SPEC Kit 334: Research Data Management Services · 181
NORTHWESTERN UNIVERSITY
Research Data: Ownership, Retention and Access
http://www.research.northwestern.edu/policies/documents/research_data.pdf
Page 4
litigation/dispute resolution, claims, financial management review or audit findings
involving the records have been resolved and final action taken
3. if any charges regarding the research arise, such as allegations of research misconduct,
research data must be retained consistent with the Northwestern University Policy on
Retention of University Records, or as otherwise instructed by Northwestern’s Office for
Research Integrity or Office of General Counsel
4. if a student is involved, research data must be retained at least until the student’s degree
is awarded (or the student otherwise leaves Northwestern University) and any resulting
papers are published
5. when research is funded by an award to or contract with Northwestern that includes
specific provision(s) regarding ownership, retention of and access to technical data, the
provision(s) of that agreement will supersede this Policy
6. research data from human subject research studies must be maintained consistent with
the Human Subjects Protection Program Policy Manual and the Policy on Retention of
University Records
7. if other regulations, federal oversight, sponsor policies or guidelines, journal publication
guidelines or other University policies require longer retention, all applicable sources
must be reviewed and the research data must be kept for the longest period of time
applicable.
Beyond the period of retention specified here, the destruction of research data is at the
discretion of the PI. Destruction of research data must follow applicable federal regulations,
Northwestern policies on record retention and data disposal, sponsor requirements and other
applicable guidelines.
Research data will normally be retained in the unit where they are produced. Please refer to the
Policy on Retention of University Records for additional guidance on responsibilities related to
the retention of research data and records.
3.0 Transfer in the Event a Researcher Leaves Northwestern
When individuals other than the PI involved in research projects at Northwestern leave the
University, they may take copies of research data for projects on which they have worked,
subject to relevant confidentiality restrictions. Original data, however, must be retained at
Northwestern by the PI.
If the PI leaves Northwestern, and a project is to be moved to another institution, ownership of
the original data may be transferred from Northwestern to the PI’s new institution upon request
from the PI subject to: (a) the prior written approval of the Vice President for Research (b)
written agreement from the PI's new institution that guarantees (1) its acceptance of ongoing
custodial responsibilities for the data and (2) Northwestern having access to the original data,
should such access become necessary for any reason and (c) relevant confidentiality
restrictions, where appropriate.
Forms /Instructions
N/A
NORTHWESTERN UNIVERSITY
Research Data: Ownership, Retention and Access
http://www.research.northwestern.edu/policies/documents/research_data.pdf
Page 4
litigation/dispute resolution, claims, financial management review or audit findings
involving the records have been resolved and final action taken
3. if any charges regarding the research arise, such as allegations of research misconduct,
research data must be retained consistent with the Northwestern University Policy on
Retention of University Records, or as otherwise instructed by Northwestern’s Office for
Research Integrity or Office of General Counsel
4. if a student is involved, research data must be retained at least until the student’s degree
is awarded (or the student otherwise leaves Northwestern University) and any resulting
papers are published
5. when research is funded by an award to or contract with Northwestern that includes
specific provision(s) regarding ownership, retention of and access to technical data, the
provision(s) of that agreement will supersede this Policy
6. research data from human subject research studies must be maintained consistent with
the Human Subjects Protection Program Policy Manual and the Policy on Retention of
University Records
7. if other regulations, federal oversight, sponsor policies or guidelines, journal publication
guidelines or other University policies require longer retention, all applicable sources
must be reviewed and the research data must be kept for the longest period of time
applicable.
Beyond the period of retention specified here, the destruction of research data is at the
discretion of the PI. Destruction of research data must follow applicable federal regulations,
Northwestern policies on record retention and data disposal, sponsor requirements and other
applicable guidelines.
Research data will normally be retained in the unit where they are produced. Please refer to the
Policy on Retention of University Records for additional guidance on responsibilities related to
the retention of research data and records.
3.0 Transfer in the Event a Researcher Leaves Northwestern
When individuals other than the PI involved in research projects at Northwestern leave the
University, they may take copies of research data for projects on which they have worked,
subject to relevant confidentiality restrictions. Original data, however, must be retained at
Northwestern by the PI.
If the PI leaves Northwestern, and a project is to be moved to another institution, ownership of
the original data may be transferred from Northwestern to the PI’s new institution upon request
from the PI subject to: (a) the prior written approval of the Vice President for Research (b)
written agreement from the PI's new institution that guarantees (1) its acceptance of ongoing
custodial responsibilities for the data and (2) Northwestern having access to the original data,
should such access become necessary for any reason and (c) relevant confidentiality
restrictions, where appropriate.
Forms /Instructions
N/A
