University Research Related Record Schedules inc Grants

These are the PDF’s for the record schedules in the table below. Click on the link to print the schedule, otherwise search the table below for the appropriate record series using key words. Please contact the University Records Officer with any questions regarding retention schedules.  

2016 UWSA Grants and Related Records[pdf] Applications and documentation for grant programs, Scientific Misconduct; Grant folders Federal and Non-Federal.

UW-Madison Research_Data_Policy_01649_MAD_2012. General research records schedule based on the UW- Madison Policy on Data Stewardship, Access and Retention for research that does not have a unique department schedule maintaining research records and studies.

UW-Madison Office of Research Policy Records [pdf.]  Includes records of the Financial Conflict and Interest Program including the Conflict of Interest Committees; Human Research Protection Program; Research Misconduct records; Research Policy Advisory Council records; Responsible Conduct of Research; Stem Cell Research Oversight Committee. Outside Activities records are found the on the University Administrative Schedule. (In Versatile see Company Level)

UW-Madison IRB Department Records [pdf.] Includes University IRB Office minutes; Application for Review; IRB Exempt Research; IRB Initial Review Applications – Not approved or Incomplete; IRB Oversight Documentation.

2016 Invention and Patent Participation Agreements [pdf] This record schedule applies to all departments or units campus wide which may have legal documents dealing with Inventions and Patents Agreements and intellectual property.

UW-Madison Animal Health Records [pdf]  GRID Format.  The Research Animal Resources Center (RARC) oversees the UW-Madison research-animal medical care program. That oversight encompasses five separate college research-animal programs: the School of Medicine and Public Health (SMPH), the School of Veterinary Medicine (SVM), Letters and Science (L & S), the Graduate School, and the College of Agriculture and Life Science (CALS). This Animal Health Record Retention Policy does not apply to research data or other records maintained by investigators or laboratory staff. This Animal Health Record Retention Policy excludes the Wisconsin National Primate Research Center (WNPRC) and the Harlow Center for Biological Psychology. (In Versatile see Company Level)

UW-Madison RARC Animal Care and Use Committee Records [pdf] GRID Format ( In Versatile at the Company Level)

The table below is searchable by term.  Type the word in the search box and hit enter.

University Research Related Records; Animal Research Records and Grant Related Records

This table contains research related records such as the UW- Madison Policy on Data Stewardship, Access and Retention and Retention schedule; the Office of Research Policy, Institutional Review Board (IRB); Invention and Patent Participation Agreements; Research Animal Resource Center (RARC); Animal Health Records; Research and Sponsored Approved by Board of Regents and University Grant related record series.
From Record Schedule Record Series Number aka RDA# or GRS#Records TitleRecords DescriptionRetention / Disposition
Office of Research Policy01649Research Data and Records.
ORP provides oversight of the University of Wisconsin Madison’s research compliance programs, activities and processes. The Director, who reports to the Associate Dean for Research Policy is responsible for coordinating and monitoring these programs to assure that the University is compliant with federal, state and local laws and regulations as well as University policies. Office staffs develop policy, guidelines, and procedures often in collaboration with other campus units, perform outreach and educational activities, and support faculty committees that review research or advise campus leaders on research policy.
This policy shall apply to all University of Wisconsin-Madison faculty, academic staff, visiting scholars, postdoctoral fellows or other trainees, research technicians, and graduate or undergraduate students and any other persons at UW-Madison involved in the design, conduct or reporting of research at or under the auspices of UW-Madison, and it shall apply to all research projects on which those individuals work, regardless of the source of funding for the project.
Data and Records means recorded factual material, regardless of the form or media on which it may be recorded, that is commonly accepted in the research community as necessary to validate research findings. For example, data may include writings, films, sound recordings, pictorial reproductions, drawings, designs, or other graphic representations, procedural manuals, forms, diagrams, work flow charts, equipment descriptions, data files, statistical records, and other research data.
This definition pertains to both primary and secondary data. Primary data means data generated by research conducted at the University, under the auspices of the University, or with University resources. Secondary data means data owned and or generated by another party, data collected from administrative records, or data designated for public use, but used in whole or in part for research conducted at the University, under the auspices of the University, or with University resources.
This definition of data excludes research results based on data such as preliminary analyses, drafts of research papers, published papers, and plans for future research, peer reviews, or communications with colleagues.
This definition does not supersede any campus policy pertaining to intellectual property. Retention is the minimum retention.

Retention:
EVT+7 years
EVENT=Close of the Research Project

Disposition: Destroy Confidential
Research Policy and Compliance 34001721Conflict of Interest (COI) Committee Records This record series consists of the working files for the Conflict of Interest Committee, a standing committee of the UW Madison faculty The COI Committee reviews reports of outside activities and financial interests to comply with federal, state, and University regulations and policies.
This faculty committee also works with faculty and staff to eliminate, minimize, or manage any actual or potential conflicts of interest identified by the reporting process.
This records series contains agendas, minutes, correspondence, rosters, meeting materials, documents relating to policy development, and other items used to support the work of the Committee. Grad School research and compliance staff and the members of the Conflict of Interest Committee (COIC) conduct an evaluation process and make recommendations to the COIC.
See 8.11 of the Faculty Policies and Procedures
§CFR 42 50.604 (3) (i) Responsibilities of Institutions regarding Investigator financial conflicts of interest.
(i) Maintain records relating to all Investigator disclosures of financial interests and the Institution's review of, and response to, such disclosures (whether or not a disclosure resulted in the Institution's determination of a financial conflict of interest) and all actions under the Institution's policy or retrospective review, if applicable, for at least three years from the date the final expenditures report is submitted to the PHS or, where applicable, from other dates specified in 45 CFR 74.53(b) and 92.42 (b) for different situations.

