iridium – reporting on existing internal and external RDM-related policy analysis mapping

A RDM-related policy analysis mapping exercise was conducted by Niall O’Loughlin with assistance from members of the iridium support team.

As a short summary, this is where we found related policies both internally within institution and externally. Shared here, as it may be useful for the wider Programme and other institutions carrying out similar activities.

Internal sources of policy mapping and guidance documents:

RES

Code of Good Practice in Research: http://www.ncl.ac.uk/res/assets/documents/CodeofGoodPracticeinResearchApprovedSenateApproved28022012.docx
Policy on Access to Research Outputs: http://www.ncl.ac.uk/res/assets/documents/PolicyOnAccessToResearchOutputsOctober2011.pdf
Policy and Procedures in the event of Academic Fraud:
http://www.ncl.ac.uk/res/assets/documents/PolicyandProceduresintheeventofAcademicFraudOld09042012.pdf
Policy Regarding the Participation of Volunteers in Research Projects:
http://www.ncl.ac.uk/res/assets/documents/VolunteerPolicy-approvedversion33.pdf
Policy Statement on Intellectual Property:
http://www.ncl.ac.uk/res/assets/documents/PolicyStatementonIntellectualProperty191011.pdf
Policy on Intellectual Property rights for Research Students and Visiting Workers:
http://www.ncl.ac.uk/res/assets/documents/IntellectualPropertyrightsforresearchstudentsandvisitingworkers10042012.pdf
Research Policy on Intellectual Property and Research Studentships:
http://www.ncl.ac.uk/res/assets/documents/ResearchpolicyonIPandResearchStudentships10042012.pdf
Record Management Policy Document:
http://www.ncl.ac.uk/rm/RecManPolicy20041216-final.pdf
Records Retention Schedule:
http://www.ncl.ac.uk/rm/rrs/rrs-Contents.htm
Process for the Initiation, Development, Sign-off and Subsequent Management of MoUs and Other Types of Agreement Policy on Access to Research Outputs
http://www.ncl.ac.uk/res/research/ethics_governance/ethics/toolkit/links/legislation.htm
Ethics Governance:
http://www.ncl.ac.uk/res/research/ethics_governance/governance/index.htm

Links to Research Council Guidance: http://www.ncl.ac.uk/res/research/ethics_governance/ethics/toolkit/links/funding_bodies.htm Links to professional Organisations & codes of Practice: http://www.ncl.ac.uk/res/research/ethics_governance/ethics/toolkit/links/professional_organisations.htm

Links to legislation: http://www.ncl.ac.uk/res/research/ethics_governance/ethics/toolkit/links/legislation.htm
University Policy and Procedure for Investigating Allegations of Research Misconduct

Policies overview:
http://www.ncl.ac.uk/res/resources/Polices%20Forms%20and%20Guidance/Policies.htm

HR

Concordat to Support the Career Development of Researchers:
http://www.ncl.ac.uk/hr/concordat/index.php
Policy on Public Interest Disclosure (whistle blowing): http://www.ncl.ac.uk/hr/policy/conduct/documents/policy-conduct-public-interest-disclosure-whistleblowing_rjcb.pdf

Executive:
Data Assurance Policy and Procedure:
http://www.ncl.ac.uk/executive/assets/documents/DataAssurancePolicyandProcedure.pdf

ISS:
Freedom of Information Act:
http://www.ncl.ac.uk/foi/access/staff/
Information Security Policy:
http://www.ncl.ac.uk/iss/policy/security/information-security-policy.doc
Information Security procedures:
http://www.ncl.ac.uk/iss/policy/security/information-security-procedures.doc
Information Security Guidelines:http://www.ncl.ac.uk/iss/policy/security/information-security-guidelines.doc

Safety:
University Safety Policy:
http://www.safety.ncl.ac.uk/policies.aspx

Staff Policies:

https://my.ncl.ac.uk/staff/policies/atoz.htm

Two iridium support team members took the draft policy principles and code of good practice document and looked at these in relation to above policies/guidance documents, mapping for any potential conflicts, key phrase matching and highlighting any further references. This highlighted the following existing guidance documentation/references:

  • CASE Award Students/Studentships/Self-funded Students
  • Policy and Procedure for Ethical Review (which includes reference to the NHS requirements)
  • Preliminary Ethical Assessment Forms/full ethical review, Research Ethics Committee, plus the Trust R&D Approvals Committee
  • Pricing policy and strategy for research, consultancy and other services rendered

A further iridium support team member took on some focused tasks looking at data security polices and examples of local policy implementation.

External sources of policy mapping and guidance documents:

Key Legislation:

Freedom of Information Act (2000)

The Data Protection Act (1998)

The Computer Misuse Act (1990)

External research funder policies:

This was made easier by the very useful guidance provided by the DCC website resources:

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

As an example, the MRC has a specific guidance: http://www.mrc.ac.uk/Ourresearch/Ethicsresearchguidance/datasharing/DMPs/index.htm

Also, the LSHTM (thanks to Gareth Knight [@gknight2000]) have done some recent work for medical research funders on this and shared (with a CC licence!):

http://researchonline.lshtm.ac.uk/208596/4/Funder_requirement_Summary_Handouts.pdf

http://researchonline.lshtm.ac.uk/208596/

While, specifically, NERC have recently updated guidance:

http://www.nerc.ac.uk/research/sites/data/dmp.asp?cookieConsent=A (see also blog at DCC)

External institutional RDM published policies:

Again, this was made easier by the DCC website resources:

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

New institutional policies/roadmaps are frequently being released in draft and final versions now, including recent ones.

External journal policies on research data sharing:

A recently awarded JISC project ‘Journal Research Data Policy Bank (JoRD) ‘ is looking at these issues (thanks to @simonhodson99 for linksvia JISCMRD JISCMAIL list). Early outputs:

http://jordproject.wordpress.com/2012/09/13/journal-research-data-policies-survey/

http://jordproject.wordpress.com/category/data-sharing-policy/

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3 Responses to iridium – reporting on existing internal and external RDM-related policy analysis mapping

  1. Lindsay Wood says:

    I liked that the Leeds draft policy states the clear benefits:

    http://library.leeds.ac.uk/downloads/file/294/final_research_data_management_policy_july_2012

    “The University recognises the following benefits of implementing this policy:
    a. support for the re-use of data
    b. benefit future generations
    c. improved data integrity, security and access management
    d. opportunities for further research collaboration
    e. improved research reproducibility and validation
    f. further development of research skills
    g. the ability to cite data as a publication
    h. improved institutional research reputation
    i. improved relationship with research funders”

  2. Lindsay Wood says:

    The Lincoln ORBITAL JISC MRD project, summary of the DCC Cross Council Policy review provides a succinct overview of original headings

    Published outputs
    Data
    Time limits
    Data plan
    Access/sharing
    Long-term curation
    Monitoring
    Guidance
    Repository
    Data centre
    Costs

    http://orbital.blogs.lincoln.ac.uk/2012/04/02/drafting-a-research-data-management-policy/

    DCC Cross Council Policy Overview:

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

  3. Lindsay Wood says:

    Newcastle University DRAFT policy for consultation: http://bit.ly/RDMPOLNCL (bottom of page).

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