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 · 173
Data Retention Policies

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SPEC Kit 334: Research Data Management Services · 173
Data Retention Policies

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174 · Representative Documents: Data Retention Policies
DUKE UNIVERSITY
Policy on Research Records: Sharing, Retention and Ownership
http://www.provost.duke.edu/pdfs/fhb/FHB_App_P.pdf
P-30 Faculty Handbook, 2013
Policy on Research Records: Sharing, Retention and Ownership
As Approved by the Academic Council May 5, 1994
Revised by Research Policy Committee January 2007
The preparation, sharing and retention of appropriate records are essential components of any research endeavor
at the University. The University, its faculty and its trainees have a common interest and a shared responsibility to
assure that research is appropriately recorded, shared and retained. Original records may be required to protect the
University’s intellectual property rights, to answer ongoing questions regarding management of a research program,
to address possible questions that may arise regarding the propriety of research conduct and to comply with the data
sharing requirements of many sponsors. Most importantly, it is essential that original research records be mutually
available to all the collaborators on a research project.
Definition of Research Records
Research records include, by way of example but not limitation, material contained in research notes, laboratory
notebooks and in other media such as computer disks and instrument printouts. Significant research materials or
products generated by any research are also part of the record and should be retained and available.
Sharing of Research Records
Research records must always be available to collaborators (co-investigators, supervisors and their trainees). In
collaborative projects, all investigators should know the status of all contributing research records and have access to
them consistent with confidentiality restrictions. Investigators also should be aware if their research records are
subject to specific data sharing requirements of a sponsor.
Retention of Research Records
Faculty, or the responsible investigators, have the obligation to ensure that, for all aspects of their research
program, sufficient records are kept to document the experimental methods and accuracy of data collection as well
as the methods and accuracy of data interpretation. This policy does not create an obligation to retain the research
records of an unfunded project unless it results in publication or involves the use of animals or human subjects.
Research records should be archived for a minimum of five years after final reporting or publication of a project (or
longer if required by an external sponsor, law, rule or regulation). The archived records should be the originals. In
addition, the records should be kept for as long as may be required to protect any patents resulting from the work. If
any questions regarding the research are raised during the required retention period, the records should be kept until
such questions are fully resolved. In the event an investigator leaves the University for any reason, the original
research records must be retained at the University and the investigator’s department and collaborators notified as to
their location.
Ownership of Research Records
The primary owner of research records is the University. The University has the right of access to the
supporting records for all research carried out through the University with the understanding that information or data
that would violate the confidentiality of sources or subjects involved in the research should not be disclosed. In
addition, extramural sponsors providing support for research at Duke University may have the right to review any
data and records resulting from that extramural support.

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172 · Representative Documents: Research Data Policies
UNIVERSITY OF TENNESSEE
Research Data Policy
http://research.utk.edu/forms_docs/policy_research-data.pdf
4
and any sponsors have access to the data when necessary and upon reasonable
notice and (3) protection of the rights of human subjects.
8. Resolving Disputes Concerning Research Data Ownership or Policy
Questions of Research Data ownership or other matters pertaining to the Research
Data policy will be resolved by the Chief Research Officer in conformance with
applicable University policies.
9. University Access
When necessary to assure access to Research Data, the University has the option to
take custody of the data in a manner specified by the Chief Research Officer.

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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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