Retention:
EVT + 3 years EVENT= Date of Submission of Final Expenditures or Termination of the Grant, whichever is longer.

Disposition: Transfer to UW-Madison Archives
Research Policy and Compliance 34001722Conflict of Interest (COI) Investigator FilesThis record series includes, for each PI, a digest version of the PI’s OAR, copies of email messages, correspondence, minutes of COIC meetings relating to the particular PI, evaluation worksheets for particular PI, management plans and confirmation sheets, if necessary, list of funding sources and list of human subjects protocols.
§CFR 42 50.604 (3)
NSF Grant Policy Manual Chapter V Section 510*
Retention:
EVT+3 years
EVENT=Date of Closure of File

Disposition: Destroy Confidential
Research Policy and Compliance 34001723Human Subject Research - Investigator Non-compliance FilesFiles relating to investigations of a researcher’s noncompliance with an IRB approved protocol or unanticipated problems during the research. Documentation in this series includes but is not limited to: the protocol that initiated the case, minutes from IRB meetings discussing noncompliance or unanticipated problem, correspondence with investigator and with the UW-Madison Institutional Official, who is the Associate Vice Chancellor for Research Policy, the determination of the IRB as to whether the noncompliance was serious or continuing or that an unanticipated problem occurred and what the remedies should be, whether there has been a suspension or termination of the research and whether the noncompliance or unanticipated problem should be reported to a federal agency or department. If the non-compliance or unanticipated problem is reportable or necessitates action in some way, the file includes a letter from the Institutional Official to the appropriate federal official and to the investigator. Emails and hard copies of letters to and from federal agencies. This starts in IRB office but Assoc. VC for research policy must sign any correspondence with federal agencies + HRPP Advisory committee hears appeals from findings of noncompliance.
May contain confidential information in that it may contain protocol-specific information which we have agreed via contract with sponsor to keep confidential except to the extent we must disclose by law, and then sponsor gets notice and an opportunity to seek a protective order. This could include sponsor trade secrets (ss. 19.36(5) and 134.90) and would be subject to a balancing test analysis for other reasons (e.g. to ensure open communications between PI and IRB to ensure subject safety)
Retention:
EVT + 7 Years EVENT= Date final correspondence from OHRP or FDA

Disposition: Destroy Confidential
Research Policy and Compliance 34001724Human Subject Research - Protection Program Files (HRPP) Including Assurance Agreement and IRB Registration These are the working files of the Human Research Protection Program (HRPP). The HRPP is the umbrella program for the campus’ four Institutional Review Boards that review and approve human subject’s research. The HRPP was developed to provide assurance to the Federal government and others that human subject’s research at the UW-Madison will be conducted in accordance with federal regulations, accepted standards and best practices. Documentation in this record series includes Federal wide Assurance Agreements and IRB registrations with the U.S. Department of Health and Human Services, correspondence with federal agencies, and notes. This process is electronic only, no longer in paper.
21 C.F.R. 56.115 IRB Records requires Completion of Research + 3 years. Retention exceeds requirements per University Human Research Protection Program: Policy 3-1-2012
Retention:
EVT+7 years
EVENT=Date FWA or IRB registration is superseded

Disposition: Destroy
Research Policy and Compliance 34001725Human Subject Research - Protection Program Policies and ProceduresAn important segment of this series is a set of 200 plus UW-Madison policies relating to human subject research. These policies are developed and revised in response to specific issues relating to human subject research. The Human Research Protection Program is responsible for the policies. These policies are stored and managed in an internally developed web-based document storage and management system from which the documents are posted to the HRPP websites. The web-based system includes version control and restricted access features.
21 C.F.R. 56.115 IRB Records requires Completion of Research + 3 years. Retention exceeds requirements per University Human Research Protection Program: Policy 3-1-2012
Retention:
EVT+7 years
EVENT= Date Policy or Procedure is updated.

