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Record Retention

The Research Integrity Officer (RIO) shall establish and maintain a secure, centralized record for each research-misconduct proceeding. Such records shall be retained for a minimum of seven (7) years following the later of (a) the date of final resolution of the proceeding or (b) the conclusion of any related review by a federal or sponsoring agency. Each case file shall include, at a minimum:

  • Final reports and attachments: All inquiry, investigation, and hearing reports, together with any appendices.
  • Research records and evidence: All data, materials, and sequestered items reviewed, including a complete chain-of-custody log for collection, transfer, and access.
  • Interview and hearing records: Transcripts or recordings of all interviews, committee deliberations, and hearing proceedings.
  • Other documentation: All correspondence, notifications, extension requests and approvals, objections, and formal decisions.

Access to these records shall be strictly limited to the RIO, CRO, Provost, and such other individuals as the RIO explicitly authorizes. A detailed audit log shall document all record access and modifications. Physical records shall be stored in locked, access-controlled facilities; electronic records shall be encrypted in transit and at rest, backed up in accordance with the University’s disaster-recovery protocols, and stored off-site or within a secure, enterprise-grade cloud environment. Upon request by a federal or sponsoring agency (e.g., ORI, NSF) or other authorized oversight body, the RIO shall furnish copies of the case file, including any sequestered evidence or physical objects, in compliance with applicable regulations. Records may be released to the agency having custody only upon formal transfer or upon receipt of written notification that retention is no longer required. At the expiration of the seven-year retention period, and absent written instruction from an external agency to the contrary, the RIO shall oversee the secure destruction or archival of all case records in accordance with the University’s records-disposition policy. All recordkeeping activities shall conform to applicable privacy and confidentiality laws (e.g., FERPA, HIPAA) and University confidentiality standards. The RIO shall ensure that any federal or sponsoring agency is provided with such information, documentation, or clarification as may be necessary to conduct its review of a research-misconduct allegation or of the institution’s implementation of these procedures.