Administrative Records Relating to Research

Retention and Disposition Requirements as of October 2018

Institutional Animal Care and Use Committee (IACUC) Records

Record Retention Period Primary Source Secondary Source

Minutes

Retain records for 3 years after the protocol has ended.

See ± below

UC Records Retention Schedule, 0012B3*

Animal Welfare Act 9 CFR 2.35(f)

 

NIH Institutional Animal Care and Use Committee Guidebook — p. 174

Records of attendance

Retain records for 3 years after the protocol has ended.

See± below

UC Records Retention Schedule, 0012B3*

Animal Welfare Act 9 CFR 2.35(f)

 

NIH Institutional Animal Care and Use Committee Guidebook — p. 174

Activities of the committee

Retain records for 3 years after the protocol has ended.

See ± below

UC Records Retention Schedule, 0012B3*

Animal Welfare Act 9 CFR 2.35(f)

 

NIH Institutional Animal Care and Use Committee Guidebook — p. 174

Committee deliberations

Retain records for 3 years after the protocol has ended.

See ± below

UC Records Retention Schedule, 0012B3*

Animal Welfare Act 9 CFR 2.35(f)

 

NIH Institutional Animal Care and Use Committee Guidebook — p. 174

Applications

Retain records for 3 years after the protocol has ended.

See ± below

UC Records Retention Schedule, 0012B3*

Animal Welfare Act 9 CFR 2.35(f)

NIH Institutional Animal Care and Use Committee Guidebook — p. 174

 

Proposed activities involving animals (including documentation of IACUC approval / denial, minutes, semi- annual inspections, and research records associated with the protocol.)

Retain records for 3 years after the protocol has ended.

See ± below

UC Records Retention Schedule, 0012B3*

Animal Welfare Act 9 CFR 2.35(f)

 

 

 

 

NIH Institutional Animal Care and Use Committee Guidebook — p. 174

PHS Policy IV.E.2.

USDA-approved CBRA Guidelines for Record Retention For Protocols Operating Under NIH Grants

CBRA Guidelines for Record Retention Requirements Under the AWA

Proposed activities involving animals (including documentation of IACUC approval / denial)

Retain records for 3 years after the protocol has ended.

See ± below

UC Records Retention Schedule, 0012B3*

Animal Welfare Act 9 CFR 2.35(f)

 

NIH Institutional Animal Care and Use Committee Guidebook — p. 174

Proposed significant changes in activities involving animals (including documentation of IACUC approval / denial)

Retain records for 3 years after the protocol has ended.

See ± below

UC Records Retention Schedule, 0012B3*

Animal Welfare Act 9 CFR 2.35(f)

NIH Institutional Animal Care and Use Committee Guidebook — p. 174

Information as specified on any live dog or cat acquired, purchased or otherwise held

Retain records for 3 years after the disposition of the animal.

UC Records Retention Schedule, 0012B4*

Animal Welfare Act 9 CFR 2.35(f)

NIH Institutional Animal Care and Use Committee Guidebook — p. 174

Information as specified on any dog or cat sold, euthanized or otherwise disposed of

Retain records for 3 years after the disposition of the animal.

UC Records Retention Schedule, 0012B4*

Animal Welfare Act 9 CFR 2.35(f)

NIH Institutional Animal Care and Use Committee Guidebook — p. 174

Health records associated with an animal needed to convey necessary information to all those involved in the animal’s care, in contemplating utilizing these animals in research, and to share with regulatory agencies responsible for verifying the appropriate provision of veterinary care.

Retain records for 3 years after the protocol has ended.

See ± below

(For NIH-funded research: At least 3 years after completion of the activity. For protocols operating on an NIH grant, all relevant animal records should be maintained as a unit with the associated IACUC protocol and records, and share the same destroy date.)

(Regardless of funding source: For USDA- covered species, throughout an animal’s life and at least one year after the animal’s death or disposition.)

UC Records Retention Schedule, 0012B3*

NIH Institutional Animal Care and Use Committee Guidebook — p. 174

 

USDA-approved CBRA Guidelines for Record Retention For Protocols Operating Under NIH Grants

CBRA Guidelines for Record Retention Requirements Under the AWA

Semi-Annual IACUC reports and recommendations

Retain records for 3 years after the protocol has ended.

