The document provides a template for institutions to develop business, financial, and sustainability plans to support research data management (RDM) best practices after the end of the JISC KAPTUR project. The template includes sections for background, objectives, stakeholders, strategic alignment, options appraisal, risk management, cost analysis, and evaluation. It is intended to help institutions outline how they will take RDM best practices forward and ensure ongoing support beyond the project lifespan.

1. JISC KAPTUR
Business, Financial and Sustainability Plan Template
Purpose
The deliverable of the Business, Financial and Sustainability Plans form part of Work Package 5:
Application and Testing along with the RDM policies and the case studies. The Business, Financial
and Sustainability Plans will support the work of the Research Data Management (RDM) policies by
outlining how RDM best practice will be taken forward at each of the four institutions after the end of
the JISC KAPTUR project (2011-13).
Audience
The Plan is an internal document for each institution. It is expected that the audience will include the
existing stakeholders established through the RDM working groups and the members of the
committees that approved the RDM policies. This will vary at each institution.
Ownership
This template constitutes guidance only; please prioritise your own institutional processes and
procedures. The Plan may be transferred to an institutional template or worked up at a later stage into
a full Business Case following internal procedures.
Method of Delivery
The Plans are not expected to be made publicly available due to the confidential nature of much of
the content; however information from the Options Appraisal and Evaluation sections will need to be
supplied to the Project Manager to incorporate into the KAPTUR final project report. Additionally the
KAPTUR Project Manager will make this template available from the KAPTUR outputs page:
http://www.vads.ac.uk/kaptur/outputs/index.html
References
Beagrie, N. (2010) Business Case Guidance for the RDMI programme pilot projects. Charles Beagrie
Ltd.
Beagrie, N. and Pink, C. (2012) Benefits from Research Data Management in Universities for Industry
and Not-for-Profit Research Partners. Charles Beagrie Ltd and University of Bath. Available from:
http://opus.bath.ac.uk/32509/ (Last accessed: 12th February 2013)
Garrett, L., Gramstadt, M-T, and Spalding, A. (2012) Discussion Paper: Towards a Research Data
Management (RDM) Policy. KAPTUR. Available from: http://www.slideshare.net/kaptur_mrd/research-
data-management-rdm-discussion-paper (Last accessed: 12th February 2013)
Office of Government Commerce. (2005) 4th ed. Managing Successful Projects with Prince2TM
Norwich: Her Majesty's Stationery Office.
Silva, C. and Gramstadt, M-T (2013) IT Costs for Research Data Management. KAPTUR. Available
from: http://www.slideshare.net/kaptur_mrd/kaptur-it-costs-public (Last accessed: 12th February 2013)
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2. JISC KAPTUR
Business, Financial and Sustainability Plan Template
Document Title Business, Financial and Sustainability Plan
Document Directory
Path & Filename
Document Owner e.g. Project Sponsor or key member of RDM working group or committee
Owner Contact Details
Author(s), Role(s), and  e.g. Project Officer's details
Contact Details 

Version Date Comments
1.0
1.1
1.2
Background
Describe the background for the Plan; the institution's involvement in the KAPTUR project; relevant
external factors such as the Finch report or the RCUK policy; relevant internal factors such as
institutional strategic aims and objectives and/or related internal policies such as Research Integrity,
Records Management, Open Access and FOI.
Objectives
 bullet points listing key objectives relating to your RDM policy

Stakeholders
Stakeholder Group (examples Benefits Responsibilities
below from Beagrie and Pink
2012: 3 - could also refer to the
KAPTUR project plan or RDM
policies)
Academic Staff and e.g. "Provision of data as e.g. Principle Investigators of
Researchers teaching resources" (Beagrie research projects to ...(as
and Pink 2012: 3) mentioned in the RDM policies).
Institution e.g. Improved rate of e.g. Institution to provide RDM
compliance with funder and training for researchers
institutional requirements
Professional Services
Students
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3. JISC KAPTUR
Business, Financial and Sustainability Plan Template
Strategic Alignment
Institutional Strategic Key Performance Research Data Estimated Timescale
Objective Target/s Management for Delivery (e.g. state
Objectives (from if ongoing or if
Objectives section expected in next
above) year/next 5 years/next
10 years)
Options Appraisal
This section will inform the KAPTUR final report. The partner institutions will be required to report their
current choice of options for continuing RDM best practice post KAPTUR. It is recognised, as stated
in the RDM policies, that implementation may take several years and so the options may include a
range of both short term measures - such as up-skilling existing staff and use of the KAPTUR toolkits
- to longer term measures - such as recruiting enough staff to support all prospective Principal
Investigators with completing their Data Management Plans.
Option Owner Dependencies Timescale
e.g. Up-skill existing e.g. Head of relevant e.g. Support of relevant e.g. state if ongoing or
staff to support RDM department e.g. department including if expected in next 6
best practice Research Office interest from staff to be months/next year/next
up-skilled 5 years/next 10 years
e.g. Recruitment of
new staff to support
RDM best practice
Risk Management
The table below can be used to list risks which may impact upon the delivery of RDM best practice
e.g. commercial, economic, environmental, legal, organisational, political, strategic or technical.
Please also explain which group/s and/or individuals will have responsibility for monitoring the risk/s
(Owner).
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4. JISC KAPTUR
Business, Financial and Sustainability Plan Template
Owner Risk Probability Severity Score
Cost Analysis
Refer to work done by the institution on the KAPTUR IT Costs Model (a public version is available
from: http://www.slideshare.net/kaptur_mrd/kaptur-it-costs-public) and internal cost analysis
processes for other aspects such as staffing costs for providing RDM training.
Evaluation
This section will inform the KAPTUR final report. The most significant aspect of the Business,
Financial and Sustainability Plans is to ensure that RDM best practice will be supported at each
institution beyond the lifetime of the KAPTUR project. In particular to ensure that the RDM policies will
be periodically reviewed and amended as the institution moves towards implementing some of the
more aspirational aspects.
Evaluation/monitoring Owner Method Timescale
Review of RDM policy e.g. Research & e.g. rolling item on e.g. insert dates of
Enterprise Committee agenda committee meetings
Ongoing tracking of the e.g. relevant e.g. online survey e.g. survey repeated
benefits of RDM best department/s yearly (on date)
practice
Ongoing budgeting for e.g. relevant e.g. managing the e.g. timing when
RDM support department/s budget budget reports are
required
Appropriateness of e.g. relevant
technical infrastructure department/s
for research data
Appropriateness of
RDM training provision
etc...
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