(A) This policy shall apply to all
university of Cincinnati (UC) employees and to all research conducted on the
premises of UC, utilizing UC resources or infrastructure, or utilizing funding
provided by or through UC, regardless of the source of funding for the
project.
(B) As used herein, "scientific
record" shall mean all original research data and materials, and includes
raw data and all other records describing or embodying research activities,
such as laboratory notebooks, electronic records, reports, notes of
observations, images, instrumental printouts, and the like, as well as any
other information or materials which are reasonably necessary for the
reconstruction and evaluation 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 including computer software.
The scientific record shall not include any
records to which federal or state law restricts access, for example, patient
medical records.
(C) An accurate and complete scientific
record is an essential component of any research project. Both UC and the
"principal investigator" (PI) have responsibilities and rights
concerning access to, use of, and maintenance of the original scientific
record.
UC has an obligation to protect the university,
employees, and members of the general public from loss or misuse of the
scientific record. UC is ultimately responsible for producing original records
in a variety of circumstances, irrespective of the source of support for the
research project. UC's ownership rights and obligations concerning the
scientific record include, but are not limited to:
(1) Compliance with the
terms of sponsored project agreements and other contractual undertakings by the
university;
(2) Ensuring the
appropriate treatment of animals and human subjects, and handling of hazardous
and potentially hazardous materials;
(3) Protection of the
lawful rights of students, faculty and the general public, including, but not
limited to, their rights to access the scientific record for research in which
they participated;
(4) Protection of
intellectual property rights;
(5) Facilitation of the
investigation and resolution of disputes arising from research;
and
(6) Provision of a record
sufficient to demonstrate compliance by the university with applicable laws and
regulations.
UC must retain the scientific record in
sufficient detail to accomplish these goals for a period of not less than five
years beyond the completion of the research unless statute or regulation
requires a longer retention period.
(D) Except as provided herein, title to
the scientific record shall be vested in UC.
Title to the scientific record may be transferred
to a third party only in accordance with applicable law and the contracting
rules of the university. In any such transfer of title, the university shall
reserve such rights as shall be reasonably necessary to accomplish the goals
set forth herein.
(E) Insofar as possible, the scientific
record should be retained in the laboratory or work area in which the
scientific record was originally generated.
Any physical relocation of the scientific record
must be fully documented in such a fashion as to expedite the prompt location
of the materials if required. Except as specifically authorized by contract or
by the office of the vice president for research, the scientific record may not
be removed from the premises of the university. In case of removal, suitable
provision shall be made to assure access to the removed scientific record by
the university and those persons who created it.
(F) A research agreement may provide for
confidential treatment of bona fide proprietary, competitive, or trade-secret
information and data received from a private sponsor, provided that such
materials can be readily identified and conditions for the confidential
treatment and retention of such materials are reasonable in scope and
duration.
A research agreement may provide that information
in the scientific record that is generated during the course of research may be
afforded confidential treatment for a period not to exceed ninety days except
as specifically authorized by the office of the vice president for research for
the purposes of seeking protection under intellectual property laws.
(G) The PI is responsible for the
collection, management and retention of the scientific record as directed by
appropriate college and departmental officials.
The PI must adopt an orderly system for
management of the scientific record and should communicate the chosen system to
all members of a research group and appropriate administrative personnel, where
applicable.
The scientific record must be archived for a
minimum of five years after the termination date specified in the contract,
grant, or award pertaining to that project or for such longer period as may be
specified therein, with original scientific records retained wherever possible.
In addition, any of the following circumstances may justify longer periods of
retention:
(1) The scientific record
must be kept for as long as may be necessary to protect any intellectual
property resulting from the work as directed by the university patent
officer;
(2) If the PI becomes
aware of disputes regarding the research, the scientific record must be
retained until alternate arrangements are authorized by appropriate university
officials; and
(3) If the scientific
record has been generated as a part of a student's academic requirement,
the scientific record must be retained at least until the degree is awarded or
it is clear that the student has abandoned the work as evidenced by no student
activity over a three year period.
(H) Beyond the period of retention
specified here, the destruction of the scientific record is to be only in
accordance with disposition instructions issued by the university.
(I) The PI shall provide access to the
scientific record to authorized representatives of the university in a manner
specified by the office of the vice president for research as may be reasonably
necessary to accomplish the goals set forth herein.
(J) If a PI leaves UC, and a research
project is to be moved to another institution, custody of the scientific record
may be transferred with the approval of the vice president for research and in
accordance with procedures specified by that office. No request for the
transfer of custody of the scientific record shall be approved unless
accompanied by written agreement from the PI's new institution that
guarantees:
(1) Its acceptance of
custodial responsibilities for the scientific record;
(2) UC's access to
the scientific record, should that become necessary; and
(3) Retention of a copy
by UC for use by graduate students still working on the project.
