4 NUMBER 004 Policy Data base Document Reference Number P
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1 NUMBER 00 olicy Data base Document Reference Number 100 urpose/ objectives This policy sets out the requirements for La Trobe University researchers to manage their research data and primary materials in accordance with University policy, and legal, statutory, ethical and funding bodies requirements. Scope/ Application This policy applies to all researchers engaged in activies involving the creation, use, curation and mangement of research data and primary materials at La Trobe. The policy applies across all schools and departments, campuses and to research conducted external to the University, but under the University s auspices. olicy Statement The Australian Code for the Responsible Conduct of Research (the Code) outlines expectations for the proper management and retention of research data and primary materials. This policy ensures the University meets its continuing role in the management of research materials, and researchers retain sufficient research data and primary materials to justify the outcomes of their research and to defend them if challenged. The principles of managing, sharing and re-using research data are essential to good research practice, promote quality research, and enhance the reputation of researchers and the University. La Trobe is committed to improving the quality and impact of research, and recognises that a systematic approach to research data management and preservation is fundamental to excellence in research and to research integrity. Research data and primary materials, and registers of those materials, are University records and must be stored and disposed of in accordance with the Code, the University Records and Archives Management olicy, and the Victorian ublic Records Act. Research data and primary materials generated from research will be: 1.1 Accurate, complete, authentic and support verification of research results 1.2 Attributable and citable through applying persistent identifiers 1. Identifiable, retrievable and available with minimal barriers 1. Managed through Research Data Management lans which clearly document how research data and primary materials will be collected, owned, retained, stored and preserved 1.5 Owned in accordance with La Trobe University s Intellectual roperty Statute 2009, subject to any relevant third party agreements, or licences in favour of the University 1.6 Made available to others subject to any contractual or other legal restrictions, and appropriate ethical, defence related, data sharing and open access principles 1.7 Secure from loss and degradation V Research Data Management olicy age 1 of 5
2 NUMBER 00 olicy Data base Document Reference Number Held in a manner that is compliant with legal obligations, ethical responsibilities and the rules of funding bodies 1.9 Retained for as long as they are of continuing value or interest to the global research community or other interested parties, and as specified by any research funding agreement, professional standards, legal or other requirements. Supporting rocedures Research Data Management rocedures Responsibility for implementation DVC /R AVCs Research Research Office University Library Heads of School Researchers Responsibility for monitoring implementation and compliance La Trobe, through the Research Office Ethics and Integrity team, and the Library shall be responsible for monitoring and ensuring compliance with this policy. Status Revised with amendments, approved by Academic Board, 11 May 2016, min ref rior approvals: Academic Board, 1 May 2009; Council 1 June 2009 The implementation of the latest version of this policy supercedes all previous versions. Key stakeholders Research and Graduate Studies Committee Research Strategy Committee Board of Graduate Research DVC (Research) Graduate Research School Research Office University Library Heads of School Records and Archives Services Approval Body Academic Board Initiating Body Research and Graduate Studies Committee V Research Data Management olicy age 2 of 5
3 NUMBER 00 olicy Data base Document Reference Number 100 or person(s) Definitions Australian Code for the Responsible Conduct of Research (The Code): Jointly developed by the National Health and Medical Research Council, the Australian Research Council and Universities Australia, the purpose of the Code is to guide institutions and researchers in responsible research practices. Compliance with the Code is a pre-requisite for receipt of National Health and Medical Research Council and Australian Research Council funding. Curation: Curation of digital materials involves active interference to mitigate digital obsolescence, for example by migrating data to ensure compliance with evolving industry standards to ensure it continues be accessible. This may require migration from one storage technology to another, or data manipulation to meet new standards for data recording and presentation in human or machine readable forms. Data Management: Data Management is those activities that control how data is collected, organised, used, disseminated and disposed of. It includes measurement, monitoring, and auditing of all these activities. Data Management excludes the use of data in research, but includes recording entities and processes involved in producing and influencing the data in order to assist reproducibility. Disposal: A range of processes associated with implementing records destruction or transfer decisions which are documented in retention authorities. Metadata: Metadata is information or facts about research data for the purpose of attribution, description, management and discovery. Records: (AS ISO , s..15): Information created, received, and maintained as evidence and information by an organisation or person, in pursuance of legal obligations, or in the transaction of business. Research: Original investigation undertaken to gain knowledge, understanding and insight. Research data: Any data collected during research which would be used to validate the research findings and/or facilitate the reproduction of the research. Research Data Management lan: A Research Data Management lan (RDM) is a document that describes how you will collect, organise, manage, store, secure, back up, preserve, and share your data. Research materials: Any materials used or generated in the course of conducting research. Researcher: In this policy the term researcher refers to anyone undertaking or piloting research in association or affiliation with La Trobe including but not limited to academics, V Research Data Management olicy age of 5
4 NUMBER 00 olicy Data base Document Reference Number 100 students, higher degree by research candidates, professional staff and third party associates. Retention: The act of retaining and ensuring readability of records for specified periods. Staff: All employees of the University or affiliated enterprises with which the University has a formal agreement and includes casual employees, clinical staff and unpaid members of the University such as Honorary and Adjunct appointments, all of which are registered on the HR system. Related legislation Aboriginal Heritage Act 2006 (Vic) Aboriginal and Torres Strait Islander Heritage rotection Act 1985 (Cwlth) Archives Act 198 (Cwlth) Autonomous Sanctions Act 2011 (Cwlth) Charter of Human Rights and Responsibilities Act 2006 (Vic) Copyright Act 1968 Copyright Amendment (Digital Agenda) Act 2000 Customs Act 1901 Customs (rohibited Exports) Regulations 1958 Regulation 1E Defence Trade Controls Act 2012 (Cwlth) Evidence Act 2008 (Vic) Freedom of Information Act 1982 (Vic) Health Records Act 2001 (Vic) rivacy Act 1998 (Cwlth) rivacy and Data rotection Act 201 (Vic) ROS 07/01 General Retention & Disposal Authority for Records of Common Administrative Functions ROS 02/01 General Retention & Disposal Authority for the Records for Higher and Further Education Institutions rotected Disclosure Act 2012 (Vic) ublic Records Act 197 (Vic) Related policy and other documents Australian Code for the Responsible Conduct of Research Australian Research Council Act 2001 Linkage roject Funding Rules 2009, Dissemination of Research Outputs (..5) Commonwealth National rivacy rinciples Intellectual roperty Statute 2009 La Trobe Records and Archives Management olicy La Trobe rivacy - ersonal Information olicy La Trobe rivacy - Health Information olicy La Trobe Intellectual roperty olicy La Trobe Research Integrity olicy V Research Data Management olicy age of 5
5 NUMBER 00 olicy Data base Document Reference Number 100 NHMRC National Statement on Ethical Conduct in Human Research 2007 ROS 10/12 Retention and Disposal Authority for Records of the ublic Record Office Victoria v 2010 Date Effective 11 May 2016 Next Review Date 11 May 2019 Keywords Research data, disposal, records, retention, management Owner /Sponsor Director, Research Office Author Manager, Ethics and Integrity Contact person Manager, Ethics and Integrity [email protected] Manager, Research (Library) [email protected] V Research Data Management olicy age 5 of 5
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