A Digital Curation Centre

‘working level’ guide

How to Develop Research

Data Management Services
- a guide for HEIs
Sarah Jones, Graham Pryor and Angus Whyte

Please cite as: Jones, S., Pryor, G. & Whyte, A. (2013). ‘How to
Develop Research Data Management Services - a guide for HEIs’.
DCC How-to Guides. Edinburgh: Digital Curation Centre. Available
online: [Link]

Digital Curation Centre, March 2013

This work is licensed under Creative Commons
Attribution BY 2.5 Scotland
 How to Develop Research Data Management
Services - a guide for HEIs
1. Introduction research [Link] expectations of research funders
have also driven work in this area. The EPSRC Policy
The purpose of this guide is to help institutions Framework on Research Data3 in particular has
understand the key aims and issues associated with instigated the development of RDM services within
planning and implementing research data management many UK HEIs. Universities play a key stewardship role
(RDM) services. It explains the components and in curating the outputs of research. Research data are
processes of RDM services and describes the roles and an asset, bringing benefits and impact for the institution
responsibilities of those who will deliver and use them. as much as for the researcher. In order to reap these
benefits, effective systems and support services need
Many higher education institutions (HEIs) have to be in place.
recognised the need to develop RDM services and are
currently engaged in this activity. Over 40 UK universities
have been involved in developing RDM services within
the Jisc MRD programmes1 and DCC Institutional 3. Roles and
Engagements2. This guide summarises their lessons
and emerging approaches, and will be of help to other
responsibilities
institutions beginning to address these issues. The range of skills and knowledge needed to deliver
RDM services is dictated in a large part by the
The guide has been written for anyone working in an HEI individual phases of the research project lifecycle.
who has an active stake in the generation, management Consideration of these phases provides some
or sharing of research data. This includes university indication of the activities that will be required by a full
management, support and administrative services, and support service:
researchers. Indeed, there are many other functions and
roles supporting the research data agenda to which we • at pre-award: assistance with the preparation of
hope this guide will provide assistance. data management plans, including guidance on
costing data management activities and the expert
use of online tools;
2. Why develop • throughout the project: advice on data
research data documentation, formats and standards to enable
reuse; guidance on storing, managing and analysing
management services? data to achieve regulatory compliance and best
practice; advice and/or provision of research data
There are many benefits and drivers that prompt storage facilities that meet the needs of a wide
the development of RDM services. Effective range of data types, platforms and access needs;
management of data promises rewards throughout
and beyond the life of a research project. Whilst it • post-project: advice on selecting data of long-term
is important to ensure that data are discoverable, value; support to make research data visible and/or
accessible and intelligible to enable long-term available to defined audiences; help for researchers
reuse, such values are equally crucial during the in deciding how to archive data at the end of a
research-active phase. For the researcher, the project (or at any other appropriate point).
perception of data as an instrument of research
and new knowledge can be transformational. Meeting all of these needs cannot be delegated to a
Well-managed data lead to higher-quality research, single unit. In the complex and frequently distributed
increased visibility and the consequent benefits of organisational environment of an HEI, the roles and
enhanced citation rates. responsibilities for defining, enabling and delivering
RDM services are generally shared across three groups:
The increasingly collaborative nature of research is university management, support and administrative
a pressing argument for RDM services. Researchers services, and researchers.
need to exchange data across diverse platforms
and demand effective systems to store, access and
share data securely across multi-institutional

1
Jisc. Managing Research Data programme 2011-13, URL: [Link]
2
DCC. Institutional Engagements webpage, URL: [Link]
3
EPSRC. (2011). Policy Framework on Research Data. Retrieved 12 March 2013, from [Link]

2
3.1 Management • establish an RDM team to undertake the actions
defined by the steering group;
The principal role of university management in
the introduction of RDM services will be to ensure • undertake analyses of policy requirements at a
proposed services are desirable, achievable and national, funder and institutional level;
sustainable, and if so, to give clear, informed and
unequivocal support. Equally challenging for university • identify the nature of the institution’s data assets
managers is the need to treat RDM services as and data management practices;
a serious investment in infrastructure within the
long-term institutional business planning process. • develop and implement proposals, plans and
budgets for the technological and human
Specifically, the principal responsibilities to be met by infrastructures necessary to deliver RDM services;
senior management are to:
• retrain, reorganise and otherwise acquire the skills
• provide a champion, at Pro Vice-Chancellor (PVC) for providing effective RDM services;
Research level or equivalent, to act as influential
advocate and to chair steering/working group • plan and undertake a programme of advocacy to
business; promote the key aspects of effective research data
management, explaining in universally accessible
• establish a representative, balanced and terms its obligations, benefits and the services
appropriately equipped steering/working group that anticipated;
will reflect the interests of essential stakeholders;
• facilitate training opportunities for managers,
• consider, comment on and eventually approve support staff and researchers;
proposals, plans and strategies, including the
endorsement of budgets and organisational • as traditionally independent units, reorganise into a
restructuring; partnership to deliver a seamless RDM service.

• advise on the higher-level strategic issues that

must be addressed during service design;
3.3 Researchers
• ratify a policy that articulates the core RDM
principles and acts as a framework for guidelines As the creators and users of research data, researcher
and service design. engagement is crucial in the development of RDM
services. Any service provision needs to be based
upon a close understanding of research, its patterns
and timetables, motivations and priorities. This cannot
3.2 Support and administrative be achieved without a commitment by the research
services community to contribute to the definition of service
requirements. Without their active involvement and
The support teams that will deliver RDM services may support the success of an RDM service is bound to be
typically be categorised as the library, information limited. Whilst management will define expectations
technology, records management and research and support staff will deliver services, it is the
administration functions, although this list is not responsibility of researchers to:
exclusive. For all of them, managing research data
is likely to be a relatively new challenge for which • ensure their views are represented by contributing
the responsibilities and practices have yet to be to steering/working groups;
firmly established. Those traditionally engaged in
information management and computing services will, • collaborate in the gathering of requirements and
however, be customarily recognised as the groups the testing of solutions and methods;
best fitted to lead in the identification of requirements,
standards and solutions. Research administration, • clearly articulate - in terms of their data creation,
involving the management of grants and contracts, use and management - the particular requirements,
commercialisation and the support of innovation, opportunities and obstacles encountered within
comes in diverse shapes across the sector. In their disciplines;
most cases it plays a key role as the link between
researchers, management and funders. It is important • champion the adoption of approved methods and
to recognise that in many institutions these groups services within their communities.
will not have previously worked as a cohesive unit or
partnership. To deliver RDM services they will together
provide the effort to:

3
4. The process of the transition to a fully functional service. Be aware
of any contingencies between steps so that a logical
developing services sequence of activities can be established. It is also
crucial to assign clear responsibilities and to set
measurable indicators for success.