See ± below

UC Records Retention Schedule, 0012B3*

Animal Welfare Act 9 CFR 2.35(f)

NIH Institutional Animal Care and Use Committee Guidebook — p. 174

 

Any reports and recommendations as forwarded to the institutional official

Retain records for 3 years after the protocol has ended.

See ± below

UC Records Retention Schedule, 0012B3*

 

Records of accrediting body determinations

Retain records for 3 years after the protocol has ended.

See ± below

UC Records Retention Schedule, 0012B3*

NIH Institutional Animal Care and Use Committee Guidebook — p. 174

 

± For Institutional Animal Care and Use Committee Records, UC will interpret “activity” as protocol which is in accordance with the June 2010 Guidance issued by the California Biomedical Research Association. Thus, the retention period is 3 years from the protocol’s end date or termination, whichever later occurs. If the initial protocol approval is followed by a de novo review and approval, this does not change the retention time frame associated with the initial protocol. Specifically, the records from the initial protocol need to be retained for 3 years following the end-date of the initial protocol, as indicated in the approval, regardless of subsequent de novo review and approval.

Conflict of Interest (COI) Records

Record Retention Period Primary Source

For NSF-funded research: Records of all financial disclosures and of all actions taken to resolve conflicts of interest

Retain records for 3 years after the end of the calendar year in which the expiration/termination of the sponsored agreement occurs.

UC Records Retention Schedule, 0012B1*

NSF Proposal & Award Policies & Procedures Guide, Chapter IX, A. 7.++

For FDA-funded research: of Clinical Investigators' financial records - records of all financial disclosures and all actions taken

Retain records for 3 years after the end of the calendar year in which the expiration/termination of the sponsored agreement occurs.

UC Records Retention Schedule, 0012B1*

21 CFR §54.6(b)

For PHS-funded research (includes all NIH awards): Records of all financial disclosures and all actions taken

Retain records for 3 years after the end of the calendar year in which the expiration/termination of the sponsored agreement occurs.

UC Records Retention Schedule, 0012B1*

42 CFR 50.604(i) ++

For research funded by non- governmental sponsors (as covered by the California Political Reform Act §18755): original reports or statements (including 700-U forms)

Retain records for 7 years after the end of the calendar year created. (Record may be retained on microfilm or other space-saving material after a period of 2 years — Government Code 81009(g))

UC Records Retention Schedule, 0012B2*

California Political Reform Act California Government Code 81009(e)

For research funded by non- governmental organizations (as covered by the California Political Reform Act §18755): copies of reports or statements (including 700-U forms)

Retain records until superseded or 5 years after the end of the fiscal year in which the certification was made, unless a longer period is specified in the legal requirements.

Legal requirement is:

Not less than 4 years

Provided that retention of more than one copy is not required (Record may be retained on microfilm or other space-saving material after a period of 2 years — Government Code 81009(g))

UC Records Retention Schedule, 0006C*

California Political Reform Act

California Government Code 81009(f)

++Requirements related to funding from other agencies may vary. In all instances, individual award agreements should be consulted to determine applicability of specific requirements.

Records relating to agreements, awards and contracts

Record Retention Period Primary Source

Financial records pertinent to an award (Federal, State and Private)

Retain records for 6 years after the expiration/termination of the sponsored activities; resolution of any litigation, claim, or audit; or the period stated in the award document - whichever is longer.

UC Records Retention Schedule, 0005A1*

Fiscal Reports, Federal Research

Retain records for 6 years after the expiration/termination of the sponsored activities; resolution of any litigation, claim, or audit; or the period stated in the award document - whichever is longer.

UC Records Retention Schedule, 0005A1*

Statistical records and supporting documents pertinent to an award (Federal, State and Private) for FDA Regulated Sponsored Projects for Investigational New Drugs Applications

Retain records for 2 years following the date a marketing application is approved for the drug for the indication for which it is being investigated; or, if no application is to be filed or if the application is not approved for such indication, until 2 years after the investigation is discontinued and FDA is notified. If no notification of any of these activities occurs, then retain records for 6 years after the expiration/termination of the sponsored agreement; unless otherwise specified in the award agreement.

UC Records Retention Schedule, 0012A2*

Statistical records and supporting documents pertinent to an award (Federal, State and Private) for FDA Regulated Sponsored Projects for Investigational Devices

Retain records for 2 years after the date on which the investigation is terminated or completed, or the date that the records are no longer required for purposes of supporting a premarket approval application or a notice of completion of a product development protocol - whichever is longer. If no notification of any of these activities occurs, then retain records for 6 years after the expiration/termination of the sponsored agreement, unless otherwise specified in the award agreement.

UC Records Retention Schedule, 0012A3*

Statistical records and supporting documents pertinent to an award (Federal, State and Private) for any projects that include working with radioactive contaminating materials with the Department of Energy and any prior Atomic Energy related entities

Permanent, coordinate the transfer of these records to the University Archives 10 years after termination of the contract or when no longer needed for current operational business.

UC Records Retention Schedule, 0012A4*

Statistical records and supporting documents pertinent to any other awards not listed above (Federal, State and Private) for all other Sponsored Projects

Retain records for 6 years after the expiration/termination of the sponsored agreement, unless otherwise specified in the award agreement.

UC Records Retention Schedule, 0012A5*

Proposals for sponsored contracts, grants, or cooperative agreements that are not accepted/funded/executed

These are considered non-records, and should be retained only until their usefulness has passed.

UC Records Retention Schedule, 0012A1*

FDA Regulated Sponsored Projects Agreements Records for Investigational New Drugs Applications

Retain records for 2 years following the date a marketing application is approved for the drug for the indication for which it is being investigated; or, if no application is to be filed or if the application is not approved for such indication, until 2 years after the investigation is discontinued and FDA is notified. If no notification of any of these activities occurs, then retain records for 6 years after the expiration/termination of the sponsored agreement; unless otherwise specified in the award agreement.

UC Records Retention Schedule, 0012A2*

21 CFR § 312.62

FDA Regulated Sponsored Projects Agreements Records for Investigational Devices

Retain records for 2 years after the date on which the investigation is terminated or completed, or the date that the records are no longer required for purposes of supporting a premarket approval application or a notice of completion of a product development protocol - whichever is longer. If no notification of any of these activities occurs, then retain records for 6 years after the expiration/termination of the sponsored agreement, unless otherwise specified in the award agreement.

UC Records Retention Schedule, 0012A3*

21 CFR § 812.140

Executed Sponsored Projects Agreements Records for any projects that include working with radioactive contaminating materials with the Department of Energy and any prior Atomic Energy related entities

Permanent, coordinate the transfer of these records to the University Archives 10 years after termination of the contract or when no longer needed for current operational business.

UC Records Retention Schedule, 0012A4*

 

All Other Executed Contracts, Grants, and Cooperative Agreements Projects Records (funded proposals)

Retain records for 6 years after the expiration/termination of the sponsored agreement, unless otherwise specified in the award agreement.

UC Records Retention Schedule, 0012A5*

2 CFR §200.333

Proposals for Extramural Support (Rejected or Withdrawn)

These are considered non-records, and should be retained only until their usefulness has passed.

UC Records Retention Schedule, 0012A1*

Contracts and Grants Manual 17-300: “Federal and State of California funding agencies usually require records retention for three years (occasionally four years) measured from "final payment" for contracts and measured from "submission of final expenditures report" for grants. However, it is administratively unreasonably burdensome for Accounting Offices to notify the appropriate Office of Record when final payment or submission of the final expenditures report occurs for every extramural award. Therefore, the retention period for extramural award records is to be measured from expiration/termination of the extramural award (a much easier point in time to assess) forward six years. It is presumed that six years from expiration/termination will more than accommodate the three or four years from final payment or submission of the final expenditures report retention period imposed by extramural sponsors.” [For Federal Guidelines: See 2 CFR 200.500 Audit Requirements/ For State Guidelines: See individual contract terms]

Institutional Review Board (IRB) Records

Record Retention Period Primary Source

Secondary Source

Reviewed research proposals

Retain records for 10 years after the end of the calendar year in which the research is completed, unless otherwise specified in the award agreement.

UC Records Retention Schedule, 0012B5*

UC Contract and Grant Manual 18-272

 

45 CFR 46.115 Protection of Human Subjects**

21 CFR 56.115 IRB Records

Scientific evaluations

Retain records for 10 years after the end of the calendar year in which the research is completed, unless otherwise specified in the award agreement.

UC Records Retention Schedule, 0012B5*

UC Contract and Grant Manual 18-272

 

45 CFR 46.115 Protection of Human Subjects**

21 CFR 56.115 IRB Records

Approved sample consent documents***

Retain records for 10 years after the end of the calendar year in which the research is completed, unless otherwise specified in the award agreement.

