Data and Information Management for Arctic Science and Technology: A Proposed Approach for the Canadian High Arctic Research Station

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1 Data and Information Management for Arctic Science and Technology: A Proposed Approach for the Canadian High Arctic Research Station prepared by the Canadian Polar Data Network April 2013 Revised July 2013 Revised March 2014 For further information, please contact: Julie E. Friddell, Ph.D., CPDN Chair Manager, Canadian Cryospheric Information Network/Polar Data Catalogue Department of Geography & Environmental Management University of Waterloo 200 University Avenue West Waterloo, Ontario, Canada N2L 3G x

2 Table of Contents 1. CHARS Background and Introduction.. 4 Table 1.1. Relationship Between the Seven CHARS S&T Program Elements and Data and Information 2. Context for Data and Information Management at CHARS The CHARS Mission Statement for Data and Information Management 2.2. Ways for CHARS to Address Existing Barriers to Proper Data and Information Management in Canada 2.3. CHARS Expected Data and Information Figure 2.1. Data Flow in the CHARS System Figure 2.2. Example of the Flow of Meteorological Data in the CHARS System Figure 2.3. Example of Management of an Interview Video in the CHARS System 2.4. CHARS Expected User Communities 2.5. Moving from Context to Data Principles and a Policy Framework 3. Principles Informing S&T Data and Information Management at CHARS Introduction to Data Principles 3.2. Best Practice Examples of Data Principles Table 3.1. OECD Data Principles Table 3.2. Open Government Data Principles from the Sunlight Foundation Table 3.3. IPY Data Policy and Principles Table 3.4. Principles for Managing Diverse Scientific Data Table 3.5. OCAP Principles 3.3. A Proposed Set of Data Principles for CHARS 3.4. Approval of CHARS Data Principles 3.5. Framework and Infrastructure for Managing Data at CHARS 3.6. References 4. CHARS Data Management Policy Framework CHARS as an Institution and Its Relationships with Stakeholder Communities through a Policy Framework Figure 4.1. Institution-Stakeholder Relationships Characterized through Policies 4.2. CHARS Data Management Policy Framework 4.3. Documentation Supporting CHARS Data Management Policy Framework Figure 4.2. CHARS Data Management Documentation Tree 4.4. Processes for Developing Data Policies and Procedures 4.5. Draft Policies 2

3 5. CHARS Data and Information Management Services S&T Data Management Lifecycle Figure 5.1. Generalized S&T Research Data Lifecycle 5.2. Managing S&T Data at CHARS 5.3. Lifecycle Steps in Managing S&T Data: Data Management Strategies 5.4. Data Management Personnel and Staff Expertise Figure 5.2. S&T Data Management Services Expertise 6. CHARS Data and Information Management IT Infrastructure Physical Space and Hardware Infrastructure 6.2. Software for Data Management and the CHARS Website(s) 6.3. Internet Accessibility Table 6.1. Typical Bandwidth Requirements for Video Conferencing and Skype TM Video Calling Table 6.2. Theoretical and Practical Internet Bandwidth from Cell Phone, Satellite Internet, and Cable Internet Service Providers Table 6.3. Length of Time Required for Downloading and Uploading Files of a Range of Sizes 6.4. Interoperability with Other Data Portals and Repositories 6.5. IT Personnel and Staff Expertise Figure 6.1. Information Technology Infrastructure Expertise 6.6. References 7. Next Steps for Data and Information Management at CHARS Next Steps for Data Management and IT Infrastructure Figure 7.1. Next Steps for Planning CHARS S&T Data and Information Management Program 7.2. Further Considerations Figure 7.2. Dependency Relationships for CHARS S&T Data and Information Management Program 7.3. Additional Online Sources of Information on Building a Data Management Program Appendix A CHARS Data Streams Appendix B CHARS User Communities

4 Chapter 1 CHARS Background and Introduction The plan to build a Canadian High Arctic Research Station (CHARS) was first announced in 2007 in the Government of Canada s Speech from the Throne. The overall objective of CHARS is to mobilize Arctic science and technology to improve economic opportunities, environmental stewardship, and the quality of life of Northerners and all Canadians [AANDC, 2011]. As expressed in the March 2011 CHARS Feasibility Study, CHARS is expected to be...a one-stop-shop for anyone looking for information about the Arctic, who would want to undertake Arctic research in Canada, or who would want to pursue partnerships or collaborate with Canada with respect to the Arctic [AANDC, 2011]. CHARS will be physically housed in Cambridge Bay, Nunavut, in several buildings comprising a campus with dormitories as well as outlying facilities such as marine sheds, docks, and storage. Labs are designed to be modular and will be wet (including marine) and dry (including computer lab space). Lab spaces are expected to be small, due to the cost of building and maintaining built space in the North, but they will be modular and flexible to allow CHARS to support Science and Technology (S&T) research and monitoring activities in the community, in the region, and across northern Canada. CHARS mandate outlines study of a wide range of disciplines, including natural and physical sciences, social sciences, economics, humanities, health and life sciences, engineering, and technology development. The knowledge obtained from work at CHARS will address, as appropriate, four priority themes: 1. Resource development 2. Exercising sovereignty 3. Environmental stewardship and climate change 4. Strong and healthy communities The S&T program is in rapid development, with monitoring programs expected to start summer 2014, well in advance of the CHARS campus opening in CHARS is currently developing an S&T Plan for the initial phase of S&T programming. The S&T Plan will map out the first 5 years of the Station s operation and will define the initial scope of S&T and, by implication, the resultant data types, from monitoring and research data to 4

5 technology applications. CHARS plans to hire a Chief Scientist to begin implementing the S&T Plan. Since 2007, a small team at Aboriginal Affairs and Northern Development Canada (AANDC) has worked to define CHARS, including the potential Information Management/Information Technology (IM/IT) roles and requirements for the Station. CHARS mandate makes explicit reference to ensuring effective use of data, information, and technology through open and timely access and knowledge application [AANDC, 2011]. Meetings and consultation with IM/IT experts included a September 2011 workshop attended by over one dozen academic and government information, data, and technology managers who advised CHARS on possible roles for the Station in terms of Arctic IM/IT. This document, produced in collaboration with the CHARS program team, is the next step in the process of defining and planning the S&T data and information management roadmap for CHARS. Operational data and information, e.g., for the Station s human resources, financial, and facility management functions, are not explicitly covered by this document as they are expected to be managed separately. Data and information are integral to each of the seven CHARS S&T Program Elements, as defined in the Feasibility Study. To define the connections, the Elements are listed in Table 1.1. below and are accompanied by brief descriptions of how each is affected by and related to data and information. Element Research Data and Information - Aspects and Implications All research activities produce data and information to which other researchers, members of the public, and other users want access. Ready access to data and information allows research and development to progress more quickly than if data are hard to find. Arctic S&T data are typically expensive to collect. Their effective stewardship supports maximum reuse and increases the return on research investment. Some research data, such as health or socio-economic data about individuals, critical habitat data for endangered species, and harvest levels for managed wildlife populations, can be sensitive. Researchers may want an embargo period during which access is restricted so that they can produce the first analyses and publications of their data. Traditional and local knowledge Northerners hold traditional and local data and information which are valuable to themselves, their 5

