of unauthorized animals or animals of unknown disease status without permission,
  • Being issued more than 3 previous Category B - Moderate non-compliance notices
  • ​A written warning will be issued to the PI of the project and copied to the PI’s School/Department Head and AEEC Chair
  • PI should stop experimentation immediately
  • An action letter will be issued to ask the PI and involved personnel to take corresponding corrective actions
  • The project may be suspended upon discussion by the AEEC
Category D
​Major non-compliance
Immediate risk to animal or personnel, poor practices involving multiple projects
  • ​​Major deviation from the AEEC or unlicensed procedure which may cause pain or distress
  • Animal cruelty
  • Research misconduct
  • Major welfare concern
  • Use of unauthorized animals or substances which cause a disease outbreak
  • Upgraded from category C non-compliance after discussion by AEEC
  • The AEEC Chair will notify the Faculty Dean and School/Department Head of the PI concerned of the full investigation to be conducted by the AEEC.
  • All research will be suspended until the investigation is complete and the committee’s findings reported to the Pro-Vice Chancellor (Research) and Research Committee for further investigation and action.
Note. The classification of what constitutes minor, moderate, serious and major non-compliance will adhere as closely as possible to the examples described. For cases not covered in the examples, the  LASEC in consultation with the AEEC will classify the case. The AEEC may periodically expand or change classification of the severity of non-compliance.
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​All Project suspensions will be reported to the PVC (Research) according to AAALAC requirements.
Under project suspension, the PI is still responsible for the caring and monitoring of the animals. No experimental procedures should be performed* until the incident is resolved.  Under category C non-compliance, uninvolved users may continue their work on other projects. New applications from the PI will be temporary withheld.

*AEEC may consider exceptions under strong justification.

Laboratory inspection

The purpose of lab inspections is to ensure animal and personnel safety, general laboratory maintenance, compliance to the AEEC approved protocols, and all individuals woring with animals are listed on the AEEC proposal.

The lab inspections will be announced ahead of time, and the Principal Investigator will be contacted by the AEEC to set a tentative date and time.
The Principal Investigator is not required to be present for the inspection, but a knowledgeable representative must be available to answer questions. 

​*The list of laboratory locations is generated directly from proposals. It is important that researchers review proposals to ensure that all locations are correct.
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The site visit team is composed of at least two members of the AEEC, one of which will be a veterinarian. Site visitors will ask questions about animal use as it relates to each project. Site visitors may review the following items:
  1. Procedures Performed
  2. Record keeping (Drug Logs, Anesthesia/Surgery Records) 
  3. Agent Use and Storage
  4. Animal use Areas
  5. Aseptic Technique
  6. Posted Signs
  7. Any other items or information deemed pertinent

Preparing for inspection

Knowledgeable representative(s) from your group should be available during the laboratory inspection. The representative(s) should be able to provide the site visitors with access to your areas of use, and be knowledgeable of all animal activities conducted in your laboratory, and prepared to address any questions the site visitors may have.

Please refer to the inspection checklist for preparation.