4.1 Acknowledge differences Two DCC tools support this work and have been
in organisational culture adopted and adapted successfully by universities
engaged in the Jisc MRD programme and the DCC’s
In order to support data management and sharing, Institutional Engagements.
HEIs need to coordinate across a diverse range
of actors and processes to deliver the necessary The Data Asset Framework (DAF)4 is a survey and
technological and human infrastructures. A rigid interview-based methodology to investigate research
model for this cannot be prescribed since individual groups’ data holdings and how these are managed.
organisations and cultures occupy a spectrum of Questionnaires and interviews generally cover the
differences. However, it is feasible to describe a set of range of activities involved in the curation lifecycle
common components, process and services, which is to identify issues and expectations of improvement
the focus of this How-to guide. in support. DAF has been piloted in a number of
contexts and has been the subject of several case
Before selecting from any menu of service studies5.
components, it is important to scope the institutional
context, to explain and agree why RDM services are The Collaborative Assessment of Research Data
needed, to understand what specific challenges the Infrastructures and Objectives (CARDIO)6 tool aims
services are expected to resolve and what, essentially, to help establish consensus on RDM capabilities
such services should deliver. Strategic decisions and identify gaps in current provision. Institutional
will need to be taken. For example, you need to preparedness is assessed using a capability model
define the role played by national and international adapted from the ‘three legged stool’ approach
services, which may be regarded as alternatives used by Cornell University’s digital preservation
or as complementary to institutional services. How programme.7 CARDIO users rate existing provision in
an HEI responds to these and similar questions three areas - organisation, technology and resources
will be determined by a heady mix of its prevailing - and come together to agree their ratings and to
research culture, its mode of governance, the scale prioritise action. The tool can be used online, in
of its competitive aspirations and, not least, by the person or in a combination of these.
measures at its disposal to predict and manage
resources within the broader profile of its operating Requirements-gathering and gap analysis
plan. complement one another. Many institutions have
begun the process by consulting with academic
Convening a group of interested stakeholders is staff in two or three research groups or departments
a useful first step. This should be led by a senior in different schools or faculties. It helps to involve
champion such as the PVC for Research or an researchers whose experience spans a range of
esteemed researcher with cross-discipline authority. funders, career stages, research disciplines and
The group should be broadly based, and is likely to data types. Workshops or focus groups that involve
include representatives from the library, IT services, relevant service providers alongside the academic
the research office, ethical advisors, archive services, staff from these studies are particularly useful fora in
legal experts and the research community. An RDM which to frame the issues that emerge, and will serve
project team is also needed to lead the development as platforms for the consolidation of findings and
of services. consequent action planning.

4.2 Undertake requirements 4.3 Pilot services before

analysis implementation
It is necessary to gather requirements and undertake Once requirements have been identified and you have
a gap analysis to inform the development of RDM a plan of action, consider existing tools and service
services. You need to identify any gaps between your models that may be reused. Each of the topics in
current position and where you hope to be in the section 5 points to examples from other universities.
future in order to plan the activity needed to make Lots of lessons have been learned by early adopters
4
Data Asset Framework website, URL: [Link]
5
Jones, S., Ball, A. & Ekmekcioglu, Ç. (2008). The Data Audit Framework: a First Step in the Data Management Challenge. International Journal of Digital Curation, 3 (2): 112–120.
doi:10.2218/ijdc.v3i2.62
6
CARDIO website, URL: [Link]
7
Kenney, A. & McGovern, N. (2005). The Three-Legged Stool: Institutional Response to Digital Preservation. II Convocatoria del Coloquio de marzo. Cuba. Retrieved 12 March 2013, from
[Link]

4
and you can benefit from their experience. Many of the
outputs are licensed for reuse or adopt open source
Developing services – a summary of key actions
technology to enable other HEIs to adapt them to suit
their context.
• Assemble a broad-based steering group, with
academic involvement, led by a senior research
When developing potential solutions it is critical
representative e.g. PVC for Research;
to engage the user community and pilot services
to ensure they are fit-for-pupose. At the University
• Appoint an RDM team with appropriate
of Edinburgh, for example, the steering group has
responsibilities and competences to undertake
established three preliminary pilot studies:
actions;
one on data management planning, focusing
primarily on the use of the DCC’s DMP Online tool;
• Scope the RDM status quo, including gaps in
one on research data storage exploring the extension
service and support, to identify requirements;
of the ECDF-NAS service8, a chargeable large filestore
for research groups; and one on the DataShare
• Design services that meet local and external
[Link] you know the services are fit for
drivers, and suit the organisational culture;
purpose and meet a broad range of use cases they
can be adopted across the institution. A phased roll
• Pilot services to ensure they are fi t for purpose
out may be appropriate to ensure uptake can be
before wider roll out.
supported.

5. Components of an RDM service

In order to support effective data management and sharing, an institution needs a coherent strategy and suite of services.
The following section proposes a number of components to be addressed when delivering RDM services, together with
a description of the roles and responsibilities of those who may deliver and use them. Practical guidelines are provided
to suggest how each component can be addressed and a series of case studies is forthcoming to provide more detailed
examples of approaches that may be taken.

The diagram below attempts to visualise the different aspects that need to be addressed.

Components  of  research  data  management  support  services  

Business  plan  and  

RDM  policy  and  strategy  
sustainability  

Data  Management  
Planning  

Data  catalogues   Managing  ac6ve  data  

Data  selec6on  and  

Data  repositories  
handover  

Guidance,  training  and  support  

8
Edinburgh Compute and Data Facility (ECDF) Networked-attached Storage service website, URL:[Link]
9
Edinburgh DataShare repository, URL: [Link]