Disposition: Transfer to UW-Madison Archives for Review.
Research Policy and Compliance 34001726Human Subject Research - Protection Program Committee Minutes and Agenda'sMinutes and Agendas for HRRP Committee Meetings.
21 C.F.R. 56.115 IRB Records requires Completion of Research + 3 years. Retention exceeds requirements per University Human Research Protection Program: Policy 3-1-2012
May contain PII
Minutes may include confidential information, including protocol-specific information that we have agreed by contract with sponsor to keep confidential. May also include preliminary analysis of data and other communications between PI and IRB that we would subject to balancing test analysis
Retention:
EVT=7 years
EVENT=Date of Approval of Minutes

Disposition: Transfer to UW-Madison Archives
Research Policy and Compliance 34001727Human Subject Research - Applications for Certificate of Confidentiality (CoC)This record series includes copies of applications for certificate of confidentiality submitted by investigators to National Institutes of Health (NIH). If approved, NIH issues a certificate of confidentiality to the investigator. Certificates of Confidentiality are issued by the National Institutes of Health (NIH) to protect the privacy of research subjects by protecting investigators and institutions from being compelled to release information that could be used to identify subjects with a research project. Applications for Certificate of Confidentiality submitted to NIH by investigators. These have to be signed by Assoc. VC for research policy.
CFR 45 PART 46 46.115 IRB Records May include confidential protocol specific information as described above, and would be subject to balancing test analysis.
NIH ANNOUNCES STATEMENT ON CERTIFICATES OF CONFIDENTIALITY
Release Date: March 15, 2002 NOTICE: NOT-OD-02-037 National Institutes of Health

Retention:
EVT+7 years
EVENT= Date of the End of the Grant Project

Disposition: Destroy Confidenital
Research Policy and Compliance 34001728IRB Authorization AgreementsStarts in IRB office but Assoc. VC for research policy must sign. These agreements are prepared if a UW-Madison PI is conducting collaborative research with another institution that does not have an IRB, or may have an IRB but UW-Madison and the other institution wish to avoid a duplicate IRB review. The agreement may provide for UW-Madison to serve as the other institution’s IRB of record or for UW-Madison to defer review of a protocol to another institution’s IRB. Agreements may cover a single specific protocol or may be a blanket agreement with an institution for all human subjects’ research.
21 C.F.R. 56.115 IRB Records requires Completion of Research + 3 years. Retention exceeds requirements per University Human Research Protection Program: Policy 3-1-2012
Retention:
EVT+7 years
EVENT=Close of the Study or Termination of the Agreement, whichever is earlier.

Disposition: Destroy
Research Policy and Compliance 34001729Individual Investigator AgreementsThese files contain signed agreements between UW-Madison and non-UW-Madison researchers who are involved in federally funded human subject research and who are not acting as employees of another institution involved in the research that has its own Federal wide Assurance with OHRP.Retention:
EVT=7 years
EVENT=Closed of the Study or Termination of the Agreement, whichever is earlier

Disposition: Destroy Confidential
Research Policy and Compliance 34001730External and Internal Audits, Compliance Monitoring and Quality Assurance Activities Records of external or internal audit, compliance monitoring and quality assurance activities relating to UW-Madison research compliance programs or component thereof. Series includes records of internal activities conducted by UW-Madison or external activities conducted by any outside entity that regulates, funds or supports research conducted at UW-Madison, including but not limited to federal agencies, industry sponsors and non-profit organizations.
Records include correspondence, audit plans, documents prepared for the audit, audit findings, audit reports and responses to those reports.
Confidential and PII May include confidential information. This is quality review designed to protect subject safety. We would subject this to a balancing test analysis to ensure that disclosure would not have a chilling effect on further quality reviews.
Retention:
EVT+6 years
EVENT=Date Investigation is Closed

Disposition: Destroy Confidential
Research Policy and Compliance 34001731Research Misconduct Proceeding CasesRecords of scientific/research misconduct cases involving UW-Madison personnel. This record series consist of but is not limited to Inquiry records, Hearing and Review records and the Final Report.
Records of scientific/research misconduct cases involving UW-Madison personnel. This record series consist of but is not limited to Inquiry records, Hearing and Review records and the Final Report.
42 CFR 93.317 Research Misconduct

University Faculty Policy II-314 on Misconduct in Scientific Research
University Faculty Policy II-314 on Misconduct in Scientific Research
Retention:
EVT+7 years
EVENT=Date Audit is Closed

Disposition: Destroy Confidential
Research Policy and Compliance 34001732Stem Cell Research Oversight Committee Policy RecordsThe SCRO Committee provides oversight for all research on campus or involving campus faculty or staff that involves either:
• the use of human embryonic stem cells or their derivatives; or
• the introduction of human pluripotent stem cells, or their derivatives, obtained from a non-embryonic source, into non-human animals at any embryonic, fetal, or postnatal stage, if an expected effect is that human cells will be integrated into the central nervous system, testes, or ovaries of the animal.
This records series includes, but is not limited to the development and maintenance of UW-Madison's human pluripotent stem cell research policies and procedures.
Records in this series contain agendas, minutes (confidential and open), correspondence, rosters, meeting materials, documents related to policy development.
May contain PII Policies and procedures are not confidential and are posted online. Some closed minutes and correspondence may include confidential information and would require a balancing test analysis.
Retention:
EVT+7 Years
EVENT=Date Policy or Procedure is updated

Disposition: Transfer to UW-Madison Archives for review.
Research Policy and Compliance 34001733Stem Cell Research Oversight Protocol RecordsProtocols include initial review application, change of protocol applications, and continuing reviews that must be submitted for approval to conduct hESC research on campus. Records in this series protocol files, and other items used to support the work of the Committee.
May contain PII May include confidential information in the form of PI intellectual property, preliminary data analyses, etc. Would require a balancing test analysis.
Retention:
EVT=7 Years
EVENT=Date of Last Activity

