Topics Map > Research Policy and Compliance

Research Checklist

On the UW-Madison campus, five different school and college animal care and use committees (IACUCs) review and approve protocols. The animal housing location(s) determines which IACUC will conduct the review; all animal care and use applications (protocols) are submitted to the Research Animal Resource Center (RARC). Principal Investigators and their staff can find many resources to assist in the preparation and submission of animal protocols, including veterinary pre-review services. Please visit for detailed information. In addition, the department of Environment, Health and Safety's Occupational Health Program promotes human health in animal research and requires enrollment in the Occupational Health Program (through completion of the Animal Handler Risk Questionnaire, see **Step two, below) and Training (see *Step one, below).

Animal User Training: There are both required and voluntary training opportunities for animal users.

Required Training: Work in Animal Research requires a three step certification process (

  1. Complete the New Animal User Certification Training ( and click on "Training" in the left-hand menu, then "Animal User Orientation"). Additional requirements will be required based on the information in the animal protocol you are listed on. You will be required to complete a hands-on species-specific training through RARC and if performing animal surgeries complete a surgery training course. You may also be required to attend a tour of the animal barrier by the animal operations unit.

  2. Complete the Occupational Health and Safety Training for Personnel with Animal Contact (Occupational Health101) at Learn@UW under self-registration section at

  3. Complete the Animal Handler Risk Questionnaire

Re-certification of current animal users is required every five years. Additional requirements may apply based on the Animal Care and Use Committee's review of the animal protocol.

Voluntary Training: RARC offers several training modules in techniques, record-keeping, and other research-related areas, both in-person and online. Visit and click on "Training" to view all offerings.

Waste Disposal: UW-Madison Department of Environment, Health and Safety (EHS) coordinates animal tissue disposal. For information and to schedule pick-ups, visit:

A Chemical Hygiene Plan is required for the use of chemicals in research laboratories. Training (Chemical Safety Training) is highly recommended. In addition several resources exist to assist in chemical management and hazardous waste.

Many biomedical studies involving human subjects are required to be registered on at the start of the study. Both the Food and Drug Administration (FDA) and International Committee of Medical Journal Editors (ICMJE) require the registration of studies, but have different requirements. Importantly, the ICMJE requires the registration of a broad range of studies, including many of those not traditionally thought of as clinical trials.

More information on the registration requirements can be found on the Support for Clinical Trials Registration & Results Reporting website.

UW-Madison has legal and ethical responsibilities to review and, where appropriate, to reduce, eliminate, or manage potential financial conflicts of interest in research involving human subjects or Federal funds. There is a Conflict of Interest Committee comprised of faculty members from across campus which reviews Outside Activity Reports for potential financial conflicts of interest. The UW-Madison encourages faculty, staff, and students to engage in outside activities and to share their expertise. It acknowledges that potential financial conflicts of interest may result and are common, often unavoidable, and not necessarily problematic.

All faculty and academic staff are required to report annually (no later than April 30) any outside activity they are engaged in using the online Outside Activity Report form. All new faculty members should complete an Outside Activity Report (OAR) shortly after starting employment at the UW-Madison. This will help expedite any protocol submissions or grant proposals made before the next annual reporting period.

For more information on Conflict of Interest or to file an Outside Activity Report:

Conflict of Interest Training:

United States Export Control regulations, including the Export Administration Regulations (EAR) and the International Traffic in Arms Regulations (ITAR), can apply to University research activities. The ITAR primarily regulates items and technology specifically designed or modified for military purposes, while the EAR regulates most other items and technology. With a few exceptions (defense services and encryption), neither the EAR nor ITAR apply to information in the public domain. Activities that may be affected by export controls include research with proprietary industry technology, international shipments of advanced scientific equipment and biological materials, participation in international research collaborations, space-related research, international travel, and use of computer software with encryption features.

The Export Control Office assists researchers in determining whether their research may be affected by the export control regulations, if export licenses are required, or whether other controls are needed to ensure that research activities are completed in a compliant manner.

