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Improving Access to
Research Data:
What does changing legislation
mean for you?
Marieke Guy, Institutional Support Officer,
Digital Curation Centre, UKOLN, University of Bath, UK

Email: m.guy@ukoln.ac.uk
Twitter Id: mariekeguy
Web: http://www.dcc.ac.uk

Technology in Higher Education, 31st January 2013

                                                 UKOLN is supported by:



           This work is licensed under a Creative Commons Licence
           Attribution-ShareAlike 2.0


  1
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                                               a&hs=Jl2&rls=org.mozilla:en-GB:official&biw=1366&bih




                                           Research Data
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mulejunk/352387473/



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What is Research Data?
    …whatever is produced in research or evidences its outputs




                                                      • Facts
                                                      • Statistics
                                                      • qualitative
                                                      • quantitative
                                                      • Not published
                                                        research output

3
     What Kinds of Data?                              • Discipline specific
A Data Present

         “Data underpins our economy and
         our society - data about how
         much is being spent and where,
         data about how schools, hospitals
         and police are performing, data
         about where things are and data
         about the weather.”

         Tim Berners Lee, director of W3C.



4
Big Data…and Small Data
                       •   Big data
                       •   DIY data
                       •   Consumer data
                       •   Crowd Sourced data
                       •   Linked data
                       •   Open data
                       •   Databases
                       •   Learning data
                       •   Administrative data
“The 1000
 “The 1000
Genomes Project
 Genomes Project            “Volume
generated more
 generated more
                                     , velocity
                            and varie
DNA sequence
 DNA sequence                        ty”
                                                            ata
                                                  oject: “d
data in its first 66
 data in its first
                                             s pr
months than
 months than
                           JISC M aRDI-Gros             icant
GenBank had
 GenBank had                           the least signif          nce
accumulated in             v olume is             nt c ontext, si
                                       the prese
 accumulated in
                            (issue) in                       m”
                                                  cal proble
its entire 21 year
 its entire 21 year
                                           echni
existence”
 existence”
   5                             ‘only’ a t
Away from Secrecy

         “We need to move away from a
         culture of secrecy and towards
         a world where researchers can
         benefit from sharing expertise
         throughout the research
         lifecycle”

         Dr Malcolm Read, then executive secretary
         of JISC, 2011




6
        Hal Varian, Chief Economist, Google
Making Public Data Accessible

    “We have opened up much public
    data already, but need to go much
    further in making this data
    accessible. We believe publicly
    funded research should be freely
    available. We have commissioned
    independent groups of academics
    and publishers to review the
    availability of published research,
    and to develop action plans for
                                          The Open Data Institute
    making this freely available”         (ODI) will be the first of its
                                          kind, a pioneering centre
                                          of innovation, driven by
                                          the UK Government’s
7                                         Open Data policy
Science as an Open Enterprise
•   Report by Royal Society, June 2012
•   Analyses the impact of new and emerging
    technologies that are transforming the
    conduct and communication of research
•   Recommendations:
     • Scientists should make data available in
       data repositories
     • Universities have a major role to play in
       supporting open data
     • Learned societies and academic bodies
       should promote open science
     • Science journals should require data
       underpinning article
     • Industry sector and regulators should
       work together to share data in public
8
       interest
Finch Report
    • June 2012: Finch report: Accessibility, sustainability,
      excellence: how to expand access to research publications
    • Funded by BIS, HEFCE, RCUK & Publishers association
    • Addresses question how to achieve “better, faster access to
      research publications”
    • Recommends that UK should embrace the transition to open
      access
    • Recommends ‘gold’ open access journals (over ‘green’)
    • Government accepted all recommendations
    • HEFCE endorsed report – making open access published
      research the basis for the REF from 2014
    • Cost of the transition (up to £50m a year) must be covered by
      the existing science budget
    • Main concerns: cost, repository use, reduction in niche
      funding, jobs?
9
Funding: RCUK

