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  1. What are research records?
  2. What should I consider when managing my data?
  3. What am I responsible for?
  4. Who can help?
  5. What are relevant policies and procedures?

1.  What are Research Records?

Research records include any materials that document research activities. These records may be electronic or physical and can take many forms, including logs, notebooks, correspondence, videos, databases, audio files, digital records, or the products of experiments.

In addition to maintaining accurate and complete records for data analysis, researchers should retain all materials related to conducting a project. This includes documentation related to research funding and intellectual property.

Although not an exhaustive list, research records may include:

  • Laboratory research: Lab notes, notebooks, computer databases, microscope slides, gels, images, photos, videos, laboratory equipment printouts, and records of statistical and other data analyses.
  • Animal research: Institutional Animal Care and Use Committee (IACUC)-approved protocols and approved modifications, animal health records, surgical or treatment records, breeding records, drug records, and research data files.
  • Clinical trials: Approvals, protocols, informed consent documents, monitoring reports, adverse event reports, and documentation related to sponsors, drugs, and devices. Additional records may include research data, analyses, audio and video recordings, images, or other materials that could identify participants.
  • Funding: Records and correspondence relating to the funding sources, financial records, purchasing records, scopes of work, budgets, and service records.
  • Correspondence: Correspondence with granting agencies, institutions, and collaborators.

The University of Iowa Policy Manual describes the university’s Records Management Program and defines different types of institutional documents and records.

2.  What should I consider when managing my data?

The integrity of data depends on using a consistent and reliable data management system. When determining how data will be collected, recorded, and stored, consider the following:

  • Are research records legible, accurate, complete, sequential, and dated? Is the researcher identified?
  • Are there reasonable plans for retention, retrieval, and storage of the data?
  • Have the data been shared, if required by funding agencies?
  • Would an audit of the research records support claims made in publications?
  • Could co-investigators confirm the accuracy of the manuscript using the research records?

Research records serve as source documents for verification during governmental or university investigations and audits. Clear, permanent records of research are essential for addressing questions related to data authenticity, authorship, and intellectual property.

3.  What am I responsible for?

As the principal investigator (PI), you are responsible for maintaining sound data management practices, including:

  • Ensuring the validity and quality of data and manuscripts.
  • Complying with departmental and university research standards, policies, and procedures.
  • Training and supervising students, research fellows, residents, and staff to ensure they understand and meet these standards.

At Iowa, researchers are encouraged to retain research data and records for at least five years after publication to allow verification of reported results, in accordance with Section 27.6 of the University of Iowa Policy Manual.

In addition to institutional responsibilities, many U.S. funding agencies such as the National Science Foundation, the National Institutes of Health, and the National Endowment for the Humanities-Office of Digital Humanities, require researchers to provide detailed, cost-effective plans for managing research data, called data management plans. These plans typically detail:

  • What data will be retained and for how long.
  • How data will be formatted and described for reuse and interpretation.
  • Policies around data access, use, attribution, and preservation.

4.  Who can help?

UI researchers can seek assistance in developing data management plans from various sources. Research Data Services, part of University of Iowa Libraries, assists with: 

5. What are relevant policies and procedures?

University of Iowa policies, procedures, and resources include:

Selected federal policies, procedures, and resources: