Ensuring the Integrity, Accessibility, and Stewardship of Research Data in

the Digital Age

Project Briefing

CNI Fall Task Force Meeting

December 15, 2009

Richard Luce, Emory University

Committee Member

Tom Arrison, National Academies

Study Director

Outline of BriefingOutline of Briefing

► National Academies National Academies backgroundbackground

► Study context, Study context, committee, and key committee, and key questionsquestions

► Study outcomes: Study outcomes: principles, issues, and principles, issues, and implicationsimplications

► Additional questions for Additional questions for research libraries and research libraries and higher education IThigher education IT

NAS-NAE-IOM-NRC NAS-NAE-IOM-NRC BackgroundBackground

► Private, non-profit, self-selecting Private, non-profit, self-selecting membership organizations of eminent membership organizations of eminent scientists, engineers, medical scientists, engineers, medical professionalsprofessionals

► Congressional charter to advise the Congressional charter to advise the Federal government Federal government

► Committee on Science, Engineering, Committee on Science, Engineering, and Public Policy (COSEPUP) serves as a and Public Policy (COSEPUP) serves as a “special projects” committee, addresses “special projects” committee, addresses important cross-cutting policy issuesimportant cross-cutting policy issues

NAS-NAE-IOM-NRC NAS-NAE-IOM-NRC BackgroundBackground

MembershipMembership NAENAE MembersMembers 2,1692,169Foreign AssociatesForeign Associates 185 185

NASNAS MembersMembers 2,0712,071Foreign AssociatesForeign Associates 382 382

IOMIOM MembersMembers 1,6051,605Foreign AssociatesForeign Associates 84 84

NRC Volunteers*NRC Volunteers* 5,9085,908NRC Committees*NRC Committees* 574 574Staff (December 2007)Staff (December 2007) 1,1161,116Total Budget (CY 2007)Total Budget (CY 2007) $247.9M$247.9MRegular Program (CY 2007)Regular Program (CY 2007) $164.3M$164.3MReportsReports 199 199

Context for the StudyContext for the Study

► A sea-change in digital data and large data A sea-change in digital data and large data collections in science and engineeringcollections in science and engineering

► Policy making is increasingly data-driven Policy making is increasingly data-driven and complex (e.g. climate change, and complex (e.g. climate change, environment, drug approval)environment, drug approval)

► Concerns about integrity (stem cell Concerns about integrity (stem cell scandal, digital image manipulation)scandal, digital image manipulation)

► Differences in “data cultures” between Differences in “data cultures” between fields (e.g. expectations regarding fields (e.g. expectations regarding openness and sharing, etc.)openness and sharing, etc.)

CommitteeCommittee

Daniel KleppnerDaniel Kleppner, Lester Wolf Professor of Physics Emeritus, MIT (Co-Chair), Lester Wolf Professor of Physics Emeritus, MIT (Co-Chair)Phillip A. SharpPhillip A. Sharp, Institute Professor, Center for Cancer Research, MIT (Co-Chair), Institute Professor, Center for Cancer Research, MIT (Co-Chair)Margaret A. BergerMargaret A. Berger, Professor of Law, Brooklyn Law School, Professor of Law, Brooklyn Law SchoolNorman M. Bradburn,Norman M. Bradburn, Professor Emeritus, University of Chicago Professor Emeritus, University of ChicagoJohn Brauman,John Brauman, J.G. Jackson - C.J. Wood Professor, Stanford University J.G. Jackson - C.J. Wood Professor, Stanford UniversityJennifer T. Chayes,Jennifer T. Chayes, Managing Director, Microsoft Research New England Managing Director, Microsoft Research New EnglandAnita Jones,Anita Jones, Professor of Engineering and Applied, Science, University of Virginia Professor of Engineering and Applied, Science, University of VirginiaLinda P.B. Katehi,Linda P.B. Katehi, Chancellor, University of California at Davis Chancellor, University of California at DavisNeal F. Lane,Neal F. Lane, University Professor and Senior Fellow, Rice University University Professor and Senior Fellow, Rice UniversityW. Carl Lineberger,W. Carl Lineberger, Professor of Chemistry, University of Colorado Professor of Chemistry, University of ColoradoRichard Luce,Richard Luce, Vice Provost and Director of University Libraries. Emory University Vice Provost and Director of University Libraries. Emory UniversityThomas O. McGarity,Thomas O. McGarity, Chair, Trial & Appellate Advocacy, University of Texas, Chair, Trial & Appellate Advocacy, University of Texas,

