Data management planning: UK policies and beyond
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Transcript of Data management planning: UK policies and beyond
Martin DonnellyDigital Curation CentreUniversity of Edinburgh
FUNDER POLICIES UPDATE:UK & beyond
iConference 2013, pre-conference workshopFort Worth, TX, 12 February 2013
RUNNING ORDER (30 mins)
1. Introduction and background2. UK (and publishers)3. Europe4. Australia5. Acknowledgements
1. Introduction/Background
- Digital Curation Centre, est. 2004- Three partners: Universities of Edinburgh,
Glasgow and Bath- Primary funder is JISC
Helping to build capacity, capability and skills in data management and curation across the UK’s higher education research community
-DCC Phase 3 Business Plan
www.dcc.ac.uk
- Liz Lyon, “Dealing With Data” (2008)- UK funder expectations (2009)- Development of Checklist, DMP Online
and other resources (2009-10)- NSF policy requirement (2010)- Development of DMPTool (2011)- Developments and discussions further
afield (2012, 2013…)
DCC and DMP: a short history…
IMPETUS
ACTION
IMPETUS
ACTIONANDIMPETUS
DMP resources– “Dealing with Data” (Lyon, 2008)– Analysis of Funder Policies (Jones, 2009)– Checklist for a Data Management Plan
(Donnelly and Jones, 2009-2013)– DMP Online tool (2009-2013)– “How to Develop a Data Management and
Sharing Plan” (Jones, 2011)– “Data Management Plans and Planning”
(Donnelly, 2012) in Pryor (ed.) Managing Research Data, London: Facet
– DMP Online briefing paper (Donnelly and Richardson, forthcoming 2012)
Links to all DCC resources via http://www.dcc.ac.uk/resources/data-management-plans
2. UK funders
1. Policy context / drivers2. Current status3. MRC / ESRC case study
Content courtesy Veerle Van den Eynden, UK Data Archive…
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UK DATA ARCHIVE
DATA SHARING DRIVERS UK
• Research funder policies• Publisher policies• Demand from users • Transparency and openness agenda• Maximise investment returns
Research data available for:• New research• Scrutiny / duplication / validation• Research visibility / impact
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UK DATA ARCHIVE
RESEARCH FUNDER DATA POLICIES
1. Publicly funded research data are a public good, produced in the public interest, that should be made openly available with as few restrictions as possible in a timely and responsible manner that does not harm intellectual property.
2. in accordance with relevant standards and community best practice
3. metadata to make research data discoverable
4. legal, ethical, commercial constraints on release of research data
5. recognition for collecting & analysing data; limited privileged use
6. acknowledge sources of data, intellectual contributions, terms & conditions
7. use public funds to support the management and sharing of publicly-funded research data
From Research Councils UK Common Principles on Data Policy (May 2011)
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UK DATA ARCHIVE
RESEARCH FUNDER POLICIES
Research Councils UK Policy on Access to Research Outputs (July 2012)
• peer reviewed research papers to be published in journals that are compliant with Research Council policy on Open Access
• include statement on how the underlying research materials such as data, samples or models can be accessed
• for publications submitted for publication from 1 April 2013
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UK DATA ARCHIVE
7 RCUK RESEARCH COUNCILS
• Arts and Humanities Research Council (AHRC)• Biotechnology and Biological Sciences Research Council
(BBSRC)• Engineering and Physical Sciences Research Council (EPSRC• Economic and Social Research Council (ESRC)• Medical Research Council (MRC)• Natural Environment Research Council (NERC)• Science and Technology Facilities Council (STFC)
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UK DATA ARCHIVE
RESEARCH COUNCIL DATA POLICIES
Research Councils:• Data sharing policy mandating/encouraging data sharing• Data management / sharing planning required• Award holders responsible for managing & sharing data,
except EPSRC• Some councils fund their own data sharing support
services and infrastructuree.g. UK Data Service (ESRC)
NERC data centres (NERC)
MRC Data Support Service (MRC)
Atlas Petabyte Storage (STFC)
Archaeology Data Service (AHRC)
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UK DATA ARCHIVE
EPSRC POLICY FRAMEWORK ON RESEARCH DATA
Research organisations receiving EPSRC funding have a responsibility to:
• publish metadata online, with DOI (digital object identifier)
• maintain data securely for 10 years from last access
• papers to include statements on access to supporting data
• expectations also follow RCUK principles
Roadmap for compliance by May 2012; institutional infrastructure in place by May 2015
Influenced by Freedom of Information Act
EPSRC Policy Framework on Research Data
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UK DATA ARCHIVE
OTHER FUNDER DATA POLICIES
Data sharing policy & data management planning• Cancer Research UK• Department for International Development (DFID)• Wellcome Trust
Data sharing policy, no DMP• British Academy• Nuffield Foundation• Department of Health
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UK DATA ARCHIVE
DATA PLAN REQUIREMENTS
Funder Required at application Data topics in DMP
AHRC Technical plan Standards, preservation, continued access & use
BBSRC Data management and sharing plan
Type, format, standards, sharing methods, restrictions, timeframe
CRUK Data sharing plan Volume, format, standards, metadata, documentation, sharing method, timescale, preservation, restrictions
DFID Access and data management plan
Repositories, limits, timescale, responsibilities, resources, access strategy
EPSRC Policy framework
ESRC Data management plan Volume, type, quality, archiving plans, difficulties sharing, consent sharing, IPR, responsibilities
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UK DATA ARCHIVE
DATA PLAN REQUIREMENTS
Funder Required at application Data topics in DMP
MRC Data management plan Collection methods, documentation, standards, preservation, curation, security, confidentiality, sharing & access, timescale, responsibilities
NERC Outline data management plan
DM procedures, created data
STFC Data management plan Type, preservation, metadata, value, sharing, timescale, resources needed
Wellcome Trust
Data management and sharing plan
What data? When share? Where share? How access? Limits, how preserve? What resources?
