Data Management Planning

1. Data Management Planning Sarah Jones Digital Curation Centre sarah.jones@glasgow.ac.uk Twitter: @sjDCC This work is licensed under the Creative Commons CC-BY 4.0 licence

2. Overview • Introduction to Data Management Planning • Horizon 2020 and the Open Research Data pilot • DMPonline and EUDAT support for DMPs

3. Introduction to dmps Image CC-BY-NC-SA by Ralf Appeltwww.flickr.com/photos/adesigna/4090782772

4. What is a data management plan? A brief plan written at the start of a project to define: • how the data will be created? • how it will be documented? • who will access it? • where it will be stored? • who will back it up? • whether (and how) it will be shared & preserved? DMPs are often submitted as part of grant applications, but are useful whenever researchers are creating data.

5. How do DMPs help researchers? Planning is useful whether or not a DMP is submitted with a grant application, as it can help the researchers to… • Make informed decisions to anticipate and avoid problems • Avoid duplication, data loss and security breaches • Develop procedures early on for consistency • Ensure data are accurate, complete, reliable and secure • Save time and effort to make their lives easier!

6. Benefits of DMPs for institutions • Opportunity to engage with researchers and improve RDM practice • Raise awareness of support available • Collate information to inform service delivery • Ensure the University is not exposed to risk • Ability to recover costs via grants

7. Which UK funders require a DMP? n.b. Although the EPSRC doesn’t ask for a DMP in grant applications, it still expects one to be in place for every project • www.dcc.ac.uk/resources/policy-and-legal/ overview-funders-data-policies

8. Some other funders that require DMPs

9. What do research funders want? • Usually a brief plan submitted in grant applications, and in the case of NERC, a more detailed plan once funded • The Horizon 2020 pilot is different as DMPs are deliverables to be submitted during the project • 1-4 sides of A4 as attachment or a section in application form • Typically a prose statement covering suggested themes • An outline of data management and sharing plans, justifying decisions and any limitations

10. Different stages of a DMP Outline DMP • Basic, short plan • Answer a few questions • Written at grant application stage Full DMP • Detailed plan • Define procedures • Written in conjunction with data centres www.nerc.ac.uk/research/sites/data/dmp

11. DCC Checklist for a DMP The DCC assessed existing funder requirements, DMP templates and other best practice to see what should be included in plans. This was synthesised down into common themes and questions. • 13 questions on what’s asked across the board • Prompts / pointers to help researchers get started • Guidance on how to answer www.dcc.ac.uk/sites/default/files/documents/resource/DMP_Checklist_2013.pdf

12. Common themes in DMPs • Description of data to be collected / created (i.e. content, type, format, volume...) • Standards / methodologies for data collection & management • Ethics and Intellectual Property (highlight any restrictions on data sharing e.g. embargoes, confidentiality) • Plans for data sharing and access (i.e. how, when, to whom) • Strategy for long-term preservation Start planning and communicating early

13. Example plans • 108 DMPs from the National Endowment for the Humanities (USA) www.neh.gov/divisions/odh/grant-news/data-management-plans-successful-grant-applications-2011-2014-now-available • 20+ scientific DMPs submitted to the NSF (USA) provided by UCSD http://libraries.ucsd.edu/services/data-curation/data-management/dmp-samples.html • 2 Rural Economy & Land Use (RELU) programme examples (UK) http://relu.data-archive.ac.uk/data-sharing/planning/examples • Further examples: www.dcc.ac.uk/resources/data-management-plans/guidance-examples

14. DCC support on DMPs • Checklist on what to cover in DMPs • Webinars and training materials • How-to guides and other advisory documents • Example DMPs • DMPonline www.dcc.ac.uk/resources/ data-management-plans

15. Horizon 2020 requirements CC-BY-NC-SA by Tom Magllery www.flickr.com/photos/lwr/13442910354

16. Why open access and open data? “The European Commission’s vision is that information already paid for by the public purse should not be paid for again each time it is accessed or used, and that it should benefit European companies and citizens to the full.” http://ec.europa.eu/research/participants/data/ref/h2020/grants_manual/hi/oa_pilot/h2020-hi-oa-pilot-guide_en.pdf

17. Open Science in Horizon 2020 Peer-reviewed publications Research data • Mandated to deposit machine-readable electronic copy of paper in repository by the date of publication • Ensure OA via green/gold routes • Embargo of 6 months (STEM) or 12 months (HSS) allowed • Bibliographic metadata must be made openly available • Aim to deposit research data • Pilotfor projects in named areas. Other can participate voluntarily. • Applies to research data underlying publications, plus any other data as decided by project. • Participants must: • Write a DMP as a project deliverable • Deposit data in a repository • Make it possible for others to access, mine, exploit and reuse the data • Share information on the tools needed

