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Research integrity and data management


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Justin Withers from the Australian Research Council presented at University of Technology Sydney's RIA Data Management Workshop on 21 June 2018. In partnership with the Australian Research Council, the National Health and Medical Research Council, the Australian Research Data Commons, and RMIT University, this is part of a national workshop series in data management for research integrity advisors.

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Research integrity and data management

  1. 1. Research Integrity & Data management 21 June 2018 Justin Withers A/g Branch Manager, Policy and Strategy Australian Research Council
  2. 2. Presentation Overview • Australian Research Council (ARC) & National Health and Medical Research Council (NHMRC) overview • Open Data - Whole of Government Approach • ARC and NHMRC Data Management Requirements • Australian Code for the Responsible Conduct of Research NHMRC & ARCARC and NHMRC
  3. 3. ARC and NHMRC Overview • The ARC and NHMRC are Commonwealth entities • The ARC’s main responsibilities are: o Providing funding for research through the National Competitive Grants Program (NCGP) o Evaluating the quality of research in universities under the Excellence in Research for Australia (ERA) program o Developing an engagement and impact assessment framework o Providing advice on research matters to Government. • The NHMRC’s main responsibilities are: o Fund high quality health and medical research and build research capability o Support the translation of health and medical research into better health outcomes o Promote the highest ethical standards in health and medical research. NHMRC & ARCARC and NHMRC
  4. 4. 2017–18 Federal investment in R and D (Approx. AU$10 Billion) NHMRC & ARCARC and NHMRC
  5. 5. Open Data Whole of Government Approach NHMRC & ARCARC and NHMRC
  6. 6. • Released in 2015, this applies to most data collected by government entities. o Optimising the use and reuse of public data o Collaborating with private and research sectors o Releasing non sensitive data as open by default NHMRC & ARCARC and NHMRC Australian Govt. Public Data Policy Statement www.dpm • The Office of the Australian Information Commissioner is providing guidance about the changing data environment and its relationship to the Australian Privacy Principles. It released the: • Guide to Data Analytics and the Australian Privacy Principles • The Guide outlines how the new data environment requires a comprehensive understanding of risk associated with bringing data together for new purposes. All
  7. 7. Australian Government / Sector Initiatives NHMRC & ARCARC and NHMRC • National Innovation and Science Agenda to promote innovation through publishing and sharing public data. • Boosting the Commercial Returns from Research agenda to open business and community access to publicly funded publications and data. • Australia 2030: Prosperity through Innovation – A plan for Australia to thrive in the global innovation race – released 2018
  8. 8. • Data61 and CSIRO are supporting Government to provide guidance on de-Identification of data to support the release of government datasets and build capability. • to find, access, and reuse Government datasets. • Australia’s First Open Government National Action Plan 2016-18. • Productivity Commission Data availability and use final report. NHMRC & ARCARC and NHMRC Australian Government
  9. 9. Australian National Data Service • National Collaborative Research Infrastructure Strategy funding. • Research Data Australia discovery portal that provides access for research organisations, government and cultural institutions. Australian Data Archive • Collection and preservation of digital research data for secondary analysis. • Consistent with ARC data management requirements. NHMRC & ARCARC and NHMRC Australian Government / Sector Initiatives
  10. 10. • National statement of principles aimed at opening up access to Australia’s research • The collaboration included representatives from university, research, business and the not-for-profit sector, with observers from government bodies • This effort was under the auspices of the Universities Australia's Deputy Vice-Chancellors (Research) Committee ARC and NHMRC Australian Government / Sector Initiatives
  11. 11. International Developments in Data Management NHMRC & ARCARC and NHMRC
  12. 12. International research funders • Data management or sharing plan: National Science Foundation, National Institutes of Health (USA), Research Councils, Wellcome Trust (UK). • Retaining research datasets: Canadian Institutes of Health, Social Sciences and Humanities Research Council (Canada). • Provide/specify which repository to use: Economic and Social Research Council, SRC, National Environment Research Council , Medical Research Council, Cancer Research, Wellcome Trust (UK). NHMRC & ARCARC and NHMRC www.m www.wellcom
  13. 13. Academic publishers “Research data should be made available free of charge to all researchers wherever possible and with minimal reuse restrictions”. NHMRC & ARCARC and NHMRC o Submission of data files with final manuscript o Data sharing service (Figshare)
  14. 14. ARC and NHMRC Data Management Requirements NHMRC & ARCARC and NHMRC
  15. 15. Open Data o Types of data produced o Standards and approaches to data management, analysis, archiving, storing, sharing, citation and publication o Funders and publishers are increasing support Open data and data management are dynamic and rapidly evolving NHMRC & ARCARC and NHMRC Open Access & Open Science Open Data Community and researcher benefits