Disposition: Destroy Confidential
Research Policy and Compliance 34001734Integrating Research Ethics and Scholarship (IRES) Committee RecordsIntegrating Research Ethics and Scholarship (IRES) is an initiative, sponsored by the Graduate School that offers novice and seasoned researchers and scholars’ educational opportunities and resources that reflect best practices in ethics education and scholarly integrity. IRES also awards fellowships.
This record series contains agendas, minutes, correspondence, rosters, meeting materials, documents related to policy development, and other items used to support the work. This also includes information on the IRES fellows and the training materials they developed.
May contains PII Ethical reviews of researchers protocols may contain confidential information and would require a balancing test analysis.
Retention:
CR+7 years
CR=Creation Date

Disposition: Transfer to UW-Madison Archives for review
Research Policy and Compliance 34001735Researcher Online Compliance and Certification Training RecordsAll Training records that the ORP and the Grad School IT include: Biosafety Training, COI Training, and Effort Report Training.
Human subjects training requirements Sec. VII.B.5
45 CFR Part 46
45 CFR Parts 160 and 164 (Privacy Rule)
Retention:
EVT+6 years
EVENT=Date the Employee, Researcher, or PI Terminates Employment

Disposition: Destroy Confidential
UW-Madison Institutional Review Board (IRB) Records GRS01765IRB Minutes This record series consists, but is not limited to IRB minutes, attachments, agendas and meeting announcements and may reference protocols. Minutes of IRB Committee meetings may contain attorney-client privileged information. These records must be reviewed by IRB, and confidential information redacted, prior to public release.

Other Requirements:
21CFR 56.115 IRB Record requires Completion of Research + 3 years. Record series retention's exceeds these requirements per university Human 45 CFR 46.115 BASIC HHS POLICY FOR PROTECTION OF HUMAN RESEARCH SUBJECTS

Retention of IRB Records Policy March 1, 2012 by HRPP Advisory Committee

Policy on Data Stewardship, Access and Retention – Research Policy Advisory Committee Feb 21, 2011
Retention:
EVT+3 years
EVENT = After All protocols referenced in the minutes are closed

Disposition: Destroy Confidential
UW-Madison Institutional Review Board (IRB) Records GRS01766Applications for IRB ReviewThis records series consists of all available documentation related to the IRB application review and associated correspondence, continuing reviews, amendments, and reportable events (noncompliance and unanticipated problems).
This application review consist of one of the following:
• Full Review
• Expedited Review

See Record Series GRS01767 for applications that are Exempt and GRS01768 for applications that are not approved or incomplete.

Contact UW-Madison Office of Legal Affairs for access as documents maintained by the IRB which may contain trade secret information subject to non-disclosure obligations, certain employee personnel records, information protected by the attorney-client privilege, as well as confidential information relating to research materials, facilities and personnel. Trade secrets may be kept confidential under Wis. Stats. § 19.36(5) and certain intellectual property records may be kept confidential under the balancing test. Certain information regarding staff may be kept confidential under Wis. Stats. § 19.36(10), and the balancing test. Records directly related to students may be kept confidential under Wis. Stats. § 19.36(1), where disclosure of information is prohibited by the Family Educational Rights and Privacy Act, 20 USC 1232g and 34 CFR Part 99, and under the balancing test. Certain information pertaining to research activities, such as the security measures for specific research facilities and the location of hazardous materials or controlled substances, is exempt from disclosure per Wis. Stats. § 19.36(1), where disclosure is prohibited by federal law, such as the Public Health Security and Bioterrorism Preparedness and Response Act, 42 USC 262a, and the balancing test. Minutes of IRB Committee meetings may contain attorney-client privileged information. These records must be reviewed by IRB, and confidential information redacted, prior to public release.
Retention:
EVT + 7 Years
EVENT = Date of the Study is Closed

Disposition:
Destroy Confidential
UW-Madison Institutional Review Board (IRB) Records GRS01767IRB Exempt ResearchThis record series consists of IRB determinations that a research project does not fall under IRB purview pursuant to 45 CFR 46.

See Record Series GRS01768 for applications that are not approved or incomplete.
Contact UW-Madison Office of Legal Affairs for access as documents maintained by the IRB which may contain trade secret information subject to non-disclosure obligations, certain employee personnel records, information protected by the attorney-client privilege, as well as confidential information relating to research materials, facilities and personnel. Trade secrets may be kept confidential under Wis. Stats. § 19.36(5) and certain intellectual property records may be kept confidential under the balancing test. Certain information regarding staff may be kept confidential under Wis. Stats. § 19.36(10), and the balancing test. Records directly related to students may be kept confidential under Wis. Stats. § 19.36(1), where disclosure of information is prohibited by the Family Educational Rights and Privacy Act, 20 USC 1232g and 34 CFR Part 99, and under the balancing test. Certain information pertaining to research activities, such as the security measures for specific research facilities and the location of hazardous materials or controlled substances, is exempt from disclosure per Wis. Stats. § 19.36(1), where disclosure is prohibited by federal law, such as the Public Health Security and Bioterrorism Preparedness and Response Act, 42 USC 262a, and the balancing test. Minutes of IRB Committee meetings may contain attorney-client privileged information. These records must be reviewed by IRB, and confidential information redacted, prior to public release.


