Data management planning: UK policies and beyond

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Pre-conference workshop, iConference 2013, Fort Worth, TX

Pre-conference workshop, iConference 2013, Fort Worth, TX

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  • 20 mins – TWO INEQUATIONS AND TWO RULES OF THUMB
  • Forces working towards LESS sharing
  • What I’m going to cover
  • So in summary, these are some of the key DMP-related resources.
  • Forces working towards LESS sharing
  • Public funders are following the OECD principle that publicly funded research data should as far as possible be openly available to the scientific community. RCUK adopted common broad principles.
  • EPSRC policy – places responsibility for data sharing upon organisations Other RCs may well follow suit in future
  • Increasingly journals / publishers have data policies Pre-publication vs post-publication monitoring of data access Dryad = repository basic and applied biosciences Treebase = repository phylogenetic data JORD, Journal Research Data Policy Bank : JISC funded
  • Forces working towards LESS sharing
  • Forces working towards LESS sharing

Transcript

  • 1. FUNDER POLICIES UPDATE: UK & beyond Martin Donnelly Digital Curation Centre University of Edinburgh iConference 2013, pre-conference workshop Fort Worth, TX, 12 February 2013
  • 2. RUNNING ORDER (30 mins)1. Introduction and background2. UK (and publishers)3. Europe4. Australia5. Acknowledgements
  • 3. 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
  • 4. DCC and DMP: a short history…- Liz Lyon, “Dealing With Data” (2008) IMPETUS- UK funder expectations (2009)- Development of Checklist, DMP Online ACTION and other resources (2009-10)- NSF policy requirement (2010) IMPETUS- Development of DMPTool (2011) ACTION- Developments and discussions further AND IMPETUS afield (2012, 2013…)
  • 5. 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
  • 6. 2. UK funders1. Policy context / drivers2. Current status3. MRC / ESRC case studyContent courtesy Veerle Van den Eynden, UK DataArchive…
  • 7. DATA SHARING DRIVERS UK ……………………………………………………………………………………………………………………………….……………………………..• Research funder policies• Publisher policies• Demand from users• Transparency and openness agenda• Maximise investment returnsResearch data available for:• New research• Scrutiny / duplication / validation• Research visibility / impact ……………………………………………………………………………………………………………………………….…………………………..… UK DATA ARCHIVE
  • 8. 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 practice3. metadata to make research data discoverable4. legal, ethical, commercial constraints on release of research data5. recognition for collecting & analysing data; limited privileged use6. acknowledge sources of data, intellectual contributions, terms & conditions7. use public funds to support the management and sharing of publicly-funded research dataFrom Research Councils UK Common Principles on Data Policy (May 2011) ……………………………………………………………………………………………………………………………….…………………………..… UK DATA ARCHIVE
  • 9. 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 ……………………………………………………………………………………………………………………………….…………………………..… UK DATA ARCHIVE
  • 10. 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) ……………………………………………………………………………………………………………………………….…………………………..… UK DATA ARCHIVE
  • 11. 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 infrastructure e.g. UK Data Service (ESRC) NERC data centres (NERC) MRC Data Support Service (MRC) Atlas Petabyte Storage (STFC) Archaeology Data Service (AHRC) ……………………………………………………………………………………………………………………………….…………………………..… UK DATA ARCHIVE
  • 12. 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 2015Influenced by Freedom of Information ActEPSRC Policy Framework on Research Data ……………………………………………………………………………………………………………………………….…………………………..… UK DATA ARCHIVE
  • 13. OTHER FUNDER DATA POLICIES ……………………………………………………………………………………………………………………………….……………………………..Data sharing policy & data management planning• Cancer Research UK• Department for International Development (DFID)• Wellcome TrustData sharing policy, no DMP• British Academy• Nuffield Foundation• Department of Health ……………………………………………………………………………………………………………………………….…………………………..… UK DATA ARCHIVE
  • 14. DATA PLAN REQUIREMENTS ……………………………………………………………………………………………………………………………….……………………………..Funder Required at application Data topics in DMPAHRC Technical plan Standards, preservation, continued access & useBBSRC Data management and Type, format, standards, sharing methods, sharing plan restrictions, timeframeCRUK Data sharing plan Volume, format, standards, metadata, documentation, sharing method, timescale, preservation, restrictionsDFID Access and data Repositories, limits, timescale, management plan responsibilities, resources, access strategyEPSRC Policy frameworkESRC Data management plan Volume, type, quality, archiving plans, difficulties sharing, consent sharing, IPR, responsibilities ……………………………………………………………………………………………………………………………….…………………………..… UK DATA ARCHIVE
