UIC Research Data Ownership and Stewardship Policy

Policy Number: RE-7000-004

Policy Title:  UIC Research Data Ownership and Stewardship Policy

Vice Chancellor/Associate Chancellor: Vice Chancellor for Research

Unit Responsible for Policy: Office of the Vice Chancellor for Research

Effective Date: 10/1/2024

Contacts: Office of the Vice Chancellor for Research, Office of Research in Computing and Data Initiatives

Policy Statement:

The purpose of the policy is to define the term “research data” for the University of Illinois Chicago (University) community, establish ownership and stewardship responsibilities, identify appropriate retention practices and communicate document sharing requirements.

This policy shall apply to all University employees (faculty and staff), non-student trainees and fellows, students, and any other persons involved in the conduct of research affiliated with the University. It shall apply to all research projects, regardless of the external or internal funding source for the project, using any University resources, facilities, equipment or funds or when conducted as part of an individual’s University responsibilities. This policy applies to all research unless conflicting sponsored project terms are placed on the ownership, retention, destruction, management or sharing of data, in which case the sponsored project terms will apply.

Reason for Policy: Research data are a valuable resource of the University of Illinois Chicago, facilitating new discoveries, inventions and creation of knowledge. Scholarly communities, funding agencies and the general public increasingly recognize the need for research data to be actively managed and, where possible, shared in order to justify the financial investment in obtaining the data and to promote future research.

Management and maintenance of research data has become an essential obligation in the conduct of research and a requirement of certain federal and non-federal research funding agencies.

 Responsibilities of the University as Data Owner

  • The University will secure the intellectual property rights of the University.
  • The University will protect the legal interests and privacy of research subjects throughout the research data lifecycle.
  • The University will establish procedures for staff, non-student trainees and fellows, students and any other persons involved in the conduct of research to access data from research in which they participated.
  • The University will provide education and support and, where appropriate, guidelines and templates to the University community for research data management.
  • The University will provide Data Stewards access to mechanisms and services for research data storage for both active and archival storage, back up, registration, deposit, access and retention of research data in support of current and future access requirements, during and after the completion of research projects.
  • The University, wherever possible, will seek to ensure research data are stored in non-proprietary formats and that research data are captured in ways that facilitate access by individuals with disabilities.
  • Should the Data Steward separate from the University and archival storage has not been arranged, the Office of the Vice Chancellor for Research will provide archival storage funding sufficient to meet federal retention and sharing requirements.
  • Should the Data Steward, or any member of the research team, separate from the institution, the University will consider a request for the researcher to maintain access to the research data, in part or as a whole, that was under their stewardship, regardless of where the data are stored. The University may negotiate a transfer agreement with the researcher to ensure continued access by all parties, depending on circumstances of separation. Original copies of the research data should be transferred to and maintained by the Data Steward’s former Unit sufficient to document what research was conducted, unless otherwise indicated by data use agreement.

Responsibilities of the Data Steward

  • The Data Steward is responsible for the collection, management, retention and, where appropriate, destruction of research data as the custodian for the University. It is the responsibility of the Data Steward to determine what research data must be retained under this policy and following the terms of any data use agreement.
  • The Data Steward is responsible for complying with sponsored program agreements regarding research data for that project.
  • The Data Steward is responsible for ensuring that in the event the research data are associated with inventions or tangible intellectual property that the University wishes to protect, the underlying research data are appropriately maintained with corresponding documentation.
  • The Data Steward is responsible for maintaining sufficient records to document research methods, accuracy of research data collection and interpretation, and research data archiving.
    • The Data Steward is encouraged, and in many cases is required by funding agencies of sponsored research, to develop a data management and sharing plan. A data management plan should identify the University researchers involved, data format and methodology, security and privacy considerations, sharing and access plans, and retention and destruction plans.
  • The Data Steward is responsible for assessing research data for sensitivity and any need for controlled access.
  • The Data Steward is responsible for identifying and initiating data use agreements and other appropriate sharing agreements related to the research project prior to sharing research data.
  • The Data Steward is responsible for communicating this policy and providing education about research data handling practices to all members of the research team, including administrative personnel.
  • The Data Steward shall create explicit and documented understandings with staff, non-student trainees and fellows, students and any other persons involved in the conduct of research regarding access to and use of data.
  • The Data Steward shall ensure that the University will always have access to research data created or acquired at the University. This access shall continue regardless of the continuance of the Data Steward or an individual member of the research team at the University.
  • The Data Steward is responsible for ensuring long term access to research data and protection of data in the event of an emergency.
  • If a Data Steward is unable to maintain their stewardship responsibilities, stewardship shall revert to Unit head.

