Management of Data and Information in Research Procedure
Intent
The management of data and information in research is integral as it provides a clear route between data and conclusion, hence allows for the justification, verification and validation of the research outcome. This is further supported by the safe and secure storage of data and defined data sharing conditions which enables data to potentially be re-used for future research and minimises waste of resources of value to researchers and the wider community through the increased benefits of; research efficiency, research integrity, collaboration and innovation, engagement and impact, visibility and citation advantages in conjunction with meeting compliance and security requirements.
In compliance with the principles of the 番茄社区 Code for the Responsible Conduct of Research (Research Code), specifically Principles 2, 3 and 7 and Responsibilities 3-5, 8 and 22 and the Managing and Investigating Potential Breaches of the 番茄社区 Code for the Responsible Conduct of Research Procedure, Authorship Procedure, Disclosure of Interest and Management of Conflicts of Interest Procedure, Publication and Dissemination of Research Procedure, Researcher Supervision Procedure and the Collaborative Research Procedure, this Procedure assists researchers to understand their responsibilities under the 番茄社区 Research Code as they relate specifically to the governance and management of research data and information throughout the Research (Data and Information) Asset Lifecycle.
As such, the University has developed a data management platform, and requires all researchers to complete the following three (3) records:
- Research Data Management Plan (RDMP)
- Data Record
- Data Publication
Note: was developed to comply with the .
Scope
This procedure applies to;
- The data and information supporting all University research outputs such as theses and publications,
- All 番茄社区 researchers: including HDR Candidates and adjuncts,
- Undergraduate or postgraduate coursework students (including honours) with research data and information that directly underpins a publication (assessments not included) and
- Research support administrative staff.
Exemption: Seek exemption through researchdata@jcu.edu.au if the research project:
- generates no research data or research information, therefore resulting in the inability to complete some or all records in or
- has a contractual limitation on completing a metadata record i.e. Data Publication in due to intellectual property, ownership or confidentiality or
- approved ethics applications prior to 2021 may not support the completion of the Data Publication record.
Important note: replaced the Tropical Data Hub as of 2021. Most research projects that commenced prior to 2021 do not require a Research Data Management Plan, unless the project was NMHRC or ARC funded or is a HDR project with a confirmation of candidature date in 2021 onwards. For further clarification e-mail researchdata@jcu.edu.au.
Definitions
Academic Research(er) | Refer to Research(er) |
Adjunct | Is an honorary appointment made to a suitably qualified and experienced individual who has a close association with, and makes a significant voluntary contribution to, the academic, professional and/or clinical activities of the University. |
Advisor | Advisor is a role, that supervises the HDR candidate throughout the research project. Each HDR candidate has a minimum of two (2) Advisors:
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Breach | A failure to meet the principles and responsibilities of 番茄社区’s Code for the Responsible Conduct of Research Policy (Research Code). |
Conditional Access | Is a condition(s) that has been assigned to permit access to research data and information. |
Creator | Refer to Data Creator. |
Custodianship Model | Is a model that articulates key roles and responsibilities for the management of research data and information throughout the lifecycle of the research asset – refer to Appendix 2 – Custodianship Model for Research Data and Information. |
Data | Refer to Research Data. |
Data Collaborator | Data Collaborator is a role -– refer to Appendix 2 – Custodianship Model for Research Data and Information. Due to current system limitations, internal and external data collaborators are dealt with in two ways:
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Data Creator | Data Creator is a custodianship role and a role – refer to Appendix 2 – Custodianship Model for Research Data and Information creators capture or create the data for the research project. Due to current system limitations, internal and external data creators (including Other Data Creators) are dealt with in two ways:
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Data Custodian | Data Custodian is a custodianship role,who has overall responsibility of the research asset throughout its lifecycle – refer to Appendix 2 – Custodianship Model for Research Data and Information. |
Data Manager | Data Manager is a custodianship role and a role – refer to Appendix 2 – Custodianship Model for Research Data and Information. The Data Manger provides advice and or supervision to the researcher(s) throughout the research project lifecycle and reviews (spot checks) the veracity of the research project’s data and information. The Data Manager post project is responsible for safeguarding the research assets from unauthorised access and misuse, archiving and disposal. Note: Because responsibilities for data and information extend past the life of the research project (eg after the HDR candidate has graduated), the role of the Data Manager must be assumed by a 番茄社区 staff member. As such, the Data Manager is either the:
On departure (cease employment at 番茄社区) of a Lead Investigator or Primary Advisor from 番茄社区, the Data Manager role will transfer to the:
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Data Publication | Is a record in . It is a public, metadata record of the data and information used in the research project. It includes citations, DOIs, access conditions (open, conditional or restricted) and relevant licences - ensuring that data is attributed to the researcher and that it can be correctly cited and re-used. |
Data Record | Is a record in . It is a non-public, metadata record of the research data and information used in the research project. It includes data attachments or storage location details (as appropriate). The data record should also include any supporting documentation necessary to understand or reproduce the research such as survey questions, codebooks and R scripts. |
Dataset | Is a collection of data (refer to Research Data). |
During a project phase | Is the second phase of the Research (Data and Information) Asset Lifecycle and includes Step 2: Manage, Step 3: Archive and Step 4: Publish. Refer to Appendix 1 – Research (Data and Information) Asset Lifecycle. |
HDR Candidate | Is a candidate (student) enrolled at 番茄社区 in a Doctor of Philosophy, Masters by Research, Master of Philosophy or Professional Doctorate by Research course. |
Information | Refer to Research Information |
Institution | 番茄社区 |
番茄社区 Staff Member | Is any person at 番茄社区 who is employed or under a contract of employment at 番茄社区. |
Lead Investigator | Is a 番茄社区 staff member or HDR candidate who takes the lead role in conducting the research project. |
Manager, Research Data Services | The Manger, Research Data Services provides strategic research data management and governance guidance to the research domain at 番茄社区. |
Metadata record | Is a record that contains information about data. Specifically in this procedure metadata records are RDMP, Data Record, Data Publication and a TRIM record. |
Open Access | Confirms that access to the research data and information is permitted to the public. |
Other Data Creators | Refer to Data Creator |
Post project phase | Is the third phase of the Research (Data and Information) Asset Lifecycle and includes Step 5: Reuse, Step 6: Review and Step 7: Dispose. Appendix 1 – Research (Data and Information) Asset Lifecycle. |
Pre-project Phase | Is the first phase of the Research (Data and Information) Asset Lifecycle and includes Step 1: Plan. Refer to Appendix 1 – Research (Data and Information) Asset Lifecycle. |
Primary Advisor | Refer to Advisor |
Primary Materials | Is print, digital or physical objects collected and/or used during scholarly activity and investigation from which research data may be obtained. It includes materials such as ore, biological material, questionnaires or recordings and also includes durable records derived from them (such as assays, test results, transcripts, and laboratory and field notes). Primary material may be research data or information. |
Record Administrator | Is the person logged into when an RDMP, Data Record or Data Publication is created. |
Research | The concept of research is broad and includes the creation of new knowledge and/or the use of existing knowledge in a new and creative way so as to generate new concepts, methodologies, inventions and understandings. This could include synthesis and analysis of previous research to the extent that it is new and creative. |
Researcher | Is a person who conducts research. Also Refer Data Creator for more information. |
Research Asset | Is any research data and/or research information that supports the integrity of the research output (eg thesis, publication, etc.) and includes their supporting documents. For the purpose of this procedure, a research asset excludes any physical research infrastructure asset such as instruments. |
Research Code | Is 番茄社区’s Code for the Responsible Conduct of Research Policy (Research Code) adopted from the Australian Code for the Responsible Conduct of Research. |
Research Data | Is any data that has been collected, generated or created (no authorship) during a research project. It may be raw, cleaned, or processed (via machine), and may be held in any format or media. May also be referred to as primary material. |
Research Data 番茄社区 | Is 番茄社区’s data management platform for research data and information and its metadata. includes the following three (3) metadata records:
Research Data 番茄社区 url is |
Research Data and Information Management (RDIM) Website | RDIM Website contains comprehensive research data management advice and provides users direction on how to manage research data specifically at 番茄社区. The RDIM website url is /rdim |
Research (Data and Information) Asset Lifecycle | Is a lifecycle model that a research assets progresses through. It has three phases (pre-project, during a project and post-project) that articulates seven (7) steps; Plan, Manage, Archive, Publish, Reuse, Review and Dispose – refer to Appendix 1 – Research (Data and Information) Asset Lifecycle. |
Research Data Management Plan (RDMP) | Is a record in . The RDMP establishes a link between the research project and the research data and information. It is a non-public record that describes what data will be created, what policies apply to the data, who will own and have access to the data, what data management practices will be used, what facilities and equipment will be required and who will be responsible for each of these activities. It is a living document that is added to and refined throughout the research project. |
Research Information | Is research data that:
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Research Output | Communicates or makes available the findings of research that may be in hardcopy, electronic or other form. Examples of research outputs include journal articles, book chapters, books, conference papers, reports, datasets, patents and patent applications, performances, videos and exhibitions. |
Research Project | A planned endeavor to undertake research (see definition). A research project must have research outputs. |
Research Support Staff | Are typically administrative staff employed to support researchers at 番茄社区. Whilst they may not have direct responsibilities in this procedure they will assist researchers in their research projects and/or in processes that may have a direct impact on research data and information throughout its’ lifecycle. |
Restricted Access | No access is permitted to the research data and information due to commercial requirements or agreements, privacy, confidentiality or other sensitivities. |
Significant (data) | Is research data and information that is considered to be one or more of the following:
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Sensitive Data | Research data and information to which obligations of confidentiality or other sensitivities may apply commonly fall into one of the following categories:
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Supporting Documents | Is any documentation necessary to understand or reproduce the research such as survey questions, codebooks and R scripts. Supporting documents are research assets. |
TRIM | Is 番茄社区’s compliant electronic document and records management system used for the university’s corporate / administrative documents. |
Introduction
番茄社区 values research data and information (and their supporting documents) as strategic research asset(s) and recognises the importance of:
- providing direction on how research data and information is managed throughout the lifecycle of the research (data and information) asset (refer Appendix 1 – Research (Data and Information) Asset Lifecycle;
- raising awareness and establishing ownership and accountability for research data and information (refer Appendix 2 – Custodianship Model for Research Data and Information);
- providing 番茄社区 research data and information storage and collaboration options for researchers (refer Appendix 3 – 番茄社区’s Research Data and Information Storage and Collaboration Options); and
- ensuring research data and information is managed in accordance with its statutory and administrative obligations as well as funder needs and objectives.
The University aims to ensure:
- research data and information governance is regarded as a university-wide objective and input from stakeholders is incorporated from day one of the research project;
- staff have a strong understanding of how research data and information governance can help them do their jobs more effectively and deliver real value for stakeholders;
- data and information governance and management practices are considered by staff as an ethical imperative, rather than a compliance requirement;
- responsibilities are defined and clarified across the University and at all stages throughout the lifecycle of the research asset;
- responsibilities are appropriately matched with the responsible person’s skills, expertise and delegation level through the Custodianship Model;
- staff understand the research data and information responsibilities associated with their role; and
- research data and information arrangements clearly specify ownership and access conditions including whether responsibilities will be transferred to a third party.
番茄社区 has adopted the FAIR principles in the management of research data and information which supports the current movement towards open data and open research, primarily focuses on data that will facilitate increased data sharing where possible and appropriate.
Note: It is important to understand that not all data can (or should) adopt the FAIR principles research data and information that has contractual agreement, ethical or sensitive requirements / obligations must be managed and protected.
F | needs to be FINDABLE |
A | needs to be ACCESSIBLE |
I | needs be INTEROPERABLE |
R | needs to be REUSABLE |
Procedure
Researcher Responsibilities
The following procedural steps must be read in consultation with;
- Appendix 1 – Research (Data and Information) Asset Lifecycle,
- Appendix 2 – Custodianship Model for Research Data and Information
- Appendix 3 – 番茄社区’s Research Data and Information Storage and Collaboration Options
For further information and assistance
Researchers must:
Step | Action |
Access Training | |
1 |
Note: For Group training or one on one presentations are available to learn, refresh or update research data management knowledge. Training sessions can be customised to the researchers needs and duration (recommended training session is 1hr) either in person or via zoom. E-mail researchdata@jcu.edu.au to book. |
Pre-project phase responsibilities | |
2 |
Note: for HDR Candidates an RDMP is required before Confirmation of Candidature. Note: research honours students (that are required to complete an Ethics Application) must complete a RDMP.
Note: The RDMP is a “live” document and is required to be updated throughout the research project to reflect changes as the occur.
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During a project phase responsibilities | |
3 |
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4 |
Note:
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5 |
Note: 番茄社区 strongly encourages that research assets are made available to the public where possible and appropriate (i.e de-identify sensitive data to enable data sharing and obtaining consent at the start of the research project, where applicable).
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Institution Responsibilities
The following procedural steps must be read in consultation with;
- Appendix 1 – Research (Data and Information) Asset Lifecycle,
- Appendix 2 – Custodianship Model for Research Data and Information
- Appendix 3 – 番茄社区’s Research Data and Information Storage and Collaboration Options
For further information and assistance
Data Managers must:
Step | Action |
Pre-project phase responsibilities | |
6 |
Note: for HDR Candidates an RDMP is required before Confirmation of Candidature. Note: The RDMP is a “live” document and is required to be updated throughout the research project to reflect changes as the occur.
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During a project phase responsibilities | |
7 |
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8 |
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9 |
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Post - project phase responsibilities | |
10 |
Note: For research asset(s) with assigned conditional access ONLY
Note: if the Data Request has been rejected the reasons for not granting access of the research asset(s) should be transparent and justifiable. Note: It may be possible in the post project stage to skip steps i.e. open data or restricted data will not receive data requests and therefore this step is not applicable.
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11 |
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12 |
Note: Disposing of research (data and information) assets is in accordance with (番茄社区’s) Records Management Policy.
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Data Custodians must:
Step | Action |
Compliance and continuous improvement | |
13 |
Note: Refer to the RDIM Website - Step 6: Review for more information.
Note: Disposing of research (data and information) assets is in accordance with (番茄社区’s) Records Management Policy. Note: Refer to the RDIM Website - Step 7: Dispose for more information. |
The Manager, Research Data Services must:
Step | Action |
Compliance and continuous improvement | |
14 |
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Breaches of the Research Code
Breaches of the Research Code that relate to the management of research data and information will be managed in accordance with 番茄社区’s procedure, Managing and Investigating Potential Breaches of the Australian Code for the Responsible Conduct of Research Procedure. Breaches may include, but are not limited to:
- falsification of research data and information;
- fabrication of research data and information;
- failure to notify 番茄社区 in a timely manner of a data breach or instance of inappropriate access to data held by the researcher;
- failure to retain clear, accurate, secure and complete records of all research including research data and information;
- failure to adhere to the conditions of any 番茄社区 policy or project-specific approvals that relate to the retention, sharing or destruction of research data and information;
- selective retention of research data or primary materials so as to hinder the verifiability of a research output or access request;
- failure to apply appropriate security controls to research data and information; and
- failure to obtain necessary approvals or acting inconsistently with a condition of any approval granted in relation to the management of research data and information.
Related policy instruments
Intellectual Property Policy and Procedure
Collaborative Research Procedure
(番茄社区’s) Code for the Responsible Conduct of Research Policy (Research Code)
Publication and Dissemination of Research Procedure
Disposal Authority Form
Schedules/Appendices
Appendix 1 – Research (Data and Information) Asset Lifecycle
Appendix 2 – Custodianship Model for Research Data and Information
Appendix 3 – 番茄社区’s Research Data and Information Storage and Collaboration Options
Administration
NOTE: Printed copies of this procedure are uncontrolled, and currency can only be assured at the time of printing.
Approval Details
Policy Domain | Academic Governance |
Policy Sub-domain | Research Management |
Policy Custodian | Deputy Vice Chancellor, Research |
Approval Authority | Academic Board |
Date for next Major Review | 31/05/2026 |
Revision History
Version | Approval date | Implementation date | Details | Author |
22-1 | 01/04/2022 | 14/04/2022 | Minor changes made to title names in the Research (Data and Information) Asset Lifecycle. These changes reflected in the body/content of the procedure. Added in Appendix 3 – 番茄社区’s Research Data and Information Storage and Collaboration Options. Minor changes made to the scope, definitions and introduction to align and streamline language for consistency and clarity. Research data management resource changed from a Libguide to a Website. No major change to content, processes or requirements. | Manager, Research Data Services |
21-1 | 31/05/2021 | 09/06/2021 | Procedure established to implement requirements from the 番茄社区 Code for the Responsible Conduct of Research (Research Code) | Manager, Research Data Services |
Keywords | Research, data, information |
Contact person | Manager, Research Data Services |