University of California – Research Data Policy
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University of California Research Data
Policy
Contact:
Deborah Motton
Title:
Executive Director
Email:
Deborah.Motton@ucop.edu
Phone:
(510) 987-6053
TABLE OF CONTENTS
I. POLICY SUMMARY ............................................................................................... 1
II. DEFINITIONS ......................................................................................................... 2
III. POLICY TEXT ......................................................................................................... 2
IV. COMPLIANCE / RESPONSIBILITIES .................................................................... 4
V. PROCEDURES ....................................................................................................... 5
VI. RELATED INFORMATION ..................................................................................... 6
VII. FREQUENTLY ASKED QUESTIONS .................................................................... 7
VIII. REVISION HISTORY .............................................................................................. 7
I. POLICY SUMMARY
The Regents of the University of California owns Research Data generated or collected
in the course of University Research, and exercises this responsibility to support
research, collaborations, public dissemination of information, and to meet its
responsibilities under sponsored research awards and other research agreements.
Responsible Officer:
VP – Research and Innovation
Responsible Office:
RI – Research and Innovation
Issuance Date:
8/9/2022
Effective Date:
7/15/2022
Last Review Date:
New Policy
Scope:
This policy (“Policy”) applies to all Research Data
generated or collected during the course of University
Research.
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Ownership of Research Data by the Regents of the University of California is a long-
standing precept originally articulated in Regulation 4 (Academic Personnel Manual
020) which states “Notebooks and other original records of the research are the
property of the University.” The intent of this Policy is to clarify the ownership of and
responsibility for Research Data generated during the course of University Research,
encourage active data management and sharing practices, and provide guidance with
respect to procedures when a University Researcher leaves the University.
II. DEFINITIONS
Principal Investigator(s): The University Researcher primarily responsible for a
research project, including design, conduct and reporting, regardless of funding source
or formal title.
Research Data: Recorded information embodying facts resulting from a scientific
inquiry, regardless of the form or media in which they may be recorded. Research Data
do not include:
• “Scholarly & Aesthetic Works” defined under the University of California’s Copyright
Ownership Policy;
• Informal notes, preliminary analyses, drafts of scientific papers, and
communications with colleagues that do not include recorded information
embodying facts resulting from a scientific inquiry;
• Administrative records incidental to award administration such as financial records,
contract and grant records, or records related to institutional reviews and approvals;
and
• Patient source documents and medical records created in the course of clinical
care.
University Research: Research conducted by a Principal Investigator or University
Researcher that is within the course and scope of their assigned or assumed duties,
uses University resources, and/or is funded by or through the University.
University Researchers: The academic appointees, faculty, staff, post-doctoral
scholars, trainees, clinicians, and any others involved in the design, conduct or reporting
of University Research regardless of the funding source. Students who participate in the
design, conduct or reporting of a Principal Investigator’s research project are considered
University Researchers for the purpose of this Policy.
III. POLICY TEXT
The University of California is committed to disseminating research results as widely as
possible. As part of this mission, and in accordance with numerous University policies,
the University supports the free and unfettered dissemination of information, knowledge,
and discoveries generated by University Researchers.
The University’s ownership of Research Data facilitates the University’s ability to
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promote its mission and to carry out its legal responsibilities, including its responsibilities
as the contracting party for extramural awards that impose obligations of access to and
maintenance of Research Data. At the same time, the University has an obligation to
ensure that its resources are used to further develop knowledge and not impede its
research mission.
Consistent with federal and state
1
laws and University of California Regulation No. 4
(APM-020)
2
, the Regents of the University of California retain ownership of Research
Data created by or at the direction of University Researchers or Principal Investigators
during the course of University Research, unless specifically agreed otherwise by the
University under sponsorship or other related agreements. University policies and
guidance ensure that such ownership will prevent impediments to the use of Research
Data for:
• Other University Research,
• Sharing with collaborators and academic communities,
• Independent publication of outcomes, and
• Creation of Scholarly & Aesthetic Works.
It is important to note that this Policy does not:
• Restrict Principal Investigators’ decision-making autonomy regarding what
Research Data should be preserved or dispositioned, provided that legal and
contractual obligations are met.
• Assert exclusive ownership of Research Data owned by third parties or that is
jointly owned, (e.g., as agreed upon between the University and a third party
collaborator on a joint research project).
• Interfere with requirements to share Research Data in accordance with the
standards of their scholarly discipline and/or data management plan, as well as with
any legal, funder, or contractual requirements.
To fulfill the University’s research mission and the free exchange of ideas as well as to
meet obligations with legal, funder, and contractual requirements, Principal Investigators
are the primary stewards of Research Data. Research Data will be retained by the
Principal Investigator of a research project. However, the University may take custody of
Research Data under certain circumstances, such as where necessary to perform any
investigations associated with allegations of research misconduct, litigation, or to ensure
continuity of research.
1
California Labor Code §2860 provides that everything that an employee acquires by virtue of his/her employment
(except compensation) belongs to the employer whether acquired during or after the term of employment.
2
Issued in 1958, University of California Regulation No. 4 (APM-020) states, “Notebooks and other original records of
the research are the property of the University.” This Policy elaborates on expectations established in Regulation No.
4.
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IV. COMPLIANCE / RESPONSIBILITIES
A. Vice Chancellors for Research
At each campus, the Vice Chancellor for Research or their designee(s), in consultation
with the appropriate campus stakeholders, including the Academic Senate, is
responsible for the interpretation, implementation, and oversight of this Policy and shall:
• Establish local policies or procedures as necessary for implementing this Policy.
