Skip to Main Content.
Human Subjects site of Office of Research Support link to UT home link to Office of Research Support

The Office of Research Support (ORS) does not administer or oversee HOP policy 5-2011 or training related to the policy. ORS administers HOP policy 7-1210, “Promoting Objectivity in Research by Managing, Reducing or Eliminating Financial Conflicts of Interest” so if you conduct research and have:

  1. Not submitted a Financial Interest Disclosure (FID), you will need to complete mandatory training and file a FID. Instructions for completing these requirements are located at http://www.utexas.edu/research/rsc/coi/training.html.
  2. Previously submitted a FID, you are not required to complete additional training nor re-disclose the same information to comply with the UTS 180/HOP 5-2011 policy requirements.   However, you may have other responsibilities under that policy.

HOP policy 5-2011 QUESTIONS? Contact the Provost’s Office evpp_coi@austin.utexas.edu or call Janet Dukerich, Senior Vice Provost for Faculty Affairs at (512) 232-3310.

Handbook of Policies and Procedures (IACUC/HOPP)
Section 9: Recordkeeping


9.0 Maintaining IACUC Records

The institution is responsible for maintaining:

  • The Assurance approved by OLAW;
  • Minutes of IACUC meetings;
  • Records of IACUC activities and deliberations;
  • Minority IACUC views;
  • Documentation of protocols reviewed by the IACUC, and proposed significant changes to protocols;
  • IACUC semiannual program evaluations and facility inspections, including deficiencies identified and plans for correction; and
  • Accrediting body determinations.

All records are to be kept for a minimum of three years, with the exception of records that relate directly to protocols, which must be kept for the duration of the activity and for an additional three years after completion of the activity.

Records documenting such activities as the provision of adequate veterinary care, training, and occupational safety, are expected to conform with the recommendations of the Guide and with commonly accepted professional standards.

9.1 Meeting Minutes7

Review of proposals by the IACUC invokes a deliberative process, and the PHS Policy and AWRs require that the institution maintain “minutes of IACUC meetings, including records of attendance, activities of the Committee, and Committee deliberations” (PHS Policy IV. E; 9 CFR Part 2 Subpart C 2.35 (a)(1)). The IACUC has some latitude in the degree of detail in these minutes.

Recorded minutes from IACUC Full Committee Reviews are intended to reflect the substantive discussion of protocols. Minutes are intended to contain sufficient information that a reasonable person could understand the nature of the discussion. Meeting minutes are not intended to provide a verbatim transcript of discussion nor to reiterate shared knowledge of the Committee such as recent discussions about a protocol in previous minutes. Historical evidence of compliance or non-compliance would be recorded in the minutes if it were germane to the discussion. Minutes may include reference to historical discussion by the IACUC from members who have served on the Committee and observed the procedures being proposed, served as reviewers for protocols involving similar procedures (where their questions were answered), or participated in past IACUC discussions about the procedures.

Minutes of each FCR are recorded in writing and include records of attendance, a summary of the issues discussed and the resolution of issues, and the results of IACUC votes on protocols.

  • Records of attendance

Although members may arrive late or leave during a meeting, generally a member is marked as either present or absent. An exception would be when the IACUC member leaves the meeting room during discussion of a protocol on which that member is a participant. If the temporary absence of a member drops the number of members present below the quorum no official actions may take place and this will be noted in the minutes.

  • Activities of the Committee

Activities of the Committee include, but not limited to, corrections or approval of previous minutes; presentation of program, policy, facility and compliance reports; and decisions on policies, protocols, and amendments.

  • Deliberations of the Committee

A deliberation of the Committee refers to the discussion and reasons leading to particular IACUC decisions. Minutes should include as a minimum a summary of the key points discussed prior to a committee decision.

Completed minutes are distributed to all IACUC members. Minutes are discussed at a subsequent convened meeting of the IACUC (e.g., FCR) and the Committee votes on approval. A copy of the approved meeting minutes is then provided to the IO. This informs the IO of all actions taken by the IACUC.

9.2 Protocols

The PHS Policy and the AWRs require that animal applications and proposed significant changes be retained for the duration of the animal activity and for an additional three years after the end of the activity. Proposals submitted to the IACUC must be kept for three years even if approval was not granted or animals were not used. The records must show whether or not IACUC approval was given.

9.3 Other Records

Both the PHS Policy and the AWRs require that the University retain the semiannual Program Review and Facility Inspections Report and any recommendations of the IACUC. PHS Policy also requires that the OLAW Assurance and reports of accrediting agencies (e.g., AAALAC) be kept on file. USDA requires additional records on dogs and cats acquired, transported, sold, or euthanized by the research facility. Animal health records are not usually maintained by the IACUC but are kept in the animal facility or in research laboratories. All these records must be kept for at least three years; and must be accessible to OLAW, USDA/APHIS, and funding agencies for inspection or copying.

9.4 Record Retention Policy at The University of Texas at Austin

No official state records may be destroyed without permission from the Texas State Library as outlined in Texas Government Code, Section 441.187 (http://www.statutes.legis.state.tx.us/?link=GV) and 13 Texas Administrative Code, Title 13, Part 1, Chapter 6, Subchapter A, Rule 6.7 (http://info.sos.state.tx.us/
pls/pub/readtac$ext.TacPage?sl= R&app=9&p_dir=&p_rloc=&p_tloc=&p_ploc
=&pg=1&p_tac=&ti=13&pt=1&ch=6&rl=7
). The Texas State Library certifies Agency retention schedules as a means of granting permission to destroy official state records.

The University of Texas at Austin Records Retention Schedule (UTRRS; http://www.utexas.edu/business/accounting/retention/ret.html) is certified by the Texas State Library and Archives Commission. It has been adopted as an administrative rule of the University. All official state records (paper, microform, electronic, or any other media) listed on the UTRRS must be retained for the minimum period designated. Once official University records have met their retention periods, they must be disposed of in accordance with the policies and procedures of Office of Accounting’s Division of Records Management Services.

7. This section contains content that was adapted from materials obtained from the University of Illinois at Urbana-Champaign..