UC Riverside Research Records Retention: A Quick Guide for Researchers

This guide provides essential information for UC Riverside researchers on understanding and complying with the University of California Records Retention Schedule.

1. What Constitutes a UC Record in Research?

A “record” in the context of UC policy refers to any recorded information, regardless of medium or characteristics, that is created, received, or maintained by the University as evidence of its organization, functions, policies, decisions, procedures, operations, or other activities.

Examples of research-related records include, but are not limited to:

• Raw research data (instrument outputs, survey responses, interview notes)
• Laboratory notebooks (physical and electronic)
• Grant proposals (funded and unfunded)
• Institutional Review Board (IRB) protocols and correspondence
• Participant consent forms and related documentation
• Financial records associated with grants (budgets, expenditures, reports)
• Email communications that document significant project decisions or actions
• Presentations and posters sharing research findings
• Publications (drafts, peer review comments, final versions)

It’s important to distinguish official University records from convenience copies, personal notes, or transitory documents that do not have to be retained under the official schedule.

2. Legal and Policy Basis for Records Retention

The retention of research records is mandated by various legal obligations, University policy, and principles of research integrity. Proper records management also contributes to the historical record of scientific and scholarly activity.

The primary policy document governing records retention is the University of California Records Retention Schedule. This schedule outlines the minimum retention periods for various types of records generated and maintained by the University.

• Main UC Policy: University of California Records Retention Schedule (The full schedule is also available as a PDF document).
• UCR Specific Policies: UCR Research Policies and Guidelines (Note: Specific UCR retention requirements may be found within individual departmental or research area policies listed here, or by consulting directly with the relevant UCR office.)

Researchers should familiarize themselves with these policies to ensure compliance.

3. Retention Periods for Common Research Record Types

Retention periods for research records vary significantly depending on the type of record, funding agency requirements, whether the research involves human or animal subjects, intellectual property considerations, and other factors. The tables below provide general guidance for common research record types.

Table 1: Research Data & Lab Records | Record Type | Typical Retention Period | Notes/Considerations | |—|—|—| | Raw Research Data | [To Be Filled] | 5-10 years after project completion or publication; whichever is longer. Varies significantly. | | Lab Notebooks (Physical) | [To Be Filled] | At least 5 years after project completion; may be longer for patents, student records, or long-term studies. | | Lab Notebooks (Digital) | [To Be Filled] | At least 5 years after project completion; may be longer for patents, student records, or long-term studies. | | IRB Protocols & Corresp. | [To Be Filled] | At least 3-5 years after study completion/closure. | | Participant Consent Forms | [To Be Filled] | Varies (e.g., HIPAA may require 6 years or longer). Typically 3-7 years after study completion. | | Data Analysis & Reports | [To Be Filled] | Retain as long as the underlying data, or per publication/grant requirements. |

Table 2: Grant & Financial Records | Record Type | Typical Retention Period | Notes/Considerations | |—|—|—| | Grant Proposals (Funded) | [To Be Filled] | Typically 3-7 years after final project closeout and financial reporting. | | Grant Proposals (Unfunded) | [To Be Filled] | Typically 1-3 years from submission date. | | Financial Grant Records | [To Be Filled] | Typically 3-7 years after final financial report submission; subject to audit requirements. | | Purchase Records | [To Be Filled] | Typically 3-7 years, or as per UCR financial policy. |

Table 3: Other Common Records | Record Type | Typical Retention Period | Notes/Considerations | |—|—|—| | Email Correspondence (Official Record) | [To Be Filled] | Varies by content; retain if it documents significant decisions, approvals, or project milestones, aligned with project/topic retention. | | Publications & Preprints | [To Be Filled] | Indefinitely (often managed by library/archives for official publications). | | Meeting Agendas & Minutes (Official) | [To Be Filled] | Varies by committee/group; typically 3-5 years if official university business. |

Disclaimer: These are general guidelines and typical periods. Researchers MUST consult the official University of California Records Retention Schedule (PDF version) and any specific UCR, grant funder, publisher, or regulatory requirements, as these will take precedence.

[Future Feature: Interactive search/filter for record types - TO BE ADDED]

4. Data Lifecycle Management

Effective records retention is part of a broader data lifecycle management strategy. This involves considering how records are handled from creation to final disposition.

• Creation/Receipt: This is the initial stage where data and records are generated (e.g., experimental results, survey data) or received (e.g., funder correspondence, collaborator data). Establish clear processes for naming, organizing, and describing records from the outset.
• Active Use: During the research project, records are actively used, analyzed, and updated.
  • Focus on secure storage, appropriate access controls, and regular backups.
  • UCR Resources: UCR Research Computing resources
• Inactive Storage: After a project is completed but before the retention period has ended, records may be moved to inactive storage.
  • This could involve archiving with a university service or secure departmental storage. Ensure records remain findable and accessible if needed.
• Secure Disposition: Once the official retention period has expired, records must be disposed of in a secure and approved manner.
  • Methods include shredding for physical documents or secure deletion/wiping for electronic records.
  • It is crucial to document the disposition of records, especially for sensitive or regulated data.

[Future Visual: Flowchart of Data Lifecycle Management - TO BE ADDED]

5. Practical Tips and FAQs

• Tips:
  • Organize your records from the start.
  • Understand your funder’s requirements.
  • Document your retention decisions.
  • Regularly review and purge records that have met their retention period.
  • Consult with the UCR Library or Archives for guidance.
• FAQs:
  • “What if my grant funder has different retention rules than UC policy?” Funder rules often take precedence if longer. Always check your specific grant agreement.
  • “What about records stored in cloud services (e.g., Google Drive, Dropbox)?” University policies still apply, regardless of where the data is stored. Ensure cloud services meet UCR’s security and privacy requirements for the type of data you are storing.
  • “Who is responsible for records retention in a collaborative project involving multiple institutions?” This needs to be clearly defined in a data sharing agreement or research protocol at the beginning of the project. Typically, each institution is responsible for records created or held by its researchers, but joint responsibilities may exist.
  • “How do I dispose of sensitive electronic data securely?” Simply deleting files may not be sufficient. Consult UCR IT or Research Computing for approved methods of secure data deletion or media destruction.
  • “Do I need to keep every draft of a research paper?” Generally, no. Final versions of publications are official records. Significant drafts showing substantive changes or those commented on by co-authors might be retained for a period, but minor drafts are usually considered transitory.
  • “What happens to my research records if I leave UCR?” Official records, particularly those related to grants administered by UCR or data needed for long-term studies, typically must remain with the University or be transferred according to UCR policy. Discuss this with your department head or the Office of Research before departure.

6. Official UC and UCR Policies and Resources

This section will be populated with direct links to official policy documents and UCR support services.

• University of California Records Retention Schedule (PDF version)
• UCR Business & Financial Services Policies (see Payroll section for Records Retention link) and UCR Research Policies and Guidelines
• UCR Library (for data management and archiving support)
• [Link to UCR IRB - TO BE ADDED]
• [Link to UCR Office of Research Integrity - TO BE ADDED]
• For specific questions, consult your departmental administrator, the UCR Library, the Office of Research Integrity, or the specific compliance office (e.g., IRB, IACUC) related to your research records.

This guide aims to simplify understanding. Always refer to official policies for complete information.