UC Records Retention Schedule, 0012B5*

UC Contract and Grant Manual 18-272

 

45 CFR 46.115 Protection of Human Subjects**

21 CFR 56.115 IRB Records

Progress reports

Retain records for 10 years after the end of the calendar year in which the research is completed, unless otherwise specified in the award agreement.

UC Records Retention Schedule, 0012B5*

UC Contract and Grant Manual 18-272

 

45 CFR 46.115 Protection of Human Subjects**

21 CFR 56.115 IRB Records

Reports of unanticipated problems involving risks to subjects or others

Retain records for 10 years after the end of the calendar year in which the research is completed, unless otherwise specified in the award agreement.

UC Records Retention Schedule, 0012B5*

UC Contract and Grant Manual 18-272

 

45 CFR 46.115 Protection of Human Subjects**

21 CFR 56.115 IRB Records

Minutes of IRB meetings (as specified in 45 CFR 46.115(a)(2) and 21 CFR 56.115(2))

Retain records for 10 years after the end of the calendar year in which the research is completed, unless otherwise specified in the award agreement.

UC Records Retention Schedule, 0012B5*

UC Contract and Grant Manual 18-272

 

45 CFR 46.115 Protection of Human Subjects**

21 CFR 56.115 IRB Records

Records of continuing review activities

Retain records for 10 years after the end of the calendar year in which the research is completed, unless otherwise specified in the award agreement.

UC Records Retention Schedule, 0012B5*

UC Contract and Grant Manual 18-272

 

45 CFR 46.115 Protection of Human Subjects**

21 CFR 56.115 IRB Records

 

Copies of all correspondence between IRB and investigators

Retain records for 10 years after the end of the calendar year in which the research is completed, unless otherwise specified in the award agreement.

UC Records Retention Schedule, 0012B5*

UC Contract and Grant Manual 18-272

 

45 CFR 46.115 Protection of Human Subjects**

21 CFR 56.115 IRB Records

 

List of IRB members (as specified in 45 CFR 46.115 and 21 CFR 56.115)

Retain records for 10 years after the end of the calendar year in which the research is completed, unless otherwise specified in the award agreement.

UC Records Retention Schedule, 0012B5*

UC Contract and Grant Manual 18-272

 

45 CFR 46.115 Protection of Human Subjects**

21 CFR 56.115 IRB Records

Written IRB procedures

Retain records for 10 years after the end of the calendar year in which the research is completed, unless otherwise specified in the award agreement.

UC Records Retention Schedule, 0012B5*

UC Contract and Grant Manual 18-272

 

45 CFR 46.115 Protection of Human Subjects**

21 CFR 56.115 IRB Records

Statements of significant new findings provided to subjects

Retain records for 10 years after the end of the calendar year in which the research is completed, unless otherwise specified in the award agreement.

UC Records Retention Schedule, 0012B5*

UC Contract and Grant Manual 18-272

 

45 CFR 46.115 Protection of Human Subjects**

21 CFR 56.115 IRB Records

IRB records relating to VA research, including the investigator’s research records

These records are considered Federal Records and are currently considered unscheduled Federal Records. As unscheduled records, the original format of the record must be retained as the official recordkeeping copy until a proposed record retention and disposition schedule is submitted for review, appraisal, and approval by NARA.

UC Records Retention Schedule, 0012B6*

Template Memorandum of Understanding between Veterans Health Administration (VHA) Central Office and {Name of Local Veterans Affairs (VA) Facility} and {Name of Local VA Nonprofit Corporation}

Guidance on VA Research Records and the Impact of the Federal Records Act, Office of Research and Development, Veterans Health Administration’s, dated March 8, 2013

 

 

** Per UC Policy on the Protection of Human Subjects in Research, “regulations of the Department of Health and Human Services (HHS), set forth in 45 CFR Part 46, are applicable to all research involving human subjects, as defined by these regulations, for which the University is responsible, regardless of the source of funding, or whether the research is funded.” Note: 45 CFR 46 and 21 CFR 56 specify minimum legally-required retention periods; the University has adopted a longer (10-year) retention requirement for all IRB administrative records.   

*** While signed consent forms are not considered an IRB administrative record for the purposes of this matrix, OHRP and FDA regulations require that signed consent form documents must be retained for a minimum of three years past the completion of a study. If a research study accesses protected health information (PHI) and is covered under the Health Insurance Portability Accountability Act (HIPAA) policy, consent forms are to be retained for a minimum of six years after the completion of a study.