Research Data Retention and Destruction

Research data must be archived for a minimum of seven (7) years from the publication of the research data, with original research data retained when possible. Applicable laws and regulations, sponsorship requirements, disciplinary standards, data use agreements and good data stewardship may require longer data retention periods. Additional considerations may include:

  • Retention of research data to protect intellectual property which may require longer retention;
  • In the event of any litigation, claim, audit, investigations of research misconduct or conflict of interest, research data must be retained until such reviews and/or charges are fully resolved; or
  • If a student or trainee is involved in the work, research data must be retained until the degree is awarded, the training is completed, or the student or trainee has abandoned the work.

Research data may be converted to more efficient media storage or transferred to archival remote storage as long as the essential nature of the research data is not lost. Beyond the data retention period specified here, the disposal of research data is at the discretion of the Data Steward and their Unit.

Research Data Sharing Requirements

The Data Steward shall follow the requirements of the sponsored project agreements with regards to data access. Exclusive rights to reuse or publish data will not be assigned to commercial publishers or other agents unless this is a condition of funding or a result of UIC policy or licensing choices.

None of these provisions is intended to supersede the faculty member's right to keep research data proprietary until the results of the research have been published and the aims of the research have been fulfilled, whichever comes first.

Unit Data Policies

Individual colleges, departments, or units may wish to develop additional guidance to supplement but not contradict this policy. In such supplements, colleges or departments may expand the definition of research data, may assign additional responsibilities to the Data Steward, and may otherwise impose such rights and restrictions as are reasonably necessary for the school to meet the University's objectives for this policy as they apply to the unit. Such policies should be reviewed by the Office of the Vice Chancellor for Research to ensure consistency.

Data Use Agreements

When data created beyond the University is being used under the terms of a negotiated data use agreement, that outside data and derivatives generated from that data will be governed by the data use agreement, which will have primacy. The University will retain rights necessary to meet legal or funder requirements to document the conduct of research and obligations for data preservation, sharing, and records retention.

Minority Impact Statement: The policy does not have any disproportionate or unique impact on UIC’s minority students, staff or faculty.

Who Should Read the Policy:  All University employees (faculty and staff), non-student trainees and fellows, students and any other persons involved in the conduct of research.

Definitions:

  • Research Data: Research data is defined as recorded factual material, regardless of format, that is commonly accepted in the research community as necessary to validate and replicate research findings, regardless of whether the data have been used in scholarly publications. Data may include both primary data, gathered or acquired under the auspices of the University, or secondary data, which may be owned or generated by another party or for other purposes, but is used in whole or part for research conducted at the University.
  • University: There are many stakeholders in the facilitation of research data management and preservation at the University. The units of the Office of the Vice Chancellor for Research that may be involved include the Office of Sponsored Programs, Office for the Protection of Research Subjects, Office of Research Data Initiatives and Information, Office of Animal Care and Institutional Biosafety, Office of Research Integrity and the Research Resources Center. Additional University collaborators include the University Library, the Advanced Cyberinfrastructure for Education and Research Unit within Technology Solutions, and UI Health.
  • Data Steward: In most instances the Data Steward will be the primary investigator(s) or a faculty member(s), who shall maintain oversight and responsibility of the research data through the data lifetime and its archival process in accordance with this policy. The Data Steward is the person responsible for the collection, management, retention and, where appropriate, destruction of research data as the custodian for the University. If a student or other trainee is designated as the primary investigator, the faculty mentor shall serve as the Data Steward.
  • Unit: A unit is defined as the college, department or center to which an investigator is affiliated.

Procedures: TBD

Forms: TBD

Related Laws, Regulations, Statutes, and Policies:

Document History:
Approved by: Committee on Policy, Chancellor
Approval date: October 1, 2024
Approved as: New Policy