5
5.1 RDM policy and strategy roles different stakeholders play and what their issues
and needs are to ensure that the policy is desirable
Developing a strategy and realistic. Eliciting feedback and involvement
throughout the development process will ensure the
Having an overarching strategy is essential to ensure policy is fit for purpose. Remember to keep things
that RDM services develop coherently. It should simple and use clear language and concepts that
outline key objectives and the stages of work planned speak to the people who will be expected to apply
over a set period in order to realise them. There are and support the policy.
three key steps to defining your strategy:
Existing examples can give you ideas of what to
1. understand your current position; include. The DCC collates a list of UK institutional
RDM policies13 and several useful examples are also
2. define where you want to be in the future; available from overseas. Agreed guidelines, such as
the UK Research Integity Office’s Code of Practice
3. map out a programme of activity to make this for Research14, also provide a useful base as they
transition. outline common expectations for the collection, use,
storage and retention of research data. The DCC has
Requirements analysis exercises as outlined in section produced a policy briefing, which outlines UK funder
4.2 are a critical step in defining your strategy. In requirements, the approaches taken by different
order to take stock of the current situation, you need UK universities and considerations to make when
to be aware of the context in which you are working. developing institutional RDM policy15.
What internal and external factors influence research
data management and sharing, and which have the Once you have a first draft, review this with a small
greatest implications for you? These could include pilot group (e.g. researchers, management and staff
codes of conduct for research, funder policies, from key services) to make sure it is understandable
national and international legislation, and collaborative and covers the key points. The policy will then need
agreements that necessitate the sharing of data to be ratified by the University’s governing bodies, a
across institutional boundaries. You should also be process that will likely require several iterations and
aware of your institution’s mission statement so that may take some considerable time. For this reason it is
you can map RDM activities and benefits to it as a useful to keep the policy brief, focusing on high-level
means of encouraging support. principles. Accompanying guidance is essential to aid
implementation; however, this is likely to be more fluid,
Existing examples can provide pointers to help you needing to be updated regularly as the supporting
get started. Monash University, for example, has services develop, so it can be useful to maintain this
shared its Research Data Management Strategy and separately.
licensed it for reuse by others10. The DCC has also
provided a series of blog posts to help institutions The most challenging task will be implementing the
develop EPSRC roadmaps and several examples have policy as this is likely to imply significant modification
now been made public11. Typically these roadmaps list or development of infrastructure and changes
the expectations to be met and perform a gap analysis in working practice. The approach taken at the
to identify activities needed over the coming years. University of Edinburgh is to run pilot studies that trial
It can be useful to think more broadly than EPSRC implementation in a number of areas, using these as
compliance alone, since most research funders have examples to roll out the emerging practice out more
expectations in terms of RDM. The University of widely. Finding ways to incentivise adoption, for
Edinburgh roadmap, for example, organises planned example through career progression, may prove to be
work under four key areas: data management especially worthwhile.
planning; active data infrastructure; data stewardship;
and data management support. A number of Coordinating data policy and strategy
objectives are listed under each area of work together
with concrete actions, deliverables and target dates12. For a number of HEIs, the creation of a research data
management policy has been selected as the first
Developing a policy step in the process of defining a strategy. Policies
provide clarity on what is expected by the institution
Extensive consultation is critical when developing a and who is responsible for which activities. Research
policy; policy development is an effective outreach data management involves many stakeholders so a
activity in its own right. You need to be aware of the coherent vision expressed through a policy can be a

10
Beitz, A., Dharmawardena, K. & Searle, S. (2012). Monash University Research Data Management Strategy and Strategic Plan 2012-2015. Retrieved 12 March 2013, from [Link]
[Link]/download/attachments/39752006/Monash+University+Research+Data+Management+[Link]?version=1&modificationDate=1334289180000
11
DCC. List of RDM roadmaps produced by UK universities, URL: [Link]
12
University of Edinburgh. (2012). Research Data Management (RDM) Roadmap August 2012 – January 2014. Retrieved 12 March 2013, from [Link]
information-services/about/strategy-planning/rdm-roadmap
13
DCC. List of RDM policies produced by UK universities, URL: [Link]
14
UKRIO. (2009). Code of Practice for Research: Promoting good practice and preventing misconduct. London: UK Research Integrity Office. Retrieved 12 March 2013, from [Link]
[Link]/what-we-do/code-of-practice-for-research
15
Jones, S. (2011). Research data policy briefing. DCC. Retrieved 12 March 2013, from [Link]

6
useful way to coordinate the broad range of interests benefits. Given the uncertainty of levels of long-term
to be found in an HEI and to provide a framework of public funding it is recommended that a phased
overarching governance. A policy can also provide approach should be taken, with the plan stepped
leverage to unlock resources for infrastructure over three, five and ten years. A set of three- to five-
development, making implementation more feasible. year rolling phases would match the kind of planning
window applied to the operating plan in many
The best time to release a policy is a moot point. institutions.
Fears have been expressed that approving a
policy prior to the development of infrastructure Such a transitional plan will enable you to set out
and support services may lead to an eventual gulf your long-term plans without requiring immediate
between aspiration and the realities of resourced commitment of potentially considerable cost. Start
and achievable implementation. Others have found a small and plan for growth. Securing agreement to
policy to be a useful starting point, a means of gaining proceed with the initial steps, and having a clear
traction and presenting an aspirational view that will statement of your long-term goal and its cost
motivate and guide service development. Be mindful implications will ensure that a working service can be
of your institutional culture to determine the best established that is less likely to meet with resistance
approach. in future years. If you can achieve a trade-off with
existing services in those early years, so much the
This interplay between policies and strategies is better. For example, if the service is presented as
worthy of note. In cases where a policy has been a reconstitution of the library service to meet the
developed first, the subsequent strategy will need to changed needs of research it will not be viewed as a
provide a more detailed roadmap for implementation. wholly new expenditure and will be applauded as a
Other institutions, such as the University of Bath, cost-neutral enhancement that also brings new career
have developed a strategy first and addressed policy opportunities to the staff involved.
subsequently, treating it as a supporting component of
service development. It is crucial for the RDM services business plan to
reflect the institutional mission, as expressed in its
strategic plan, since this will give it legitimacy. Your
Developing RDM strategy and policy – RDM services strategy and roadmap will furnish your
a summary of key actions service objectives but in the business plan you will
need to assign known or forecast costs, together
• Understand your current position and where you with an indication of the financial year in which
want to be to define your strategy; expenditure will occur. Remember that capital costs
(one-off equipment or building costs) are normally
• Map out a programme of activity to deliver budgeted annually and are not recurrent, whereas the
infrastructure and services; maintenance of those capital items, along with staff
costs (which will include overheads and incremental
• Draft a policy based on external drivers and local drift) form part of the institution’s revenue budget.
context to establish your core RDM principles; It may be easier to argue for capital expenditures,
which can be allocated or phased strategically across
• Ratify the policy then undertake advocacy work several years, whereas recurrent expenditures will
and pilot studies to aid implementation; come under constant scrutiny according to the ebb
and flow of institutional income and expenditure
• Consult broadly and iteratively throughout to gain across the board.
consensus and secure support.
It is equally important that you seek local guidance on
interpretation of the Transparent Approach to Costing
(TRAC16) guidelines and Full Economic Costing (fEC),
5.2 Business plans and so that your estimates do not prove insufficient and
your business plan conforms to institutional principles.
sustainability
Your business plan is your opportunity to win
For many institutions the development of RDM management approval and agreement that resources
services represents a wholly new enterprise, often will be committed to ensure the service can be
requiring significant organisational and behavioural sustained. You should therefore describe what returns
change. To ensure that these changes are sustained on investment are predicted, which for RDM services
requires the creation – and formal acceptance – of are likely to be expressed in terms of improved
a long-term business plan. A business plan should research impact, a more effective and cost-efficient
set out objectives, predicted costs and planned research process, improved opportunities for new and
expenditures, resource deployment and enhancement, more research, or increased funding. Undertaking a
the forward change programme and anticipated benefits analysis, perhaps using the KRDS Benefits

