Research integrity and data management

Research Integrity & Data management
21 June 2018
Justin Withers
A/g Branch Manager, Policy and Strategy
Australian Research Council

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

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.

2017–18 Federal investment in R and D
(Approx. AU$10 Billion)

Open Data
Whole of Government Approach

• 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
Australian Govt. Public Data Policy Statement
www.dpm c.gov.au
• 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

Australian Government / Sector Initiatives
• 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
www.education.gov.au

• Data61 and CSIRO are supporting
Government to provide guidance
on de-Identification of data to
support the release of government
datasets and build capability.
• data.gov.au 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.
Australian Government
www.data61.csiro.au

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.
www.ada.edu.au
www.ands.org.au

• 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
https://www.fair-access.net.au/fair-statement

International Developments in Data
Management

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).
www.m rc.ac.uk
www.cihr-irsc.gc.ca
www.wellcom e.ac.uk
www.nih.gov

Academic publishers
“Research data should be made available
free of charge to all researchers wherever
possible and with minimal reuse restrictions”.
o Submission of data files with final manuscript
o Data sharing service (Figshare)
www.elsevier.com
www.wiley.com

ARC and NHMRC
Data Management Requirements

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
Open Access &
Open Science Open Data
Community
and researcher
benefits

ARC: Open Data
• 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.

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:
http://www.arc.gov.au>Polices and Strategies>Strategy>Research Data
Management

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.

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: 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: Principles for accessing and using
publicly funded data for health research
• common set of priorities
• encourage communication
• understand each other’s roles
and responsibilities
• optimise data use to benefit all

Australian Code for the Responsible
Conduct of Research and Data
Management
Conduct of Research
2018
Conduct of Research
2018

Principles (2018 Code)
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)

Responsibilities (2018 Code)
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.

Data management and the Code
• 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.

• 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

Thank you

Research integrity and data management

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