Storage of Data and Consent Forms (18)

18.1. Information, which may take the form of documents, tapes, disks, videos, computer files etc., is to be handled in a manner that ensures its safekeeping (1) and protects the confidentiality of participants.

18.2. Particular matters which need to be considered at the beginning of the research process include:

18.2.1. the timing, manner and responsibility for the storage and destruction of data in a manner that maximises security;

18.2.2. the need to gain the consent of participants for the return of creative works which are part of an assessed research project to the artist or creator once the marking is completed;

18.2.3. the desirability of storing tapes or film separately from transcripts or other identifying material;

18.2.4. the provision of full information about the use of the data and the duration and general nature of data storage to potential participants. Researchers should be aware that they are unable legally to use or store the information in a manner to which the participants have not consented.

18.3. The storage location of data and consent forms is to be in accordance with this guideline (2) and as follows:

18.3.1. Where the research is being undertaken by AUT staff or students, AUTEC generally requires that the final storage of data and consent forms is on AUT premises (3);

18.3.2. The data must be stored in a separate location from the Consent Forms. Details of the storage locations must be specifically provided in the appropriate sections of part H of the EA1 Application Form.

18.4. The storage duration of data and consent forms is to be as follows:

18.4.1. Data and Consent Forms are normally to be stored for at least six years;

18.4.2. When the data is health related, it must be stored for at least ten years as required by section 5 of the Health (Retention of Health Information) Regulations 1996;

18.4.3. When a participant withdraws from a research project, all data relating to them is to be destroyed whenever possible, with the exception of their Consent Form, a notification of their withdrawal from the project, and a note detailing how and when the data was destroyed, which are to be stored with the other Consent Forms for that project and destroyed along with them at the approved time.

18.4.4. In exceptional circumstances, AUTEC may approve the destruction of data within six years of its collection, provided that the data is not health related and is part of routine low risk research;

18.4.5. When required for legal or research reasons (e.g. Public Records legislation or longitudinal studies), AUTEC will approve the storage of data in perpetuity. The applicant is to provide AUTEC with detailed reasons for such storage and to identify the archival facilities in which the data will be stored;

18.4.6. In accordance with section 2.5 of these Guidelines and Procedures, AUTEC requires that appropriate consultation takes place about the storage and destruction of data that may be perceived as forming part of the cultural taonga of the Tangata Whenua.

(1) Safekeeping requires researchers to consider appropriate levels of security for the type of data and duration of storage. For example, it is not appropriate for electronic data to be stored on non-secured hard-drives or a student researcher's personal computer or network after analysis has been completed.

(2) Research Data Storage Guideline

(3) AUT premises includes offices and contracted archive facilities such as Iron Mountain.

(4) There is comprehensive information about research data management on the Research Office's TUIA page, including definitions of and advice about data dictionaries, data management plans, and data sharing agreements along with templates for use by AUT researchers. The website for Te Mātāpuna | The Library also has a tool for putting together a data management plan.