8/7/2018 Revision History Note: The 10-year retention period for all IRB administrative records reflects the retention period adopted in the current (revised) UC Records Retention Schedule, and replaces guidance contained in previous versions of this RPAC records retention matrix, which had specified that all categories of IRB administrative records were to be kept for 3 years, except for records relating to: 1) children as research subjects (which were to be kept for 7 years after the child reaches the age of maturity), and 2) research pertaining to in vitro studies or pregnant women (which were to be kept for 25 years). Since legal requirements do not mandate longer retention periods for the two categories, this retention matrix was updated to state that the retention period for ALL categories of IRB administrative records should be 10 years. The separate retention periods for research pertaining to children and in vitro/pregnant women were not based on any statutory or regulatory requirement. The University has now replaced those separate retention periods with the current uniform 10-year retention period (which, it should be noted, exceeds the minimum 3-year retention period specified in 45 CFR 46.115 and 21 CFR 56.115).

 

Health Insurance Portability and Accountability Act (HIPAA) Records

Record Retention Period Primary Source

HIPAA-related documents, as specified (policies and procedures, communications etc.)

6 years

(from the date of creation or the date when it last was in effect, whichever is later)

45 CFR 164.530(j)(2)

Research Misconduct Records

Record Retention Period Primary Source

Research misconduct proceedings records, as specified

Retain records for 7 years after the end of the fiscal year in which the specific final report is issued or all specific activity has ended, whichever is longer.

UC Records Retention Schedule, 0006B*

42 CFR 93.317(b)

Food and Drug Administration (FDA) Records

Record Retention Period Primary Source

Investigational New Drug Applications Records of drug disposition (to be retained by investigator)

2 years

(following the date a marketing application is approved for the drug for the indication for which it is being investigated; or, if no application is to be filed or if the application is not approved for such indication, until 2 years after the investigation is discontinued and FDA is notified.)

21 CFR 312.62(c)

Case histories (to be retained by investigator)

2 years

(following the date a marketing application is approved for the drug for the indication for which it is being investigated; or, if no application is to be filed or if the application is not approved for such indication, until 2 years after the investigation is discontinued and FDA is notified.)

21 CFR 312.62(c)

Records of receipt, shipment or disposition of an investigational new drug (to be retained by sponsor)

2 years

(following the date a marketing application is approved for the drug for the indication for which it is being investigated; or, if no application is to be filed or if the application is not approved for such indication, until 2 years after the investigation is discontinued and FDA is notified.)

21 CFR 312.57(c)

 

Records showing any financial interest (to be retained by sponsor)

2 years

(following the date a marketing application is approved for the drug for the indication for which it is being investigated; or, if no application is to be filed or if the application is not approved for such indication, until 2 years after the investigation is discontinued and FDA is notified.)

21 CFR 312.57(c)

Biohazard users records

Record Retention Period Primary Source

User Authorization

30 years

+EH&S Directors Consensus

Biosafety Cabinet Testing Records

5 years

8 CCR 5154.2

*+Incident Reports

30 years

+EH&S Directors Consensus

Inspections — Routine

5 years

8 CCR 3203

Investigation & Evaluation

5 years

+EH&S Directors Consensus

Records related to possession, use, and transfer of select agents and toxins, as specified

3 years

42 CFR 73.17 
7 CFR 331.17
9 CFR 121.17

*+Emergency Response

+EH&S Directors Consensus

+ Agreement by EH&S Directors June 19, 1996.

*+ We recommend creation of an “exposure records” subcategory within each of the subject headings with these symbols *+. OSHA, 8 CCR 3204, requires that all exposure records (actual measurements) be kept 30 years after termination of employment. Non-exposure records may be kept 5 years.

Building records

Record Retention Period Primary Source

General Correspondence

3 years

*+Investigation & Evaluation

30 years

8 CCR 3204

Exposure Monitoring

30 years

8 CCR 3204

*+We recommend creation of an “exposure records” subcategory within each of the subject headings with these symbols *+. OSHA, 8 CCR 3204, requires that all exposure records (actual measurements) be kept 30 years after termination of employment. Non-exposure records may be kept 5 years.

Carcinogen users records

Record Retention Period Primary Source

User Authorization

30 years

+EH&S Directors Consensus

*+Incident Reports

30 years

+EH&S Directors Consensus

Inspections — Routine

5 years

+EH&S Directors Consensus

Investigation & Evaluation

5 years

+EH&S Directors Consensus

*+Emergency Response

30 years

+EH&S Directors Consensus

+ Agreement by EH&S Directors June 19, 1996.