6 communities, and potentially more broadly. Proper stewardship of these data can support appropriate availability and reuse long into the future while respecting ownership and privacy. Technology development, testing, and application Monitoring New technology relies on access to new data and information. In turn, new technological development produces additional data and information, which may invoke considerations of intellectual property and licensing. Monitoring activities produce large quantities of data and information to which government and other decision makers need access. These data inform and guide research and regulation, and they are often collected and disseminated in real-time. New data and information can be used to improve monitoring techniques and develop new tools. Knowledge application/mobilization Knowledge mobilization focuses on getting the right information, in the right format, to the right people at the right time. Proper management and ready access to data and information drive innovation, new technology, and new research questions for enhancement of knowledge and improvement for society. Understanding users needs to inform data and information analysis and presentation is critical. Education and outreach Logistics Access to accurate and complete data and information is essential for educating students and the public. New and emerging data, information, and knowledge can be incorporated into teaching and outreach materials, including websites, to make them more relevant and useful. Accurate data and information are required for completion and approval of licenses and permits to study and work in northern Canada. Data on environmental conditions (e.g., weather, river, and ice information) is vital for the safety and security of personnel in the field. Table 1.1. Relationship Between the Seven CHARS S&T Program Elements and Data and Information 6

7 With respect to S&T data and information and their proper and effective management, CHARS will play two distinctive roles. The first will be as an institution supporting its own S&T program and the various personnel involved, including projectlevel research, monitoring, technology development, and modeling, any of which may be carried out on the CHARS campus or at other locations. The second role will be as a leader in Arctic S&T data and information management engaged with domestic and international partners. Both of these roles will require the design and implementation of a resilient data and information management program that connects the Station to the rest of the world. In practice, this implementation will centre around the operation of a standards-based repository and a variety of public and private access mechanisms, all in support of management and curation of Arctic S&T data and information. The adoption of standards simplifies management and maintenance of the data program at CHARS as well as interoperability with other partners, facilitating data reuse and its security for the long term. The planning of an effective S&T data and information management program is being undertaken now with particular attention to these dual roles that CHARS is to fulfill. Such a plan must take into consideration support of monitoring activities that are scheduled to begin in 2014, the phase-in of the S&T program from 2014 to 2018, and the implementation of the full data and information management program for the Station s 2017 opening. The current document contains considerations for an initial infrastructure framework to guide the implementation of this program. The following chapters contain the current state of knowledge about the requirements for data and information management at CHARS; the principles, policies, and processes related to designing, developing, and implementing the CHARS data and information management program; the Information Technology (IT) infrastructure to support CHARS S&T data management services; and next steps for action. At its completion, the integration of S&T data management services with IT will comprise not only the tangible components of computer hardware, software, formal policy/guidance documentation, and people but also the intangibles of standards, linkages for data sharing and interoperability, and expertise. The communities and individuals who will interact with CHARS and use its data and information need to be consulted throughout the planning process, and the requirements of all levels of users, from novice to experienced, and all types of users, from researchers to school children to industry decision makers, will be a primary consideration. Reference Aboriginal Affairs and Northern Development Canada (AANDC), Canadian High Arctic Research Station - Feasibility Study. Research_Station/Feasibility_Study-WSBFF _En.htm 7

8 Chapter 2 Context for Data and Information Management at CHARS 2.1. The CHARS Mission Statement for Data and Information Management CHARS overall expectations for data and information management have been identified in its Mission Statement for Data and Information Management, provided below: The Canadian High Arctic Research Station: A global leader in information management for the Arctic The mandate for the Canadian High Arctic Research Station (CHARS) sets out the following mission: To be a world-class research station in Canada s Arctic that is on the cutting edge of Arctic issues. The Station will anchor a strong research presence in Canada s Arctic that serves Canada and the world. It will advance Canada s knowledge of the Arctic in order to improve economic opportunities, environmental stewardship, and the quality of life of Northerners and all Canadians. Recognizing that data and information on the Arctic are: The primary assets of research on the natural, social, and human environment; Fundamental components of future science and technology; Essential for sound decision making and management; Often extremely expensive and challenging to obtain; Generated by a multitude of players in myriad formats and subject to diverse management and use regimes; and that the Station s mandate includes the following principles: Complement the network of Arctic expertise and facilities across Canada s Arctic and the whole of the country; Promote partnerships and collaboration among the private, Aboriginal, academic, and public sectors both domestically and internationally; 8

9 Work with Aboriginal peoples of Canada s Arctic and recognize the importance of traditional knowledge in advancing Arctic research; Integrate across disciplines and across activities from problem identification, through research and development, to solutions; Ensure effective use of data, information, and technology through open and timely access and knowledge application; it is proposed that CHARS be established as: A key hub for Arctic data and information in Canada and the go to point for access to Canadian polar data and information, and A global leader in polar information management. As evidenced by its Mission Statement for Data and Information Management, CHARS intends to take on a broad remit, positioning it in a leadership role to promote and coordinate effective Arctic data and information management for Canada. To succeed, CHARS will need to recognize and promote the concept that data are an important currency of engagement with its stakeholder communities and are critical to building networks and partnerships. Data are the glue that binds the various parties together - some people create data, while other people need data to make decisions. If CHARS is to succeed, it needs to convey to its researchers and other data contributors that it understands the value of the data they create or steward: Data provide information on the state of the world in which we live, giving them value to the researcher, to the northern people, and to the public at large. As the go to point for access to Canada s Arctic data and information, CHARS will be a data steward, ensuring that data and information get to the right place for proper use and preservation. This stewardship requires active management through implementation of a repository for S&T data and information and of access points for CHARS various user (or stakeholder ) communities. CHARS will connect sectors, disciplines, and topics that relate to the North, reducing information barriers between individuals and organizations and leading to the ultimate goal of bringing its user communities together with the data they need. Additionally, the data repository and access roles for CHARS will enable the data and information collected in the North through CHARS to remain in the region, making them available for residents wellbeing and education and providing opportunities for Northerners to develop careers in data management science and technology. 9

