Modifying an Approved AUP


Modification Tab

To start a modification = You must first CREATE the Modification version of the AUP.

Create Mod

Complete the 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.)
    • Click on the File to expand the folder, revealing the Documents underneath
    • Then Right-click or (CTRL+click ) on the approved Document (not File) and select "Modification" - This will create a version that can be edited

      Note:  If you do not see the Modification option in the menu, you may not have access to the AUP to create modifications. Please contact the RMS Help Desk for assistance.

  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 ) 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. You will automatically be redirected 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. Click the  button 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 ) on the document title and select "Submit to IACUC".
  11. Email us at to let us know you've submitted a mod.
  12. 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 YOUR WORK!

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