*+We recommend creation of an “exposure records” subcategory within each of the subject headings with these symbols *+. OSHA, 8 CCR 3204, requires that all exposure records (actual measurements) be kept 30 years after termination of employment. Non-exposure records may be kept 5 years.

Diving safety records

Record Retention Period Primary Source

*+Incident Reports

Permanently

American Academy of Underwater Sciences, Standards for Scientific Diving

UC Davis Diving Safety Manual

Diving Logs

10 years

*+

Certifications

10 years

*+

Inspections — Routine

10 years

*+

*+ We recommend creation of an “exposure records” subcategory within each of the subject headings with these symbols *+. OSHA, 8 CCR 3204, requires that all exposure records (actual measurements) be kept 30 years after termination of employment. Non-exposure records may be kept 5 years.

Hazardous waste management records

Record Retention Period Primary Source

Correspondence

3 years

+EH&S Directors Consensus

Federal & State Reports

Permanently

+EH&S Directors Consensus

Professional Organization Affiliation

3 years

+EH&S Directors Consensus

*+Incident Reports

Permanently

8 CCR 3204

Inspections — Routine

3 years

22 CCR 66265.15

*+Emergency Response

30 years

8 CCR 3204

Permits and Licenses

Permanently

+EH&S Directors Consensus

Pickup and Log Reports

3 years

+EH&S Directors Consensus

Disposal Manifests

30 years

22 CCR 66262.40

Annual Reports

3 years

22 CCR 66262.57

Biennial Reports

3 years

40 CFR 262.40

Waste Determination

3 years

+EH&S Directors Consensus

Waste Minimization

4 years (current plan only)

22 CCR 67100.3

Hazardous Waste Worker Training

22 CCR 66265.16

- Current Employees

-Until closing of facility

- Former Employees

-3 years from termination

+ Agreement by EH&S Directors June 19, 1996.

*+ We recommend creation of an “exposure records” subcategory within each of the subject headings with these symbols *+. OSHA, 8 CCR 3204, requires that all exposure records (actual measurements) be kept 30 years after termination of employment. Non-exposure records may be kept 5 years.

Industrial hygiene records

Record Retention Period Primary Source

*+Incident Reports

3 years

+EH&S Directors Consensus

Inspections — Routine

1 year

8 CCR 3203

*+Investigation & Evaluation

3 years

+EH&S Directors Consensus

Exposure/Medical Records

Exposure records

30 years

8 CCR 3204(d)(i)(B)(1)

Medical records

Employment + 30 years

8 CCR 3204(d)(i)(A)

Analyses using exposure & medical records

30 years

8 CCR 3204(d)(i)(B)(3)

Noise

Employee noise exposure

2 years

8 CCR 5100(d)(1)

Audiometric testing data

Duration of employment

8 CCR 5100(d)(2)

Respirators

*+Respirator Fitting Records (spirometry)

30 years

29 CFR 1910.20 & 8 CCR 3204

Written standard operating procedures

Most recent version

8 CCR 5144(f)(1)

Inspection of emergency respirators documented

Most recent (on respirator)

8 CCR 5144(d)(2)

+ Agreement by EH&S Directors June 19, 1996.

*+We recommend creation of an “exposure records” subcategory within each of the subject headings with these symbols *+. OSHA, 8 CCR 3204, requires that all exposure records (actual measurements) be kept 30 years after termination of employment. Non-exposure records may be kept 5 years.

Joint Commission on Accreditation of Health Care Organizations Records (JCAHO)

Record Retention Period Primary Source

Safety Committee Agendas & Minutes

3 years

Comprehensive Accreditation Manual for Hospitals

Management Plans with Monitors (Safety, Equipment, Lifting, Hazardous Materials, Security, Life Safety & Emergency Preparedness)

1 year

Comprehensive Accreditation Manual for Hospitals

Fire Drills/Disaster Preparedness Drills

1 year

Comprehensive Accreditation Manual for Hospitals

Laboratory safety records

Record Retention Period Primary Source

*+Incident Reports

3 years

+EH&S Directors Consensus

*+Investigation & Evaluation

3 years

+EH&S Directors Consensus

Inspections — Routine

5 years

8 CCR 3203

*+ Complaints

3 years

+EH&S Directors Consensus

Written chemical hygiene plan

Most recent version

8 CCR 5191(e)

+ Agreement by EH&S Directors June 19, 1996.