AustinAustinSteven M. Paul,Steven M. Paul, Executive Vice President, Science & Technology, Eli Lilly and Executive Vice President, Science & Technology, Eli Lilly and

CompanyCompanyTeresa A. Sullivan,Teresa A. Sullivan, Provost, University of Michigan Provost, University of MichiganMike S. Turner,Mike S. Turner, Professor, Department of Astronomy and Astrophysics, University Professor, Department of Astronomy and Astrophysics, University

of Chicagoof ChicagoJ. Anthony Tyson,J. Anthony Tyson, Distinguished Professor of Physics, University of California, Distinguished Professor of Physics, University of California,

DavisDavisSteven C. Wofsy,Steven C. Wofsy, Professor of Atmospheric and Environmental Sciences, Harvard Professor of Atmospheric and Environmental Sciences, Harvard

UniversityUniversity

Key QuestionsKey Questions

►What are the growing varieties of What are the growing varieties of research data? research data?

►Who owns research data?Who owns research data?►Is a scientist responsible for supplying Is a scientist responsible for supplying

research data to other scientists?research data to other scientists?►What are the challenges from actions What are the challenges from actions

that would compromise the integrity of that would compromise the integrity of research data?research data?

►What should be the standards for What should be the standards for accessing and maintaining research accessing and maintaining research data? data?

Outcomes of the StudyOutcomes of the Study

► Report provides a framework for data Report provides a framework for data integrity, accessibility, and stewardshipintegrity, accessibility, and stewardship

► Develops 3 core principles for the Develops 3 core principles for the research enterpriseresearch enterprise

► Suggests roles and responsibilities for Suggests roles and responsibilities for researchers, research institutions researchers, research institutions (including research libraries), sponsors, (including research libraries), sponsors, journals, and professional societiesjournals, and professional societies

► Focus is on enabling greater openness Focus is on enabling greater openness and transparencyand transparency

Data Integrity PrincipleData Integrity Principle

Ensuring the integrity of research data is Ensuring the integrity of research data is essential for advancing scientific, essential for advancing scientific, engineering, and medical knowledge and engineering, and medical knowledge and for maintaining public trust in the for maintaining public trust in the research enterprise. Although other research enterprise. Although other stakeholders in the research enterprise stakeholders in the research enterprise have important roles to play, researchers have important roles to play, researchers themselves are ultimately responsible for themselves are ultimately responsible for ensuring the integrity of research data. ensuring the integrity of research data.

Data Integrity IssuesData Integrity Issues

► Peer review vital, but of limited value in Peer review vital, but of limited value in ensuring data integrityensuring data integrity

► Transparency, and collective scrutiny of Transparency, and collective scrutiny of data are the best ways to ensure that data are the best ways to ensure that errors or fraud are discovered and errors or fraud are discovered and correctedcorrected

► Researchers must understand personal Researchers must understand personal responsibilityresponsibility

► Clear standards and adequate training Clear standards and adequate training criticalcritical

► Data professionals are importantData professionals are important

Data Integrity RecommendationsData Integrity Recommendations►Researchers should design and manage Researchers should design and manage

projects to ensure data integrityprojects to ensure data integrity►Research institutions should ensure Research institutions should ensure

that every researcher receives RCR that every researcher receives RCR training that includes proper data training that includes proper data managementmanagement

►Stakeholders should develop and Stakeholders should develop and disseminate professional standards for disseminate professional standards for data integrity data integrity

►Recognize/reward data professionals Recognize/reward data professionals

Data Access and Sharing Data Access and Sharing PrinciplePrinciple

Research data, methods, and Research data, methods, and other information integral to other information integral to publicly reported results should be publicly reported results should be publicly accessible.publicly accessible.