10 2.2. Ways for CHARS to Address Existing Barriers to Proper Data and Information Management in Canada CHARS will have domain over the data and information that result from its funded S&T activities and that are entrusted to it for stewardship and preservation. CHARS may also have influence, as a leader in Arctic S&T, over Arctic data and information management more broadly. CHARS can set an example and promote effective management of S&T data in Canada, and thereby help to break down barriers to proper data management and information flow across the country. Some examples of these barriers are as follows: Researchers in Canada have traditionally not widely shared their project datasets with unaffiliated researchers, data repositories, or the public. Potential negative consequences include loss of data; public mistrust and perceptions that scientists are not working solely for the public good; and delay of scientific progress and technological innovation due to fragmentation, inadvertent duplication of research efforts, and lack of ability to undertake synthesis studies. Many data producers have inadequate or completely missing strategies for proper backup and protection of data and information. This lack of protection can result in loss of valuable data, occasionally limiting researchers and students abilities to complete their research projects as planned, requiring expenditure of additional money and time in repeating the study and delaying the progress of science. Although there is a variety of data centres and portals available in Canada for Arctic data and information, producers and users are often not aware of them or how to use them, resulting in data management and development efforts being made without a large return on the investment. Additionally, most of the existing portals are not linked to each other, requiring users to visit numerous sites to look for data. Accordingly, producers may feel that their efforts in archiving are not really useful, and users become frustrated with the effort required to find data, so the patronage of the sites and the discovery of data and information are not as great as they could be. Knowledge of and funding for data management are increasing in Canada but are still inadequate to the task. Funding program and institutional requirements for data stewardship and public accessibility are inconsistent and confusing, and data producers often are not aware of the rules, when there are any at all. CHARS role with respect to addressing barriers to effective data and information management derives from the Station s stated mission to be a global leader in Arctic information management. CHARS may contribute to breaking down barriers to proper data management as follows: 10

11 Build a repository and public access portal for CHARS data and information with easy-to-use tools for producers, users, and managers. CHARS should invest in a state-of-the-art data and information management infrastructure with appropriate software to attract and retain its contributors and users. Require CHARS-funded researchers and producers of data and information to submit their data to the CHARS repository. This commitment should also include updating data if modifications are made after initial deposit. Preserve and provide access to other data related to the Canadian Arctic, that supports the Station s mandate, in the absence of other institutionally-mandated data centres such as Natural Resources Canada or the Department of Fisheries and Oceans Canada. Educate and train CHARS-funded researchers on the expectations and practices of effective data management. This has been occurring already through the Canadian International Polar Year (IPY) and the ArcticNet Network of Centres of Excellence, with hundreds of researchers being in contact with designated data managers for their programs (e.g., the Canadian IPY Data Assembly Centre Network and the Polar Data Catalogue of the Canadian Cryospheric Information Network at the University of Waterloo). CHARS could capitalize on this ongoing activity by bringing additional researchers into the education and training effort. Require CHARS-funded researchers to agree to the public release of the data and information that they produce, provided that they are not of a sensitive nature. CHARS should serve as the public access portal for data and information related to the Canadian Arctic and shall ensure that the data objects in its care are made publicly available on a user-friendly website with a variety of tools for interacting with the data. Work with other Canadian polar data management organizations to create a coherent network of data repositories and public access portals for Arctic data and information in Canada. Steps would involve surveying the current data centre and portal offerings, designing a systematic approach to linking them in such a way that there is less splintering and more communication between the various parties, and requiring accountability and proper data management practices so that each member of the network would be a good steward of the data and information in its care, responsible to its contributors and the funding sponsors. Engage with funding agencies to encourage establishment of national policies and funding mechanisms for proper management of data and information produced through their programs. A unified approach is required to achieve success at the national level. CHARS could advocate for development of a national strategy for Arctic S&T data and information management, including policies on where data related to Canada s Arctic should be stored, how they should be 11

12 stewarded through their life, and the support mechanism to all parties involved, including data producers, users, and managers. Provide information on the effort and cost of creating and managing Canada s Arctic S&T data. This information can be shared through Annual Reports that are posted on the Station s website, so that users understand how precious these resources are and are willing to support and advocate for their proper stewardship to ensure availability and use for many years to come. Work with similar international organizations to make linkages and improve data and information management. CHARS should have clear connections with Arctic Council members and with other large international initiatives such as GEO, SAON, and GCW to work together on data and information management activities, including choosing standards and practices and linking together to share both data (establishing technical interoperability) and advice (forming professional relationships). The actions suggested above lay out some far-reaching goals for CHARS with respect to Arctic data and information management in Canada. To focus efforts for immediate next steps, current knowledge on CHARS expected data streams and stakeholder communities should be compiled. These topics are the subjects of the following two sections CHARS Expected Data and Information For CHARS, data are important for Northerners, for northern science and technology, and for sustainable development in the North. As an anchor and hub of Arctic science and technology in Canada, CHARS will receive and serve to the public numerous types of data and information, from many sources and with a variety of conditions on access. The first step is to identify the data and information that CHARS currently expects to manage, so that general patterns and exceptions can be identified and initial planning can be undertaken. It is expected that CHARS will manage two primary categories of data: CHARS authoritative data. The first category is Authoritative Data, which includes data from CHARS-supported monitoring activities and one-time or episodic campaign-type field or laboratory studies. CHARS will be responsible for the wellbeing of its institutional data, which will be the main focus of the CHARS data and information management program. Allowing for some exceptions, these data are expected to be shared with others. Sources of these data include CHARS-supported researchers working in and around Cambridge Bay as well as across northern Canada, users paying to use CHARS infrastructure and facilities, and domestic and international partners who may not be funded by CHARS but who are affiliated 12

13 through particular projects or the nature of their work. CHARS will retain responsibility for ensuring the protection of and access to institutional data, even if the data objects are mirrored or hosted in other locations. CHARS project data. The second category is Project Data, which includes external data needed by CHARS to accomplish its mission, Traditional Knowledge, external data offered to CHARS that are relevant to its mission, and rescued data. For this category of data, CHARS will serve as a repository for a period determined by the intended use and value of the data. CHARS will not serve as the authoritative source for these data. CHARS data and information management policies will guide the selection process for ingest into the CHARS repository. Conditions around the provision of access to these data and their preservation will be determined in consultation with the data producers. Figure 2.1., Data Flow in the CHARS System, provides a diagram of the expected flow of data through CHARS information management infrastructure. The six primary subcategories of data listed above are included in the diagram, and the expected movement of each primary type through the system is outlined. An example of the steps involved in managing meteorological data, a type of data that is expected to be managed at CHARS, is given in Figure 2.2. It is expected that there will be many data collections or data sets that will undergo similarly straightforward management. Figure 2.3. is provided to illustrate a less common example of non-chars data which are offered to CHARS but that should be kept confidential for a period of time and released to the public only at a later date. The example given is of an interview that captures Traditional Knowledge in video format. The interview would be conducted independent of CHARS funding, therefore the video is not CHARS authoritative data. The interview subject does not wish the video file to be made publicly available now, but it may be released publicly after 20 years. Immediate access would only be available to specific individuals via password log in. This is a special case for which CHARS must plan, to set up the immediate password-protected access and to record the future public release date in the dataset documentation and database so that the public release can take place as intended. Appendix A, CHARS Data Streams, is a table that contains detailed information about the types of data that are currently known or expected to be managed at CHARS. This Appendix is provided as an initial basis for an evolving resource that can be used as a comprehensive description and summary of CHARS data as more details and information become known. The chart provides high-level information on the six types of data identified in the text. An additional chart with specific examples of data that are expected to be deposited at CHARS should be produced, with the expectation that it could be filled out more fully as planning and implementation progress. 13

