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Research Data Management Policy

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Section 1 - Purpose and Context

(1) This policy specifies the responsibilities of Western Sydney University, its researchers and Higher Degree Research Candidates (HDR Candidates) regarding the management of research data.

(2) This policy covers the whole research data management lifecycle, including planning and designing, data collection and analysis, write up and dissemination of findings, and storage and/or disposal of all items related to the research project and all related data, upon completion.

(3) The University is aware of, and sensitive to, the particular issues raised when undertaking and conducting research in Indigenous Australian communities as detailed in the Australian Code for the Responsible Conduct of Research, 2018 (Section 2.2) and Ethical conduct in research with Aboriginal and Torres Strait Islander Peoples and communities: Guidelines for researchers and stakeholders.

(4) This policy allows for research collaboration opportunities within the University and externally, raising the profile of individuals to help increase the research impact for the University and researchers and contribute to innovation.

(5) This policy sets out a coordinated approach to research data management, which ensures the University:

  1. operates in a manner consistent with relevant legislation;
  2. complies with the Australian Code for the Responsible Conduct of Research, 2018 which is not limited to compliance with retention, accessibility, storage, and security standards;
  3. establishes a best-practice culture of data management for researchers and HDR Candidates;
  4. makes existing data available for purposes other than its original intention when appropriate;
  5. improves research efficiency and effectiveness by the sharing of data that can be re-used.

(6) The policy should be read in conjunction with the following policies:

  1. Acceptable Use of Digital Services Policy;
  2. Copyright Policy
  3. Digital Information Security Policy;
  4. Intellectual Property Policy;
  5. Open Access to Research Policy;
  6. Privacy Policy;
  7. Responsible Conduct of Research Policy
  8. Records and Archives Management Policy;
  9. Supervision of Research Candidates Policy.
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Section 2 - Definitions

(7) For the purposes of this policy, definitions that apply can be found in the Policy DDS Glossary, in addition to the following:

  1. Chief Security Officer (CSO) means the Chief Security Officer for the Defence Industry Security Program (DISP).
  2. Disposal means the process by which research data are destroyed or disposed of, subject to the NSW Privacy and Personal Information Protection Act 1998Health Records and Information Privacy Act 2002 (NSW)State Records Act 1998 (NSW), and the University's Privacy Policy and Records and Archives Management Policy.
  3. Research Participant means a person from whom research data are drawn.
  4. Supervisor means the person to whom the individual researcher or research group would normally report.
  5. AARNET – (Australia’s Academic and Research Network) The not-for-profit operator of the Australian national research and education network and associated services.
  6. ARDC – (Australian Research Data Commons) A national research infrastructure provider, which facilitates partnerships to develop a coherent research environment that enables researchers to find, access, contribute to and effectively use services to maximise research quality and impact.
  7. ResearchDirect – The University's Institutional Repository, which comprises:
    1. a publication archive that includes published research materials produced by staff and, where applicable, HDR Candidates, including full-text access where possible; and
    2. a catalogue of research datasets produced by staff and HDR Candidates, including records for open access and description-only datasets.
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Section 3 - Policy Statement

(8) The University recogises that research data is a valuable product of research activity and helps promote open enquiry and debate, complement research outputs and publications, provide research transparency, and justify research outcomes.

(9) The University recognises that the different types of research output, including research data, are key institutional assets and should be managed to realise the greatest benefit for the individual researcher and for the University.

(10) The University is committed to ensuring the appropriate creation, processing, analysis and preservation of research data, which supports access to and reuse of data for the research community, including research participants, and society in the future. 

(11) The University acknowledges Australian and international initiatives to improve access to publicly-funded research data collections, and access to research data from public funding. More information is available in the NHMRC Principles for accessing and using publicly funded data for health research and OECD Principles and Guidelines for Access to Research Data from Public Funding.