J M Consulting Ltd. (n.d.) Transparent Approach to Costing (TRAC) Guidance. HEFCE. Retrieved 12 March 2013, from [Link]
16

7
Analysis Toolkit17, will strengthen your case, as will aspects will become less important and which new
reference to institutional examples that enable you to areas of activity could become the focus of increased
scope your analysis18. demand? Can you build toward a less labour-intensive
centre with greater automation and devolution of
Creating the business plan will require you to address processes? Where these questions can be answered
the issue of charging for services. How much of in the short- to medium-term, include predicted costs;
the RDM services, for example, can be charged to but do not omit them from longer-term plans, where
individual research projects and how much will be they should be shown as indicative and reinforcing
corporately funded? How centrally managed will the your ownership of the direction and scope of the
service be and how far devolved? Much will depend on service.
the tradition and culture within your own institution but
some aspects of the RDM services such as storage or
training will at least require strong central coordination,
and the plan should be explicit as to how this will be
managed. With regard to the use of project funding, 5.3 Guidance, training and
at least two of the major funders have indicated that support
up to ten percent of a research grant can be used for
the purposes of data management; however, whether Various levels of guidance and training should be
this includes investment in long-term infrastructure provided to meet different audiences. Some generic
or is restricted to in-project activity has still to be support, for example via institutional RDM guidance
confirmed19. webpages, can be complemented with more tailored
support. One-to-one consultancy sessions, such as
Business plans and sustainability – a summary those offered at the University of Northampton, allow
of key actions researchers to ask specific questions so they can
adopt relevant approaches to creating, managing and
• Based on your strategy, develop a phased sharing their data20. A range of options is needed to
business plan covering projections for 3, 5 engage different groups so think broadly about what
and 10 years; will be provided.

• Identify predicted costs and planned Guidance and helpdesks

expenditures, together with an indication of Basic guidance is required on all aspects of data
the financial year in which expenditure will management and several universities have produced
occur; websites that collate best practice and direct
researchers to local support21. These tend to cover
• Consider whether any costs can be the whole research lifecycle from applying for funding,
recouped, for example by charging for through creating and managing data, to long-term
services; preservation and reuse. Guidance is typically
pragmatic and gives basic advice such as how to
• Undertake a cost/benefits analysis to help structure, name and version data, control access, and
make the case for investment; identify relevant data centres. There are a number of
excellent sources of best practice that you can use
• Address sustainability issues and the such as the UKDA guide on managing and sharing
associated long-term costs. data22.

Such websites are usually put together by undertaking an

In terms of detail, break down your plans according internal review of existing support. Relevant content can
to the sustainability issues applicable to individual be searched for using common RDM-related terms, such
components of the service over the medium- to long- as IPR, data ownership, repository, storage, backup and
term. Replacement, development and maintenance research computing. Once preliminary material has been
costs for equipment and facilities will be fairly obvious, collated, some form of engagement with support services
but you should also account for changes in the level of (e.g. via emails, workshops or interviews) can unearth
service that buy-in from the research community could additional content to include. When drafting the content,
bring. How far, for example, will the role of the RDM general guidance can be copied and customised from
services staff change once the service has become some of these existing websites which are often available
routine and embedded in the research process? What under Creative Commons licences.

17
KRDS/I2S2 Digital Preservation Benefit Analysis Tools Project website, URL: [Link]
18
For example: Beagrie, N. & Pink, C. (2012) Benefits from Research Data Management in Universities for Industry and Not-for-Profit Research Partners. Charles Beagrie Ltd & University of
Bath. Retrieved 12 March 2013, from [Link]
19
Starting in 2013, the DCC will be convening events and producing guidance that explains funder rules and expectations.
20
Jones, S. (2012, October 31). The value of a one-to-one. Blog post. DCC. Retrieved 12 March 2013, from [Link]
21
DCC. List of RDM guidance websites produced by UK universities, URL: [Link]
22
Van den Eynden, V., et al. (2011). Managing and sharing data: best practice for researchers. 3rd edition. Essex: UK Data Archive. Available online: [Link]
[Link]

8
Helpdesk services may also be required. Several 1. courses for researchers, often with a discipline-
universities have set up a generic email address specific focus or aimed at postgraduates;
to filter RDM queries. Existing helpdesk systems 2. Continuing Professional Development (CPD) to
should be used where possible and schema of typical reskill support staff such as librarians.
questions can be developed to assist in routing
enquiries. It is also worth bearing in mind that some Training for researchers is best developed in partnership
studies have identified a desire for named contacts with academic staff or disciplinary data experts
in preference to generic helpdesks23. Making contact (such as those employed by data centres) to ensure
details more visible, or introducing support staff on that content is both relevant and meaningful. Such
training courses to raise awareness of the help they partnerships can also enhance the integration of good
can provide may assist researchers to get the most out practice into the research environment through the
of the RDM services on offer. incorporation of RDM messages in existing induction
and training programmes. Two examples of how this
Training for different audiences can be achieved24 are the Open Exeter project which
has involved PhD students in the development of their
Data management training tends to fall into two main training programme and the DataTrain initiative which
categories: brought together researchers and data centre staff.

A large body of training materials is already available for repurposing, as outlined in the table below.

Title Description Target audience Link

UKDA training materials Slides and exercises Researchers [Link]

for a course covering create-manage/training-resources
all aspects of the data
lifecycle.

Research Data MANTRA An online RDM training Researchers [Link]

course with quizzes,
videos and software
tutorials.

CAiRO A online RDM module for Researchers [Link]

creative arts researchers. [Link]

DataTrain Slides and training Researchers [Link] /

materials for archaeology datatrain/[Link]
and social anthropology
researchers.

DATUM for health Slides with speaker notes Researchers [Link]

and audio recordings sd/ academic/ceis/re/isrc/
for health science themes/rmarea/datum /health/
researchers. materials/?view=Standard

Introducing research A 27-page handbook Researchers [Link]

data with case studies and
associated presentation.

Leeds RoaDMaP Presentations, handbook Researchers and [Link]

materials and feedback from support staff project-outputs
courses aimed at
engineering researchers,
social scientists and
research support staff.

Ward, C., et al. (2010). Incremental: scoping study and pilot implementation plan. (ref. p20). Retrieved 12 March 2013, from [Link]
23

Incremental_Scoping_Report_170910.pdf
Open Exeter project website, URL: [Link] and DataTrain project website, URL: [Link]
24

9
Title Description Target audience Link

TraD – Training for Data Online modules Researchers and [Link]

Management at UEL (forthcoming), slides and Librarians
exercises for a variety of
audiences.

DCC roadshows Case studies, Research [Link]

presentations and support staff management-roadshows
exercises aimed at
support staff establishing
RDM services.