Data Access and Sharing IssuesData Access and Sharing Issues

► Fields have different cultures and Fields have different cultures and practicespractices

► The research enterprise as a whole is The research enterprise as a whole is moving toward expanded access and moving toward expanded access and sharingsharing

► Intellectual property, ownership of data, Intellectual property, ownership of data, and international issues are important, and international issues are important, but are not fundamental barriersbut are not fundamental barriers

► Change should be led by researchers, but Change should be led by researchers, but journals and sponsors have significant journals and sponsors have significant leverageleverage

Data Access and Sharing Data Access and Sharing RecommendationsRecommendations

► Researchers should make data and other Researchers should make data and other information underlying results publicly information underlying results publicly accessibleaccessible

► Research fields should develop/maintain Research fields should develop/maintain standardsstandards

► Promote the sharing of research data through Promote the sharing of research data through publication policies, recognition, and fundingpublication policies, recognition, and funding

► Research institutions should establish clear Research institutions should establish clear policies regarding data management/access policies regarding data management/access and communicate these to researchersand communicate these to researchers

Data Stewardship Principle

Research data should be retained to serve future uses. Data that may have long-term value should be documented, referenced, and indexed so that others can find and use them accurately and appropriately.

Data Stewardship IssuesData Stewardship Issues

►Practices and institutional Practices and institutional infrastructure vary widely by fieldinfrastructure vary widely by field

►““Who pays for how long?”Who pays for how long?”►Universities and sponsors can play Universities and sponsors can play

leadership roles leadership roles

Data Stewardship Data Stewardship RecommendationsRecommendations

►Researchers should establish data Researchers should establish data management plans for each project management plans for each project that include provisions for the that include provisions for the stewardship stewardship

►Research fields should develop Research fields should develop guidelines for assessing their data and guidelines for assessing their data and criteria for retentioncriteria for retention

►Stakeholders should work to develop, Stakeholders should work to develop, support, and implement plans for data support, and implement plans for data stewardship.stewardship.

Implications: What Next?Implications: What Next?

Researchers: Researchers: Understand personal Understand personal responsibility; Understand the value of responsibility; Understand the value of openness; Play leadership role in openness; Play leadership role in standards-settingstandards-setting

Research Institutions Research Institutions (universities and (universities and research libraries): Ensure researcher research libraries): Ensure researcher training; Develop clear data policies; training; Develop clear data policies; Lead stewardship initiativesLead stewardship initiatives

Implications: What Next?Implications: What Next?

Journals: Journals: Policies should reflect Policies should reflect principles; promote expanded access principles; promote expanded access and sharingand sharing

Professional societies: Professional societies: Where Where appropriate, organize standards for appropriate, organize standards for integrity, access, and stewardshipintegrity, access, and stewardship

Sponsors: Sponsors: Support data infrastructure Support data infrastructure and data professionals; provide and data professionals; provide incentives for access and sharingincentives for access and sharing

Additional Questions and Issues Additional Questions and Issues for Research Libraries and CIOsfor Research Libraries and CIOs

►Repositories (policy and technical Repositories (policy and technical issues)issues)

►Training (particularly for new grad Training (particularly for new grad students)students)

►Long-term preservationLong-term preservation

RepositoriesRepositories

►Growing number of institutional and Growing number of institutional and subject matter repositories subject matter repositories

►Focus of institutional repositories has Focus of institutional repositories has been to provide access to faculty been to provide access to faculty publicationspublications

►Data can also be deposited Data can also be deposited

Repositories, continuedRepositories, continued

►Policy issues: institutional deposition Policy issues: institutional deposition mandates for publications; future data mandates for publications; future data access mandates?access mandates?

►Technical issues: integration and Technical issues: integration and federation; with grants management, federation; with grants management, sponsors, etc.sponsors, etc.

►How to approach access, network How to approach access, network management, security, privacy?management, security, privacy?

Implications for TrainingImplications for Training

►Who is responsible for training new grad Who is responsible for training new grad students in good data practices?students in good data practices?

►Who develops and disseminates Who develops and disseminates institutional policies?institutional policies?

►Diversity in approaches among fields—Diversity in approaches among fields—and approaches are changing and approaches are changing

►What institution-wide resources are What institution-wide resources are needed?needed?

►How to work with departments?How to work with departments?

Long-Term Curation of DataLong-Term Curation of Data

►Who pays? How much? For how long?Who pays? How much? For how long?►Developing standards and policiesDeveloping standards and policies►Division of labor/resources among Division of labor/resources among

libraries, sponsors, disciplines, etc. libraries, sponsors, disciplines, etc.

Thank You!Thank You!

Tom ArrisonTom Arrison

Study DirectorStudy Director

The National AcademiesThe National Academies

Tel: 202 334 3755Tel: 202 334 3755

Email: tarrison@nas.eduEmail: tarrison@nas.edu