Digital Curation Centre, Funders’ data plan requirements:www.dcc.ac.uk/resources/data-management-plans/funders-requirements
Knight, G; (2012) Funder Requirements for Data Management and Sharing. London School of Hygiene and Tropical Medicine, London. researchonline.lshtm.ac.uk/208596/
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UK DATA ARCHIVE
JOURNAL / PUBLISHER DATA POLICIES
• Data underpinning publication accessible• upon request from author• supplement with publication• public repository • mandated repository (e.g. PANGAEA – Elsevier)
• Many top-rated science journals (Science, Nature, J Evol. Biol...) have strong policies relating to data repositories which give dataset accession numbers
e.g. GenBank, EMBL, DRYAD, TreeBASE
JORD: survey of journal policies jordproject.wordpress.com/ 2012/09/13/journal-research-data-policies-survey/ jordproject.wordpress.com/2012/10/15/overview-of-policy-types-from-the-science-journals-in-the-sample/
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UK DATA ARCHIVE
CASE STUDY 1 - ESRC
• DMP requirement introduced April 2011
• Requirements & guidance developed: UK Data Archive & ESRC
• DMP topics:• assessment of existing data that could be used for the research• information on new data that will be created• quality assurance of data• back-up and security of data• expected difficulties in data sharing, e.g. ethical or legal issues• copyright and Intellectual Property Right of data• data management responsibilities• preparation of data for sharing and archiving
• DMP Review 2012, UK Data Archive, Research Data Management Support Team
• evaluate quality of random sample of 24 DMPs
• score each topic: 1=insufficient; 2=sufficient; 3=excellent
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UK DATA ARCHIVE
ESRC REVIEW OF DMPs
Findings• Average quality score: 17 (9-23)• 7 DMPs (29 %) < 16 • 4 DMPs (17 %) < 12• On average good to excellent information on assessing existing
data (average score of 2.4 )• Poorest information:
• copyright and IPR of research data (avg score 1.8)
• preparing data for sharing / archiving (avg score 1.9)
• Score = 1 (insufficient information provided) most common for copyright (7 plans), data management responsibilities (5 plans) and data preparation (5 plans)
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UK DATA ARCHIVE
CASE STUDY 2 – MRC
• DMP requirements introduced June 2012• Requirements & guidance developed MRC-DSS & JISC-funded
project ‘Data Management Planning for MRC projects’• DMP Review Dec 2012: panel of MRC theme / programme /
policy managers & external data scientists / DM experts• evaluate 22 DMPs• info provided in DMP fit for purpose ?• DMP template / guidance interpreted correctly ?
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UK DATA ARCHIVE
MRC REVIEW OF DMPs
Findings: template & guidance being amernded• Data security, not only relevant for data with personal identifiers,
also to safeguard valuable data in general• Need to describe institutional resources to support data
management and sharing • DMPs require input from key institutional support staff • DMP also for institution to plan effective data support for research• DMP should identify which resources a project needs• Data suitability for sharing – justification needed to ensure all
implications of data sharing are considered / understood• Clear timescales for data sharing needed• DMP’s using template easier to evaluate • Free text / brief DMPs fairly generic
3. Europe
1. EC policies for scientific information
2. EC and data infrastructures
Content courtesy Carlos Morais-Pires, European Commission…
Neelie KroesDigital AgendaDigital (information) single market
Open Science means optimal sharing of research results and tools such as publications, research data, software, educational resources and infrastructures across institutional, disciplinary and national boundaries.
network infrastructure, GÉANT
distributed computing/software infrastructure
scientific data infrastructure
intelligent access to scientific information
We don't know how scholarly communication
will adapt to new paradigms bringing closer
human and machine readable information...