14 Figure 2.1. Data Flow in the CHARS System 14

15 Figure 2.2. Example of the Flow of Meteorological Data in the CHARS System 15

16 Figure 2.3. Example of Management of an Interview Video in the CHARS System 16

17 To properly manage the expected data streams, below are overarching guidelines to which CHARS data management program should adhere: Data should be available at a variety of levels, from the default expectation of fully free and open public access to password-protected access to dark archives which are rarely accessed except perhaps by the original data contributors or the data managers. Methods for securely storing sensitive or private data will need to determined and implemented. Data access conditions should be formally agreed upon with contributors prior to beginning of a project. This may take the form of a data deposit agreement (discussed in Chapter 4) which contains the rights and responsibilities of the data producer, the data users, and CHARS as the data steward. Researchers who are funded by CHARS are expected to provide free and open access to their data, unless there are particular reasons for data confidentiality. Producers of confidential data should be given formal assurances that sensitive data will be protected and not intentionally or accidentally released for public access. It is important to develop trust by clearly laying out procedures and policies, preferably in the data deposit agreement, so that people know what will happen to their data. Data should be quality-controlled and reviewed for accuracy and appropriateness upon submission and ingest into the repository. The review and approval process will be manual for almost all data types outside the monitoring streams, thus clear protocols and manager training should be designed and implemented for consistency. Data should be well-documented, for effective preservation and reuse many years into the future. Documentation often includes README files (extended metadata which describes the dataset) but can be as extensive as field notes or lab sheets, instrument calibration files, or user manuals for proprietary or tailor-made software which accompanies a dataset. Data should be provided in a timely fashion as much as possible. Many users need and want real-time or near real-time access to data, and the availability of such data streams through widely accessible online tools and interfaces will best serve CHARS user communities. Data producers should be encouraged to use non-proprietary data formats to facilitate reuse and simplify management. However, if data clearly support the CHARS mission or are deemed valuable, data should be accepted in their offered formats and efforts should be made to convert them to open formats for future access. 17

18 Data from CHARS and from other related territorial, provincial, national, and international Arctic S&T programs should be linked together in a global network of data centres and access portals. Data should be available many years into the future. The ideal timescale of availability, whether it be 50 years or 500 years, will need to be determined by CHARS management, and a preservation plan should be designed to guarantee proper stewardship and security of data for the long term CHARS Expected User Communities As with the data and information itself, it is important for CHARS to identify and assess its expected user communities so that it can begin interaction with individuals and organizations for planning its data and information management program. The roles and relationships to CHARS of different types of stakeholders with respect to data and information management need to be determined and a timeline of contact with individuals and organizations should be established. This exercise revolves around one question - who will do what with respect to data and information management at CHARS? Concrete results will stem from this investigation, from opportunities for forming partnerships to technical and social mechanisms by which data and the CHARS system will be made available to all the different user communities. Elsewhere in this document, we use the term Designated Community to refer to all of these user communities in the aggregate. To help and assist its different user communities, CHARS expects to provide inhouse expertise on data management, Traditional Knowledge, knowledge application, and the other priority areas. These experts will create opportunities to bring the numerous CHARS projects together and will help link Canada s Arctic S&T communities. The CHARS community will be small and well-connected so that everybody working on Arctic issues should know or be able to learn quickly about other CHARS activities. The network that CHARS is expected to create will extend beyond computer links to connections between people, as part of breaking down the barriers between different communities and bringing people together. At present, the known or anticipated user communities are as follows: Researchers, both CHARS-funded and non-chars-funded, who could be academic, government, community, Aboriginal, industry, and civil society (citizen) scientists. Researchers are producers as well as users of data. Researchers whose data will be stored at CHARS should interact with the CHARS data managers at the beginning of their projects, in the planning and proposal stages. Northerners, from residents who have lived in the North their entire lives to people who have just moved to northern Canada. Northerners observe the environment in 18

19 which they live and need to know how it behaves or may be changing. They are producers and users of Traditional Knowledge and of data and information resulting from Arctic S&T activities. Northern Organizations such as Inuit Tapiriit Kanatami or the Inuvialuit Game Council. These organizations represent and advocate for Northerners and their interests. They are users of data and information but can often be stewards of Traditional Knowledge on behalf of northern communities and groups. Government of all levels, from federal to territorial to local, including many organizations such as the Canadian federal granting councils, the military, and the community of Cambridge Bay. Government organizations are prodigious producers (Researchers) as well as users (Decision Makers) of Arctic S&T data. They often manage environmental and other monitoring programs and are mandated to make policy for their constituents. Industry such as mining and oil and gas companies which operate in northern Canada. These companies use public data and often collect data about their northern field sites that they may not share publicly (e.g., information on the quality of deposits) or may be willing or required to share (e.g., monitoring data to comply with regulations). However, there are signs of changes leading to more common sharing of some industrial data related to the North, particularly with interested stakeholders. Decision Makers, often in government (as discussed above) but also in industry or community organizations. Decision makers use data to make policies and plans and to manage their organizations and help their members or constituents. Educators such as elementary and secondary science teachers and college and university professors from many fields. Educators are users of data, and they expect access to up-to-date data and information on the changing Arctic, including impacts and syntheses of scientific observations and results. Students at all levels are users of data. Like educators, students of the Arctic expect the latest information on conditions in northern Canada to help understand their world. The Media are users of data and information and expect, even more than students, immediate access to the very latest information on northern Canada and the S&T activities occurring there. The Public are generally users of data and information, expecting transparency in science and easy access to data which their tax dollars have funded. As citizen scientists, they may also be data producers. Tourists are members of the public with a special interest in northern Canada and thus an enhanced demand for Arctic S&T data and information. Tourists are mostly users of data, but they may have specialized data needs and may contribute data or information as citizen scientists (see Researchers above). 19

20 Other Arctic data portals are neither users nor producers of data - they are the repositories and public access points for the data that are produced by all Arctic S&T activities. Appendix B, CHARS User Communities, contains information on the benefits of participation with CHARS as well as the potential or likely barriers to being involved in the CHARS data and information management program. The table can, like the Data Appendix, evolve and grow as new information and details become available, with specific stakeholders and individuals identified for contact. It is intended to guide interaction with CHARS stakeholders so that they can help drive development of a data and information management program that is beneficial and useful to every user community. As the requirements of the various stakeholder communities are different, the final program design will likely include compromises which may impact certain users, but the goal will be to consult with members of all the expected communities throughout the next few years so that an optimal configuration can be reached which maximizes utility. For the CHARS data and information management program to function successfully as a hub for Arctic S&T, it needs to effectively serve its users. The user needs to be the driver of the system functionality and its front-end interfaces, so that users get what they need in the simplest way possible. It will be important to have explicit stakeholder input and evaluation at regular points throughout its design and implementation, so that the system is inviting and provides tangible benefits to all its different user communities. This gives incentives to stakeholders and convinces people to use the system, which in turn provides justification to continue supporting and developing the infrastructure Moving from Context to Data Principles and a Policy Framework The context for S&T data and information management described in this chapter provides the background for the remaining chapters of this report. CHARS data flow and the communities being supported by CHARS are vital input to articulation of the underlying principles for the S&T data and information management program. The data types deposited with CHARS identify what digital content is seen as highly valued and, as such, should have their management and treatment documented in one or more data principles. Furthermore, the nature of the user communities and their relationships with CHARS also warrant expression through statements of principle. Chapter 3 will address best practices around data principles and propose a set of principles for CHARS. Data principles are the backdrop to the data policy framework described in Chapter 4. A framework for data and information management policies helps with the formulation of both data management services (Chapter 5) and IT infrastructure (Chapter 6). 20