Retention:
EVT + 5 Years
EVENT = Date of Final IRB Determination

Disposition: Destroy Confidential
UW-Madison Institutional Review Board (IRB) Records GRS01768IRB Review Applications – Not Approved or IncompleteThis records series consists review applications of any type submitted to the IRB that were never approved or never completed the formal review process (e.g., were withdrawn) and all available documentation related to the submitted IRB Initial Review Application which were not approved and associated correspondence.
This review consist of one of the following:
•Full Review
•Expedited Review
•Exempt Review

Contact UW-Madison Office of Legal Affairs for access as documents maintained by the IRB which may contain trade secret information subject to non-disclosure obligations, certain employee personnel records, information protected by the attorney-client privilege, as well as confidential information relating to research materials, facilities and personnel. Trade secrets may be kept confidential under Wis. Stats. § 19.36(5) and certain intellectual property records may be kept confidential under the balancing test. Certain information regarding staff may be kept confidential under Wis. Stats. § 19.36(10), and the balancing test. Records directly related to students may be kept confidential under Wis. Stats. § 19.36(1), where disclosure of information is prohibited by the Family Educational Rights and Privacy Act, 20 USC 1232g and 34 CFR Part 99, and under the balancing test. Certain information pertaining to research activities, such as the security measures for specific research facilities and the location of hazardous materials or controlled substances, is exempt from disclosure per Wis. Stats. § 19.36(1), where disclosure is prohibited by federal law, such as the Public Health Security and Bioterrorism Preparedness and Response Act, 42 USC 262a, and the balancing test. Minutes of IRB Committee meetings may contain attorney-client privileged information. These records must be reviewed by IRB, and confidential information redacted, prior to public release.
Retention:
EVT + 5 Years
EVENT = Date not approved or closed by the IRB

Disposition: Destroy Confidential
UW-Madison Institutional Review Board (IRB) Records GRS01769IRB Oversight DocumentationThis record series consists of documents related to IRB function, such as rosters, external audits, and IRB reporting.

Contact UW-Madison Office of Legal Affairs for access as documents maintained by the IRB which may contain trade secret information subject to non-disclosure obligations, certain employee personnel records, information protected by the attorney-client privilege, as well as confidential information relating to research materials, facilities and personnel. Trade secrets may be kept confidential under Wis. Stats. § 19.36(5) and certain intellectual property records may be kept confidential under the balancing test. Certain information regarding staff may be kept confidential under Wis. Stats. § 19.36(10), and the balancing test. Records directly related to students may be kept confidential under Wis. Stats. § 19.36(1), where disclosure of information is prohibited by the Family Educational Rights and Privacy Act, 20 USC 1232g and 34 CFR Part 99, and under the balancing test. Certain information pertaining to research activities, such as the security measures for specific research facilities and the location of hazardous materials or controlled substances, is exempt from disclosure per Wis. Stats. § 19.36(1), where disclosure is prohibited by federal law, such as the Public Health Security and Bioterrorism Preparedness and Response Act, 42 USC 262a, and the balancing test. Minutes of IRB Committee meetings may contain attorney-client privileged information. These records must be reviewed by IRB, and confidential information redacted, prior to public release.
Retention:
EVT + 3 Years
EVENT = After All protocols referenced in the minutes are closed

Disposition: Destroy Confidential
UW-Madison Invention and Patent Participation Agreements34001859Invention and Patent Participation AgreementsThis record schedule applies to all departments or units campus wide which may have legal documents dealing with Inventions and Patents Agreements and intellectual property. The Agreement is the document that legally binds our employees to disclose to the University inventions or other patent-able things. It also requires that they assign rights to certain inventions to the University’s designated patent and intellectual property management organization. This record is what will allow the University to establish interest in a future patent. Because it may be many years before someone will attempt to patent something in which we may want to claim an interest, we need to keep the record for many decades.

This record series consists of Participation Agreements, legal documents related to inventions, patents and intellectual property of the University or its agents.

(These agreements have a 50 year retention because they are the documents that legally bind our employees to disclose to the University inventions or other patentable things. It also requires that they assign rights to certain inventions to the University’s designated patent and intellectual property management organization. This record is what will allow the University to establish interest in a future patent. Because it may be many years before someone will attempt to patent something in which we may want to claim an interest, we need to keep the record for many decades.)
For University of Wisconsin-Madison Intellectual Property Policies and Procedures for University Research: Policies regulating intellectual property resulting from University of Wisconsin-Madison research are impacted by federal law as well as University of Wisconsin System policies. Some of these include: The Bayh-Dole Act 35 U.S. Code Chapter 18 – Patent Rights in inventions made with Federal Assistance; UW System Policy G2-Extramural Support Administration; UW System Policy G34-Patent Policy; UW System Policy G10-Computer Software Ownership; and UW System Policy G27-Copyrightable Instructions Material Ownership, Use and Control, UW-Madison Graduate School Intellectual Property Policies and Procedures for University Research. Copies of these policies are available on the UW System website. This records series is the official record for University of Wisconsin-Madison Intellectual Property Policies and Procedures for University Research. As these UW-Madison policies are revised and or superseded, copies of changes will be transferred to the University Archives for inclusion with existing series. These records have historical value to the University.