RDMRose 8 sessions with Librarians [Link]

presentations, case [Link]/?page_id=10
studies and activity
sheets.

Data Intelligence 4 Online content used to Librarians [Link]

Librarians run face-to-face courses
with homework activities
between sessions to
reinforce learning.

DIY Research Data Presentations with Librarians [Link]

Management Training accompanying audio and [Link]
Kit for Librarians exercises demonstrating
how the MANTRA
module can be reused
for academic liaison
librarians.

Given the availability of proven training materials, the each approach the subject with a different professional
effort required to put on courses for researchers is heritage. Content should be tailored to focus on each
often focused on repurposing content and embedding group’s particular skills and needs. It is also useful
provision. A trend observed in 2012 was to add RDM to add details explaining the broader institutional
training into existing core curricula, and an approach context so staff know what is provided by others in the
being trialled by the University of Bath is to use Doctoral organisation. In that way training is a good means of
Training Centres as catalysts for change. By training raising awareness about what is already in place, since
each year’s cohort of interdisciplinary students they this is often lacking.
hope to connect with a range of academic staff and
students across the institution and influence the overall Consultancy services
culture within the graduate school. Other institutions,
such as the University of Northumbria, have secured In some cases, researchers may require more
the insertion of data management into core PhD skills hands-on, tailored support. It may be that they are
courses. Targeting researchers early on in their careers just looking for a ‘sounding board’ to check the
can be useful, since good RDM practice can become appropriateness of their data management techniques.
embedded before less rigorous habits are formed. Also, Several universities, particularly in the USA, provide
if you can build training into existing programmes there short consultations in this vein to help researchers to
will be an even greater chance of sustainability which develop data management plans. A brief discussion
makes it a better route to follow than offering one-off about the research and proposed methods to create,
courses. manage and share data is likely to uncover areas where
further guidance or pointers to useful services would
Similar lessons can be applied when developing training be useful. It also allows the institution to check the
for support staff. Again there are a number of existing appropriateness of plans and that relevant support and
courses such as Data Intelligence for Librarians as well infrastructure is included in costing.
as a clutch of DCC courses that can easily be adapted
for local use. Do bear in mind that different messages More in-depth support may also be needed during
may be needed for librarians, information technology research projects, particularly in terms of delivering
services staff and staff from the research office, who will technical aspects such as database design. In some

25
Cope, J. (2011, December 15). Doctoral Training Centres as catalysts for research data management. Blog post. Research360 project, University of Bath. Retrieved 12 March 2013, from [Link]
[Link]/research360/2011/12/doctoral-training-centres-as-catalysts

10
institutions, researchers have requested that IT services to encourage data management planning. There
provide a dedicated pool of research support staff who are many benefits for researchers to gain from the
could be costed into grant proposals to provide whatever process. Planning saves time and effort. It enables
technical support is needed. A small-scale example of researchers to make informed decisions, bearing in
this is provided in the College of Arts at the University mind the wider context and consequences of different
of Glasgow where several members of technical staff options, in order to anticipate and avoid problems.
are available to consult during bid development and are By considering what data will be created and how,
frequently costed in as technical partners26. researchers can check that they have the necessary
support in place. The DMP process is ultimately
Guidance, training and support – a summary of key most useful to researchers as it makes the research
actions process easier.

• Collate details of existing institutional support to Researchers are familiar with the grant submission
provide a single, joined-up RDM guidance website; process, so many may assume that they will be
confident in developing DMPs. On the contrary,
• Coordinate the provision of support, either through data management often presents a new set of
a central helpdesk or well-signposted contacts; challenges for researchers. They may not be aware
of the support and services that are available within
• Provide RDM training to support researchers and their institution and are often unsure of existing best
reskill support staff; practice and standards that they can adopt. The
provision of guidance, tools and support services is
• Offer more in-depth consultancy services as crucial to help researchers create sound DMPs.
appropriate.
There are many approaches that universities are
adopting to support the creation of DMPs, including:
5.4 Data management planning • creating templates, guidance and libraries of
example DMPs;
The need for data management planning • provision of tools such as DMP Online, often
services customised with institutional guidance;
Several major research funders in the UK require the • offering training and advisory support such as
inclusion of a data management plan (DMP) as an consultancy services.
integral component of research grant applications27.
Whilst each funder may have a different emphasis,
they generally require a basic outline of the data DMP templates and guidance
to be collected and an explanation of how it will Institutions should provide templates or guidance
be managed, shared and preserved, justifying any on what should be included in plans, particularly
restrictions that need to be applied. The DMP is an when the institution requires a DMP. Various
opportunity to demonstrate awareness of best practice universities give an overview in their policies. The
and reassure funders that data will be managed in line University of Hertfordshire, for example, provides
with their policies. a data planning checklist which lists seven themes
that should be covered and a number of useful
Universities are also asking researchers to create questions as pointers of what to address28. Others
DMPs. Of the initial 15 institutional RDM policies have developed templates for specific audiences.
released by UK universities by February 2013, The research360 project at the University of
13 require or encourage the creation of DMPs as the Bath has developed a very popular template for
procedure by which researchers should comply with postgraduates29. And there are several useful
their expectations. DMPs can be a very useful tool examples from the USA, such as the What’s your
for institutions: they provide an opportunity to gather data plan? guide from the University of Wisconsin-
details on expected data volumes to assist in capacity Madison30. The DCC’s Checklist for a Data
planning; help to identify datasets to be recorded in Management Plan31 may also prove useful. This
institutional catalogues; and allow early engagement to provides a very comprehensive list of questions to
validate the appropriateness of proposed approaches. be considered across ten headings. It also contains
a series of guidance notes designed to assist in
However, compliance with the policies of funders and the completion of a DMP, often accompanied by
institutions, whilst important, is not the sole reason hyperlinks to useful and authoritative resources.