     • RCUK Common Principles on Data Policy
        – Public good: Publicly funded research should be made
           openly available with as few restrictions as possible
        – Planning for preservation
        – Discovery: Metadata should be available and discoverable
        – Confidentiality: Ensure legal, ethical and commercial
           constraints assessed
        – First use: Provision for a period of exclusive use
        – Recognition: Acknowledge data sources
        – Public funding: Must be efficient and cost-effective
     • 16th July 2012 new ‘Access to Research Outputs’ policy based
       on Finch report
     • All publications submitted from 1 April 2013 must be
       published in journals which are compliant with Research
10     Council policy on Open Access
Data Policies of Funders




     http://www.dcc.ac.uk/resources/policy-and-legal/overview-funders-data-policies

11
Funders Policies: EPSRC

     Engineering and Physical Sciences Research
     Council (EPSRC) expects all those institutions
     it funds
     •to develop a roadmap that aligns their policies and
     processes with EPSRC’s expectations by 1st May 2012;
     •to be fully compliant with these expectations by 1st May
     2015.

     •Compliance will be monitored and non-compliance
     investigated.
     •Failure to share research data could result in the imposition
     of sanctions.




12
Funders Policies: AHRC




13
Other Moves Towards Openness

                      Organisation for Economic Co-operation and
                      Development describes data as a public good that
                      should be made available



     European Commission Statement on open access
     July 2012
     •All research funded through its Horizon 2020 programme
     (2014 – 2020) must be made open access.
     •The commission wants to see 60% of publicly-funded
     research articles in Europe available for free by 2016.



14
Government Open Agenda

     David says…     FOI 'furs up' government
                     with repeated requests
                     about processes. Open
                     data is better.



                             We need to shine the
                              We need to shine the
                           light of transparency on
                            light of transparency on
                               everything we do
                                everything we do



                                 We recognise that
                                  We recognise that
                           transparency and open data
                            transparency and open data
                             can be aapowerful tool to
                              can be powerful tool to
                           help reform public services,
                            help reform public services,
                               foster innovation and
                                foster innovation and
                                 empower citizens.
                                  empower citizens.
15
Research Data Management Drivers
                                External



       • Government Open Agenda
       • Public pressure – data as a public good
       • Changes in funders’ data policies
       • Research now becoming more global and more ‘data
         Intensive’ – Riding the Wave report
       • Institutional need for better research integrity - REF
       • Best practice
       • Desire to be ‘good researcher’ and a well-cited
         researcher



16                              Internal
Institutional Reputation




                                        r
                                   lick
                                 nF
                             rowo
                     yn   Mor
                 ha r
             by S
         age
C   C im



    17
Research Integrity
           “Employers must take responsibility for the
           integrity of their employees' research.
           However, we question who would oversee
           the employer and make sure that they are
           doing the right thing. In the same way that
           there is an external regulator overseeing
           health and safety, we consider that there
           should be an external regulator overseeing
           research integrity.”


          House of Commons Select Committee on Science
          and Technology.
          Eighth Report: Peer Review in Scientific Publications.
          Published 28 July 2011


18
Data for Impact

      • Research Excellence Framework (REF) measures researcher
        contributions and their impact
      • Has struggled in terms of its breadth when it comes to
        extending beyond paper-based metrics
      • Wariness of researchers to spend time on activity that
        doesn’t count to the REF
      • REF panels now allow submission of “a substantial,
        coherent and widely admired data set or research
        resource”




19
Research Data and FOI

        • Recent years - some high profile cases of
          FOI requests
        • 3 Dec 2012 announced “Universities are
          not compelled to release unpublished
          research data”
        • Recommendation by a House of Commons
          Justice Committee report in July 2012
        • Dedicated exemption, subject to both a
          prejudice and public interest test


     “This isn’t about transparency, it’s about timing,”

        Vivienne Stern, head of political affairs at the
           vice-chancellors’ group, Universities UK
20
Data Citation

                     •Data access raises
                     visibility
                     •Data with DOI = citeable
                     research output
                     •Data citations are good
                     for researchers




