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Research Data Management Principles and Guidance Yale ...

June 7, 2018 1 Research data Management Principles and Guidance Yale University Table of Contents 1. Introduction 2. Why Manage Research data ? 3. Research data Responsibilities at Yale 4. Research data Principles and Guidance Research data Ownership and Rights Research data Retention Research data Preservation Research data Security Research data Sharing and Public Access Research data Plans and Documentation 5. Appendix 1: Definitions This document is intended to provide Guidance regarding Principles to consider as Research data Management practices are developed at Yale University.

June 7, 2018 3 a) Proper research data management aligns with Yale’s mission and key principles as stated in Section 1.0 above. b) Many public and private grant-funding organizations have policies on research data that

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Transcription of Research Data Management Principles and Guidance Yale ...

1 June 7, 2018 1 Research data Management Principles and Guidance Yale University Table of Contents 1. Introduction 2. Why Manage Research data ? 3. Research data Responsibilities at Yale 4. Research data Principles and Guidance Research data Ownership and Rights Research data Retention Research data Preservation Research data Security Research data Sharing and Public Access Research data Plans and Documentation 5. Appendix 1: Definitions This document is intended to provide Guidance regarding Principles to consider as Research data Management practices are developed at Yale University.

2 It presents an overview of Research data Management , a description of relevant University policies, rules, and expectations, and Guidance to Yale researchers about available university resources. It reflects the current state of data Management and will be updated over time as conditions evolve. This document should be read in conjunction with the University Policy on Research data and Materials, Yale Information Technology Services (ITS) Security Policy, data and Information Classification Framework, Copyright Policy, Patent Policy, and Faculty Handbook.

3 In coordination with relevant policies, this document aims to assist Yale researchers in fulfilling their ethical and legal obligations while attempting to minimize the inherent burden associated with Research data Management . 1. Introduction Two of the University s essential purposes are to impart knowledge and to enlarge humanity s store of knowledge. Specifically, the following Principles of Yale University guide this document: a) Yale is committed to improving the world today and for future generations through outstanding Research and scholarship, education, preservation, and practice.

4 The University deems appropriate stewardship of Research data as fundamental to both high-quality June 7, 2018 2 Research and academic integrity and therefore seeks to attain the highest standards in the generation, Management , retention, and preservation of Research data . Yale University regards making data resulting from academic Research available to the public within regulatory and legal constraints as an extension of its mission. b) Yale University supports the primary right of academic freedom for researchers to choose the nature and direction of their Research inquiries, to use Research data generated to pursue future Research and to publish related scholarly work.

5 This freedom comes with the responsibility of researchers to disseminate their Research findings to the scientific and academic community. c) Yale University supports the academic community s standard that the scientific principle of reproducibility is essential to the advancement of science. The ability to verify Research findings by new investigators or by using independent methods relies upon access to relevant Research data , materials, protocols, and documentation. The University is primarily responsible for meeting all obligations concerning Research data , and supporting an environment in which the objectives of its policies and Principles are met.

6 Yale University is committed to developing and supporting a collaborative environment in which the general Principles and objectives of its Research data policies can be achieved. Where Research is resource-intensive and where possible researchers should seek to recover the direct costs of managing Research data from the Research funder. Research data Management plans that involve significant commitment of University resources must be approved by the Office of the Provost or dean of self-supported schools. Researchers are responsible for collecting, managing, retaining, and sharing Research data and materials in compliance with legal requirements, Yale policy, and the terms and conditions of sponsored awards, and for assisting the University in fulfilling its obligations in this regard.

7 2. Why Manage Research data ? Research data are an increasingly important and valuable output of the scholarly Research process, across all disciplines. They are an essential part of the evidence necessary to evaluate Research results and to reconstruct the events and processes leading to them. Research data Management includes caring for, facilitating access to, and preserving Research data . All Research requires some level of data Management before, during, and subsequent to the active Research period. Research data Management refers to the actions researchers take before, during, and after a Research project that involve data from planning, to creating, organizing, securing, sharing, and looking after the data and the documentation they keep about these actions.

8 In addition to adhering to Research data Management best practices, Yale researchers should engage in Research data Management for these reasons: June 7, 2018 3 a) Proper Research data Management aligns with Yale s mission and key Principles as stated in Section above. b) Many public and private grant-funding organizations have policies on Research data that include the expectation that data underpinning published Research findings will be made openly available in a timely and responsible manner. Federal agencies, including the National Institutes of Health and the National Science Foundation among others, have expectations of grantees for providing public access to Research data and materials, notably policies for data sharing, Management and public accessibility to published results.

9 For example: The US Office of Science and Technology Policy (OSTP) 2013 memo, updated in 2014, directs federal agencies and offices to develop and submit plans to OSTP that ensure peer-reviewed publications and digital scientific data resulting from federally-funded scientific Research are accessible to the public, the scientific community, and industry (to the extent feasible and consistent with applicable law and policy, agency mission, resource constraints, national, homeland, and economic security, and, the specific objectives of the memorandum).

10 In response to the OSTP, federal agencies have begun issuing expectations of grantees for providing public access to Research data and materials, while others (notably the National Institutes of Health and the National Science Foundation) have long standing policies for data sharing, Management , and public accessibility to published Yale University and its researchers have legal, institutional, and ethical obligations to manage and retain records of Research in sufficient detail and for an adequate period of time to enable appropriate responses to questions about accuracy, reproducibility, authenticity, primacy, and compliance with laws and regulations governing the conduct of the Research .


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