ACCESS TO AND RETENTION OF RESEARCH DATA: POLICY CONSIDERATIONS

(Council on Governmental Relations, August 1995)

Under Construction

The regulations and policies governing the management of research data have changed significantly since COGR prepared this policy discussion in 1995. Changes to the Office of Management and Budget Circular A-110, revisions and additions of agency-specific policies, and rapid expansion of electronic publications and databases compel us to re-examine the discussion in this 1995 document.

We have removed the old version of the pamphlet, “ACCESS TO AND RETENTION OF RESEARCH DATA: POLICY CONSIDERATIONS.” We are developing a web-based revision of this document to enable us to provide current information about Federal agencies’ policies, and offer new elements to consider incorporating into university policies and procedures for managing access to and the retention of research data.

Until we debut the new web-based discussion, we welcome your comments and suggestions and, if available, links to your policies and procedures for managing access to and the retention of research data. Send an email message to: MemberServices@cogr.edu

What to Expect

The new web-based document(s) will provide 1) a brief description of the basic elements of a university policy including standard definitions of research data, 2) links to applicable Federal regulations and agency policies, and 3) brief discussions of current issues affecting access to and retention of research data, e.g., restrictions through designations of information as sensitive but unclassified. A general outline of the planned web site and links to Federal regulations and policies and university policies are included below for your information.

Introduction:

This section will offer a general introduction to the topic of access to and retention of research data, describe any changes in Federal regulations and agency policies in the past 10 years, and introduce what will be included on the web site

University Policies:

We’ll offer a brief overview of the key, general elements of university policies including standard definitions and a review of fundamental components like ownership, custodianship, processes for the release of data, and data storage and retention requirements.

Federal Regulations and Agency Policies

This part of the site will contain links to regulations and policies that may affect access and retention of research data developed on Federal-supported grants and contracts. These links will include the Office of Management and Budget Circular A-110 that serve as the basis for many university policies with regard to government access to data. Links to specific policies from agencies that are the principal sponsors of university research like the National Institutes of Health and the National Science Foundation will be provided in this section as well.

Key Questions or Issues

This section will examine current issues or challenges to effective research data management with brief analyses of regulations and options for consideration by the COGR membership. For example, the Health Insurance Portability and Accountability Act (HIPAA) Privacy Rules affect the management of private health information; the Freedom of Information Act (FOIA) describes what research data is accessible upon formal request; recent Federal-wide guidelines addressing standards for the quality of information and data used as the basis for regulations require a level of transparency; and concerns with ensuring homeland security have imposed new restrictions on access. This section of the web site will be updated when necessary to keep the membership up-to-date.

As we develop this web-based resource of information concerning access to and retention of research data, we invite you to send your comments and suggestions and, if available, links to your policies and procedures for managing access to and the retention of research data. Send an email message to: MemberServices@cogr.edu

Links to Federal Policies and Regulations

The links provided below access various federal regulations and policies for your information.

From Office of Management and Budget (OMB) http://www.whitehouse.gov/omb/

Circular A-110: Uniform Administrative Requirements for Grants and Agreements With Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations

http://www.whitehouse.gov/omb/circulars/a110/a110.html

§ . 36 Intangible Property; § ____. 53 Retention and access requirements for records.

From National Institutes of Health (NIH) Office of Extramural Research

http://grants1.nih.gov/grants/oer.htm

Statement on Sharing Data Policy

(Notice # NOT-OD-03-032; Released February 26, 2003)

http://grants1.nih.gov/grants/policy/data_sharing/index.htm

NIH Grants Policy, Part II Subpart A, Availability of Research Results: Publications, Intellectual Property Rights, and Sharing Biomedical Research Resources.

 http://grants.nih.gov/grants/policy/nihgps_2001/part_iia_6.htm

Public Health Service Policy Relating to Distribution of Unique Research Resources Produced with PHS.

http://grants.nih.gov/grants/guide/notice-files/not96-184.html

Sharing Biomedical Research Resources: Principles and Guidelines for Recipients of NIH Research Grants and Contracts.

http://www.nih.gov/science/models/sharing.html

From the National Science Foundation (NSF)

Grant Policy Manual (NSF 02151)

http://www.nsf.gov/pubs/2002/nsf02151/gpm02_151.pdf

§734. Dissemination and Sharing of Research Results

From the Federal Acquisition Regulations (FAR)

http://www.arnet.gov/far/

48 CFR Part 27

(For contracts awarded by the Federal government)

§27.403 Data rights—general

52.227-14 Rights in Data – General (Clauses & Forms)

Links to University Policies:

A comparison of some university data policies was prepared by COGR member, Gunta Liders in May 2002. The comparison should be used with caution, however, because policies may have changed since the project was completed. Some of the links may no longer be active as well. If you have a policy that is not listed here and can provide web access, please forward the URL to Carol Blum at cblum@cogr.edu.

University of California, http://www.ucop.edu/raohome/

Release of Research Data Requested by the Public under Federal Grants via Federal Freedom of Information Act Procedures (March 2000)

http://www.ucop.edu/raohome/cgmemos/00-02.html