21 Chapter 3 Principles Informing S&T Data and Information Management at CHARS 3.1. Introduction to Data Principles Data principles are an expression of the values that an organization holds about the information and digital content that it produces and manages and for which it is the primary steward. As such, data principles are an essential component of any S&T data management implementation. These principles serve as a foundation for an organization s policies, governing the management and use of its data. In the corporate sector, discussions about data principles are often framed in the context of data governance and an organization s goals regarding the control, management, and use of its data. 1 Increasingly, data are viewed and treated as assets of a corporation. Correspondingly, rules and practices are developed around the ownership, quality control, security, and risk management of enterprise data assets. Governance in this context refers to the process and the responsibility for making decisions about the management and use of data, while management involves carrying out these decisions. S&T data oversight employs concepts very similar to those used in the corporate sector around data governance. With S&T, data stewardship is used to describe the process and responsibility for ensuring that data activities are performed with a high level of quality based on best practices and standards, while data management refers to the set of actual data activities to be performed. It is important to note that the accountability and quality of execution and implementation of data practices share common ground across sectors, while the prominence of specific stewards and activities may vary. An organization s data principles will help delineate those aspects of data and its management that are most valued Best Practice Examples of Data Principles A number of organizations have published their data principles. From these, we have selected a specific set that we judge to represent best practice. Each example institution or its focus shares similarities with the CHARS mission or context as described in Chapter 2. 1 While no commonly accepted definition of data governance exists in the literature, a few articles have achieved, through citations by others, authoritative status in characterizing data governance. These include Weill and Ross [2004], Weber et al. [2009], and Khatri and Brown [2010]. 21

22 Organization for Economic Co-Operation and Development (OECD) As a first example, the OECD Principles and Guidelines for Access to Research Data from Public Funding [OECD, 2007] have become widely acknowledged in the international research community as the guiding principles for sharing research data from public funding. Developed between 2004 and 2006 through an extensive consultation process, the OECD Council formally approved these principles and guidelines in December 2006, stating the following: The ultimate goal of these Principles and Guidelines is to improve the efficiency and effectiveness of the global science system. They are not intended to hinder its development with onerous obligations and regulations or impose new costs on national science systems. [OECD, 2007, p. 13] The adoption of some or all of these recommended principles by OECD member countries is recognized as a form of soft law, that is, the recommendations are not legally binding but through adoption and long-standing practice come to have great moral influence. Since 2007, the United Kingdom, Germany, Australia, and Finland have formally adopted national data principles and guidelines based on this OECD recommendation. This set of data principles, summarized in Table 3.1. below, consists of a mix of technology and social factors seen to support access to research data produced through public funds. As such, these principles are not intended to apply to commercial research data. Openness Flexibility Transparency Legal conformity Protection of IP Formal responsibility Professionalism Interoperability Quality Access on equal terms at the lowest possible cost Access that allows for widely diverse systems and cultures Wide visibility of existing data resources Respect for the legal rights and interests of stakeholders Access should address the applicability of copyright and intellectual property (IP) Access arrangements should articulate responsibilities of all involved Data management should be based on professional standards Access arrangements should enable and promote data reuse Compliance with explicit quality standards 22

23 Security Efficiency Accountability Sustainability Integrity and security of the data should be guaranteed Avoid expensive and unnecessary duplication of data Access arrangements should be evaluated by appropriate users Taking responsibility for long-term access to data Table 3.1. OECD Data Principles These principles embrace attitudes, rules, and behaviours that support the sharing of research data, as much as possible, from public funding. The larger stewardship premise behind these principles is to increase return on the original investment in the data by encouraging its unfettered reuse The Sunlight Foundation and Open Data in Government Another arena in which data principles have come into the spotlight is the increasingly popular movement around Open Data policies among governments. The Sunlight Foundation, an organization dedicated to open and transparent government, helped sponsor the development of ten principles addressing access to government data for public use [Sunlight Foundation, 2010]. Completeness Primacy Timeliness Ease of Physical and Electronic Access Machine Readability Non-discrimination Use of Commonly Owned Standards Licensing Permanence Data released should be as complete as possible Data released should be primary source data Data should be available in a timely fashion Data should be as accessible as possible and with as few barriers as possible Data should be ready for machine processing Users of the data should be treated equally and without barriers The format in which the data are available should be nonproprietary Use of government data should be without restrictions and clearly labeled as part of the public domain Data should be available in perpetuity 23

24 Usage Costs Fees should not be applied to public data Table 3.2. Open Government Data Principles from the Sunlight Foundation The ten principles shown in Table 3.2. have been embraced in the development of Canada s Open Data website, [Government of Canada, 2012]. The underlying premise of these principles is directed towards online access to public data with minimal barriers to access International Polar Year Looking at an example closer to CHARS mission, the recently completed International Polar Year (IPY) developed a data policy framework for participating national IPY programs. Each national program was expected to base data management for its projects on the principles of this international data policy [IPY, 2008]. While addressing access principles similar to the OECD and Open Government models, the IPY principles also include value statements about conditions underlying Arctic research and the data that were collected (Table 3.3.). For example, Traditional Knowledge is singled out as an aspect of Arctic research that must be respected and safeguarded. Furthermore, concerns about protecting research outputs and ensuring their long-term discoverability were specified. Data preservation was also recognized as a vital component of the IPY, and the systematic recognition of those producing and sharing data was signaled as an important objective. Traditional Knowledge and Cultural Heritage Free and Unrestricted Exchange Timely Exchange Quality Control Metadata Preservation of Data Traditional knowledge of the people of the Arctic will be respected and safeguarded All IPY data should be exchanged without restrictions except for special conditions, such as ethical reasons Data will be made available voluntarily with minimal delay Data quality is the responsibility of IPY investigators Project-level metadata must be submitted to a central catalogue while technical metadata will be submitted with the data to an IPY-identified data centre IPY data must be preserved for future generations 24