(12) These principles apply to:

  1. researchers and HDR Candidates who collect, create, and/or generate research data, irrespective of their work location; and
  2. all research data, regardless of format, and subject to the provisions of any relevant contracts or funding/collaboration agreements.
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Section 4 - Procedures

Part A - Research Data Management Plans

(13) Researchers and HDR Candidates, in consultation with supervisors, must:

  1. develop a research data management plan at the beginning of their research project to ensure a robust data management framework is in place prior to starting research at the University. It can begin as a basic plan and further information can be added as the project progresses;
  2. ensure the research data management plan describes how research data will be managed throughout the research project and covers areas such as:
    1. what data will be created;
    2. how the data will be classified;
    3. where the data will be stored;
    4. who will own and have access to the data;
    5. how the data will be preserved; and
    6. how sensitive data will be treated;
  3. ensure they understand and are aware of their legal, contractual, and legislative obligations around the use of data in research activity and Research Integrity and Ethics;
  4. ensure research data is given an appropriate data classification and specify any additional handling controls needed to ensure the confidentiality, integrity and availability of the data. More information is available on the Research Data Management webpage;
  5. update research data management plans for all research from grant or research project proposal to the conclusion of the research;
  6. retain all relevant data and materials in case results are challenged or subject to allegations of research code breaches;
  7. keep clear and accurate records of the research methods and data sources, including any approvals granted, during and after the research process; and
  8. retain their research data and primary materials.

(14) A research data management plan must:

  1. include provision for describing data fully (metadata) and then depositing the data and/or description in ResearchDirect;
  2. comply with all relevant legislation and policy, including the Privacy and Personal Information Protection Act 1998 (NSW), the Health Records and Information Privacy Act 2002 (NSW), the State Records Act 1998 (NSW), and the University's Privacy Policy and Records and Archives Management Policy;
  3. include additional data management provisions for defence research projects, including the requirements for Defence Industry Security Program (DISP) membership. The Chief Security Officer for DISP must be notified via email at disp@westernsydney.edu.au of any planned defence research projects;
  4. provide justification where data are proposed to be held off-shore; and
  5. ensure early consideration of factors that will influence the ability to make research data available for access and re-use, in line with the Open Access to Research Policy.

(15) Researchers may place restrictions on access to the research data if there are confidentiality, commercial, contractual, privacy and/or ethical constraints on open distribution of data. Information on these restrictions should be articulated in the research data management plan and specified when lodging data/data description in ResearchDirect.

(16) A research data management plan is required for projects involving:

  1. a non-University industry partner or collaborator;
  2. a foreign university or foreign government;
  3. a partner or collaborator from another university, including circumstances in which the Chief Investigator is not an employee of the University.

(17) The partner or collaborator must participate in the development of data management plans, and aspects of the plan must be agreed upon in writing before commencement of the project, such as data ownership, storage, retention, future access by all parties and disposal.

Part B - Working Data Storage

(18) All data collected and/or created by researchers must be maintained securely to prevent unauthorised access, alteration, removal, destruction, accidental or intentional damage.

(19) Research Data, research records and primary materials must be deposited in Working Data Storage as soon as possible after collection or creation. More information on research data handling storage is available on the Research Data Management webpage. Working Data Storage options include:

  1. Shared drive: secure platform and file share on the University network to store and share Working Data. Visit the WesternNow Staff Portal for more information
  2. OneDrive: information about accessing OneDrive is available on the WesternNow Staff Portal;
  3. CloudStor: Working Data Storage and file sharing capabilities for University staff provided by AARNET, a federally-funded academic and research company;
  4. eResearch support partners: access to managed storage.  

(20) When sharing Working Data for the purpose of research collaboration, researchers should consider:

  1. compliance with any formal agreement in place with a funding body or research partner;
  2. compliance with the principles, in line with the Privacy Policy;
  3. the security of the platform used to share the Working Data;
  4. any intellectual property or licensing implications; and
  5. any risks posed by foreign interference that might jeopardise Australia’s national interest or be a threat to staff or HDR Candidates.