21
To Recap…

      • The age of open access publishing and open data has finally
        arrived
      • Most research outputs, including underlying data, will soon
        have to be published in open access format whether or not
        the research has been funded externally
      • Not making data accessible could result in loss of funding,
        legal issues (FOI), loss of funding, reputational issues,
        research integrity issues (inability to verify, scrutinise),
        lack of visibility, data loss …


     It is impossible to make data openly accessible
     unless they have been properly managed



22
Challenges caused by Access

      • Scale, volume – data deluge
      • Complexity of data –
        heterogeneous in nature
      • Pace of data
      • Management – storage,
        infrastructure, sustainability
      • Quality of data
      • Reputation – FOI, DPA,
        computer misuse
      • Selection and appraisal
      • Preservation implications
      • Partnerships
      • Resourcing and cost
23
What is Research Data Management?
                 Caring for, facilitating access
                 preserving and adding value
                 to research data throughout its
                    lifecycle.

                 Organisation, Resources and
                   Technology required to
                   support and sustain.




24
RDM Activities

• Producing and sharing of data with
  research colleagues in collaborative
  environments (internal and external)
• File naming
• Applying metadata for context and
  discovery
• Caring for sensitive data
• Cleaning data for longer-term use
• Selecting mechanisms for data capture and
  storage
• Selecting and appraising data for short and
  longer-term retention
• Licensing data for reuse
• Developing data management plans

25
The Digital Curation Centre

      • A consortium comprising units from the Universities of Bath
        (UKOLN), Edinburgh (DCC Centre) and Glasgow (HATII)
      • launched 1st March 2004 as a national centre for solving
        challenges in digital curation that could not be tackled by
        any single institution or discipline
      • Funded by JISC with additional HEFCE funding from 2011
        for the provision of support to national cloud services
      • Targeted institutional development
      • http://www.dcc.ac.uk/




26
Advocacy and Training


                      •   Informatics: disciplinary
                          metadata schema, standards,
                          formats, identifiers, ontologies
                      •   Storage: file-store, cloud, data
                          centres, funder policy
                      •   Access: embargoes, FOI
                      •   How to: appraise and select, cite
                          data sets, develop a data
                          management plan, licence
                          research data

                      New: How to set a RDM service –
                        coming soon!
How to cite data
27
28
DCC Tools

     • Suite of tools to help with digital curation




29
Institutional Engagement Work

      • Funded by the HEFCE through its Universities
        Modernisation Fund (UMF)
      • Intensive, tailored support to increase research data
        management capability
      • Originally 18 Higher Education Institutions (HEIs) between
        Summer 2011 and Spring 2013
      • Can help:
         – win the support of senior management
         – understand current data practices
         – redesign data support services
         – Help with policy development and training




30
So Where do I Start?
      • Think about who you need involved
      • Carry out audits to assess current assets, practices and
        requirements, gaps in provision
      • Identifying quick wins while developing long-term plan
      • Avoid reinventing: try integrating, adapting, augmenting
         – e.g. policies, training, storage
      • Raise awareness and looking at training
      • Look at current support available

      • Take it step by step




31
Who Do I Involve?

     •   Researcher(s)                     • Funders
     •   Research support officers /       • Archive / long-term data
         project staff                       repository
     •   Lab technicians                   • Senior management
     •   Librarians / Data Centre staff    • Others...
     •   Faculty ethics committees
     •   Institutional legal/IP advisors
     •   FOI officer / DPA officer /
         records manager
     •   Computing support
     •   Institutional compliance
         officers



32
5 Steps to Research Data Readiness

                      •Step 1: Take stock
                      •Step 2: Let research needs
                      drive your strategy
                      •Step 3: Re-evaluate your
                      existing infrastructure and data
                      architecture
                      •Step 4: Get to know the new
                      technologies and standards
                      •Step 5: Bring your staff up to
                      speed




33
A Data Future

          “The ability to take data - to
          be able to understand it, to
          process it, to extract value
          from it, to visualise it, to
          communicate it -that’s going to
          be a hugely important skill in
          the next decades.”

          Hal Varian, Google’s chief economist.



34
         Hal Varian, Chief Economist, Google
Thank You

      • Thanks to DCC colleagues for contributing to slide material.