25 Data Acknowledgement Publications Users of IPY data must formally acknowledge data producers and sources Publications based on the IPY should provide bibliographic information to the IPY Publications Database Table 3.3. IPY Data Policy and Principles Managing Diverse Data for Large-Scale Scientific Programs As the IPY program was wrapping up, an article was published reflecting on the lessons learned about data management in a large international, interdisciplinary research endeavour [Parsons et al., 2011]. The article identified five principles that should direct the management of such large-scale scientific data programs (Table 3.4.). Discoverable Open Linked Useful Safe Data have to be located, identified, and assessed easily Data should be openly accessible without unnecessary restrictions Possibilities of connecting and interrelating data should exist Data should be useful to a variety of users Data need to be protected from risk, corruption, and loss Table 3.4. Principles for Managing Diverse Scientific Data Interoperability, though not explicitly mentioned in Table 3.4., is key to the perspective expressed in almost all of these principles. Collecting widely diverse data that are interrelated and required to support investigation of the big scientific questions of the day describes the setting for data management in the Arctic. In this context, mechanisms facilitating the interoperability of data become a focal priority First Nations OCAP Principles The last set of principles to be summarized are those of Canada s First Nations Information Governance Committee. While neither the Inuit nor the Métis have taken a formal position on these principles, this particular statement expresses concerns about the need for sensitivity toward communities that have been repeatedly studied or that find themselves living in an area of high research interest. Known as OCAP, these principles address Ownership, Control, Access, and Possession of research information and data 25

26 concerning First Nations [NAHO, 2007]. The underlying themes throughout these principles are about trust and the expectation that First Nations communities assert their rights over data collected about themselves and where they live. Ownership Control Access Possession A community owns its cultural knowledge, data, and information collectively A community is within its right to control all aspects of research and information management processes about them First Nations must have access to information and data about their communities and themselves and have the right to manage access to these information and data Possession is a mechanism of stewardship by which ownership can be claimed and protected Table 3.5. OCAP Principles The five cases outlined above collectively provide useful content for the data principles that will guide and form the foundation for the CHARS data policy framework A Proposed Set of Data Principles for CHARS During a meeting in January 2013 between members of the Canadian Polar Data Network (CPDN), CHARS senior staff, and invited guests and a subsequent follow-up conference call in February 2013, content for a set of data principles for CHARS was identified and synthesized. Based on the outcome of these discussions, a draft set of principles has been prepared. The order of the principles does not indicate a level of significance. Each principle is seen as contributing value to the overall set. CHARS Data Principles: Intelligent Access Safe Data Community Engagement Community Respect Trustworthiness Collaboration Interoperability Leadership 26

27 Intelligent Access CHARS embraces established principles around open access to data from public funding, including the OECD, IPY, and Open Government principles. A paramount objective of CHARS is to make available as much of its data as possible at a minimal cost to end-users. This involves promoting and using open-source tools and a standards-based approach to data and information management. There are conditions that restrict access to certain types of data or parts of datasets. For example, not all data under CHARS authority will be publicly funded and these data may consequently require a different management regime. Some data will contain sensitive information that cannot be openly shared. Some datasets are too voluminous to transport over today s communication technology. Making data as widely available as possible involves practicing intelligent access. Intelligent access employs data management methods and services that best align user needs with the access control deemed necessary for a particular dataset. Aspects of intelligent access include using visualization techniques to explore data without having to transport it, co-locating big data with high performance computing infrastructure, aggregating data to guard against disclosure while safeguarding sensitive content, providing secure environments for analyzing sensitive data, performing data linkages in a controlled setting, and other mechanisms. As new methods for providing global access to data are developed, an organization committed to intelligent access will assess and apply these techniques to increase the reuse of data under its authority Safe Data CHARS takes full responsibility across the data management lifecycle for all S&T data resulting from its operations and for all institutional data that it funds. In general, all data produced by CHARS-funded activities will be maintained at CHARS and will be available to support discovery, access, and use far into the future. This will require CHARS staff to be actively engaged as stewards, curating data as they move across stages in the lifecycle. In some instances, CHARS will delegate data stewardship responsibilities to partners or collaborators (for example, to principal investigators in funded research), while holding them accountable to a level of practice it endorses. Data management support applies across the stages of discovery, access, and use, now and into the future. The full lifecycle management of data includes safeguarding data for future use, which requires implementation of a systematic data preservation plan. This type of management is necessary to support CHARS products, such as the State of the Canadian Arctic report produced every 5 years. Data identified as valuable to CHARS and 27

28 general Arctic S&T that is produced outside of CHARS will also be curated. In some instances, this may entail data rescue initiatives to ensure availability of valuable data Community Engagement CHARS will engage Northerners and other user communities in the planning and operation of CHARS' data and information management program. Activities supporting greater engagement in data and information management are deemed essential for the long-term sustainability of CHARS. The data flowing through CHARS to Northern communities will establish a relevant connection between the Station and the lives of Northerners. Examples of these relationships range from involving northern residents in citizen science to supplying communities with data to assist in improving the health of Northerners Community Respect CHARS collection and management of S&T data will be respectful of the people of Northern communities. In particular, the data and information management practices around access to and use of traditional and community knowledge will be established in partnership with Northerners. CHARS staff will provide the people of the North with reliable data services to protect their privacy as well as their digital heritage Trustworthiness CHARS will strive to gain trustworthy status [CRL/OCLC, 2007] for its entire data management program. This will be achieved through the development of policies and implementation plans based on standards, best practices, and guidelines. This includes activities around data ownership, informed consent, and the curation of traditional and community knowledge that encompass both open and sensitive data Collaboration CHARS will work with other domestic and international Northern S&T initiatives to establish a working data ecosystem in the Arctic. There is no need to duplicate existing functions and services. It is more important to find ways of integrating and collaborating in such work. Examples include the Sustaining Arctic Observing Networks (SAON), the Arctic Spatial Data Infrastructure (ASDI), and the Canadian Polar Data Network (CPDN). Collaborations around building an S&T data ecosystem will depend on the promotion and use of distributed and standards-compliant approaches. 28

29 Interoperability The international data ecosystem is dependent upon the cooperative flow of data across data centres. CHARS will promote and support interoperability to link to the world, facilitate research and development, and promote partnerships and collaboration. The exchange of data in such an environment enables the tackling of large-scale scientific problems. The interoperability of data, using international standards, is essential for successfully connecting data centres in the ecosystem and enabling seamless data transfer and integration Leadership Interoperability, data sharing, data harmonization, community engagement, and data discovery are all areas in S&T data management in need of leadership. CHARS endeavours to create standards, best practices, and guidelines for polar data and information management. This will require building coalitions and partnering with others in Canada and internationally Approval of CHARS Data Principles Section 3.3 contains a draft set of data principles that requires further review within and approval by CHARS management. Such a review process should consider the completeness of the current set of principles in terms of (1) the roles that data and information play across all categories of Arctic S&T, (2) the asset value of such data, (3) the stewardship responsibilities for the data, (4) all dependencies within the data ecosystem, (5) the desired management properties supporting data (such as timeliness, efficiency, quality, professionalism, accountability, and sustainability), (6) all security concerns about the data, and (7) the long-term safety of the data. As can be seen from the variety of data principles among the above best practice examples, other principles could be embraced. For example, the current set of draft data principles does not include a statement directly addressing rewards for researchers who follow best practices in data management, such as receiving recognition or attribution for high-quality datasets. This is the type of consideration that CHARS management needs to provide in determining its set of data principles. In the end, the principles chosen should express the values that CHARS management wants to guide its data and information management program. 29