  • 15. DATA PLAN REQUIREMENTS ……………………………………………………………………………………………………………………………….……………………………..Funder Required at application Data topics in DMPMRC Data management plan Collection methods, documentation, standards, preservation, curation, security, confidentiality, sharing & access, timescale, responsibilitiesNERC Outline data DM procedures, created data management planSTFC Data management plan Type, preservation, metadata, value, sharing, timescale, resources neededWellcome Data management and What data? When share? Where share?Trust sharing plan 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/ ……………………………………………………………………………………………………………………………….…………………………..… UK DATA ARCHIVE
  • 16. 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, TreeBASEJORD: 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/ ……………………………………………………………………………………………………………………………….…………………………..… UK DATA ARCHIVE
  • 17. 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 ……………………………………………………………………………………………………………………………….…………………………..… UK DATA ARCHIVE
  • 18. 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) ……………………………………………………………………………………………………………………………….…………………………..… UK DATA ARCHIVE
  • 19. 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 ? ……………………………………………………………………………………………………………………………….…………………………..… UK DATA ARCHIVE
  • 20. 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 ……………………………………………………………………………………………………………………………….…………………………..… UK DATA ARCHIVE
  • 21. 3. Europe1. EC policies for scientific information2. EC and data infrastructuresContent courtesy Carlos Morais-Pires, EuropeanCommission…
  • 22. Neelie Kroes Digital Agenda Digital (information) single marketOpen Science means optimal sharing of research resultsand tools such as publications, research data, software,educational resources and infrastructures acrossinstitutional, disciplinary and national boundaries.
  • 23. scientific data infrastructuredistributed computing/software infrastructure network infrastructure, GÉANT
  • 24. intelligent access to scientific informationWe dont know how scholarly communicationwill adapt to new paradigms bringing closerhuman and machine readable information...e-Infrastructure can help realising theAAIR vision and opportunities forinnovation in publishingpublication + data + software
  • 25. Open Infrastructures for Open ScienceOpen Scientific Contentdata, computational resources andsoftware resulting from public fundedresearchOpen Culturecareer systems should support andreward those who participate in theculture of sharingOpen Infrastructuresreliable, high-performance andeconomically efficient infrastructures
  • 26. preservation, volumes, costs, etc (*) Peter Buneman, Univ . Edinburgh, Linz April 2006,
  • 27. Open Infrastructures for Open ScienceCOM and REC on Scientific Information, July 2012 Open Access, Long term preservation, Capacity building with data infrastructures
  • 28. recommendation: […] hereby recommends that member states
  • 29. recommendation Preservation and re-use of scientific information 4. Reinforce the preservation of scientific information…
  • 30. recommendation E-infrastructures 5. Further develop e-infrastructures underpinning the system for disseminating scientific information…
  • 31. 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.
  • 32. 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.
  • 33. slide from Dr Neil Jacobs (JISC) presentation to the ECBetter Access to Scientific Information National policy not formulated National policy formulated but not implemented National policy formulated, implemented but no outcomes yet National policy formulated, implemented, and outcomes deliveredOA Publications OA Data Preservation eInfrastructures
  • 34. slide from Dr Neil Jacobs (JISC) presentation to the ECBetter Access to Scientific InformationDo you think the following require coordination / collaboration at the European level? eInfrastructures Preservation • Knowledge exchange • Effects of scale (economies, negotiations) Research data • Reduce duplication • Broad interoperability • Common evaluation standards • Disciplinary imperativesOA / publications • Common infrastructure
  • 35. 4. AustraliaContent courtesy David Groenewegen, AustralianNational Data Service…
  • 36. 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 37
  • 37. 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 38
  • 38. 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). 39
  • 39. 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 40
  • 40. 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. 41
  • 41. 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. 42
  • 42. Thank you martin.donnelly@ed.ac.uk @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)