DATA OWNERSHIP AND RETENTION

TheUniversityof NorthAlabamahas bothrights and responsibilities forthe retentionof researchorotherdataacquiredordevelopedas a resultofagrant, contract,orother sponsoredagreement. Accurateandappropriateresearchandprogrammaticrecords are anessentialcomponentofanyresearchorsponsoredproject. TheUniversityandthe Principal Investigator/ProjectDirector(PI)have responsibilities and rights concerning access to,useof,andmaintenanceoforiginaldataincludingscientificdata. Exceptwhere precludedbythespecificterms ofsponsorshiporotheragreements,tangibleresearchor sponsoredprojectproperty,includingalldataandotherrecords conductedunderthe auspices ofUNA,belongtoUNA. Furthermore, dataproduced fromfederally sponsored researchareincreasinglysubjectto requirements notonlyfromtheOMBCircularA-110 Section36(d)IntangiblePropertyandSection53RetentionandAccess Requirements for Records butalso from45CFR, as amendedby56FR28003UseofHumanSubjects in Research.

II.APPLICABILITY

This policyshallapplytoallUNAfaculty,staff,students andanyotherpersons atUNA involvedinthedesign,conductorreportingofresearchorsponsoredprojects atorunder theauspices ofUNA,anditshallapplytoallresearchorsponsoredprojects onwhichthose individuals work, regardless ofthesourceoffunding fortheproject.UNAmustretain researchandsponsoredprojectdatain sufficientdetailand foranadequateperiodoftime toenableappropriateresponses toquestions aboutaccuracy,authenticity,primacyand compliancewithlaws and regulations governingtheconductofthe researchorsponsored project. Itis theresponsibilityofthePItodeterminewhatneeds toberetainedunderthis policy. Whereresearchorasponsoredprojectis fundedbyacontractwithUNAthat includes specificprovision(s)regardingownership,retentionofandaccess totechnical data,theprovision(s)ofthatagreementwillsupersedethis policy.

III.DEFINITION

Researchandsponsoredprojectdatainclude laboratorynotebooks andfieldnotebooks as wellas anyotherrecords thatarenecessary forthereconstructionandevaluationof reported results ofresearchorasponsoredprojectandtheevents andprocesses leadingto those results,regardless oftheformorthe mediaonwhichtheymaybe recorded. Furthermore,the termincludes software(computerprograms,computerdatabases and documentationthereof),andrecords ofscientificortechnicalnature.Inpracticescientific dataincludebothintangible(statistics,findings,conclusions,etc.)andtangibledata.

Tangibledataincludebutarenotlimitedtonotebooks,printouts, computerdisks, photographs,slides,negatives, films,scans,images,videotapes,autoradiograms, electrophysiological recordings,gels, blots,spectra,samples,specimens,IRBconsent forms, research reports, analyticalresults,analysis, datacontainedintheses and dissertations andallothermaterials thatarerelevanttotheresearchorsponsoredproject.

IV.OWNERSHIPANDACCESS

A. TheUniversity's ownershipandstewardshipofthescientific recordforresearch andsponsoredprojects conductedatUNA, undertheauspices oftheUNA, orwith UNA resources is basedonboth regulation(OMBCircularA-110, Sec.53)and soundmanagementprinciples.UNA's responsibilities inthis regardinclude, butare notlimitedto:

1.complyingwiththeterms ofresearchorsponsoredprojectagreements;

2.ensuringtheappropriateuseofanimals, humansubjects, hazardous, biological, chemical materials, andthelike;

3.protectingtherights ofstudents,postdoctoralscholars,andstaff, including,butnotlimitedto, theirrights tohaveaccess todata results fromresearchorsponsoredprojects inwhichtheyparticipated;

4.securingintellectualpropertyrights;and,

5.facilitatingtheinvestigationofcharges, suchas scientificmisconduct orconflictofinterest.

B. BoththePIandUNAhaveresponsibilities and rights concerningaccess to,useof, andmaintenanceoforiginal researchorsponsoredprojectdata.Researchor sponsoredprojectdatabelongs toUNA.UNAcanbeheldaccountable forthe integrityofthedataevenafterthePI(s)has lefttheuniversity. Althoughthe primarydatashouldremainwithUNAwhereitoriginated,consistent withtheprecepts ofacademicfreedomandintellectualintegrity,thePImaybe allowedtoretaincopies oftheresearchrecords andmaterials createdbyhim/her. AlsoseeSectionVIbelow.

C. Wherenecessarytoassureneededandappropriateaccess,UNAhas theoptionto takecustodyofthedatainamannerspecifiedbytheVicePresident forAcademic Affairs. Whenacollaborativeteamisdissolved,UNAwillalloweachmemberoftheteam tohave reasonableaccess tothedataandmaterialswithwhichhe/shehadbeen working,unless someotheragreementwas establishedattheoutset. Theunique materials preparedinthecourseoftheresearchorsponsoredprojectshouldbe available/accessibleundernegotiatedterms ofatransferagreement.

