Modifying an Approved AUP


Modification Tab

This tab is only visible if you created a Modification version of the AUP.

Create Mod

Complete Mod Tab in RMS

Upload Attachments to Mod Tab

Respond to Review

Personnel Changes

Additional Guidance

  1. Check your protocol in RMS

    • If your protocol is still on the old paper form (Word doc), then...
      • Complete the Modification Tab in RMS (Step 2)
      • Revise the protocol narrative (and any relevant appendices) using Track Changes in the Word doc
        • Editable versions may be available in RMS - Look for the paperclip icon next to your File (right-click or Ctrl+click to view attachments)
        • If not in RMS, request for an editable version by emailing
      • Upload your revised documents as attachments in the Modification Tab (not anywhere else in RMS)

    • If your protocol was completed and approved in RMS (new # is "AUP-00-00"), then...
      • Complete the Modification Tab in RMS (Step 2)
      • Incorporate all proposed changes into the corresponding Protocol Tabs

  2. To start a Modification in RMS, you must first create a Modification version of the protocol before you can edit. (An approved version of the AUP cannot be edited.)
  3. A comment box will pop up. Enter an optional comment in the box (state your proposed changes) and click the button.

  4. You will see two versions of the AUP: the previous approved version and the modification version.

  5. Right-click or Ctrl+click (Mac) on the modification version and choose "Check-Out Document" (a green checkmark icon will show on the left side, which means you have checked out the document for editing)

  6. Go to the Modification Tab, mark the applicable checkboxes and answer the questions corresponding with those changes.
  7. Incorporate the modifications into the protocol...

    • If your protocol is still on the old paper form, request an editable version from the IACUC office to revise using the Track Changes feature in the Word document (like the old way).
      • Upload the revised Word docs as an attachment into the Modification Tab - click on the  button, a window will pop up for you upload attachments

    • If you completed a new application/3-year renewal in RMS, then all of your protocol info is in the new system and you must make the corresponding changes in the relevant Protocol Tab
      • Guidance on which Tabs to update can be found by hovering your cursor over the purple info icon on the right-hand side of each checkbox option
        (Refer to guidance about specific protocol tabs from the RMS User Guide)

      • Highlight your changes in YELLOW, when possible
        (feature is available in some text box areas)

  8. Select Save from the Action menu to save the modifications to your AUP.

  9. After saving, exit back to the protocol menu by clicking on the button
  10. To submit the modification to the IACUC office, right-click or Ctrl+click (Mac) on the document title and select "Submit to IACUC".
  11. Email us at to let us know you've submitted a mod
  12. *If this is your first time working on the protocol in RMS, you will have to certify the AUP - Follow instructions from the guidance about PI Certification Tab
  13. Once your modification is sent out for review, additional clarifications may be needed - See Guidance on Responding to Pre-review

Personnel Changes

After completing Steps 1-5 mentioned above, go to the Personnel Tab to add/remove users in all relevant categories.

  • If you cannot find a new user in the RMS database when trying to add them to the AUP, the user may not be in the system yet. Please contact the RMS Help Desk for assistance.
  • For shell protocols, only the PI is listed on the protocol...
    • Add new users into the appropriate categories (e.g., senior researcher, animal ordering allowed, etc.) - No need enter names of already-approved personnel! (IACUC already has a record of all current users in the old system)

See guidance about the Personnel Tab

Additional Guidance
  (949) 824-2142

Don’t forget to SAVE in the Action Menu!


RMS User Guide Index

Basic Structure of RMS

Icon Glossary

General Information, Hints and Tips Getting Started

Creating a New AUP

General Information Tab

Teaching Protocol & Field Studies Tabs

Personnel Tab

General Training Tab

Species Tab

Rationale/Alternatives Tab

Study Segments Tab

Drugs and Other Agents Tab

Animal Monitoring & Other Info Tab

Protocol Forms and Links Tab

Animal Husbandry/Housing Tab

Safety & Hazards Tab

PI Certification Tab

Workflow History Tab



Responding to the Pre-review

Modifying an approved AUP
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