Retention:
CR + 50 Years
CR = Date of Creation

Disposition: Transfer to UW-Madison Archives
Research Animal Resource Center (RARC) - Animal Care and Use Committee 34001745ACUC Minutes (Animal Care and Use Committee)
This record series consists of minutes, attachments, agendas, and meeting announcements.
The Animal Care and Use Committees (ACUCs) review and approve protocols, and ensure that regulations for animal research are appropriately followed. Committee minutes document the meetings held by the ACUC committees. The requirement for, and functions of, the ACUC are defined in 7 USC $2143-21 56, 9 CFR, the Health Research Extension Act of 1985 (PL99- 158), as amended, and Public Health Service policy on the Humane Care and Use of Laboratory Animals.
ACUC minutes may also contain confidential attorney-client privileged communications.
Access is limited. Contact the head of RARC for access as documents maintained by RARC which may contain trade secret information subject to non-disclosure obligations, certain employee personnel records, information protected by the attorney-client privilege, as well as confidential information relating to research materials, facilities and personnel. Trade secrets may be kept confidential under Wis. Stats. § 19.36(5) and certain intellectual property records may be kept confidential under the balancing test. Certain information regarding staff may be kept confidential under Wis. Stats. § 19.36(10), and the balancing test. Records directly related to students may be kept confidential under Wis. Stats. § 19.36(1), where disclosure of information is prohibited by the Family Educational Rights and Privacy Act, 20 USC 1232g and 34 CFR Part 99, and under the balancing test. Certain information pertaining to research activities, such as the security measures for specific research facilities and the location of hazardous materials or controlled substances, is exempt from disclosure per Wis. Stats. § 19.36(1), where disclosure is prohibited by federal law, such as the Public Health Security and Bioterrorism Preparedness and Response Act, 42 USC 262a, and the balancing test. Information impacting the security of personnel, animals, and facilities, such as locations where animals are housed or research is conducted may be kept confidential under the balancing test. Minutes of Animal Care and Use Committee meetings may contain attorney-client privileged information. These records must be reviewed by RARC, and confidential information redacted, prior to public release.

The 9CFRs 2.35 Recordkeeping requirements (f) state the following: "all records and reports shall be maintained for at least three years. Records that relate directly to proposed activities and proposed significant changes in ongoing activities reviewed and approved by the IACUC shall be retained for the duration of the activity and for an additional three years after completion of the activity."

University Faculty Policy II-314 on Misconduct in Scientific Research mandates a minimum of 7 years for research records.
Retention:
EVT+7 years
EVENT=Date of Approval of Minutes

Disposition: Destroy Confidential
(RARC) - Animal Care and Use Committee 34001746ACUC Approved ProtocolsThis record series consists of, but is not limited to the following:
• the cover letter or email from principal investigator;
• animal use application;
• Animal Care and Use Committee (ACUC) review comments;
• Approved version of protocol; and approval letters.
If applicable, the Approved Protocols include: annual updates; 3-year renewal reminder; 3-year renewal protocol; amendments; Animal Care and Use Committee review comments on amendments; and documentation of designated review of minor changes.
Protocol applications are submitted to the Research Animal Resources Center (RARC) and distributed to the appropriate ACUC for review. RARC enters into a tracking database key information about the protocol, such as name of the Principal Investigator (PI), address, title, number of animals and their species, type of procedure(s) involved indicated by the Classification code.
The requirement for, and functions of, the ACUC are defined in 7 USC $2143-21 56, 9 CFR, the Health Research Extension Act of 1985 (PL99-158), as amended, and Public Health Service policy on the Humane Care and Use of Laboratory Animals.
This record series consists of, but is not limited to the following:
• the cover letter or email from principal investigator;
• animal use application;
• Animal Care and Use Committee (ACUC) review comments;
• Approved version of protocol; and approval letters.
If applicable, the Approved Protocols include: annual updates; 3-year renewal reminder; 3-year renewal protocol; amendments; Animal Care and Use Committee review comments on amendments; and documentation of designated review of minor changes.
Protocol applications are submitted to the Research Animal Resources Center (RARC) and distributed to the appropriate ACUC for review. RARC enters into a tracking database key information about the protocol, such as name of the Principal Investigator (PI), address, title, number of animals and their species, type of procedure(s) involved indicated by the Classification code.
The requirement for, and functions of, the ACUC are defined in 7 USC $2143-21 56, 9 CFR, the Health Research Extension Act of 1985 (PL99-158), as amended, and Public Health Service policy on the Humane Care and Use of Laboratory Animals.

