ARC and NHMRC: The Funder Perspective
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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
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ARC and NHMRC: The Funder Perspective
- 1. The Funder Perspective Roundtable on Data and Publishing in the Social Sciences 5 May 2017, Canberra Justin Withers – Australian Research Council Dr Julia Tresidder - National Health and Medical Research Council
- 2. 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
- 3. 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. NHMRC & ARCARC and NHMRC
- 4. 2016-17 Federal Budget – R&D $10.1 billion NHMRC & ARCARC and NHMRC
- 5. Open Data Whole of Government Approach NHMRC & ARCARC and NHMRC
- 6. Australian Govt. Public Data Policy Statement • Issued by the Prime Minister on 7 December 2015. https://www.dpmc.gov.au/sites/default/files/publications/aust_govt_public_data_policy_statement_1.pdf • Growing the economy, transforming policy and improving service delivery will be gained from the strategic use of the data, a national resource, held by the Australian Government • The government recognises the importance of managing data effectively and is committed to: • Optimise the use and reuse of public data • Collaborating with private and research sectors • Releasing non sensitive data as open by default • Public data includes all data collected by government entities. NHMRC & ARCARC and NHMRC
- 7. Australian Government / Sector Initiatives • Department of Education and Training led working group: • Tasked with developing a whole of government position regarding open access to publicly funded publications and data. • Established on the basis of the following government priorities: • National Innovation and Science Agenda – initiative for “Promoting innovation through publishing and sharing public data” • Boosting the Commercial Returns from Research agenda for action – commitment that “a whole-of-government policy will be developed for opening business and community access to publicly funded research publications and data”. NHMRC & ARCARC and NHMRC
- 8. Australian Government / Sector Initiatives • National ICT Australia (NICTA) and CSIRO’s digital research unit merger: • Data 61 will use data analytics to connect disparate government datasets and publicly release them on open platforms. • Department of the Prime Minister and Cabinet Public Data Initiatives: • data.gov.au provides an easy way to find, access, and reuse public datasets from Government. • Australia’s First Open Government National Action Plan 2016 – 18 currently in draft consultation. • Productivity Commission Data availability and use final report • F.A.I.R Statement • University, research, business, government and not-for-profit sector representatives developed the statement with the principle aim of making Australian research Findable, Accessible, Interoperable, Reusable. https://www.fair-access.net.au/ NHMRC & ARCARC and NHMRC
- 9. Australian Government / Sector Initiatives • Australian National Data Service http://www.ands.org.au/ • Partnership led by Monash University, Australian National University and CSIRO and funded by the National Collaborative Research Infrastructure Strategy. • Flagship service is the Research Data Australia discovery portal: o Provides access and reuse data for research from Australian research organisations, government agencies and cultural institutions. • Australian Data Archive • Provides a national service for the collection and preservation of digital research data and to make these data available for secondary analysis by academic researchers and other users. https://www.ada.edu.au/ • The use of this facility is broadly consistent with ARC data management requirements. NHMRC & ARCARC and NHMRC
- 10. International Developments in Data Management NHMRC & ARCARC and NHMRC
- 11. International research funders • Data management plan: US National Science Foundation • Data sharing plan: US National Institutes of Health • Full data management plan submitted at application: • US National Science Foundation; RCUK; Wellcome Trust. • Retaining research datasets after the completion of a grant: • Canadian Institute of Health Research; Social Sciences and Humanities Research Council of Canada. • Repository for datasets – most UK funders provide or specify: • Economic and Social Research Council – UK Data Service • National Environment Research Council data centre • MRC, Cancer Research UK, Wellcome Trust: UK PubMed Central. NHMRC & ARCARC and NHMRC
- 12. Academic publishers • Elsevier o “Research data should be made available free of charge to all researchers wherever possible and with minimal reuse restrictions”. • Wiley o “Research data should be made available free of charge to all researchers wherever possible and with minimal reuse restrictions”. o Submission of data files required with final manuscript o Data sharing service (partnership with figshare) NHMRC & ARCARC and NHMRC
- 13. ARC and NHMRC Data Management Requirements NHMRC & ARCARC and NHMRC
- 14. 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 NHMRC & ARCARC and NHMRC Open Access & Open Science Open Data Community and researcher benefits
- 15. ARC: Open Data NHMRC & ARCARC and NHMRC • 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.
- 16. 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 NHMRC & ARCARC and NHMRC
- 17. ARC: Social Science Data NHMRC & ARCARC and NHMRC • Datasets arising from social science projects should be lodged with the Australian Social Science Data Archive (ASSDA): o This allows for secondary use by other investigators o Deposit within two years of the conclusion of any fieldwork relating to the Project research o If not within the two years a reason to be included in the Final Report for that Project. • Clause 40.6 of the Funding Agreement for schemes under the Discovery Program.
- 18. ARC: Data Management continued 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. NHMRC & ARCARC and NHMRC
- 19. NHMRC: Statement on Data Sharing NHMRC & ARCARC and NHMRC “NHMRC encourages data sharing and providing access to data and other research outputs (metadata, analysis code, study protocols, study materials and other collected data) arising from NHMRC supported research.”