                             Any questions?

                           m.guy@ukoln.ac.uk




35

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Improving Access to Research Data: What does changing legislation mean for you?

  • 1. Improving Access to Research Data: What does changing legislation mean for you? Marieke Guy, Institutional Support Officer, Digital Curation Centre, UKOLN, University of Bath, UK Email: m.guy@ukoln.ac.uk Twitter Id: mariekeguy Web: http://www.dcc.ac.uk Technology in Higher Education, 31st January 2013 UKOLN is supported by: This work is licensed under a Creative Commons Licence Attribution-ShareAlike 2.0 1
  • 2. http://www.google.co.uk/imgres?q=illumina+bgi&hl=en&client=firefox- a&hs=Jl2&rls=org.mozilla:en-GB:official&biw=1366&bih Research Data http://www.flickr.com/photos/think mulejunk/352387473/ http://www.flickr.com/photos/usf sregion5/4546851916// http://www.flickr.com/photos/wasp http://www.flickr.com/photos/charleswelch/3 _barcode/4793484478/ 2 597432481//
  • 3. What is Research Data? …whatever is produced in research or evidences its outputs • Facts • Statistics • qualitative • quantitative • Not published research output 3 What Kinds of Data? • Discipline specific
  • 4. A Data Present “Data underpins our economy and our society - data about how much is being spent and where, data about how schools, hospitals and police are performing, data about where things are and data about the weather.” Tim Berners Lee, director of W3C. 4
  • 5. Big Data…and Small Data • Big data • DIY data • Consumer data • Crowd Sourced data • Linked data • Open data • Databases • Learning data • Administrative data “The 1000 “The 1000 Genomes Project Genomes Project “Volume generated more generated more , velocity and varie DNA sequence DNA sequence ty” ata oject: “d data in its first 66 data in its first s pr months than months than JISC M aRDI-Gros icant GenBank had GenBank had the least signif nce accumulated in v olume is nt c ontext, si the prese accumulated in (issue) in m” cal proble its entire 21 year its entire 21 year echni existence” existence” 5 ‘only’ a t
  • 6. Away from Secrecy “We need to move away from a culture of secrecy and towards a world where researchers can benefit from sharing expertise throughout the research lifecycle” Dr Malcolm Read, then executive secretary of JISC, 2011 6 Hal Varian, Chief Economist, Google
  • 7. Making Public Data Accessible “We have opened up much public data already, but need to go much further in making this data accessible. We believe publicly funded research should be freely available. We have commissioned independent groups of academics and publishers to review the availability of published research, and to develop action plans for The Open Data Institute making this freely available” (ODI) will be the first of its kind, a pioneering centre of innovation, driven by the UK Government’s 7 Open Data policy
  • 8. Science as an Open Enterprise • Report by Royal Society, June 2012 • Analyses the impact of new and emerging technologies that are transforming the conduct and communication of research • Recommendations: • Scientists should make data available in data repositories • Universities have a major role to play in supporting open data • Learned societies and academic bodies should promote open science • Science journals should require data underpinning article • Industry sector and regulators should work together to share data in public 8 interest
  • 9. Finch Report • June 2012: Finch report: Accessibility, sustainability, excellence: how to expand access to research publications • Funded by BIS, HEFCE, RCUK & Publishers association • Addresses question how to achieve “better, faster access to research publications” • Recommends that UK should embrace the transition to open access • Recommends ‘gold’ open access journals (over ‘green’) • Government accepted all recommendations • HEFCE endorsed report – making open access published research the basis for the REF from 2014 • Cost of the transition (up to £50m a year) must be covered by the existing science budget • Main concerns: cost, repository use, reduction in niche funding, jobs? 9
  • 10. Funding: RCUK • RCUK Common Principles on Data Policy – Public good: Publicly funded research should be made openly available with as few restrictions as possible – Planning for preservation – Discovery: Metadata should be available and discoverable – Confidentiality: Ensure legal, ethical and commercial constraints assessed – First use: Provision for a period of exclusive use – Recognition: Acknowledge data sources – Public funding: Must be efficient and cost-effective • 16th July 2012 new ‘Access to Research Outputs’ policy based on Finch report • All publications submitted from 1 April 2013 must be published in journals which are compliant with Research 10 Council policy on Open Access