Retention:
EVT + 7 YEARS EVENT= Date of ACUC Approval

Disposition: Destroy Confidential
(RARC) - Animal Care and Use Committee 34001747 ACUC Unapproved ProtocolsThis record series includes protocols that the ACUC finds unacceptable and does not grant approval to, and proposed protocols that remain pending for extended or indefinite periods because the principal investigators do not provide satisfactory answers to the ACUC's review questions. Without approval animal research activities may not commence.
The Unapproved Protocols contain the original submission protocol draft; cover letter or email from principal investigator; and Animal Care and Use Committee (ACUC) review comments.
Protocol applications are submitted to the Research Animal Resources Center (RARC) and distributed to the appropriate ACUC for review.
Retention:
EVT + 3 YEARS EVENT= Date of ACUC Denial

Disposition:
Destroy Confidential
(RARC) - Animal Care and Use Committee 34001748ACUC Program ReviewsProgram Reviews records include but is not limited to:
• the Animal Care and Use
• Committee (ACUC) letter to the Institutional Official;
• Semiannual Program Review worksheet
• Signed signature page

9CFR 2.35

42 CFR 93.317 Research Misconduct

University Faculty Policy II-314 on Misconduct in Scientific Research required 7 years.
Retention:
EVT+7 years
EVENT=ACUC Signature

Disposition: Transfer to UW-Madison Archives
(RARC) - Animal Care and Use Committee 34001749ACUC Semi-Annual Inspection ReportThis record series includes, but is not limited to:
Typed copy of inspection notes; and correspondence between the Animal Care and Use Committee and principals investigators and for facility supervisory staff regarding noted deficiencies and corrections.
Written inspection reports are prepared for each animal facility every six months, reviewed by the appropriate ACUC, and submitted to the Institutional Official.
The requirement for this function of the ACUC is defined in 9 CFR s2.31 (c)(l)-(3), and Public Health Service
Policy 1V.B and F.
9CFR 2.35
42 CFR 93.317 Research Misconduct

University Faculty Policy II-314 on Misconduct in Scientific Research required 7 years.
Retention:
EVT + 7 years
EVENT=Date of each inspection or date of final resolution of deficiency, whichever is later

Disposition: Destroy Confidential
Research Animal Resources Center Animal Health Records GRS01714University Animal Health Records The Research Animal Resources Center (RARC) oversees the UW-Madison research-animal medical care program. That oversight encompasses five separate college research-animal programs: the School of Medicine and Public Health (SMPH), the School of Veterinary Medicine (SVM), Letters and Science (L & S), the Graduate School, and the College of Agriculture and Life Science (CALS). Veterinary care for all the colleges is provided by RARC, while daily operations of the facilities and husbandry are overseen by specific research-animal programs associated with each college. The research program is biomedical or agricultural, and many projects are collaborative, including collaborations with the Veterans Administration Hospital.

This Animal Health Record Retention Policy does not apply to research data or other records maintained by investigators or laboratory staff.

This Animal Health Record Retention Policy excludes the Wisconsin National Primate Research Center (WNPRC) and the Harlow Center for Biological Psychology. This series documents the animal's medical history; records include reference for treatments, medical evaluations, transfer recommendations, and animal management decision making. Content may include: medical reports; diagnostic tests results; diagnostic images; daily medical log entries; anesthesia records; prescriptions, clinical pathology data (blood work and culture results); pathology records and histopathology results; culture reports; and parasitological records and also include preventive medicine program events such as vaccinations, testing, quarantine, and examination procedures. This series is maintained by RARC.
Animal Health records may consist of but are not limited to the following documentation depending on the animal:

• Name or initials of the veterinary staff member responsible for entries.
• Name or identity of the animal, herd, flock or colony.
• Except for herds or flocks or colonies, age, sex and species of the animal.
• Dates (beginning and ending) of custody of the animal, if applicable.
• A history or pertinent information as it pertains to each animal, herd, flock's or colony’s medical status.
• Objective and subjective findings from physical examination.
• Treatment and intended treatment plan, including medications, dosages and frequency of use.
• Records for surgical procedures shall include a description of the procedure, the name/initials of the surgeon, the type of pre-anesthetic, anesthetic and analgesic agents used their route of administration, and dosage.
• Diagnosis or tentative diagnosis as needed.
• If relevant, a prognosis of the animal's condition.
• All medications and treatments prescribed, dispensed and/or administered, including concentration, dosage, quantity, and frequency.
• Progress and disposition of the case.

Access Requirements: Portions of these records may be subject to public disclosure upon approval of RARC and UW Legal Services. Contact the Associate Director of RARC for permission to access. Trade secrets may be kept confidential under section 19.36(5), Wis. Stats.; other intellectual property may be kept confidential under the balancing test; personal identifying information of students and staff may be kept confidential under FERPA (where applicable) and the balancing test; and certain information pertaining to research activities, such as security measures for specific research facilities and the location of hazardous materials or controlled substances, are exempt from disclosure per federal law, 19.36(1), Wis. Stats., 19.36(9), Wis. Stats., and the balancing test.

