1. D ATA M ANAGEMENT P LANS AND O PEN A CCESS : U PDATES FROM T RI -A GENCY AND B EST P RACTICES FOR I MPLEMENTATION Michael Steeleworthy Charlotte Innerd Christine Trauttmansdorff 24 November 2014

2. A GENDA Open Access: Review Open Access Tri-Council & Open Access Implementation Unintended Consequences The Challenge of Data Introduction to need for RDM Tri-Agency: Data Management and Open Access RDM Library Responses Questions

3. W HY O PEN A CCESS ? Disseminate more widely More control over one’s work High cost of journals Access to tax-payer funded research

4. W HAT IS O PEN A CCESS ? Open access (OA) is the free availability of scholarly journal publications over the Internet. OA has the following characteristics: It applies to royalty-free literature, for which authors receive no direct financial compensation. It is free of price barriers, such as subscriptions, licensing fees, pay-per-view fees. It is generally considered to also be free of permission barriers, such as most copyright and licensing restrictions.

5. O PEN A CCESS JOURNALS Author-pays model Subsidized model Mixed models G REEN VS G OLD Green or self-archiving, involves depositing article pre-prints and/or post-prints in repositories Gold: open access publishing, available to readers free of charge (funding models)

6. O PEN A CCESS R ESEARCH D ATA National research councils, governments, funding agencies now have requirements for open data Gene Bank Digging into Data Data Deposits Research data for reproducibility, replication, reuse Research data as a core research output The collection and preservation of research data has become an core part of national and subject- based OA Initiatives

7. O PEN A CCESS B OOKS Broadening of Open Access What does an open access book model look like? What is the cost of publishing a book? Awards to Scholarly Publications Program (ASPP) draft policy

8. T RI C OUNCIL D RAFT 5. Policy Scope This policy applies only to peer-reviewed journal publications. Book chapters, reports, monographs, editorials, or conference proceedings arising from Agency-funded research are not currently covered under this policy.

9. T RI C OUNCIL D RAFT Option #1: Grant recipients submit their manuscript to a journal that offers immediate open access to published articles, or offers open access to published articles within 12 months. Option #2: Grant recipients archive the final peer-reviewed full-text manuscript in a digital archive where it will be freely accessible within 12 months (e.g., institutional repository or discipline-based repository). It is the responsibility of the grant recipient to determine which publishers allow authors to retain copyright and/or allow authors to archive journal publications in accordance with funding agency policies.

10. I MPLEMENTATION : OA Offices of Research Services Libraries Vendors Faculty Responsibilities Pre/post prints Author agreements Choosing journals

11. I MPLEMENTATION Vendor Negotiations Accountability Tracking APCs Journal policies http://www.sherpa.ac.uk/romeo/ Institutional Repositories

12. U NINTENDED C ONSEQUENCES Cost-effective Access to research No price or permission barriers Authors retain rights Who has access? Quality? Expertise? Tenure & Promotion implications? Public understanding of science? What is the cost? Profits? Business model? Investment? B ENEFITS Q UESTIONS

13. I NTRODUCING ( THE CHALLENGE OF ) DATA

14. T HE GAP BETWEEN THE DATA WE PRODUCE AND OUR ABILITY TO HANDLE IT IS GROWING EXPONENTIALLY. michael steeleworthy, mlis | msteeleworthy@wlu.ca

15. T HE GAP BETWEEN THE DATA WE PRODUCE AND OUR ABILITY TO HANDLE IT IS GROWING EXPONENTIALLY. michael steeleworthy, mlis | msteeleworthy@wlu.ca

16. T HE GAP BETWEEN THE DATA WE PRODUCE AND OUR ABILITY TO HANDLE IT IS GROWING EXPONENTIALLY. michael steeleworthy, mlis | msteeleworthy@wlu.ca RDM

17. R ESEARCH D ATA M ANAGEMENT DEFINED RDM combines technology, services, expertise, and policy to support research data activities, including collection, access, use, and preservation across the research life cycle. (JISC; Humphrey; TC+)

18. Data Management Data Stewardship

19. michael steeleworthy, mlis | msteeleworthy@wlu.ca “Research data management involves the practices and activities across the research lifecycle that involve the operational support of data through design, production, processing, documentation, analysis, preservation, discovery and reuse. Collectively, these data- related activities span the stages of project- based research as well as the extended stages that tend to be institutionally based. The activities are about the “what” and “how” of research data” (Chuck Humphrey, 2012.)

20. Systems/Tech Is your research on a flash drive? (Please say no.) The Four RDM Pillars Policy and Action What must you keep? Who is looking after your research? Ethics What privacy and access implications do you face? Training & Continuity Will 2015 understand what 2014 was up to?

21. Data Management and Open Access: Update from Tri-Agency 21 CAURA Ontario November 2014

22. Why data management? Why now? 22 Excellence in data management is fundamental to research excellence Allows research results to be as freely available and accessible as possible, while ensuring that appropriate safeguards are in place. Research data management practices and policies are evolving quickly in leading research countries. Data management capacity is increasingly linked to Canada’s international competitiveness.