  16. 16. ARC: Open Data NHMRC & ARCARC and NHMRC • The ARC encourages researchers to deposit data arising from research projects in publicly accessible repositories. o Included in ARC funding rules since 2007 o Where researchers are unable to meet this requirement, reasons must be provided in the Final Report. • Recognising the challenges involved in addressing the rapid growth and significant changes occurring in relation to data, the ARC has not mandated open access to research data.
  17. 17. ARC: Data Management • Effective data management is an important part of ensuring open access to publicly funded research data. • The ARC requires researchers to outline how they plan to manage research data arising from ARC-funded research. o Included as part of the NCGP application process since February 2014. • The ARC does not require full, detailed data management plans (such as those required by some funding agencies internationally). • Further information is available at:>Polices and Strategies>Strategy>Research Data Management NHMRC & ARCARC and NHMRC
  18. 18. ARC: Data Management Alignment The ARC’s requirement is consistent with: • Australian Code for the Responsible Conduct of Research (2007) • OECD Principles and Guidelines for Access to Research Data from Public Funding (2007) o Guidance on the management of data and primary materials. o Australia, as an OECD member, is expected (not legally bound) to implement the principles and guidelines. NHMRC & ARCARC and NHMRC
  19. 19. ARC: Open Access Policy • Revised policy released on 30 June 2017. • Scope remains the same – any Research Output from ARC funded research must be made openly accessible within a twelve (12) month period from the publication date. • Key changes to the policy include: - Research outputs are to be made openly accessible either in an institutional repository or elsewhere - The types of research outputs has been clarified (all outputs not just journal articles and scholarly monographs) - Metadata must be made openly accessible ASAP, but no later than three months from the date of publication of the research output - The need for appropriate licensing of research outputs providing guidance on allowable reuse and access. NHMRC & ARCARC and NHMRC
  20. 20. NHMRC: Open Access Policy • A revised NHMRC Open Access Policy was released in January 2018. It now addresses three output types. 1. research literature in the form of peer reviewed publications (Peer reviewed publications, including journal articles and conference papers) 2. data arising from research more broadly (Sharing of research data, clinical trials data and data during public health emergencies) 3. Patent applications generated from NHMRC-funding (List ‘filed’ patent applications on SourceIP referencing the Grant ID). NHMRC & ARCARC and NHMRC
  21. 21. NHMRC: Principles for accessing and using publicly funded data for health research NHMRC & ARCARC and NHMRC • common set of priorities • encourage communication • understand each other’s roles and responsibilities • optimise data use to benefit all
  22. 22. Australian Code for the Responsible Conduct of Research and Data Management NHMRC & ARCARC and NHMRC Australian Code for the Responsible Conduct of Research 2018 Australian Code for the Responsible Conduct of Research 2018
  23. 23. Principles (2018 Code) NHMRC & ARCARC and NHMRC The new Code has specified responsibilities for both institutions and researchers in relation to the management of research data. P1 Honesty in the development, undertaking and reporting of research P2 Rigour in the development, undertaking and reporting of research P3 Transparency in declaring interests and reporting research methodology, data and findings P7 Accountability for the development, undertaking and reporting of research Data management requirements were formerly covered by two sections in the 2007 version of the Code: 1. Management of research data (section 2) 2. Dissemination of research (section 4)
  24. 24. Responsibilities (2018 Code) NHMRC & ARCARC and NHMRC Institutions R7 Support the responsible dissemination of research findings. Where necessary, take action to correct the record in a timely manner. R8 Provide access to facilities for the safe and secure storage and management of research data, records and primary materials and, where possible and appropriate, allow access and reference. Researchers R22 Retain clear, accurate, secure and complete records of all research including research data and primary materials. Where possible and appropriate, allow access and reference to these by interested parties. R23 Disseminate research findings responsibly, accurately and broadly. Where necessary, take action to correct the record in a timely manner.
  25. 25. Data management and the Code NHMRC & ARCARC and NHMRC • A specific BPG on data management is currently under development in consultation with ANDS. • Input from appropriately experienced individuals within institutions will also be sought. • In the meantime, until a specific BPG is finalised, an extract from Part A, Section 2 of the 2007 Code will apply. • Institutions and researchers should continue to refer to this advice until the release of new supplementary guidance material.
  26. 26. NHMRC & ARCARC and NHMRC • A Data Management BPG will complement the Code, providing guidance to institutions and researchers to: 1. ensure that sufficient data and materials are retained to justify the outcomes of research 2. allow for appropriate access to, and use of, data and materials by interested parties, and 3. maximise the potential value of data and materials for future research. 4. provide guidance to assist researchers in management of their data. • Public consultation on the BPG will occur later in the year. Data management and the Code….continued
  27. 27. NHMRC & ARCARC and NHMRC Thank you