Research Data Management Services, SPEC Kit 334 (July 2013)

Fearon, David Jr.; Gunia, Betsy; Lake, Sherry; Pralle, Barbara E.; Sallans, Andrew L.

SPEC Kit 334: Research Data Management Services · 163
UNIVERSITY OF IOWA
Data Management: Research Records
http://researcherhandbook.research.uiowa.edu/6g-data-management-research-records
6g. Data Management: Research Records |Researcher Handbook
http://researcherhandbook.research.uiowa.edu/6g-data-management-research-records[7/22/13 12:29:35 PM]
2. What points should I consider when managing my data?
The integrity of your data is dependent upon having and using a system of data management. When determining how data will be collected,
recorded, and stored, you should consider the following:
Are the research records legible, accurate, and complete? Are they in sequence and dated? Is the researcher identified in the records?
Are there reasonable plans for retention, retrieval and storage of the data?
Have you managed the data so it can be shared if required by funding agencies?
Would an audit of the research records support your claims in your publications?
Could co-investigators confirm the accuracy of the manuscript from the laboratory or research notebooks?
Your research records are the source documents for verification of your research by governmental or University investigations and audits. Clear,
permanent records of research are crucial for clarifying any challenges to your data authenticity, authorship and intellectual property.
3. What am I responsible for?
As the PI, you should observe sound practices for the maintenance, oversight, and storage of data as you have the final responsibility for the
following:
Validity and quality of the data and manuscripts.
Fulfilling all departmental and University research standards, policies, and procedures.
Training and monitoring the performance of your students, research fellows, residents, and staff to assure that each has the knowledge,
information, and skills necessary to meet these standards.
At Iowa, researchers are encouraged to retain research data and records for a period of at least five years following publication to provide
verification of the validity of the reported results, according to 27.6 c of the University of Iowa Operations Manual.
In addition to institutional responsibilities, a growing number of U.S. funding agencies such as the National Science Foundation, the National
Institutes of Health, and National Endowment for the Humanities-Office of Digital Humanities require researchers to supply detailed, cost-
effective plans for managing research data, called Data Management Plans. These plans typically detail:
What data will be kept and for how long
How data will be formatted and described for reuse and interpretation
Policies around data access, use, and attribution/copyright, and preservation
4. Who can help?
UI researchers can seek assistance in developing data management plans from various sources. The DMP Tool helps researchers create and
manage data management plans. The University of Iowa Libraries subject liaisons and its Digital Research &Publishing unit also provide advice
on developing data management plans and long-term archiving and preservation for small sets through Iowa Research Online.
5. What are the relevant policies and procedures?
University of Iowa Policy, Procedures, and Resources:
The University of Iowa Operations Manual 17.3 Records Management Program
The University of Iowa Guidebook on Records Management
Guide for Human Subjects Research at the University of Iowa (guidance on records management can be found in Section F. Record
Keeping)
UI Information Technology Services – Research Services
The Iowa Social Science Research Center offers data access and management services to UI social science researchers.
Partial list of Federal Policies, Procedures, and Resources:

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SPEC Kit 334: Research Data Management Services · 163
UNIVERSITY OF IOWA
Data Management: Research Records
http://researcherhandbook.research.uiowa.edu/6g-data-management-research-records
6g. Data Management: Research Records |Researcher Handbook
http://researcherhandbook.research.uiowa.edu/6g-data-management-research-records[7/22/13 12:29:35 PM]
2. What points should I consider when managing my data?
The integrity of your data is dependent upon having and using a system of data management. When determining how data will be collected,
recorded, and stored, you should consider the following:
Are the research records legible, accurate, and complete? Are they in sequence and dated? Is the researcher identified in the records?
Are there reasonable plans for retention, retrieval and storage of the data?
Have you managed the data so it can be shared if required by funding agencies?
Would an audit of the research records support your claims in your publications?
Could co-investigators confirm the accuracy of the manuscript from the laboratory or research notebooks?
Your research records are the source documents for verification of your research by governmental or University investigations and audits. Clear,
permanent records of research are crucial for clarifying any challenges to your data authenticity, authorship and intellectual property.
3. What am I responsible for?
As the PI, you should observe sound practices for the maintenance, oversight, and storage of data as you have the final responsibility for the
following:
Validity and quality of the data and manuscripts.
Fulfilling all departmental and University research standards, policies, and procedures.
Training and monitoring the performance of your students, research fellows, residents, and staff to assure that each has the knowledge,
information, and skills necessary to meet these standards.
At Iowa, researchers are encouraged to retain research data and records for a period of at least five years following publication to provide
verification of the validity of the reported results, according to 27.6 c of the University of Iowa Operations Manual.
In addition to institutional responsibilities, a growing number of U.S. funding agencies such as the National Science Foundation, the National
Institutes of Health, and National Endowment for the Humanities-Office of Digital Humanities require researchers to supply detailed, cost-
effective plans for managing research data, called Data Management Plans. These plans typically detail:
What data will be kept and for how long
How data will be formatted and described for reuse and interpretation
Policies around data access, use, and attribution/copyright, and preservation
4. Who can help?
UI researchers can seek assistance in developing data management plans from various sources. The DMP Tool helps researchers create and
manage data management plans. The University of Iowa Libraries subject liaisons and its Digital Research &Publishing unit also provide advice
on developing data management plans and long-term archiving and preservation for small sets through Iowa Research Online.
5. What are the relevant policies and procedures?
University of Iowa Policy, Procedures, and Resources:
The University of Iowa Operations Manual 17.3 Records Management Program
The University of Iowa Guidebook on Records Management
Guide for Human Subjects Research at the University of Iowa (guidance on records management can be found in Section F. Record
Keeping)
UI Information Technology Services – Research Services
The Iowa Social Science Research Center offers data access and management services to UI social science researchers.
Partial list of Federal Policies, Procedures, and Resources:

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162 · Representative Documents: Research Data Policies
UNIVERSITY OF IOWA
Data Management: Research Records
http://researcherhandbook.research.uiowa.edu/6g-data-management-research-records
6g. Data Management: Research Records |Researcher Handbook
http://researcherhandbook.research.uiowa.edu/6g-data-management-research-records[7/22/13 12:29:35 PM]
Researcher Handbook
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6g. Data Management: Research Records
1. What are Research Records?
2. What points should I consider when managing my data?
3. What am I responsible for?
4. Who can help?
5. What are the relevant policies and procedures?
1. What are Research Records?
Typically, research records refer to any type of records or materials that document your research effort. These can be electronic or hard copy as
in various forms of logs, notebooks, correspondence, videos, computer databases, audio or digital records, or even the actual products of
experiments.
In addition to maintaining accurate and complete research records for data analysis, all records relating to the conduct of the project are important
including those that document the management of the research funds and the intellectual property.
Although not an inclusive list, research records typically include:
Laboratory research: lab notes, notebooks, computer databases, microscopic slides, gels, images, photos, videos, laboratory equipment
printouts, and records of statistical and other data analysis.
Animal research: protocol binders with IACUC- approved protocols with all approved modifications, animal health records, surgical or
treatment records, breeding records, drug records, research data files.
Clinical trials: regulatory binders which include CHR approvals, protocols, informed consent documents, monitoring reports, adverse event
reports, and other documents pertaining to sponsors, drugs and devices. Other clinical records can include records for research data, data
analysis, audio and video tapes of subjects, images of subjects and any other type of record that can identify persons that data were
collected from.
Funding: records and correspondence relating to the grant financial records, purchasing records, scope of work, budgets, and service
records.
All correspondence with granting agencies, institutions, and collaborators.
The University of Iowa Operations Manual includes description of UI’s Records Management Program which provides definitions for different
types of UI documents and records.
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164 · Representative Documents: Research Data Policies
JOHNS HOPKINS UNIVERSITY
Policy on Access and Retention of Research Data and Materials
http://jhuresearch.jhu.edu/Data_Management_Policy.pdf
JOHNS HOPKINS UNIVERSITY
POLICY ON ACCESS AND RETENTION
OF RESEARCH DATA AND MATERIALS
January 2, 2008
INTRODUCTION
The following policy paper contains parameters for Research Data and Materials
Management (hereafter to be referred to as Research Data). In recent years, the amount
of scrutiny and inquiry into Research Data has increased from a variety of sources, which
has prompted efforts at Johns Hopkins and elsewhere to evaluate and update their
Research Data Management practices.
The purpose of this policy is to protect researchers and the university. These measures
are designed to address compliance requirements for researchers while diffusing some of
the burden associated with Research Data Management. At Johns Hopkins, the
department, research administration, divisional and university administration and the
researcher are partners in managing and protecting the Research Data produced at the
university.
This policy provides an umbrella approach to Research Data Management across the
university. Divisional and other policies may also apply but are not to conflict with the
overarching policy. This policy has been carefully designed to serve the best interests of
our researchers and the university in management of Research Data. This policy is
designed to complement, not supersede, other policies of the Johns Hopkins University
including (but not limited to) protection of human subjects, HIPAA, intellectual property,
financial management, etc. This policy does not apply to academic issues.
1. DEFINITIONS
RESEARCH DATA AND MATERIALS: Research Data is defined as information
recorded in physical form, regardless of form or the media on which it may be recorded.
For the purposes of this policy, Research Data is further defined as including any records
that would be used for the reconstruction and evaluation of reported or otherwise
published results. Research Data also includes materials such as unmodified biological
specimens, environmental samples, and equipment. Examples of Research Data and
Materials include laboratory notebooks, notes of any type, photographs, films, digital
images, original biological and environmental samples, protocols, numbers, graphs,
charts, numerical raw experimental results, instrumental outputs from which Research
Data can be derived and other deliverables under sponsored agreements.
1

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Page 9Survey Results click to expand contents

Page 107Representative Documents click to expand contents

Page 109RDM Web Pages click to expand contents

Page 113IRs and Data Archives click to expand contents

Page 123Data Management Plan Tools click to expand contents

Page 135Job Descriptions click to expand contents

Page 155Organization Charts click to expand contents

Page 161Research Data Policies click to expand contents

Page 173Data Retention Policies click to expand contents

Page 187Data Needs Assessment click to expand contents

Page 205RDM Staff Resources click to expand contents

Page 209Outreach Materials click to expand contents

Page 213Selected Resources click to expand contents

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