Part C - Access to Research Data

(21) The University supports the application of both the FAIR data principles and CARE data principles as an essential consideration of publication and reuse of datasets:

  1. The FAIR data principles promote the Findability, Accessibility, Interoperability, and Reuse of digital assets, metadata (information about the digital assets), and infrastructure. In the context of reproducible research, particularly computational reproducibility, documentation must be accurate and complete around aspects such as software, code, workflows, execution environment and terminology.
  2. The CARE Principles for Indigenous Data Governance promote consideration of Collective Benefit, Authority to Control, Responsibility and Ethics. These principles:
    1. reflect the crucial role of data in advancing Indigenous innovation and self-determination;
    2. encourage consideration of both people and purpose in the collection, management and reuse of Indigenous data and Indigenous knowledge;
    3. ensure access to data pertaining to Indigenous Australians can be mediated under specific conditions;
    4. require researchers, data managers or data custodians working with these types of data to be aware and considerate of different viewpoints and manage information and knowledge sensitively to facilitate new partnerships with researchers, business, policy and broader communities. For further context, refer to AIATSIS Code of Ethics for Aboriginal and Torres Strait Islander Research for Guidelines for Ethical Research in Australian Indigenous Studies (2012) (GERAIS).

(22) Under the Open Access to Research Policy, by default, data for completed research and data supporting publications will be made openly available via ResearchDirect.

(23) Where no restriction on access to data is recorded in the relevant research data management plan, the relevant provisions in the Open Access to Research Policy will be given effect.

(24) Funding bodies may also stipulate open access requirements in their agreements and researchers are advised to check agreement terms closely to ensure compliance.

(25) The National Health and Medical Research Council and the Australian Research Council have open access policies describing their requirements for sharing of research outputs and open access to research data.

Part D - Retaining, Archiving and Disposing of Research Data

(26) Timeframes for retaining research data and related records are specified in Section 3.5.0 of the NSW State Archives and Records general retention and disposal authority (Education: Higher & further education and research records (GA47)) specifies.

(27) Retaining, archiving and disposing of research data is subject to several considerations:

  1. Where Ethics Approval has been given for data collection, future retention/disposal must follow the stated actions included in participant consent and information sheets and approved by the appropriate committee;
  2. The length of time for which the data is retained will be determined by the nature of the research, legislative requirements, national guidelines, and funding stipulations;
  3. In the absence of specified obligations, the minimum length of time data and/or datasets will be retained is five years after completion of the research activity, in line with GA47;
  4. The University supports the retention of published and/or ‘non-significant’ datasets beyond five years without the directive to destroy.

(28) Datasets for which a descriptive record has been created in ResearchDirect will be retained for long term access, regardless of the access conditions associated with the data.

(29) In the event that all associated researchers have left the University, and/or provenance or retention requirements are unclear, unpublished research data will be disposed of after five years.

Part E - Data, Intellectual Property and Copyright

(30) Any intellectual property arising from the creation of research data is subject to the Intellectual Property Policy and Copyright Policy, the Copyright Act 1968 (Cth) and court judgements.

(31) Intellectual Property is defined in the Intellectual Property Policy.

(32) Copyright is a form of intellectual property embodied in the Copyright Act 1968 (Cth):

  1. copyright may not subsist in a “raw” dataset known as an unprotected dataset if no recognised human authorship, originality, skill, and judgement is shown in its creation;
  2. copyright may subsist in a dataset where human authorship, creativity, originality, skill and judgement and originality has been shown in creating the dataset.

(33) Examples of where copyright does not subsist in a raw dataset and how the Federal Court judgement impacts on data and datasets can be found in the ARDC Research Data Rights Management Guide 2019.

(34) The University grants the ownership of copyright in Scholarly Works or creative works created by an employee in the course of employment to the employee.

(35) Unless otherwise agreed in writing, the University will, in its capacity as an employer, own all Data and Datasets developed by employees in the course of employment with the University except for Scholarly Works such as books, book chapters, published journal articles, research papers and other published materials.

(36) For researchers working on research that involves external partners, including other universities, the University will seek to maintain its ownership of data and datasets created while employed at the University through a written agreement appropriate to the research partnership. This will be recorded in the research data management plan.

(37) Upon leaving the University, and subject to clause (26), Researchers may take a copy of the research data for their own use, taking into account the confidentiality and possible sensitivity of the data, and any restrictions placed upon future use and storage of the data as described in the research data management plan.

(38) Requests for the transfer of ownership of data and datasets to the employee or HDR Candidate who created the data will be considered if the data is not suitable for registration and commercialisation or unless the University does not otherwise require such data.

(39) HDR Candidates, as they are not employees of the University, generally own the Intellectual Property they create, subject to any written agreement to the contrary entered into by the HDR Candidate. HDR Candidates may be asked to assign their interest in the Intellectual Property that they create to the University.

(40) More information and guidance on data, intellectual property and copyright can be found in the Research Data Rights Management Guide 2019, developed by the ARDC.

Part F - Responsibilities

The University

(41) The University will:

  1. provide mechanisms and services for storage, backup, registration, deposit and retention of research data assets in support of current and future access, during and after completion of research in the form of Working Data Storage (refer to the Research Data Management webpage) and ResearchDirect;
  2. supply templates and systems for creating research data management plans and training in their use;
  3. ensure research data is securely stored in accordance with relevant state and federal legislation;
  4. determine the period for which data will be retained in ResearchDirect beyond the defined minimum period according to legislative, funding, administrative and contextual factors; 
  5. provide advice on appropriate potential licences for research data use and reuse; and
  6. take the creation and ongoing management of a research data management plan into account during the confirmation of candidature process.

Researchers

(42) For research with non-University partners, researchers will:

  1. ensure a collaborative research data management plan is in place that reflects the terms of the research agreement or collaboration;
  2. mitigate, identify and report any threats from a foreign collaborator to data ownership, access and disposal, as outlined on the University's Foreign Arrangements Scheme webpage; and
  3. advise their supervisor or head of organisational unit if a research partner fails to comply with the research data management plan.

(43) Researchers must ensure that all data they collect and/or create is deposited in a Working Data Storage system (refer to the Research Data Management webpage) as soon as possible after collection or creation.

Higher Degree Research Candidates

(44) HDR Candidates must:

  1. seek the advice of their Principal Supervisors before disposing of any research data generated in the course of their candidature;
  2. inform their Principal Supervisor if a non-University partner fails to comply with the relevant research data management plan; and
  3. identify and report any threats from a foreign collaborator to data ownership, access and disposal, as outlined on the University's Foreign Arrangements Scheme webpage.

(45) At the conclusion of research, HDR Candidates may:

  1. submit data into ResearchDirect to be searchable and accessible to the global community; or
  2. submit data into ResearchDirect with restrictions on access. Information on these restrictions should be made available on lodgement of the data to ResearchDirect.

Principal Supervisors of HDR Candidates

(46) The Principal Supervisor of a HDR Candidate must:

  1. communicate research data management requirements to the HDR Candidate;
  2. ensure the HDR Candidate's research data management plan:
    1. complies with all necessary requirements;
    2. gives consideration to changes in the research that may affect data management, including changes to supervision; and
  3. for research with non-University industry partners and collaborators, ensure a collaborative research data management plan is in force that reflects the terms of the agreement between the HDR Candidate and the non-University partner.

Heads of Organisational Units and Supervisors

(47) The organisational unit head or supervisor must:

  1. communicate research data management requirements to their staff;
  2. ensure their staff's research data management plans comply with all necessary requirements, including any requirements stipulated in funding agreements; and
  3. ensure that consideration is given to changes in research that may affect research data management, including changes to staffing.

(48) Disposal of working research data must be authorised by the organisational unit head and supervisor.

(49) Associated Information:

  1. Australian Code for the Responsible Conduct of Research, 2018 (Section 2.2)
  2. Ethical conduct in research with Aboriginal and Torres Strait Islander Peoples and communities: Guidelines for researchers and stakeholders
  3. Privacy and Personal Information Protection Act 1998 (NSW) 
  4. Health Records and Information Privacy Act 2002 (NSW)
  5. State Records Act 1998 (NSW)
  6. NHMRC Principles for accessing and using publicly funded data for health research
  7. OECD Principles and Guidelines for Access to Research Data from Public Funding
  8. AIATSIS Code of Ethics for Aboriginal and Torres Strait Islander Research
  9. Guidelines for Ethical Research in Australian Indigenous Studies (2012) (GERAIS)
  10. National Health and Medical Research Council
  11. Australian Research Council
  12. Copyright Act 1968 (Cth)
  13. ARDC Research Data Rights Management Guide 2019