30 3.5. Framework and Infrastructure for Managing Data at CHARS CHARS data principles set the norms for the policies that will drive the services and infrastructure of the data and information management program. It is this program that makes possible the data stewardship role of CHARS and all of the activities to sustain the successful management, curation, and sharing of data and information. The basis of CHARS infrastructure for the curation and dissemination of data and information will be a digital repository which stores information in a digital format so that it is accessible through computers. These digital repositories and their associated public websites and other access points (as shown in Figure 2.1.) allow data gathered and created at great expense to be preserved over time and maximally accessed via the Internet by designated user communities. Well-curated data repositories are increasingly important to S&T activities and have long been considered to be a core element in research data management infrastructure [Atkins et al., 2003]. Successful operation of a data and information management program relies not only on a repository and access points but also on supportive and integrated policies and procedures. These are an indication of an organization s level of commitment, reliability, and trustworthiness and can be best articulated through a standards-based data and information management framework which establishes the operational boundaries within which the program will function. A framework along with its essential policies supports both the day-to-day management of organizational data and information and the longerterm vision of future operational activities arising out of evolving industry standards and practices. Chapter 4 outlines a data management policy framework for CHARS which will help establish the operational boundaries for CHARS data and information management program. This framework is based on the seven attributes of a trustworthy digital repository as outlined in the Trusted Digital Repositories: Attributes and Responsibilities. This framework encompasses a list of policies categorized into three functional areas based on the ISO standard which in turn is based on over ten years of research on standards for digital object repositories. Adoption of standards, including the ISO framework, is an indication of an institution s commitment to safe, reliable, and highquality services and products. Standardization also reduces waste and errors and streamlines operation by avoiding issues and problems associated with non-standard implementations which do not interoperate easily with other similar organizations References Atkins, D. E., et al., 2003, "Revolutionizing Science and Engineering through Cyberinfrastructure: Report of the National Science Foundation Blue-Ribbon Advisory Panel on Cyberinfrastructure," 30

31 The Center for Research Libraries (CRL) and Online Computer Library Center Inc. (OCLC), 2007, "Trustworthy Repositories Audit & Certification: Criteria and Checklist" Version 1.0, Government of Canada, 2012, International Polar Year (IPY), 2008, Khatri, V. and C.V. Brown, 2010, Designing Data Governance, Communications of the ACM (53)1, pp National Aboriginal Health Organization (NAHO), 2007, OCAP: Ownership, Control, Access and Possession. OECD Principles and Guidelines for Access to Research Data from Public Funding, 2007, Parsons, M., et al., A Conceptual Framework for Managing Very Diverse Data for Complex, Interdisciplinary Science, Journal of Information Science, 37 (6), 2011, pp Sunlight Foundation, 2010, Ten Principles for Opening Up Government Information, Weber, K., B. Otto, and H. Österle, 2009, One Size Does Not Fit All - A Contingency Approach to Data Governance, ACM Journal of Data and Information Quality (1)1, Article 4. Weill, P. and J. W. Ross, 2004, IT governance: How top performers manage IT decision rights for superior results, Harvard Business School Press, Boston, MA. 31

32 Chapter 4 CHARS Data Management Policy Framework 4.1. CHARS as an Institution and Its Relationships with Stakeholder Communities through a Policy Framework The working relationships between CHARS as an institution and its stakeholder (or user ) communities can be represented through a set of key documents. Figure 4.1. contains a depiction of these relationships flowing from the top down and from the bottom up. This lineage diagram shows how various entities inform the policy development process at CHARS. The authoritative relationships defining CHARS institutional status flow from the top, while the collaborative interaction between CHARS and its stakeholders flows from the bottom and represents engagement with the stakeholder communities with whom CHARS interacts. The policies defining CHARS interactions in these roles are what determine how it will behave and interact with its user communities. These policies can be best articulated through a standards-based framework. A framework provides direction for developing a coherent, understandable, and institutionally-comparable approach to data management. The policies in this framework govern the operations of a CHARS data repository, portal, and data management activities CHARS Data Management Policy Framework CHARS Data Management Policy Framework covers the seven attributes of a trustworthy digital repository as outlined in the Trusted Digital Repositories: Attributes and Responsibilities [RLG, 2002]. These attributes are key indicators of a trusted digital repository tasked with handling a range of digital materials. Meeting these attributes and responsibilities means a reliable and sustainable repository infrastructure which guarantees future trusted services. Furthermore, CHARS Data Management activities are governed by the framework which encompasses a list of policies categorized into three functional areas based on the ISO standard: Audit and Certification of Trustworthy Digital Repositories [ISO, 2012]. While the core activities described in the ISO standard, which is based on the Trustworthy Repositories Audit & Certification: Criteria and Checklist [CRL/OCLC, 2007], center around the management of digital objects, the standard also contains a strong component of planning and accountability in seeing to the needs of a repository s user communities (termed Designated Community in the standard). This combination of robust object management and assimilation of user community needs 32

33 makes the ISO standard an appropriate lens through which to develop policy for CHARS. Specifically, a list of necessary policy documents has been drawn from the standard s requirements in three areas; organizational infrastructure, digital object management; and technologies, technical infrastructure, and security. Overall the organization of this framework and its policies reflects the attributes of a trustworthy digital repository. Figure 4.1. Institution-Stakeholder Relationships Characterized through Policies Standards Compliance CHARS data management activities conform to the industry standards and best practices in data management including Open Archival Information System reference model (OAIS). CHARS is committed to meeting the needs of its designated community through developing policies, procedures, infrastructure and strategies in accordance with the standards-based practices. 33

34 Administrative Responsibility Mandate CHARS mandate includes the following principles: Complement the network of Arctic expertise and facilities across Canada s Arctic and the whole of the country; Promote partnerships and collaboration among the private, Aboriginal, academic, and public sectors both domestically and internationally; Work with Aboriginal peoples of Canada s Arctic and recognize the importance of traditional knowledge in advancing Arctic research; Integrate across disciplines and across activities from problem identification, through research and development, to solutions; Ensure effective use of data, information, and technology through open and timely access and knowledge application; Objective CHARS objective is to become a key hub for Arctic data and information in Canada and the go to point for access to Canadian polar data and information, and a global leader in polar information management Organizational Viability Scope CHARS administers numerous types of data and information, from many sources and with a variety of conditions for deposit and access. It is expected that two primary categories of data will be under CHARS scope: CHARS authoritative data and information produced from CHARS S&T activities. A sub-set of this category includes data that are shared with other entities, such as data produced from projects that are supported by CHARS as well as other sponsors. Data or information objects that CHARS holds on behalf of others. These data will not be paid for by CHARS but will support the CHARS Mission and will enable CHARS success Principles 34