26
University of Glasgow. Technical and data management support in the College of Arts webpage, URL: [Link]
27
DCC. Funders’ data plan requirements, URL: [Link]
28
University of Hertfordshire. (2011). University guide to research data management. Policy appendix. Retrieved 12 March 2013, from [Link]
University%20Guide%20to%20Research%20Data%20Management-v03%[Link]
29
Research360 project. (2012). Postgraduate Data Management Plan template. University of Bath. Retrieved 12 March 2013, from [Link]
template-first-draft
30
University of Wisconsin-Madison. What’s your data plan? Retrieved 12 March 2013, from [Link]
31
Donnelly, M. & Jones, S. (2011, March 17). Checklist for a Data Management Plan. DCC. Retrieved 12 March 2013, from [Link]
ments/docs/DCC_Checklist_DMP_v3.pdf

11
Guidance on appropriate methods should also be Who is responsible for planning?
provided. Indeed, institutions may wish to prescribe a
handful of recommended approaches for certain areas Data management planning is a collaborative
of work, such as storage and backup. Researchers endeavour. It must of course involve members of
are often unfamiliar with the support and services the research community, since a DMP establishes
available to them, so providing associated guidance for them the manner in which they will capture or
that raises awareness and provides links to support generate data. They will need to refer to it during the
is invaluable. Requests for worked examples are also research lifecycle when the plan not only provides a
prevalent. ICPSR, a social science data archive in guiding framework but may itself need to be amended
the USA, provides a Framework for Creating a Data to reflect unforeseen outcomes from the research.
Management Plan32. This is a great example of a Creation of a DMP will also require professional
template with basic guidance and worked examples. support from the data librarians or repository staff
Some institutions have also considered compiling responsible for the long term preservation and
libraries of successful data management plans for management of data, including the transmission of
researchers to learn from and reuse. datasets to offsite centres. Input may also be required
from members of the research support office, who
will be responsible for issues of policy, finance and
Data management planning tools governance.
The DCC provides a web-based tool for creating,
maintaining and exporting DMPs called DMPonline33. With such a diversity of interests maintaining effective
DMPTool34 provides a similar service in the USA. Both communication will be vital. Perhaps some form of
tools help researchers to write data management plans administrative or coordinating responsibility for data
to meet funder requirements. DMPonline is organised management planning will be useful, possibly even
according to which funder is the target of the grant the central management of draft and completed
submission and can be structured according to what plans. Together with training in the use of planning
stage has been reached (for example, application stage tools, these aspects will underpin any successful
or in-project), making it a highly-focused tool. service.

As many universites in the UK also now require In time, data management planning will be a skill
DMPs, DMPonline also allows institutions to create acquired by all new postgraduate researchers. Until
templates so plans can be created according to their then, this relatively new practice will require support
requirements. A key benefit of the tool is how and advice. HEIs should again think broadly in terms
it can be customised by institutions. Universities of the range of support services they offer.
can provide their own templates and guidance to
ensure researchers are aware of local support, and
can even brand the tool so it is seen as an institutional
service35. DMPonline offers a number of popular Data management planning – a summary of
features, such as the sharing of plans to enable key actions
research teams and support staff to collaboratively
develop their approach. The DCC is also revising the • If you have a requirement for DMPs, develop
tool in light of user feedback and anticipates additional a template or guidelines on what to include;
features will be available by summer 201336.
• Provide guidance, approved options and
examples to help researchers complete
Training and consultancy DMPs;
You may find that training on data management
• Consider the use of tools such as DMPonline,
planning and more in-depth consultancy services
customising these to your institution;
are needed in addition to any guidance and tools
you provide. Examples of training and models for
• Build data management planning into existing
consultancy are provided in section 5.3. You could
training and consultancy programmes as
also consider examples from overseas, for example
required.
the University of Virginia which has repurposed some
of its library staff into a Scientific Data Consulting
team37. Anecdotal evidence suggests that consultancy
services may be required more by researchers in the
Arts and Humanities than the hard sciences.

32
ICPSR. (n.d.). Framework for Creating a Data Management Plan. Retrieved 12 March 2013, from
[Link]
33
DMPonline, URL: [Link]
34
DMPTool, URL: [Link]
35
Donnelly, M. (2012, May 3). Bringing it all back home: tailoring DMP Online for your institution. Blog post. DCC. Retrieved 12 March 2013, from [Link]
for-your-institution
36
Ashley, K. (2013, January 11). Future plans for DMP Online. Blog post. DCC. Retrieved 12 March 2013, from [Link]
37
University of Virginia Library. Scientific Data Consulting website, URL: [Link]

12
5.5 Managing active data anticipating a need for more than 5TB of disk storage
are advised to include a request for funding in their
grant applications.
Two primary concerns when delivering services to
support the management of data during the active
phase of research are the provision of: Cloud storage services

1. sufficient volumes of research data storage to Cloud services may be considered as an option to
ensure broad uptake and use; reduce capital investment and the need for expert
skills to establish services in-house. However,
2. relevant applications that offer the flexibility and researchers have expressed concern about the
functionality required by researchers to store, potential loss of control over their data and, whilst
access and share their data during research security generally matches or exceeds that provided
collaborations. by in-house systems, maintaining data security does
become more challenging when data are distributed
Research data storage globally over a large number of devices that are being
shared by a diverse community of unrelated users.
The selection of cloud services for data storage is
If you are not aware of the quantity of research data
therefore a matter of judging the balance of risk to
being created within your institution, or do not know
your data that may be acceptable when compared to
where this is held and backed up, a preliminary study
the advantages from cost containment and ease of
to understand the scale of the problem is worthwhile.
access.
Requirements-gathering exercises have uncovered
numerous incidences of hand-crafted approaches
The UK’s Janet Brokerage39 is one route we
to research data storage, often referred to informally
recommend to the use of trusted services since it
as DUDs – Data centres Under Desks. Faced with
aims to strike relationships between the HE sector
substantial charges from IT services for additional
and suppliers or between groups within the sector
managed storage, research groups have opted to buy
with the objective of developing a community cloud
cheap storage and to run their own systems. While
of dynamically available resources. It has a major
the upfront costs may be only a fraction of those
framework in place offering eight suppliers and one
quoted by central services, the risks of data loss and
framework supplier already partnering with one
security breaches are significantly higher, potentially
institution. Work is also in progress towards a sector-
leading to far greater costs in the long term.
wide deal with Microsoft and others are anticipated
for Amazon Web Services, Google, Dropbox and
In response to this challenge, many universities are
Microsoft Azure. If you are considering the inclusion of
now providing much greater capacities of research
cloud services within your data storage strategy it is
data storage free of charge. A strong business case is
worth bearing in mind that the Janet Brokerage works
crucial to securing the additional investment to allow
closely with representative bodies such as RLUK,
this provision but, once funding has been committed,
UCISA and UUK as well as the Research Councils.
there are a number of storage options that can be
The Janet brokerage offers advice and support to
pursued. Some universities are utilising their High
institutions moving to cloud computing and data
Performance Computing (HPC) facilities while others
centre services through white papers, online briefings
are extending the capacity of existing filestores or
and events.
exploring secure cloud storage options. Regardless
of which route is taken, engagement with end users
Decisions about data storage solutions will
is critical to ensure that the proposed option will meet
encompass not only the selection of preferred
their needs.
platforms, tools and the extent to which third-party
services will be used. They will also be influenced
Procedures also need to be developed to allocate
by the planned internal reach and sophistication of
and manage the storage. The model developed by
the institutional research data management service.
the data.bris38 project is of use here. Researchers are
This in turn will depend upon the prevailing research
required to sign up as a data steward to be allocated
culture; for example, how devolved research support
5 terabytes (TB) of storage, and are then responsible
is and how much the research community looks for
for controlling who has access and how long the
support to the centre.
data should be kept. Above 5TB the cost of storage
is priced on a ‘Pay Once Store Forever’ basis, where
‘forever’ is defined as 20 years. Principal Investigators