  • 11. Data Policies of Funders http://www.dcc.ac.uk/resources/policy-and-legal/overview-funders-data-policies 11
  • 12. Funders Policies: EPSRC Engineering and Physical Sciences Research Council (EPSRC) expects all those institutions it funds •to develop a roadmap that aligns their policies and processes with EPSRC’s expectations by 1st May 2012; •to be fully compliant with these expectations by 1st May 2015. •Compliance will be monitored and non-compliance investigated. •Failure to share research data could result in the imposition of sanctions. 12
  • 14. Other Moves Towards Openness Organisation for Economic Co-operation and Development describes data as a public good that should be made available European Commission Statement on open access July 2012 •All research funded through its Horizon 2020 programme (2014 – 2020) must be made open access. •The commission wants to see 60% of publicly-funded research articles in Europe available for free by 2016. 14
  • 15. Government Open Agenda David says… FOI 'furs up' government with repeated requests about processes. Open data is better. We need to shine the We need to shine the light of transparency on light of transparency on everything we do everything we do We recognise that We recognise that transparency and open data transparency and open data can be aapowerful tool to can be powerful tool to help reform public services, help reform public services, foster innovation and foster innovation and empower citizens. empower citizens. 15
  • 16. Research Data Management Drivers External • Government Open Agenda • Public pressure – data as a public good • Changes in funders’ data policies • Research now becoming more global and more ‘data Intensive’ – Riding the Wave report • Institutional need for better research integrity - REF • Best practice • Desire to be ‘good researcher’ and a well-cited researcher 16 Internal
  • 17. Institutional Reputation r lick nF rowo yn Mor ha r by S age C C im 17
  • 18. Research Integrity “Employers must take responsibility for the integrity of their employees' research. However, we question who would oversee the employer and make sure that they are doing the right thing. In the same way that there is an external regulator overseeing health and safety, we consider that there should be an external regulator overseeing research integrity.” House of Commons Select Committee on Science and Technology. Eighth Report: Peer Review in Scientific Publications. Published 28 July 2011 18
  • 19. Data for Impact • Research Excellence Framework (REF) measures researcher contributions and their impact • Has struggled in terms of its breadth when it comes to extending beyond paper-based metrics • Wariness of researchers to spend time on activity that doesn’t count to the REF • REF panels now allow submission of “a substantial, coherent and widely admired data set or research resource” 19
  • 20. Research Data and FOI • Recent years - some high profile cases of FOI requests • 3 Dec 2012 announced “Universities are not compelled to release unpublished research data” • Recommendation by a House of Commons Justice Committee report in July 2012 • Dedicated exemption, subject to both a prejudice and public interest test “This isn’t about transparency, it’s about timing,” Vivienne Stern, head of political affairs at the vice-chancellors’ group, Universities UK 20
  • 21. Data Citation •Data access raises visibility •Data with DOI = citeable research output •Data citations are good for researchers 21
  • 22. To Recap… • The age of open access publishing and open data has finally arrived • Most research outputs, including underlying data, will soon have to be published in open access format whether or not the research has been funded externally • Not making data accessible could result in loss of funding, legal issues (FOI), loss of funding, reputational issues, research integrity issues (inability to verify, scrutinise), lack of visibility, data loss … It is impossible to make data openly accessible unless they have been properly managed 22
  • 23. Challenges caused by Access • Scale, volume – data deluge • Complexity of data – heterogeneous in nature • Pace of data • Management – storage, infrastructure, sustainability • Quality of data • Reputation – FOI, DPA, computer misuse • Selection and appraisal • Preservation implications • Partnerships • Resourcing and cost 23
  • 24. What is Research Data Management? Caring for, facilitating access preserving and adding value to research data throughout its lifecycle. Organisation, Resources and Technology required to support and sustain. 24