For more information, please visit:

Online training (Learn@UW): Course # 1868490

All UW-Madison faculty, students, and staff who are involved in research involving human participants are required to comply with federal, state and university policies for the protection of human research participants. Relevant policies can be found in the Human Research Protection Program (HRPP) Policy Index.

If, as a new faculty member, you will be initiating new research or transferring research from your previous institution, you should contact the relevant UW-Madison IRB for more information:

CITI Human Subjects Protection Training: All UW-Madison personnel listed on a human subjects protocol must complete human subjects protection training before the protocol can be submitted to the IRB. Information on how to complete CITI human subjects training can be found in these instructions.

Prior to leaving the University, a researcher must arrange for completion or complete items on the Lab Close Out Procedures Checklist. If the researcher is not available, departmental staff must ensure completion.

Laboratory safety encompasses many departments. The Department of Environment, Health and Safety (EHS) is the best source for information and training.

Depending on the scope of your research, laboratory safety resources and requirements vary. The Department of Environment, Health and Safety has several units providing consultation services, and compliance resources. See below for an outline of EHS compliance units.

The Occupational Health office promotes health and wellness for all UW-Madison personnel and works to reduce injuries and illnesses in the workplace.

  • Occupational Health in Animal Research: Use of animals in research requires coordination with Occupational Health to promote safety of personnel. This typically includes training, consultation, and medical services. Training requirements were described above in the "Animal Research" section. Additional services information at:

A Biosafety protocol is required for most biological agents, recombinant DNA, and chemicals that elicit a biological response. Criteria available at:

The UW-Madison Office of Industrial Partnerships works with campus to aid in the development and proliferation of industry relationships on campus through the negotiation and execution of sponsored research agreements and fee for service contracts. Additionally, the Office of Industrial Partnerships works closely with campus to complete the negotiation and execution of all confidentiality agreements, data use agreements, and material transfer agreements for projects occurring on campus. All negotiations are conducted to ensure continued compliance with the University's mission, policies, and legal obligations. For more information, please visit their website.

The Office of Research Policy coordinates and facilitates research policy, compliance, and integrity activities in the Office of the Vice Chancellor for Research and Graduate Education for all  University of Wisconsin Madison researchers.

Research Policy and Compliance:

Contact Information:

Application, approval and training are required in order to become an Authorized User of radioactive material in research. In addition, Radiation Workers require training and assignment to Authorized User.

Research and Sponsored Programs promotes and facilitates the research, education, and outreach missions of the University of Wisconsin-Madison by supporting and administering extramurally sponsored programs.

The UW-Madison strives to foster the highest scholarly and ethical standards among its students, faculty, and staff. Though extremely rare, we realize there are times when misconduct may occur in our midst and that it is our responsibility as an academic community to take steps to rectify it.

Faculty: Faculty policy II-314: l Misconduct in Scholarly Research: Procedures for Dealing with Misconduct in Scholarly Research lays out a three phase process of review. 

Graduate Students: If you are concerned about misconduct, please talk to an advisor or mentor, department chair, the Associate Dean for Research Policy or the Associate Dean for Research.

Reporting Research Misconduct: Policy for Graduate Students and Postdoctoral Research Associates

Responsible conduct of research (RCR) training is required for any undergraduate student, graduate student or postdoctoral researcher supported by NSF research funding. This applies to all NSF awards granted for proposals submitted on or after January 4, 2010.

If you are working with a student who does not have a NetID, please contact Heather Mc Fadden for assistance.

Email: or 608-890-2468.

RCR online training is found in Learn@UW: Course # 2480630

The Stem Cell Research Oversight (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 (hESCs) or their derivatives; or

  • the introduction of human pluripotent stem cells (hPSCs), 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.

To create an initial review, continuing review or change of protocol, please click on Protocol Submission. If you cannot log-in, please contact Heather Mc Fadden at

Stem Cell Ethics Training (CITI Training): Additionally, all personnel engaged in stem cell research will be required to take online training on stem cell ethics and policy. 

Keywords:Research Checklist   Doc ID:33364
Owner:Heather M.Group:VCRGE and Graduate School
Created:2013-09-13 14:11 CDTUpdated:2015-02-13 14:35 CDT
Sites:VCRGE and Graduate School
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