# From the first report to *the follow-through*.

Six starting points for the compliance team: reports, monitoring visits, inspections and training. Connect the finding to its next step, and keep the work under the protocol it belongs to.

[Book a demo](https://streamcell.com/demo) · [Start with PAM visits](https://streamcell.com/library/post-approval-monitoring)

## Key facts

- **Facilities compared**: 50, from 66 public procedures, October 2026
- **Jobs in the block**: 6
- **Ways they're done**: 31

## Who is the Compliance block for?

The compliance officer or IACUC administrator who owns the animal use protocol. When an inspection or a protocol review asks who did what to which animal, you want every change on the record under the right protocol, so you can answer without a scramble.

## What comes in the Compliance block?

Six forms, one per job.

- **Adverse events and noncompliance**: 18 facilities compared, 5 ways.
- [Post-approval monitoring visits](https://streamcell.com/library/post-approval-monitoring): 13 facilities compared, 6 ways.
- **Semiannual inspection findings**: 13 facilities compared, 6 ways.
- **Training and qualification**: 9 facilities compared, 6 ways.
- **Welfare concerns**: 8 facilities compared, 3 ways.
- **Hands-on competency**: 5 facilities compared, 5 ways.

| Form | Code | Statuses |
| --- | --- | --- |
| Adverse event or noncompliance report | AER | Submitted → Office review → Vet and chair review → At committee → Reported out → Closed |
| PAM visit | PAM | Selected → Scheduled → Visit done → With PI → With IACUC → Closed |
| Inspection finding | IF | Recorded → Sent → Response in → Corrected → Closed |
| Training record | TR | Assigned → Current → Expiring soon → Expired → Referred to IACUC → Superseded |
| Welfare concern | WC | Received → Chair and vet review → Under investigation → Closed |
| Competency assessment | CMA | Requested → In training → Observed → Signed off → Repeat required |

## See how the work connects

Post-approval monitoring at 13 programs, then adverse events at 18 facilities. Below, the workflows that do each handoff.

1. **How does a PAM review reach the lab?**
   - A booked lab visit: 7 of 13
   - Watching a procedure: 2 of 13
   - A video meeting: 1 of 13
   - Records and an interview: 1 of 13
   - Rounds on a watch list: 1 of 13
   - Twice-yearly facility visits: 1 of 13
2. **And if a review finds a welfare problem?**
   - Straight to the vet or the IACUC: 8 of 13
   - A noncompliance or incident report: 2 of 13
   - Not stated: 3 of 13
3. **Does the lab answer before the IACUC sees the findings?**
   - No lab step first: the IACUC or its chair has them: 9 of 13
   - Yes: the PI or lab answers first: 4 of 13
4. **The IACUC hears the findings** (13 of 13 programs)
Each dot is one of the 13 programs whose procedure we read. Where one way clearly leads at a fork, it is outlined.

1. **Who reports an adverse event?**
   - The PI or lab: 11 of 18
   - Anyone involved in animal care and use: 5 of 18
   - Not stated: 2 of 18
2. **How is the report sent?**
   - A form sent as a file: 10 of 18
   - A web form: 3 of 18
   - A signed paper form: 2 of 18
   - A module in the protocol software: 2 of 18
   - A team site: 1 of 18
3. **Who gets it first?**
   - The IACUC office or committee: 16 of 18
   - A manager, supervisor or director: 1 of 18
   - A vet: 1 of 18
4. **The procedure gives a vet a say in what goes further** (5 of 18 facilities)
Each dot is one of the 18 facilities whose procedure we read. Where one way clearly leads at a fork, it is outlined.

1. **Reported**: Jules Ferreira reports an adverse event on protocol ISH-1009. It reaches the IACUC office, and Robin Mace if animals are at risk.
2. **Reviewed**: Send to vet and chair, then Send to committee. If OLAW must hear, its section opens.
3. **Visited**: A PAM visit to Noor Adler's lab ends with Send report to PI; she responds on the same record.
4. **Corrected**: The person responsible answers an inspection finding and marks it corrected. Overdue ones show each morning.
5. **Lapsed**: Expiring training sends a reminder; on expiry the IACUC or access office is told.

## What will the compliance office see?

The saved views and graphs in the block.

- **Open findings** (grid): With correct-by dates, to export for the semiannual report.
- **Expiring in 30 days** (grid): Training about to lapse.
- **Training by protocol** (grid): 4 of 9 facilities tie training to the protocol.
- **Qualification matrix** (pivot): Person by course.
- **Morning list** (list): Adverse events and concerns still open.
- **Visits due and responses overdue** (list): 5 of 13 set a deadline for the PI's response.

## Make room for your way of working

It starts from the most common way; each other way is a few changes.

- **A booked lab visit** (7 of 13 facilities): The default.
- **Watching a procedure** (2 of 13 facilities): Add a table of procedures watched.
- **A video meeting** (1 of 13 facilities): The meeting link goes in a field.
- **Records and an interview** (1 of 13 facilities): Add an interview table.
- **Rounds on a watch list** (1 of 13 facilities): A due date per round, on a morning list.
- **Twice-yearly facility visits** (1 of 13 facilities): One record per facility visit.
How post-approval monitoring is done, at 13 facilities.

- **Adverse events** (18 facilities): a document or PDF form sent as a file at 10, a web form at 3, signed paper at 2.
- **Welfare concerns** (8): the IACUC's web form at 5, an animal concern hotline at 2.

## Find your starting point

Find your starting point.

1. Does the IACUC side visit labs for post-approval monitoring?
2. Is an adverse event reported on a document or PDF form?
3. Do inspection findings go out as a written list to answer?
4. When training lapses, is there a deadline before door access ends?

- **Start from the PAM visit**: Like 7 of 13, the default.
- **Start from the adverse event report**: Like 10 of 18.
- **Start from inspection findings**: Like 4 of 13.
- **Start from training lapses**: Like 2 of 9: a notice with a deadline.
- **Start from training records**: Expiring in 30 days tracks expiry for you.

## Keep what already works

- **Your IACUC system.** Protocols stay there; records carry the protocol number.
- **Anonymous reports.** 7 of 8 welfare programs offer them; they stay in your hotline or form.
- **Reports to regulators** leave as a PDF or an email.
- **Courses** stay in your learning system; the record holds the dates.
- **One thing Streamcell can't do:** an if-then step. Significant and minor findings run as two workflows.
- **No compliance claim.** Records keep a field-level audit trail and signatures that lock fields. We don't claim they meet any standard.

## What do buyers ask compliance software to do?

From 23 public procurement documents for animal facility software.

- **19 of 23**: ask for something in protocol, compliance, training or reports.
- **11 of 23**: ask for protocol management, which stays in your IACUC system.
- **8 of 23**: ask for regulatory reports.
- **4 of 23**: ask for electronic signatures.
- **3 of 23**: ask for an audit trail.
US and Canadian programs, 2010 to 2026.

The block keeps the records around the protocol: signatures, the audit trail, training and findings.

## Can I add the Compliance block myself?

**Add the block.** Adding it yourself is coming soon. Today, a demo sets it up for your facility.

[Book a demo](https://streamcell.com/demo)

## Set up the *Compliance block* for your facility

Book a demo, and we start the block from the forms your IACUC office uses today.

[Book a demo](https://streamcell.com/demo)

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Source: https://streamcell.com/library/compliance
Last reviewed: 2026-10-16
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