[Link] project, URL: [Link]

38

Janet brokerage website, URL: [Link]

39

13
Academic ‘dropbox’ services The RDM platforms section of the Monash University
case study that complements this guide is particularly
instructive. Monash has adopted a mantra to “adopt;
A common area of interest within current RDM
adapt; develop”. If a research community already has
projects is the provision of dropbox-like services.
a solution (or there is an emerging one), they adopt
Researchers regularly use Dropbox as it allows
this and, where necessary, adapt it to suit the needs
them to access and work on their data from multiple
of researchers at Monash. Only as a last resort will
devices, automatically syncing back to a central copy.
an entirely new solution be developed. Developing
Data is backed up and files can be shared publicly or
a new product may be expensive, costly to support,
privately with other users. This is often far easier for
and could split researchers from their community. This
remote working and collaboration than operating via
approach acknowledges that researchers’ loyalty is
centrally-managed networked storage, particularly
often stronger to their discipline than their institution,
when collaborators are based in other HEIs and
and that close engagement with researchers is
organisations.
critical when designing RDM systems to ensure their
applicability and uptake.
Due to the perceived security and potential legal risks
from using third-party services, many universities
The common requirements that seem to be emerging
have been investigating options for running services
are for a globally-accessible cross-platform filestore
that can be kept firmly under their own control. The
that provides all collaborators with access to the
Universities of Lincoln and Edinburgh have both
data, regardless of where they are based. Options
piloted OwnCloud, an open source alternative to
for backup and synchronisation of data on mobile
Dropbox40, although neither found it sufficiently
devices could also be considered. And provision for
developed at present for non-technical users to
routine backup, long-term archiving and data sharing
implement it without ongoing support. Elsewhere,
should always be addressed. To ensure the uptake of
the University of Oxford has developed DataStage, a
data management systems, appropriate volumes of
tool to allow research groups to share their data and
storage need to be provided and the systems need
collaborate41.
also to be sufficiently flexible, most notably in terms of
access, to fit with the gamut of researchers’ working
Given the demand for dropbox-like services, it has
practices.
been proposed that the Janet Brokerage should
attempt to negotiate a deal with Dropbox on behalf of
the HE sector. Institutions could then use the service
with the assurance of appropriate legal safeguards, in Managing active data – a summary of key
the knowledge that the terms and conditions comply actions
with funder expectations on the jurisdiction in which
UK research data may be stored. • Review data holdings and RDM practices to
see if the current infrastructure and systems
are sufficient;
RDM platforms
• Where appropriate, make a case for
Complete research data management systems investment to provide additional research
may also be developed in-house. At the University data storage;
of Manchester the MaDAM project42 developed a
prototype system in collaboration with biomedical • Develop procedures for the allocation and
researchers. Several other examples of disciplinary management of research data storage;
systems are also available, such as OMERO43 and
BRISSkit44. OMERO is a tool for microscope images. • Provide flexible RDM systems to support
It handles hundreds of image formats, allowing the creation, management and sharing of
researchers to gather all their images in a secure data that meet a diverse range of research
central repository where they can view, organise, contexts and needs.
analyse and share the data from anywhere via internet
access. The BRISSkit project meanwhile is designing
a national shared service brokered by Janet to host,
implement and deploy biomedical research database
applications that support the management and
integration of tissue samples with clinical data and
electronic patient records.

40
Winn, J. (2012, August 6). OwnCloud: An ‘academic dropbox’? Blog post. Orbital project, University of Lincoln. Retrieved 12 March 2013, from [Link]
owncloud-an-academic-dropbox
41
DataFlow. DataStage webpage, URL: [Link]
42
MaDAM project, URL: [Link]
43
OMERO website, URL: [Link]
44
BRISSkit website, URL: [Link]

14
5.6 Data selection and handover subject repositories are well-established. In others,
data sharing may be novel and threatening, and even
the term ‘data’ is seen as problematic. Policies or
Why select data for retention? guidelines that expect researchers to hand over their
data may feel threatening, especially if the process
The UK Research Councils expect data with involves taking decisions on what is worth keeping.
‘acknowledged long-term value’ to be preserved and This makes establishing guidelines, processes and
remain accessible and usable for future research45. good practice for data selection and deposit one of
Moreover, they require that data management the more challenging aspects of an RDM service.
activities are both efficient and cost-effective in Obtaining buy-in from researchers is essential. This is
the use of public funds. If institutions are to ensure likely to call for a combination of:
appropriate use of public funds, a selection process is
essential to prioritise data for long-term curation. • high level guidance from central services;

While there is a cost to selecting data for retention, • advocacy and guidance at a department or
this is minimal in comparison with the cost of keeping research group level;
everything, especially when that means making it
accessible online. It is true that storage costs have • deposit tools to make it as easy as possible for
fallen at a rate of 30% per annum since the 1980s but researchers to hand over data;
this is unlikely to continue according to preservation
expert David Rosenthal46. Factors working against • deposit agreements that establish what will
the trend include the massive increase in digital data happen with the data and engender trust between
volumes. According to estimates made in 2012 by researchers and the institution.
market analysts IDC, the ‘digital universe’ will be
50 times larger in 2020 than it was in 201047. While
demand for storage is spiralling upwards, the costs
of virtual storage are not falling at the rate that disk High-level guidance
storage historically has, making it difficult to predict
long term storage costs48. Clear guidelines are needed to set parameters similar
to those contained in a Data Centre or Archive
A selection process may take time to set up and Collections Policy49. The guidelines should be clear
operate, but that should pay off in terms of the about which data fall within the institutional service’s
ability to forecast preservation and storage costs. remit, what kinds of data will be accepted and which
Selection also counters risks to the institution. These are the priority areas. Also consider what range of
include the reputational damage from exposing dirty, outcomes is envisaged as different levels of service
confidential or undocumented data that has been may be applied according to the potential reuse value
retained long after the researchers who created of the data. Some examples of these options include
it have left. A first step in establishing a selection the following:
process is to determine broad categories of data that
are aligned with the institution’s mission. First on the • provide recommendations to researchers on local
list will be data that you are legally obliged to retain, archiving or disposal options;
for example for contractual or regulatory reasons.
Policy obligations may also be high on the list. • catalogue the data and provide an assured level of
Publishers and learned societies increasingly require destruction, e.g. for confidential data;
authors to archive the data supporting their results in
an appropriate public archive. The emphasis of RCUK • catalogue the data and deposit it for preservation
policy is on retaining the evidence base to support in a recognised subject repository or
the scholarly record: the data which directly underpin cross-institutional data store;
publications or other research outputs.
• catalogue and preserve the data in the institutional
data repository for sharing under agreed
conditions.
Encouraging researchers to select and
deposit data You may wish to apply different levels of curation
based on the value of the data you accept. At the
It is standard practice in certain disciplines to archive most basic end of the spectrum, institutions should
where data are a recognised research output and record metadata to aid discoverability. In cases

