Registration of research documents

What research documents need registering?

As a researcher at KI you are engaged in employed work in which you handle different kinds of official documents, from emails and digital applications to signed contracts and data management plans. KI´s Records Schedule for documents states how these different documents are to be handled and whether a document is to be saved or disposed, registered, or otherwise logged. The Records Schedule for documents builds on the university´s five core fields of activity. Under field of activity 4, Researching, are the documents included in the research process listed. Refer to the Records Schedule for information about what to do with your documents.

You can find the latest Records Schedule for documents here (for research documents).

When are the documents to be registered?

Documents are to be continuously registered throughout the research process, from grant application to final reports. Documents are to be submitted for registration on an ongoing basis, not afterwards.

KI´s process flow for recordkeeping (in swedish).

Whose responsibility is it that documents are registered? 

The main responsibility is the researchers, but procedures can vary depending on the department and the nature of the case.

When is a registration case closed?

When no more documents are expected for registration. For example: An agreement can run for several years, but if no more documents are due, the case must still be recorded as closed. Research funding cases shall, on the other hand, be kept open until the final report, which can be years later.

Disclosure requests

Most documents at KI are official and must be disclosed promptly on request, meaning that the request is to be given priority over other work-related tasks.

How is a disclosure handled?

Matters relating to the principle of public access, such as the disclosure of public documents, are generally handled by whichever department or unit in charge of the documents. The disclosure of archived documents is dealt with by the Archive and Registry Unit.

Secrecy

It is up to the administrator (i.e., the person in charge of the documents) to point out what details, if any, are possibly confidential. The Legal Department are on hand to assist in assessment of whether specific details are confidential or not.

You can read more about official documents and disclosure here

FAQ

Who shall I register as the research principal for my research project?

Section 2 of the Ethical Review Act defines the research principal (huvudman) as "a state authority or a natural or legal person on whose premises the research is carried out." The research principal is legally responsible jointly with the individual researcher in relation to the responsibilities laid out in the Ethical Review Act. Research data generated by a university belongs in general to the specific university that has primary responsibility for data.

You can read more about the research principal in clinical research projects here.

Who is to register the ethical application in the event of there being joint research principals?

When more than one principal are involved in one and the same research project, they shall jointly task one of them with applying for an ethical review on behalf of both/all principals. Generally speaking, the ethical review is registered where the application was written.

Guidance on how to choose a research principal in collaborations between KI and Region Stockholm has been prepared by the two entities and can be found under the link.

What is a affidavit of division of responsibility?

A affidavit of division of responsibility (intyg om ansvarsfördelning) is to be drawn up between KI and KS for studies requiring an ethical application and sent to the registrar for registration.

What is the difference between official registration and registering my clinical study?

Official registration must not be confused with the registration and reporting of clinical studies. KI´s Compliance and Data Office (CDO) oversees this process.

Clinical trail registration and reporting at KI

My application for research funding has been rejected. Must I officially register this?

No, only granted application are to be registered.