University At Buffalo Policy Custody, Maintenance And Retention Of Research Data

Research records are an essential component of all research projects. At UB, as at other research universities, both the research director and the University have rights and responsibilities concerning custody, maintenance, retention, use of and access to original research data. Generally, original research data created while individuals are pursuing research studies as faculty, staff or students at UB and data created by visiting scientists utilizing the facilities of the University are to be retained by the University for a period of at least three years after completion of the research project for which the data were collected.


DEFINITION

Research data include laboratory notebooks, as well as any other records that are commonly accepted in the research community as necessary for the reconstruction, evaluation and validation of reported results of research and the events and processes leading to those results, regardless of the form or the media on which they may be recorded.


APPLICABILITY

This Policy applies to all UB faculty, staff, students, fellows and any other persons at UB involved in the design, conduct or reporting of research at or under the auspices of UB, and it applies to all research projects on which those individuals work, regardless of the source of funding for the projects. Where research at or under the auspices of UB is funded by a contract that includes specific provision(s) regarding ownership, retention of and access to research data, the provisions of that agreement will supersede this Policy.

The University at Buffalo generally does not claim ownership to data compiled by students in the course of their education, such as dissertations, papers and articles. However, this policy shall apply in circumstances where the data were collected as part of work-for-hire, were supported by a direct allocation of funds through the University for the pursuit of a specific project, were commissioned by the University, made significant use of University resources or personnel, or were otherwise subject to contractual obligations.


CUSTODY, MAINTENANCE AND RETENTION

Legal and ethical responsibilities for stewardship of scientific records of research projects conducted at the University, under the auspices of the University or with University resources are based on federal and state regulations, SUNY Board of Trustees policies and UB Policy on Responsible Conduct in Intellectual and Creative Activity. UB responsibilities include, but are not limited to: complying with the terms of sponsored project agreements; ensuring the appropriate treatment of animals, human subjects, recombinant DNA, etiological agents, controlled substances, and the like; protecting the rights of students, postdoctoral scholars and staff, including but not limited to, their rights to access data from research in which they participated; securing intellectual property rights; and facilitating inquiries and investigations of allegations such as scientific misconduct or conflict of interest.

Consistent with the precepts of academic freedom and intellectual integrity, and for practical reasons, the faculty research director has primary responsibility, on behalf of the University, for custody, maintenance and retention of original research data. Accepted practices for retaining data vary among the disciplines and depend on the perishability, nature and logistics of retaining each type of data. Each faculty research director is responsible for: (a) retaining original research data for a period of three years following completion of the project or publication of the data whichever comes later; and (b) maintaining research data in sufficient detail to permit examination for the purpose of replicating the research and to enable appropriate responses to questions about accuracy, authenticity, primacy and compliance with laws, regulations and agreements governing the conduct of the research.


DISSEMINATION AND ACCESS

The research director has primary responsibility, on behalf of the University, for making judgments regarding the use and dissemination of research data consistent with law, regulation, sponsor agreements and University policy. Disputes within UB regarding access to data should be settled at the lowest possible administrative level as circumstances permit. Otherwise, each internal dispute should be brought before an appropriate University reconciliation committee. Where necessary, to assure needed and appropriate access, the University has the option to take custody of the data.


FREEDOM OF INFORMATION ACT

Federal regulations require that research data, relating to published research findings first produced in whole or in part under a federal award and that were used by the federal government in developing an agency action that has the force and effect of law, be made available to the public through the procedures established under the Freedom of Information Act (FOIA). Excluded from the federal FOIA requirement are preliminary analyses, drafts of scientific papers, plans for future research, peer reviews or communications with colleagues. Exclusions also include:

  • Physical objects (e.g.,laboratory samples);
  • Trade secrets, commercial information, materials necessary to be held confidential until they are published, and similar information which is protected under law; and
  • Personnel and medical information and similar information the disclosure of which would constitute a clearly unwarranted invasion of personal privacy, such as information that could be used to identify a particular person in a research study.

Requests for research data under the FOIA are to be directed to the federal sponsoring agency. The sponsoring agency, in turn, requests the data from the grant recipient institution. Research directors who receive requests for research data directly from a federal agency sponsor or from a third party under the FOIA are responsible for referring such requests to the Vice President for Research.


TRANSFER WHEN A SCHOLAR LEAVES UB

When scholars involved in research projects at UB leave the University, they may take copies of research data for projects on which they have worked. Original data, however, must be retained at UB by the research director.

If a research director leaves UB and an ongoing project is to be moved to another institution, custody of original data retention materials may be transferred with the approval of the Vice President for Research, and with written agreement from the research director's new institution that guarantees: (1) its acceptance of custodial responsibilities for the data; and (2) UB access to the data should that become necessary. Original data retention materials generated in the course of research projects completed within the prior three year period may be retained by the research director with prior approval of the Vice President for Research and with written agreement that the research director: (1) accepts custodial responsibilities for the data; and (2) guarantees UB access to the data should that become necessary.

In unusual cases (e.g., data used for a patent application filed by the University, or data subject to an ongoing inquiry or investigation) it may be necessary for the original data to be retained by UB. In cases of data used for a patent application, a separate written agreement shall be signed which preserves the inventor's right to access and copy (where practical) such data.

In cases of multi-institutional studies, the institution of the primary study director is ultimately responsible for guaranteeing appropriate access to, use of, and retention of original data.


Approved:

William R. Greiner

President

Vice President for Research

November 2000