*+ We recommend creation of an “exposure records” subcategory within each of the subject headings with these symbols *+. OSHA, 8 CCR 3204, requires that all exposure records (actual measurements) be kept 30 years after termination of employment. Non-exposure records may be kept 5 years.

MSDS/Chemical inventory records

Record Retention Period Primary Source

Material Safety Data Sheets or Chemical Inventory by location & date

30 years

8 CCR 3204

Written hazard communication program

Most recent version

8 CCR 5194(e)(1)

Medical waste records

Record Retention Period Primary Source

Medical Waste Plan

Most recent version

California Health and Safety Code Sections 117600-118360

Financial Records

3 years

+EH&S Directors Consensus

Disposal Reports

30 years

California Health and Safety Code Sections 117600-118360

Treatment Records, SOPs, Indicator Tests

3 years

California Health and Safety Code Sections 117600-118360

+ Agreement by EH&S Directors June 19, 1996.

Radiation records

Record Retention Period Primary Source/
Secondary Source

Committees Minutes

30 years

+EH&S Directors Consensus

Radiation Reports

3 years

10 CFR 20.2102

Incident Reports

3 years

10 CFR 20.2102

Correspondence

3 years

10 CFR 20.2102

License Violations

3 years

10 CFR 20.2102

Surveys

3 years

10 CFR 20.2106

Routine Inspections

3 years

10 CFR 20.2106

Audits

3 years

10 CFR 20.2106

Instruments Calibration

3 years

10 CFR 20.2106

X-ray Machine Surveys

30 years

+EH&S Directors Consensus

17 CCR 30305-30314 (3 years for Fluoro and Therapy)

Waste Disposal

30 years

10 CFR 20.2108

RUA (Radiation) Users

30 years

10 CFR 20.2106 & 20.2107

Dosimetry Results

30 years

10 CFR 20.2106 & 20.2107

Bioassay Results

30 years

10 CFR 20.2106 & 20.2107

Dose Determining Surveys

30 years

10 CFR 20.2106 & 20.2107

Isotope Purchases Inventories

3 years

10 CFR 20.2102

Safety records

Record Retention Period Primary Source
Confined Spaces

Written program

Most recent version

8 CCR 5157(c)(4)

Cancelled permits

1 year

8 CCR 5157(e)(6)

Certification of training

Most recent version

8 CCR 5157(g)(4)

Cranes

Proof load test documented

Most recent version

8 CCR 5025

Crane inspection documented

Most recent

8 CCR 5031(c)

Rope inspection documented

Most recent

8 CCR 5031(e)

Electrical

Assured grounding program written

Most recent version

8 CCR 2405.4(d)(1)

Inspection records for tools & cord sets

Most recent version

8 CCR 2405.4 (d)(7)

Elevators

Elevator permits

In unit or on file

8 CCR 3100(c)(1)

Emergencies

Written emergency action plan

Most recent version

8 CCR 3220

Fire prevention plan

Most recent version

8 CCR 3221

Ergonomics

1 year

8 CCR 3203

Injury/Illness Records

OSHA 200 logs

5 years

8 CCR 14301

Employers First Report Forms

5 years

8 CCR 14301

Lockout

Written emergency control program

Most recent version

8 CCR 3314(g)

Annual inspections documented

5 years

8 CCR 3314(h)(3)

Manlifts

Inspections

Until permanently removed from service

8 CCR 3099(k)(3)

Powered Platforms

Written emergency plan

Most recent version

8 CCR 3292(d) & 3294(i)

Written records of inspections & tests

Most recent version

8 CCR 3296(b)(2), (c)(2), (e)(5)

Written work procedures

Most recent version

8 CCR 3298(a)(4)

Written training records

Most recent version

8 CCR 3298(a)(5)

Pressure Vessels

Pressure Vessel Permits

Most recent version (on unit)

8 CCR 461(c) & 780(c)

Welding

Fire prevention & suppression procedures

Most recent version

8 CCR 4848

Toxic exposure records

Record Retention Period Primary Source

Employee Medical Records

30 years after termination

8 CCR 3204

Other records

Record Retention Period Primary Source

Registered Research Facility Permit

Until revoked or returned to USDA

UC Disposition Schedule