  • 25. RDM Activities • Producing and sharing of data with research colleagues in collaborative environments (internal and external) • File naming • Applying metadata for context and discovery • Caring for sensitive data • Cleaning data for longer-term use • Selecting mechanisms for data capture and storage • Selecting and appraising data for short and longer-term retention • Licensing data for reuse • Developing data management plans 25
  • 26. The Digital Curation Centre • A consortium comprising units from the Universities of Bath (UKOLN), Edinburgh (DCC Centre) and Glasgow (HATII) • launched 1st March 2004 as a national centre for solving challenges in digital curation that could not be tackled by any single institution or discipline • Funded by JISC with additional HEFCE funding from 2011 for the provision of support to national cloud services • Targeted institutional development • http://www.dcc.ac.uk/ 26
  • 27. Advocacy and Training • Informatics: disciplinary metadata schema, standards, formats, identifiers, ontologies • Storage: file-store, cloud, data centres, funder policy • Access: embargoes, FOI • How to: appraise and select, cite data sets, develop a data management plan, licence research data New: How to set a RDM service – coming soon! How to cite data 27
  • 28. 28
  • 29. DCC Tools • Suite of tools to help with digital curation 29
  • 30. Institutional Engagement Work • Funded by the HEFCE through its Universities Modernisation Fund (UMF) • Intensive, tailored support to increase research data management capability • Originally 18 Higher Education Institutions (HEIs) between Summer 2011 and Spring 2013 • Can help: – win the support of senior management – understand current data practices – redesign data support services – Help with policy development and training 30
  • 31. So Where do I Start? • Think about who you need involved • Carry out audits to assess current assets, practices and requirements, gaps in provision • Identifying quick wins while developing long-term plan • Avoid reinventing: try integrating, adapting, augmenting – e.g. policies, training, storage • Raise awareness and looking at training • Look at current support available • Take it step by step 31
  • 32. Who Do I Involve? • Researcher(s) • Funders • Research support officers / • Archive / long-term data project staff repository • Lab technicians • Senior management • Librarians / Data Centre staff • Others... • Faculty ethics committees • Institutional legal/IP advisors • FOI officer / DPA officer / records manager • Computing support • Institutional compliance officers 32
  • 33. 5 Steps to Research Data Readiness •Step 1: Take stock •Step 2: Let research needs drive your strategy •Step 3: Re-evaluate your existing infrastructure and data architecture •Step 4: Get to know the new technologies and standards •Step 5: Bring your staff up to speed 33
  • 34. A Data Future “The ability to take data - to be able to understand it, to process it, to extract value from it, to visualise it, to communicate it -that’s going to be a hugely important skill in the next decades.” Hal Varian, Google’s chief economist. 34 Hal Varian, Chief Economist, Google
  • 35. Thank You • Thanks to DCC colleagues for contributing to slide material. Any questions? m.guy@ukoln.ac.uk 35

Notas del editor

  1. Dame Janet Finch CBE June 2012
  2. he question of where to host large server farms is not just about heat output – I’ve also heard it said that when they looked at building server farms in very cold climates to offset the cost of cooling, they found that they had to spend an equal amount of energy on heating (no idea if this is true though). Perhaps more to the point is the availability of eco-friendly renewable energey sources – this is why Iceland has been touted as an ideal venue – it is about the geothermal energy available, not about the climate http://www.theregister.co.uk/2007/04/10/iceland_to_power_server_farms/. I guess this also suggests that hosting server farms where there is a ready supply of solar energy might also be eco-friendly (if you could generate enough power from solar), even though plenty of solar energy suggests a warmer climate. Finally, a message from the Green Computing Forum was linking electricity usage to cost was key in terms of getting the organisation to react to the issue of energy efficiency. Re-charging electricity costs to the people using the power currently seems a better way than simply arguing that ‘for the common good’ we should be ‘greener’. So what we need is not to link digital preservation to radicalism, but commercialism – digital preservation will save you money.
  3. Liz Lyon “ The Informatics Transform: Re-Engineering Libraries for the Data Decade” International Journal of Digital Curation Volume 7, Issue 1 | 2012