V.COLLECTIONANDRETENTION

A. The retentionofaccuratelyrecordedandretrievable researchorsponsoredproject data is ofutmostimportanceforthe progress ofscientific integrity. ThePIis responsible fortherecording, collection, management,and retentionofresearchor sponsoredprojectdata. These records shouldincludesufficientdetailtopermit examination forthepurposeofreplicatingtheresearchorsponsoredproject, respondingtoquestions thatmayresultfromunintentionalerroror misinterpretation,establishingauthenticityoftherecords,andconfirmingthe validityoftheconclusions.

B. PIs shouldadoptanorderly systemofdataorganizationandshouldcommunicate thechosensystemtoallmembers ofaresearchorsponsoredprojectgroupandto theappropriateadministrativepersonnel,whereapplicable.Particularly forlong- termresearchorsponsoredprojects,PIs shouldestablishandmaintainprocedures fortheprotectionofessential records intheeventofanaturaldisasterorother emergency.

C. Theexperimentalnotebookandfieldnotebookarethemostcommonmediumsfor documentationofexperiments andfieldworkandtheirpropermaintenanceis of utmostimportance. Inadditiontothestudytitle, theinvestigator’s name(s), and

thestudyhypothesis,theexperimentalnotebookshouldincludedetailed

informationonthematerials used,sources ofthematerials,experimental methodology,statisticaltreatments, resultsandconclusions soas toenable replicationoftheexperiments byothers atanytime. Intheeventthatitis not possible,explicitinstructions as towherethedatacanbe found(e.g. locationof disks,samples,specimens,etc.)shouldbeincludedinthenotebook.

D. Forstudies involving severalinvestigators/collaborators,possiblyinmorethan onesetting, itis recommendedthatthePIofrecordmaintainamasterlogthat catalogues theexperiments ofthewholestudyandprovides thelocationofother experimentaland/orfieldnotebooks, data,andrelevantmaterials storedinother locations.

E. Therearestateandfederalregulations prescribingthe lengthoftimeresearchers mustmaintaintheoriginaldata.Thetimes requiredtoretaindata varyfromthree tosevenyears dependingonthegovernmentalorganization.Unless alonger periodis specifiedbytheStateofAlabamaorthesponsor,researchdatashould bekept foraminimumofthreeyears aftertheprojectends or, iffunded research, threeyears after allofthefinalprojectclose-outdocuments havebeensenttothe government. Inaddition,anyofthe followingcircumstances mayjustifylonger periods ofretention:

1.datamustbekeptforas longas maybenecessarytoprotectany intellectualpropertyresultingfromthework;

2.ifanycharges regardingtheresearchorsponsoredprojectarise,suchas allegations ofscientific, scholarlyorfinancialmisconductorconflictof interest,data mustberetaineduntilsuchcharges are fullyresolved; and/or,

3.ifastudentisinvolved, datamustberetainedatleastuntilthedegreeis awardedoritis clearthatthestudenthas abandonedthework.

F. Beyondtheperiodofretention specifiedherein, thedestructionofthe researchor sponsoredproject recordis atthediscretionofthePIandhisorherdepartment. Records willnormallyberetainedintheunitwheretheyareproduced. Researchandsponsoredproject records mustbe retainedontheUNAcampus,orin facilities undertheauspices ofUNA,unless specificpermissiontodootherwiseis grantedinwritingbytheVicePresident for Academic Affairsorhis/herdesignee.

TRANSFER OF SPONSORED PROJECT AND DATA INTHEEVENTAPI LEAVESUNA

  1. As grants and other external funds are awarded to the University, all externally funded projects will remain with the University unless otherwise negotiated.
  1. IntheeventthatthePI orotherkeyresearchers or projectmanagers leaveUNA, theymaynegotiateanAgreement fortheDispositionofResearchorSponsored ProjectData forprojects onwhichtheyhaveworked.Originaldata,however, mustbe retainedatUNA fortheperiodspecifiedinSectionV.E.above.

1.AwrittenAgreementonDispositionofResearchorSponsoredProject DatamaybenegotiatedbythePIorotherkey researcherorproject managerandtheDepartment Chair or Department Manager andapprovedin writingbytheDeanandtheVicePresidentforAcademic Affairsorhis/her designeetoallowtransferofresearchrecords.WithoutanAgreementon DispositionofResearchorSponsoredProjectDatainplace, noPI, other keyresearcher,orprojectmanagermaytakedatawithhim/herwhen he/sheleaves UNA.

Agreement(s)onDispositionofResearchorSponsoredProjectDatawill bekeptinthe Office of Sponsored Programs.

2.IfaPIleaves UNAwithafunded researchprojectandtheprojectis tobe movedtoanotherinstitution, ownershipofthedatamaybetransferred withtheapprovalofthe VicePresidentforAcademic Affairsorhis/her designee andwithwrittenagreementfromthePI's newinstitutionthatguarantees:

a)thenewinstitution’s acceptanceofcustodial responsibilities forthe data;and,

b)UNA’s access tothedata, shouldthatbecomenecessary.

3.AllAgreementsonDispositionofResearchorSponsoredProjectData mustincludeaprovisionthatUNAhas therightofaccesstoallresearch recordsandmaterialsforareasonablecauseafterreasonablepriornotice regardlessofthelocationofthePI,otherkeyresearcher,orproject managerfortheperiodoftimespecifiedinSectionV.E.above.