- 20. Australian Code for the Responsible Conduct of Research and Data Management NHMRC & ARCARC and NHMRC
- 21. Responsibilities NHMRC & ARCARC and NHMRC Management of research data (section 2) o Institutions: Ownership, data management & access o Researchers: Data management, access and privacy/ethics Dissemination of research (section 4) o Institutions: publication, promotion and communication o Researcher: dissemination and the level of coverage
- 22. Review of the Code • Review is to ensure the Code remains practical and relevant in an evolving research sector and landscape, both domestically and internationally. • A principles-based Code with accompanying Better Practice Guides (BPG) is currently being considered. This approach: • allows institutions flexibility in how to apply the principles and responsibilities supporting them • includes adopting an approach that is best suited to their size and internal systems. • designed to be effective across all disciplines. NHMRC & ARCARC and NHMRC
- 23. Data management and the Code NHMRC & ARCARC and NHMRC • A new potentially principles-based Code will specify responsibilities for both institutions and researchers in relation to the management of research data. • A specific BPG on data management is currently under development in consultation with the Australian National Data Service (ANDS). • Input from appropriately experienced individuals within institutions will also be sought.
- 24. NHMRC & ARCARC and NHMRC • A Data Management BPG would complement the Code, providing guidance to institutions and individuals 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
- 25. NHMRC & ARCARC and NHMRC Thank you
Hinweis der Redaktion
- The aim of this presentation is to provide you with some information on the ARC and NHMRC policies and requirements, but more importantly, give you an overview of the landscape in which both funding bodies are engaged in. That applies to national and international engagement in the areas of open access, data.
- As you can see here, the roles in which ARC and NHMRC plays overlap a lot. They include of course, running funding programs, as the core business. For ARC a main area of work is ERA and impact assessment. For NHMRC, it is working towards better research translation. Both ARC and NHMRC advises government and also works on developing and promoting high ethical standards.
- However, as part of the federal R&D budget, ARC and NHMRC makes up for about 20% of the whole government spending on R&D. That is why the impact is quite significant.
- Now to switch gears a bit to data and data management requirements by ARC and NHMRC.
- Now to switch gears a bit to data and data management requirements by ARC and NHMRC.
- Now to switch gears a bit to data and data management requirements by ARC and NHMRC.
- Now to switch gears a bit to data and data management requirements by ARC and NHMRC.
- Now to switch gears a bit to data and data management requirements by ARC and NHMRC.
- Internationally, many developments are also happening.
- Most research funders either encourage or mandate data sharing to varying degrees but the common feature is open access. The thing to note here is that there is a focus to retain and share data for the long term.
- Academic publishers are also getting on board. Two of the largest ones have released statements to that effect. Services and support for authors to store, share, discover and use data are also being made available.
- Now to switch gears a bit to data and data management requirements by ARC and NHMRC.
- Open data is commonly considered as part of the broader concepts of open access and open science. The point of all this is to ensure that the knowledge produced through publicly funded research goes back to researchers and the broader community. The obvious thing to note here is that data management is quite different for different fields. For example, the way data is managed and shared for interpretive dance, for sculptures and for clinical trials cannot be easily reconciled. The main take home message here is that data innovations happen on a daily basis and this area is changing very quickly.
- As you know, the ARC has included open data statements in its funding rules for the last 9 years and encourages researchers to share their data. ARC has not mandated data sharing because it acknowledges that the data field is evolving very quickly while the field is maturing. It is also for other aspects of data to catch up first. These can be ethics, privacy, technical and quality issues that faces everything data related.
- ARC does however, require researchers to say how they will manage their data. It helps researchers to crystallise ideas about how they will manage data early and will be useful for the long term. It is not a full data management plan that is required by some funders overseas.
- As you know, the ARC has included open data statements in its funding rules for the last 9 years and encourages researchers to share their data. ARC has not mandated data sharing because it acknowledges that the data field is evolving very quickly while the field is maturing. It is also for other aspects of data to catch up first. These can be ethics, privacy, technical and quality issues that faces everything data related.
- Of course, such requirements are aligned with the Code and also OECD guidelines for access to data. So, it is no more than what is generally acceptable.
- NHMRC also has a data sharing statement and this has been in place since 2014. Again, it does not mandate data sharing but rather encourages data sharing, in recognition of all the things that I mentioned before. For NHMRC, particular challenges include privacy of individuals and patients when dealing with health records, genetic information and health information in general. The legal implications of sharing data becomes challenging when individual and non-aggregated data is concerned.
- The last part that I will touch on is the Code.
- Two key sections of the Code refer to data, and they refer to the responsibilities of institutions and individuals. The first is about how data is managed and that talks about ownership, access, privacy and legal issues. The second is about how data us shared.
- As you know, a review of the Code commenced in 2015. It was conducted by a Code Review Committee with Secretariat support from NHMRC, ARC and Universities Australia. Much of the feedback focused on the level of detail that should be provided in the Code. Some institutions wanted more guidance, others thought it was too prescriptive.
- So, the responsilibilities of the institutions and researchers will be in the revised Code and the BPG. However, the bulk of the detail and guidance on data management and the dissemination of research findings in Sections 2 and 4 of the current Code will not appear in the principles-based Code. The BPGs will be developed in consultation with experts in the sector.
- You’ll be happy to know that a Data Management BPG will complement the Code and aim to assist institutions in developing ways not only to comply with the code but also derive benefits for the long term. This applies to better access to data, storage of data and generally making better use of data. This will also help researchers to manage their records and primary materials as part of their research.