18. Open Research Data (ORD) Pilot Pilot focuses on research data specifically 'Research data' refers to information, in particular facts or numbers, collected to be examined and considered and as a basis for reasoning, discussion, or calculation. In a research context, examples of data include statistics, results of experiments, measurements, observations resulting from fieldwork, survey results, interview recordings and images. The focus is on research data that is available in digital form. Guidelines on Open Access to Scientific Publications and Research Data in Horizon 2020, v.2.1, 15 February 2016, p3

19. Which data does the pilot apply to? • Data, including associated metadata, needed to validate the results in scientific publications • Other curated and/or raw data, including associated metadata, as specified in the DMP Doesn’t apply to all data (researchers to define as appropriate) Don’t have to share data if inappropriate – exemptions apply

20. Key requirements of the open data pilot Beneficiaries participating in the Pilot will: • Deposit data in a research data repository of their choice • Take measures to make it possible for others to access, mine, exploit, reproduce and disseminate the data free of charge • Provide information about tools and instruments necessary for validating the results (where possible, provide the tools and instruments themselves)

21. Approach: as open as possible, as closed as necessary Image: ‘Balancing rocks’ by Viewminder CC-BY-SA-ND www.flickr.com/photos/light_seeker/7780857224

22. Data Management Plans Projects participating in the pilot will be required to develop a Data Management plan (DMP), in which they will specify what data will be open. Note that the Commission does NOT require applicants to submit a DMP at the proposal stage. A DMP is therefore NOT part of the evaluation. DMPs are a deliverable for those participating in the pilot.

23. Info on RDM: what and when PROPOSAL STAGE IN PROJECT Where relevant*, H2020 proposals can include a section on data management which is evaluated under the criterion ‘Impact’ • What types of data will the project generate/collect? • What standards will be used? • How will this data be shared/made available? If not, why? • How will this data be curated and preserved? * For “Research and Innovation actions” and “Innovation Actions” • DMPs are a project deliverable for those participating in the open data pilot. • Not a fixed document – should evolve and gain precision • Deliver first version within initial 6 months of project • More elaborate versions whenever important changes to the project occur. At least at the mid-term and final review.

24. Initial DMP (at 6 months) The DMP should address the points below on a dataset by dataset basis: • Dataset reference and name • Data set description • Standards and metadata • Data sharing • Archiving and preservation (including storage and backup)

25. More elaborate DMP Scientific research data should be easily: 1. Discoverable Are the data discoverable and identifiable by a standard mechanism e.g. DOIs? 2. Accessible Are the data accessible and under what conditions e.g. licenses, embargoes? 3. Assessable and intelligible Are the data and software assessable and intelligible to third parties for peer-review? E.g. can judgements be made about their reliability and the competence of those who created them? 4. Useable beyond the original purpose for which it was collected Are the data properly curated and stored together with the minimum software and documentation to be useful by third parties in the long-term? 5. Interoperable to specific quality standards Are the data and software interoperable, allowing data exchange? E.g. were common formats and standards for metadata used?

26. DMPonline for dmps Image ‘tools’ CC-BY by zzpza www.flickr.com/photos/zzpza/3269784239

27. What is DMPonline? A web-based tool to help researchers develop and maintain data management plans A short history • Launched in April 2010 at the Jisc conference • Released v.2 in March 2011 with extra functionality • Released v.3 in April 2012 with revisions in light of the DMPTool and work from the Jisc MRD programme • Released v.4 in Dec 2013, incorporating major changes from an evaluation and extensive user testing • Subsequent point releases in 2014-2015 to add new features

28. Main features in DMPonline • Templates for different requirements (funder or institution) • Tailored guidance (funder, institutional, discipline-specific) • Ability to provide examples and suggested answers • Supports multiple phases (e.g. pre- / during / post-project) • Granular read / write / share permissions • Customised exports to a variety of formats • Shibboleth authentication

29. How the tool works Click to write a generic DMP Or choose your funder to get their specific template Pick your uni to add local guidance and to get their template if no funder applies Choose any additional optional guidance

30. Organisations can customise DMPonline • Organisations can: • Add templates • Different types of questions • Local guidance with links to support and services • Example or suggested answers • Add questions & guidance to funder templates • Include their own logo and text in a banner • …

31. How EUDAT can help

32. EUDAT support for DMPs • Providing custom guidance in DMPonline • Potential for example / suggested answers • Data services to help implement DMPs • Plan to connect DMPonline with Data Project Coordination Portal to generate service requests EUDAT DPCP Service request information is automatically transferred to DPCP Researcher answers questions in DMPs Resources are allocated

33. Thanks – any questions