Appraisal Note:
Records are kept in compliance with Veterinary Best Practices for recordkeeping based on the Wisconsin Administrative Code Ch VE 7.03, and RARC Requirement for Medical Records.

Retention:
EVT +3 years
EVENT=Date of Last Entry

Disposition: Destroy Confidential
Research Animal Resources Center Animal Health GRS01715University Animal Husbandry Records The Research Animal Resources Center (RARC) oversees the UW-Madison research-animal medical care program. That oversight encompasses five separate college research-animal programs: the School of Medicine and Public Health (SMPH), the School of Veterinary Medicine (SVM), Letters and Science (L & S), the Graduate School, and the College of Agriculture and Life Science (CALS). Veterinary care for all the colleges is provided by RARC, while daily operations of the facilities and husbandry are overseen by specific research-animal programs associated with each college. The research program is biomedical or agricultural, and many projects are collaborative, including collaborations with the Veterans Administration Hospital.

This Animal Health Record Retention Policy does not apply to research data or other records maintained by investigators or laboratory staff.

This Animal Health Record Retention Policy excludes the Wisconsin National Primate Research Center (WNPRC) and the Harlow Center for Biological Psychology.

This record series is maintained or overseen by individual college research animal care programs (such as, for example, Laboratory Animal Resources in the School of Medicine & Public Health, the Animal Resource Center in the School of Veterinary Medicine, the Letters & Science Animal Program in the College of Letters & Science, and similar units elsewhere at the University), and provides information for day-to-day animal care and husbandry. Animal Husbandry records consist of but are not limited to the following documentation depending on the animal:

• Room logs
• Enrichment Logs
• Housing and Environment
• Nutrition and Feeding
• Other Non-specific animal related records

Access Requirements: Portions of these records may be subject to public disclosure upon approval of RARC and UW Legal Services. Contact the Associate Director of RARC for permission to access. Trade secrets may be kept confidential under section 19.36(5), Wis. Stats.; other intellectual property may be kept confidential under the balancing test; personal identifying information of students and staff may be kept confidential under FERPA (where applicable) and the balancing test; and certain information pertaining to research activities, such as security measures for specific research facilities and the location of hazardous materials or controlled substances, are exempt from disclosure per federal law, 19.36(1), Wis. Stats., 19.36(9), Wis. Stats., and the balancing test.

Appraisal Note: Records are kept in compliance with Veterinary Best Practices for recordkeeping based on the Wisconsin Administrative Code Ch VE 7.03, and RARC Requirement for Medical Records.

Retention:
EVT +3 years
EVENT=Date of Last Entry

Disposition: Destroy Confidential
UWSA Grant Related Records UWGNT001Grant Folders – Federal and Non-Federal - AcceptedThis record series contains, but is not limited to, the records contained in the grant application process to campus research offices which were accepted and would be included as part of the grant folder. Records would include project proposals, letter of support, supplementary material, minutes of review meeting, review reports, necessary signatures, and other documentation which was submitted and approved.

Other records that would be included as part of the grant folder are transmittals, awards, budgets and other grant financial accounting, and all other documentation related to the procurement of federal grants. In addition all reports, forms, and documentation related to Performance and Accountability Reports (PARs), as well as reports and supplemental information for verification of grants and contracts.

Documentation associated with grants approved by campus research offices and accepted for funding by grantor agencies. Such documentation may include, but is not limited to: contracts, progress reports, use agreements, final reports, and other related records.
Retention:
EVT+6 Years
EVENT=
Date that the Grant was Closed

Disposition: Destroy Confidential
UWSA Grant Related Records UWGNT002Grant Proposals Review Files – Rejected or No ResponseGrant applications, approved by campus research offices and submitted to grantor agencies that have either been directly rejected or have not received a response from the grantor agency for a period of time not exceeding one year after the proposed start date of the grant project.Retention:
EVT+ 4 Years
EVENT=
Date Grant Rejected or No Response

Disposition: Destroy
UWSA Grant Related Records UWGNT003Grant Files - UW-System AdministeredApplications and documentation for grant programs such as the Challenge Grant and other grants run by UW-System and often facilitated by campus research offices. The files include applications, public meeting minutes, budget forms, system award documentation, non-award documentation, and evaluation materials.Retention:
EVT+6 Years
EVENT=
Date that the Grant was Closed

Disposition: Destroy
UWSA Grant Related Records UWGNT004Grant Files - Internal Grant Award Documentation Documentation of the winners of internal grants awarded by the University Research Office or granting units. Information contained would include, but not be limited to, the name and scope of project, the amount of money requested, and the start and end dates of the projects. This data has long-term administrative and historical value to the University Research Office or university granting units on the university campus in tracking internal grants.Retention:
EVT+6 Years
EVENT=
Date that the Grant was Closed

Disposition: Destroy
UWSA Grant Related Records UWGNT005Scientific or Research Misconduct RecordsRecords documenting accusations of misconduct brought forward by or against faculty or students and relating to research projects. These records include accusation statements; inquiry committee findings; and related correspondence, hearing and review records and final report.Retention:
EVT+7 Years
EVENT=
Date Audit or Inquiry is Closed

Disposition: Destroy Confidential