(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
s 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.
Replaces: 3361:10-43-18