23. Tri-Agency / CFI Consultation – Fall 2013 23 “Capitalizing on Big Data: Toward a Policy Framework for Advancing Digital Scholarship in Canada” Discussed ways the agencies can promote excellence in data management practices and help to establish a “Culture of Stewardship” in Canada Proposed that data management plans be required as part of grant applications Highlighted the need for ongoing coordination with other players in the « research ecosystem »

24. Tri-Agency Approach: Key Considerations 24 Data management requirements will impact researchers, students and institutions, among others Long-term success depends on availability of standards, repositories, expertise and other resources. Education and awareness activities, sharing best practices, etc. are essential Coordination, consultations and communications will be required on an ongoing basis Parallel initiatives being led by the GoC (Treasury Board Secretariat) on Open Government and Open Science

25. GoC Open Government / Open Science 25 Government of Canada initiative to maximize access to federally-funded scientific research, to encourage greater collaboration and engagement with the scientific community, the private sector, and the public. G8 Science Ministers Agreement: "to promote policies that increase access to the results of publicly funded research results to spur scientific discovery, enable better international collaboration and coordination of research, enhance the engagement of society and help support economic prosperity". Canada is one of 65 countries that have joined the Open Government Partnership.

26. Canada's Action Plan on Open Government 2014-16 www.opengovpartnership.org www.opengovpartnership.org 26

27. 27 Fall/winter 2014-15: Tri-agency working group with RDC and CAURA observers Participation in discussions such as CSPC, CASRAI, CAURA, CARL, etc. Environmental scan: K. Shearer External advisory group Promotion and awareness 2015 Public consultation on proposed policy direction Guiding principles, pilots, guidance documents, etc. Determine next steps Tri-Agency: Next Steps

28. Contact points 28 Jeremy.Geelen@sshrc-crsh.gc.ca Philippe-Olivier.Giroux@nserc- crsng.gc.ca Jessica.Mankowski@cihr-irsc.gc.ca

29. RDM I MPLEMENTATION IN / WITH L IBRARIES

30. michael steeleworthy, mlis | msteeleworthy@wlu.ca

31. Establishing a Culture of Stewardship We propose that the TC3+ define the core elements of an agency-based and focused data stewardship plan. The elements of this plan could potentially include: a. a requirement that all grant applications include specific data management plans including identified costs of data collection/analysis and preservation of results and associated datasets; b. definition of those specific elements of data plans that will be considered by reviewers in the assessment of funding applications; c. guidelines indicating which data must be preserved and in what formats; d. consolidated open access policies and guidelines (in concert with work already initiated by the TC3+); e. guidelines for researchers in selecting suitable data repositories; f. recognition of data repositories across Canada that meet global standards for such facilities; and g. guidelines for ensuring informed consent for data use and protection of privacy and confidentiality.

32. P OLICY F ORMULATION AND A CTION : D IGITAL I NFRASTRUCTURE S UMMIT CIOs, VPRs, ULs Researchers TC3+ CANARIE COMPUTE CRKN CARL CUCCIO CASRAI RDC

33. C APACITY B UILDING : C DN A SSOC. OF R ESEARCH L IBRARIES (CARL)

34. C ENTRES OF E XPERTISE : P ORTAGE A network with have two major components: 1. A networked centre of expertise for research data management (RDM) 2. A national preservation infrastructure for RDM that will evolve and expand over time. (With Research Data Canada and Compute Canada) Portage: Supporting Canadian innovation through shared expertise and stewardship of research data

35. RDM T RAINING : M ANTRA

36. B UILDING DMP S

38. S OME C OMMON DMP C OMPONENTS 1. Types of data you collect “What are you collecting?” 2. Standards used to document your data “What is automated by what process?” “What vocabulary do you use?” 3. Data organization plans during project What systems are used to store & manage the data? 4. Access policies for use, reuse, sharing Who has access? How is is mediated? 5. Archive and Preservation plans Who is responsible for archiving? What will be held and where will it be held?

39. B UILDING DMP S : DMPT OOL (USA)

40. B UILDING DMP S : DMP O NLINE (UK)

41. B UILDING DMP S : DMP B UILDER (UA)

42. M ANAGING D ATA : R EPOSITORIES Dataverse (Ontario) A system that manages files based on long term preservation and good archival practices. Researchers can share, keep control of and get recognition for their data. Dataverse supports the sharing of research data with persistent data citation and enables reproducible research.

43. C ONSULTATION : RDM PORTALS

45. C OLLABORATION O N C AMPUS Libraries ORS REB IT

46. C OLLABORATION O N C AMPUS LibrariesORSREBITResearchers

47. Q UESTIONS ? cinnerd@wlu.ca msteeleworthy@wlu.ca christine.trauttmansdorff@sshrc-crsh.gc.ca