Ensuring the Integrity, Accessibility, and Stewardship of Research Data in the Digital Age

1. Ensuring the Integrity, Accessibility, and Stewardship of Research Data in the Digital Age Project Briefing CNI Fall Task Force Meeting December 15, 2009 Richard Luce, Emory University Committee Member Tom Arrison, National Academies Study Director

2. National Academies background Study context, committee, and key questions Study outcomes: principles, issues, and implications Additional questions for research libraries and higher education IT Outline of Briefing

3. NAS-NAE-IOM-NRC Background • Private, non-profit, self-selecting membership organizations of eminent scientists, engineers, medical professionals • Congressional charter to advise the Federal government • Committee on Science, Engineering, and Public Policy (COSEPUP) serves as a “special projects” committee, addresses important cross-cutting policy issues

4. NAS-NAE-IOM-NRC Background MembershipNAE Members 2,169 Foreign Associates 185 NAS Members 2,071 Foreign Associates 382 IOM Members 1,605 Foreign Associates 84 NRC Volunteers* 5,908 NRC Committees* 574 Staff (December 2007) 1,116 Total Budget (CY 2007) $247.9M Regular Program (CY 2007) $164.3M Reports 199

5. Context for the Study A sea-change in digital data and large data collections in science and engineering Policy making is increasingly data-driven and complex (e.g. climate change, environment, drug approval) Concerns about integrity (stem cell scandal, digital image manipulation) Differences in “data cultures” between fields (e.g. expectations regarding openness and sharing, etc.)

6. Committee Daniel Kleppner, Lester Wolf Professor of Physics Emeritus, MIT (Co-Chair) Phillip A. Sharp, Institute Professor, Center for Cancer Research, MIT (Co-Chair) Margaret A. Berger, Professor of Law, Brooklyn Law School Norman M. Bradburn, Professor Emeritus, University of Chicago John Brauman, J.G. Jackson - C.J. Wood Professor, Stanford University Jennifer T. Chayes, Managing Director, Microsoft Research New England Anita Jones, Professor of Engineering and Applied, Science, University of Virginia Linda P.B. Katehi, Chancellor, University of California at Davis Neal F. Lane, University Professor and Senior Fellow, Rice University W. Carl Lineberger, Professor of Chemistry, University of Colorado Richard Luce, Vice Provost and Director of University Libraries. Emory University Thomas O. McGarity, Chair, Trial & Appellate Advocacy, University of Texas, Austin Steven M. Paul, Executive Vice President, Science & Technology, Eli Lilly and Company Teresa A. Sullivan, Provost, University of Michigan Mike S. Turner, Professor, Department of Astronomy and Astrophysics, University of Chicago J. Anthony Tyson, Distinguished Professor of Physics, University of California, Davis Steven C. Wofsy, Professor of Atmospheric and Environmental Sciences, Harvard University

7. Key Questions What are the growing varieties of research data? Who owns research data? Is a scientist responsible for supplying research data to other scientists? What are the challenges from actions that would compromise the integrity of research data? What should be the standards for accessing and maintaining research data?

8. Outcomes of the Study Report provides a framework for data integrity, accessibility, and stewardship Develops 3 core principles for the research enterprise Suggests roles and responsibilities for researchers, research institutions (including research libraries), sponsors, journals, and professional societies Focus is on enabling greater openness and transparency

9. Data Integrity Principle Ensuring the integrity of research data is essential for advancing scientific, engineering, and medical knowledge and for maintaining public trust in the research enterprise. Although other stakeholders in the research enterprise have important roles to play, researchers themselves are ultimately responsible for ensuring the integrity of research data.

10. Data Integrity Issues Peer review vital, but of limited value in ensuring data integrity Transparency, and collective scrutiny of data are the best ways to ensure that errors or fraud are discovered and corrected Researchers must understand personal responsibility Clear standards and adequate training critical Data professionals are important

11. Data Integrity Recommendations Researchers should design and manage projects to ensure data integrity Research institutions should ensure that every researcher receives RCR training that includes proper data management Stakeholders should develop and disseminate professional standards for data integrity Recognize/reward data professionals

12. Data Access and Sharing Principle Research data, methods, and other information integral to publicly reported results should be publicly accessible.

13. Data Access and Sharing Issues Fields have different cultures and practices The research enterprise as a whole is moving toward expanded access and sharing Intellectual property, ownership of data, and international issues are important, but are not fundamental barriers Change should be led by researchers, but journals and sponsors have significant leverage

14. Data Access and Sharing Recommendations • Researchers should make data and other information underlying results publicly accessible • Research fields should develop/maintain standards • Promote the sharing of research data through publication policies, recognition, and funding • Research institutions should establish clear policies regarding data management/access and communicate these to researchers

15. Data Stewardship Principle Research data should be retained to serve future uses. Data that may have long-term value should be documented, referenced, and indexed so that others can find and use them accurately and appropriately.

16. Data Stewardship Issues Practices and institutional infrastructure vary widely by field “Who pays for how long?” Universities and sponsors can play leadership roles

17. Data Stewardship Recommendations • Researchers should establish data management plans for each project that include provisions for the stewardship • Research fields should develop guidelines for assessing their data and criteria for retention • Stakeholders should work to develop, support, and implement plans for data stewardship.

18. Implications: What Next? Researchers: Understand personal responsibility; Understand the value of openness; Play leadership role in standards-setting Research Institutions (universities and research libraries): Ensure researcher training; Develop clear data policies; Lead stewardship initiatives

19. Implications: What Next? Journals: Policies should reflect principles; promote expanded access and sharing Professional societies: Where appropriate, organize standards for integrity, access, and stewardship Sponsors: Support data infrastructure and data professionals; provide incentives for access and sharing

20. Additional Questions and Issues for Research Libraries and CIOs • Repositories (policy and technical issues) • Training (particularly for new grad students) • Long-term preservation

21. Repositories • Growing number of institutional and subject matter repositories • Focus of institutional repositories has been to provide access to faculty publications • Data can also be deposited

22. Repositories, continued • Policy issues: institutional deposition mandates for publications; future data access mandates? • Technical issues: integration and federation; with grants management, sponsors, etc. • How to approach access, network management, security, privacy?

23. Implications for Training • Who is responsible for training new grad students in good data practices? • Who develops and disseminates institutional policies? • Diversity in approaches among fields—and approaches are changing • What institution-wide resources are needed? • How to work with departments?

24. Long-Term Curation of Data • Who pays? How much? For how long? • Developing standards and policies • Division of labor/resources among libraries, sponsors, disciplines, etc.

25. Thank You! Tom Arrison Study Director The National Academies Tel: 202 334 3755 Email: tarrison@nas.edu