• Provide guidance to promote campus compliance with Research Data obligations
arising by law, regulation or agreement.
• Sequester or otherwise obtain access to Research Data as needed for a required
investigation pursuant to University policy and/or legal, funder, or contractual
requirements.
• Protect the rights of University Researchers, including their right to access
Research Data from University Research in which they participated.
B. University Researchers
University Researchers have the right to choose the nature and the direction of their
investigations, to maintain and use Research Data they generated or collected in the
course of their University Research to pursue future research, to publish their results,
and to share their findings with scientific and academic communities.
University Researchers have the following responsibilities:
• Follow best academic practices with respect to research integrity, including in the
collection, recording, and storing of Research Data.
• Manage and share Research Data in accordance with the standards of their
scholarly discipline, and/or data management plan, and University policies, legal
requirements, and the terms and conditions of applicable third-party agreements
(such as sponsored awards, material transfer agreements, or data use
agreements). University Researchers are encouraged to consult with the California
Digital Library, campus libraries, or other campus or systemwide resources for
advice on documenting, preserving, and appropriately disposing of Research Data.
• Consult with the Principal Investigator and/or Vice Chancellor for Research (or their
designee) for clarification of obligations and resolution of disputes related to
Research Data.
C. Principal Investigators
As stewards of the Research Data, Principal Investigators have the following
responsibilities:
• Provide scholarly leadership pertaining to Research Data, including the collection,
recording, managing, retention, and disposal of Research Data.
• Determine use of the Research Data by other University Researchers and
collaborators on the project in accordance with relevant agreements and their
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scholarly discipline’s practices, and taking into account the need for academic
progress of academic appointees, post-doctoral scholars, degree candidates, and
other students.
• Make decisions regarding what Research Data should be preserved or
dispositioned, provided that legal, funder, or contractual requirements are met.
Principal Investigators are responsible for knowing retention requirements of their
scholarly discipline, campus departments, funding agencies, and applicable law
and regulation, and for following the most stringent of these multiple requirements.
Principal Investigators must take the following key circumstances into account
when determining the retention period:
o Inventions: Research Data must be kept as long as necessary to protect
intellectual property and to complete University patenting and licensing
procedures for inventions.
o Allegations, Investigations and Litigation: If Research Data are the
subject of any allegations of research or other misconduct, investigations
or litigation, the University and University Researchers must preserve
potentially relevant information until the Vice Chancellor for Research (or
their designee), in consultation with Campus Counsel, issues instructions
regarding disposition.
o FDA-Regulated Research: If a research project involves articles
regulated by the U.S. Food and Drug Administration (FDA), consistent
with 21 C.F.R. §§ 312.6 and 812.140, Principal Investigators must keep
records for two years or as long as required following the date a marketing
application is approved for the product; or if a marketing application is not
filed or FDA-approved, for two years after the investigation is terminated,
completed, or otherwise discontinued and the FDA is notified.
o Student Participation in Research: If, in advancing to a degree, a
student participates in the design, conduct or reporting of research, the
Research Data connected to that research must be retained until the
student has been awarded a degree, or until the student is no longer
working on the project or is not enrolled in the University.
V. PROCEDURES
Procedures in the Event that an Investigator Leaves the University
When University Researchers (other than the Principal Investigator) involved in a
University Research project leave the University or the research project, they may take
copies of Research Data that they generated or collected in the course of their
University Research, subject to approval by the Principal Investigator and any
applicable sponsor requirements. In this event, the ownership of the Research Data
remains with the University and Principal Investigators continue to be the primary
stewards of Research Data.
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When a Principal Investigator leaves the University and a University Research project is
to be moved to another institution, the ownership of Research Data may be transferred
or licensed to the new institution in accordance with a locally developed process. This
may include approval from the applicable institution, school, department and/or other
academic units. The University may impose conditions on such transfer or may require
the Principal Investigator to leave copies of the Research Data with the University.
In either of these instances:
• The remaining members of the research team retain the rights to use the Research
Data needed to continue their work.
• The individual who leaves the University must arrange with their school, department
and/or other academic unit for the management or disposition of any Research
Data that remain at the University in accordance with University policies and/or
legal, funder, or contractual requirements. This may include the use of data
repositories.
• The University has the right to sequester or otherwise obtain access to Research
Data for a required investigation pursuant to University policy and/or legal, funder,
or contractual requirements, litigation, or to ensure continuity of research,
regardless of the location of Research Data.
VI. RELATED INFORMATION
University Policies and Guidance
• University of California Regulation No. 4
• UC Copyright Ownership Policy
• UC Records Retention Schedule
• Electronic Communications Policy
• Electronic Information Security Policy (IS-3)
• California Digital Library – Resources for Faculty
• Export Control Policy
• University Policy on Integrity in Research
• The Faculty Code of Conduct (APM 015)
Federal and State Rules and Regulations
• Federal Copyright Act
• California Labor Code § 2860
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VII. FREQUENTLY ASKED QUESTIONS
Frequently Asked Questions and implementing guidance related to this Policy is posted
on the UCOP Research Policy Analysis and Coordination (RPAC) website.
VIII. REVISION HISTORY
July 15, 2022: Effective date of this NEW Policy. It expands on University of California
Regulation No. 4 (APM-020).
This policy is also reformatted to meet the Web Content Accessibility Guideline 2.0.
