When Conducting Research
- The PI provides scholarly leadership pertaining to Research Data, including the collection, recording, managing, and disposal of Research Data.
- The PI determines use of Research Data by other University Researchers and collaborators on the project in accordance with relevant agreements, their scholarly discipline's practices, and the need for academic progress of academic appointees, postdoctoral scholars, degree candidates, and other students.
When University Researchers Leave UCI
- If a University Researcher is leaving UCI and requests a copy of the Research Data generated in the course of their UCI research, the Principal Investigator will review the request and any applicable requirements (sponsor, regulatory, legal, etc.).
- For any disputes, contact the Unit Head or Department Chair.
- If the Principal Investigator is leaving UCI and plans to take Research Data to new institution, contact Sponsored Projects Administration for Data Use Agreement to ensure compliance with applicable requirements (sponsor, regulatory, legal, etc.). Co-Principal Investigators (if applicable) will also be consulted.
- The departing PI must arrange with their school, department and/or other academic unit for the management or disposition of any Research Data that remain at UCI in accordance with University policies and/or legal, funder or contractual requirements.
When Research Project Completed
- The PI makes decisions regarding what Research Data should be preserved or dispositioned following the most stringent of these multiple requirements, based on the following:
- Legal, funder or contractual requirements (including incoming and outgoing data transfer and use agreements);
- Retention requirements of their scholarly discipline, campus departments, funding agencies, and applicable law and regulation;
- Protection of intellectual property and completion of University patenting and licensing procedures for inventions;
- Subject to allegations of research or other misconduct, investigations, or litigations;
- For research projects that involved articles regulated by Food and Drug Administration retention, consistent with 21 C.F.R. §§ 312.6 and 812.140- Retention of 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; or
- For student participation in research (in advancing to a degree), retention of Research Data connected to that research 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.
When Researchers (other than the Principal Investigator) involved in a University research project leave UCI, they may take copies of the Research Data that they generated or collected during their University Research, subject to approval by the Principal Investigator and any applicable sponsor requirements. Since the ownership of the Research Data remains with UCI and Principal Investigators continue to be the primary stewards, Researchers must contact the Ancillary Agreements Officer in Sponsored Projects Administration to initiate a Data Transfer and Use Agreement before taking copies of the Research Data.
When a Principal Investigator leaves UCI 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. Contact Ancillary Agreements Officer in Sponsored Projects Administration to start the process.
If the research data provider is a for-profit (Industry), contact the Industry Sponsored Research Director. If the data is related to industry sponsored clinical trials, contact the Clinical Trials Director.
If the research data provider is a non-industry entity (universities, non-profits, research institutes, governments, etc.), contact Ancillary Agreements Officer in Sponsored Projects Administration.
Most UCI research activities are excluded from export controls because of a general exception for “fundamental research” under the export control regulations. The Fundamental Research Exclusion (FRE) applies to information resulting from or arising during basic and applied research in science and engineering conducted at an accredited institution of higher education located in the U.S. For this exclusion to apply, the information must be published and shared broadly in the scientific community. The information may not be subject to proprietary or U.S. government publication or access dissemination controls. The FRE only covers fundamental research data and information, not tangible items or services.
All shipments of tangible items, except published or non-technical documents, to a destination outside of the United States, regardless of whether the item is sold, used for research, loaned, donated, or temporarily sent outside of the U.S., require an export controls compliance review prior to shipping to determine if a license is required. International shipments also include items hand-carried or packed in baggage during travel outside of the U.S. To request a review, please submit a Shipment Review Form to the Export Controls Office.
In general, collaborations between university personnel and scholars at foreign institutions or organizations do not trigger an export control requirement unless they involve any of the following:
- controlled or restricted research
- defense services
- individuals or entities on a Restricted Party List
- individuals or entities from a sanctioned country
- transfer of physical items, technical data, or software
Before engaging in an international collaboration, a screening should be conducted to ensure the collaboration does not include individuals and/or entities appearing on any of the U.S. Government Restricted Party Lists. Without proper authorization such as an export license, the government prohibits U.S. individuals and organizations from collaborating with or providing materials, services, and financial support to these restricted parties.
For more information, please contact the Export Controls Office.
In response to the U.S. Department of Justice's two business practice indictments against Huawei and its U.S. affiliate Huawei Devices USA, the University of California issued a moratorium that restricts any future engagement with Huawei; calls for the cessation of all pending projects, gifts, purchases, or other engagements; requires locations to wind down existing agreements; and consider risk associated with engagements with Huawei's U.S. subsidiaries.
July 15, 2022- UC Research Data Policy effective
Apply across the project lifecycle
Apply to the steps prior to receiving the award
Apply to the period after receiving the award