35 CHARS S&T Data and Information Management Program is based on a set of data principles. These principles guide the operations of its data management program and provide the foundation for its policies. These principles require CHARS to; Intelligent Access: employ data management methods and services to provide intelligent access that best align user needs with the access control deemed necessary for a particular dataset. Safe Data: take full responsibility across the data management lifecycle for all S&T data resulting from its operations and for all project-level data that it funds. Community Engagement: undertake management practices that involve Northerners and other user communities in the planning and operation of CHARS' data and information management program. Community Respect: ensure that the collection and management of S&T data will be respectful of the people of Northern communities. Trustworthiness: gain trustworthy status for its entire data management program. Collaboration: work with other national and international Northern S&T initiatives to establish a working data ecosystem in the Arctic. Interoperability: enable interoperability of data by successfully connecting data centres in the ecosystem and enabling seamless data transfer and integration. Leadership: create standards, best practices, and guidelines for Polar data and information management. This will require building coalitions and partnering with others nationally and internationally Roles and Responsibilities CHARS retains designated staff with appropriate skills to run its S&T Data and Information Management program. These positions are responsible for fulfilling the managerial, curatorial and technological roles to ensure the long term accessibility of the data under CHARS stewardship. All staffing related information is documented as per the Roles and Responsibilities Policy. The CHARS Organizational Chart provides details of the current positions and their reporting lines Selection and Acquisition CHARS is established as a key hub for Arctic data and information in Canada, the go to point for access to Canadian polar data and information, and a global leader in polar information management. To fulfill this, CHARS acquires and manages S&T data which satisfy the terms and conditions articulated in the CHARS Collection Policy and Data Deposit Agreement. In addition, CHARS captures and manages metadata and any other associated information that allows for effective access and retrieval. 35

36 Access and Use CHARS uses technologies, tools, methods and services which best align designated community needs with the access control deemed necessary. This includes capturing necessary information for effective access and retrieval. The CHARS Access Policy and Metadata Specifications further highlight the terms and conditions of access to data under CHARS stewardship Financial Sustainability Institutional Commitment CHARS complies with good business practices and implements a sustainable business plan which ensures the continuity of CHARS activities and long term accessibility of the data under CHARS stewardship Cooperation and Collaboration CHARS undertake management practices that involve Northerners and other user communities in the planning and operation of CHARS' data and information management program. All activities supporting greater engagement in data and information management are considered essential for the long term sustainability of CHARS Technological and Procedural Suitability CHARS uses appropriate strategies to deal with the challenges of data management and long-term access to data under its stewardship. CHARS adapts management, preservation and access strategies which are based on accepted best practices in the data management community. These strategies enable CHARS to measure the adequacy of the technological and procedural suitability for meeting the demands of the repository and data stewardship. CHARS data management policy framework and associated policies act as a guideline for implementing, maintaining and improving data management operations at CHARS. CHARS regularly reviews its policies, procedures and infrastructure to ensure the effective management of data under its care as articulated in the Review Cycle for Documentation Policy. 36

37 System Security Security of the data repository and its system infrastructure is critical in safeguarding the data under CHARS stewardship. This includes securing IT systems, including hardware and software as well as components like servers, firewalls, and routers. CHARS Risk Analysis Document highlights plans in place for guarding the data against incidental or intentional damage, or natural disasters Procedural Accountability CHARS is committed to meeting the needs of its designated community and develop policies, procedures, infrastructure and strategies in accordance with the standards-based practices to support this. CHARS actively respond and adapt to changes in the data management community through routinely reviewing its policies and procedures. CHARS strives to achieve transparency in its policies and procedures and is committed to promoting trust within the data management community Documentation Supporting CHARS Data Management Policy Framework Policies and procedures which support the CHARS Data Management Policy Framework can be divided into three main functional areas based on the ISO standard [ISO, 2012]; Organizational Infrastructure, Digital Object Management and Technologies, Technical Infrastructure, and Security. Figure 4.2. illustrates how the three areas cover the CHARS Data Management Policy Framework: Organizational Infrastructure CHARS S&T data and information management program and its repository supports CHARS overarching mission to serve the needs of both current and future users. CHARS continues this mission through a commitment to various stages of data management lifecycle by prescribing to prevailing standards and policies established by the digital archiving and data management communities. The following policies support the Organizational Infrastructure part of the CHARS Data Management Policy Framework; Mission Statement [CHARS] Succession Documents [CHARS] Designated Community Definition [CHARS] Review Cycle for Documentation Policy [CHARS] Collection Policy [CHARS] Organizational Charts [CHARS] 37

38 Roles and Responsibilities [CHARS] Quality Control Specifications [IM/IT] Preservation Plan [IM/IT] Strategic Plan [IM/IT] Risk Analysis Documents[IM/IT] Digital Object Management Digital object management involves functions, processes, and procedures needed to acquire, ingest, manage, and provide access to digital objects for the long term. These objects are kept and maintained in the data repository and its functionality is guided by the CHARS policies and procedures documentation which are based on industry best practices. The following policies cover the Digital Object Management portion of the framework; Mission Statement [CHARS] Designated Community Definition [CHARS] Preservation Plan [IM/IT] Quality Control Specifications [IM/IT] Risk Analysis Document [IM/IT] Strategic Plan [IM/IT] Data Deposit Agreement [IM/IT] Metadata Specifications [IM/IT] Access Policy [IM/IT] Definition of AIP [IM/IT] Technologies, Technical Infrastructure, and Security CHARS uses technologies and technical infrastructure which ensure that it meets object management and security demands of the repository and its data objects. These requirements do not prescribe specific hardware and software but describe best practices for data management, access and security. Policies and procedures listed below cover the Technologies and Technical Infrastructure aspects of the framework. Designated Community Definition [CHARS] Strategic Plan [IM/IT] Risk Analysis Document [IM/IT] Preservation Plan [IM/IT] 38

39 Figure 4.2. CHARS Data Management Documentation Tree Note for Figure 4.2.: The scope of the identified policies varies and will be at either the CHARS institutional level or at the IM/IT level. In the framework outlined above, policies defined at the CHARS institutional level are marked with [CHARS] and policies specifically supporting IM/IT requirements are labeled with [IM/IT]. In drafting final policy, this statement of responsibility should define the sources of input in the document s development Processes for Developing Data Policies and Procedures Importance of Process Defining process for any structured activity is a key element for success. A welldefined process can help distinguish and clarify the multiple roles that researchers play; e.g., a researcher can be a data producer and also a data user, and these roles can have different needs and priorities. Developing policies and procedures could be a challenging activity, hence this activity requires well-defined processes to be followed. Different values, 39

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