e-Infrastructure can help realising the
AAIR vision and opportunities for
innovation in publishing
publication + data + software
Open Infrastructures for Open Science
Open Scientific Content
data, computational resources and software resulting from public funded research
Open Culture
career systems should support and reward those who participate in the culture of sharing
Open Infrastructures
reliable, high-performance and economically efficient infrastructures
preservation, volumes, costs, etc
(*) Peter Buneman, Univ . Edinburgh, Linz April 2006,
Open Infrastructures for Open Science
COM and REC on Scientific Information, July 2012
Open Access,
Long term preservation,
Capacity building with data infrastructures
recommendation:[…] hereby recommends that member states
recommendation
Preservation and re-use of scientific information
4. Reinforce the preservation of scientific information…
recommendation
E-infrastructures
5. Further develop e-infrastructures underpinning the system for
disseminating scientific information…
recommendation
E-infrastructures
– reinforcing the infrastructure for access to and preservation of
scientific information at national level, and earmarking the necessary funds;
– ensuring the quality and reliability of the infrastructure,
including through the use of certification mechanisms for
repositories;
– ensuring interoperability among e-infrastructures at national and
global level.
recommendation
E-infrastructures
6. Ensure synergies among national e-infrastructures at
European and global level by:
– contributing to the interoperability of e-infrastructures, in particular
addressing scientific data exchange, taking into account experiences with
existing projects, infrastructures and software developed at European and
global level;
– supporting transnational cooperative efforts that promote the use
and development of information and communication technologies
infrastructure for higher education and research.
Policy formulated Policy not formulated
Formulated, notimplementing
Formulated, im
plementing, no
outcomes
Formulated, implementing, with outcomes
Policy formulated Policy not formulated
Formulated, notimplementing
Formulated, im
plementing, no
outcomes
Formulated, implementing, with outcomes
Policy formulated
Policy not formulatedFormulated, not
implementing
Formulated, im
plementing, no outcom
es
Formulated, implementing,
with outcomes
Policy formulated Policy not formulatedFormulated, notimplementing
Formulated, im
plementing, no outcom
es
Formulated, implementing, with outcomes
National policy not formulated
National policy formulated but not implemented
National policy formulated, implemented but no outcomes yet
National policy formulated, implemented, and outcomes delivered
OA Publications OA Data Preservation eInfrastructures
Better Access to Scientific Informationslide from Dr Neil Jacobs (JISC) presentation to the EC
Do you think the following require coordination / collaboration at the European level?
eInfrastructures
Preservation
Research data
OA / publications
• Knowledge exchange
• Effects of scale (economies, negotiations)
• Reduce duplication
• Broad interoperability
• Common evaluation standards
• Disciplinary imperatives
• Common infrastructure
Better Access to Scientific Informationslide from Dr Neil Jacobs (JISC) presentation to the EC
4. Australia
Content courtesy David Groenewegen, Australian National Data Service…
Research funding in Australia
• Australian Research Council (ARC) and National Health and Medical Research Council (NHMRC) provide bulk of competitive government funding
• Funding also comes from other government bodies, private industry, international collaboration, and overseas funding bodies
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Sharing and other requirements
• NHMRC – publications must be deposited (July 2012)
• ARC – publications must be deposited (Jan 2013)
• Data:– No requirements from either (BUT: both now
“encourage” it)– No history of disciplinary data stores– No requirements for data management planning
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Research infrastructure funding
• Department of Industry, Innovation, Research, Science and Tertiary Education (DIISRTE)– National Computational Infrastructure (NCI).– Research Storage Infrastructure (RDSI)– Australian National Data Service (ANDS)– National eResearch Collaboration Tools and
Resources (NeCTAR).
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Consequences
• Storage nodes now in place in most states• Large scale engagement on data management
issues and capability building at virtually all universities– 75% of unis have a data management policy in
place or in progress
• Development of a range of tools
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Going forward – shorter term
• Collaborative Research Infrastructure Scheme (CRIS)
• The scheme will provide $60 million to support the operation of critical national, collaborative research infrastructure facilities up to 31 December 2014.
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Going forward – longer term• Australian Research Committee (ARCom) -
– to provide integrated and strategic advice on future research investments, including in the areas of human capital, infrastructure and collaborative activities
• National Research Investment Plan– sets out a comprehensive national research
investment planning process. – enable a coordinated, whole-of-government approach
to research investment that is structured to meet national needs and provide value for money.
– released on 28 November 2012.
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Thank you
[email protected]@mkdDCC
www.dcc.ac.uk
Thanks to colleagues for use of their slides:Veerle Van den Eynden (ESRS), Carlos Morais-Pires (EC), David Groenewegen (ANDS)