45
RCUK. (2011). Common Principles on Data Policy. Retrieved 12 March 2013, from [Link] Funders’ data plan requirements, URL: [Link]
[Link]/resources/data-management-plans/funders-requirements
46
Rosenthal, D. (2012, May 14). Let’s just keep everything forever in the cloud. Blog post. Retrieved 12 March 2013, from [Link]
47
IDC. (2012). The digital universe in 2020: big data, bigger digital shadows, and biggest growth in the Far East. Retrieved 12 March 2013, from: [Link]
iview/[Link]
48
Rosenthal, D. & Vargas, D. (2013) Distributed digital preservation in the cloud. Paper given at 8th International Digital Curation Conference, Amsterdam January 2013. Retrieved 12 March 2013,
from [Link]
49
See for example: Archaeology Data Service. (2007, March 21). Collections policy. 4th edition. Retrieved 12 March 2013, from [Link]

15
where data can’t be shared but must be retained for a • relevant guidance from data centres, learned
certain period, you may opt to perform basic archiving societies and publishers;
(i.e. storing, backing up and performing periodic
integrity checks). When data are to be preserved and • how data may be used in e-learning and outreach.
shared, increasing degrees of processing can be
applied depending on the condition of the data and We describe generic scientific and technical criteria under
documentation and the anticipated level of reuse. ‘Establishing criteria for selection decisions’ below.
Beyond the ‘relevance to mission’, a central support
service can advise on many key considerations Researchers are likely to make decisions about
including the likely scale of preservation costs and what to share when they have reached the stage of
technical criteria such as the use of appropriate planning final outputs, whether that means writing up
formats. for publication or preparing a software release or an
exhibition. It makes sense to use such ‘organisational
moments’52 towards the end of projects to provide
Advocacy and departmental guidance information on short and long-term benefits, and the
services available to help achieve them.
Selection is also about judging whether the data
are useful in scientific or scholarly terms, and what
contextual information, software or hardware details Deposit tools
are needed to make them so. The decisions here
will lie with the original researchers, who should Jisc has supported the development of various tools
be prepared to justify their decisions based on to facilitate repository deposit. The DataFlow and
recognised best practice in their discipline. SWORD-ARM53 projects, for example, both make use
of the SWORD2 protocol to ease the deposit process.
Relevant data centres will be a useful source of advice Several deposit scenarios are outlined on the SWORD
on this. For example the NERC data value checklist50 blog54. Other tools such as DepositMOre55 and
supports researchers both at the pre-award stage of DataUp56 make use of widespread software (Microsoft
data management planning and the pre-deposit stage Word and Excel respectively) by embedding options
of identifying which data should be deposited with the to deposit directly.
NERC Environmental Data Centres. It is a weighted
list of criteria, phrased as questions to help identify You should also consider how to ease the creation
which data are of long-term value. The UK Data of metadata, which is often the hurdle that puts
Service is developing a data appraisal kitemark50. This researchers off deposit. Tools such as DataFlow and
similarly uses a set of scales to determine which data DataUp make it easy to add basic data descriptors
should be prioritised for selection. in the environments used for managing active data
and automatically extract the metadata from there.
Departmental or research group guidance should Involving and consulting researchers in defining
consider what is meaningful to preserve, and deposit workflows that fit their practices should also
give examples of potential uses for raw data, pay off in achieving better uptake.
data processed to interim stages of analysis or
conditioning, or final outputs. Depending on the
discipline, reproducing the study results may require Deposit agreements
all or some of these categories. In some disciplines
Researchers need to feel in control when they hand
it will be more important to scrutinise and appreciate
over the fruits of their labour and should be able
the processes followed than to reproduce the results.
to rely on getting back what they put in. They can
Other reuse cases could include the production of
reasonably also expect to benefit from some form of
teaching and learning materials.
added value. A deposit agreement will set out terms
A central support service can provide input and and conditions that communicate the responsibilities
advice. For example library colleagues may be of depositor and service provider. The agreement
qualified to advise on: should give the repository rights to manipulate the
data, as preservation may require migration to to new
• potential for reusing the data in other disciplines; formats. It should also allow the repository to reserve
the right to withdraw the data for legal or other
• generic criteria that can help to prioritise effort for reasons. For an example deposit agreement see that
getting data into a reusable state; by the University of Edinburgh57.

50
NERC. (2012). Data value checklist. Retrieved 12 March 2013, from [Link]
51
A draft form of the appraisal kitemark can be seen on slide 12 of the presentation Data Appraisal at the UK Data Archive, retrieved 12 March 2013, from [Link]
jisc-mrd-programme-workshop-2425-oct-rde-post
52
See for example: Garrett, L. et al. (2012). JISC funded Kaptur project environmental assessment report. Project Report. Visual Arts Data Service (VADS). Available online: [Link]
[Link]/1054
53
SWORD-ARM project, URL: [Link]
54
SWORD blog, URL: [Link]
55
DepositMOre blog, URL: [Link]
56
DataUp tool, URL: [Link]
57
University of Edinburgh. DataShare depositor agreement, URL:
[Link]

16
 data; much of what is retained need not be online or
Establishing criteria for selection even onsite, and the level of additional care it requires
decisions will vary.
You should establish criteria to guide selection
decisions. The DCC’s How to Select and Appraise
Data selection and handover – a summary of
Research Data for Curation58 proposes seven criteria
key actions
as outlined below:
• Identify which data fall under your remit and
1. Relevance to mission: the resource content
establish criteria to guide decisions on what
fits any priorities stated in the institution’s
to keep;
mission, or funding body policy including any
legal requirement to retain the data beyond its
• If establishing a repository, develop deposit
immediate use.
agreements and high-level guidance;
2. Scientific or historical value: is the data
• Develop or use existing deposit tools to ease
scientifically, socially, or culturally significant?
the process of handover;
Assessing this involves inferring anticipated
future use, from evidence of current research and
• Advocate the benefits of data deposit to
educational value.
encourage uptake;
3. Uniqueness: the extent to which the resource
• Support research groups to develop
is the only or most complete source of the
guidance and offer input to decisions;
information that can be derived from it, and
whether it is at risk of loss if not accepted, or may
• Establish criteria to apply differing levels of
be preserved elsewhere.
curation depending on the nature of the data.
4. Potential for redistribution: the reliability,
integrity, and usability of the data files may be
determined; these are received in formats that
meet designated technical criteria; and Intellectual
Property or human subjects issues are addressed. 5.7 Data repositories
5. Non-replicability: it would not be feasible to Once you have established which data to keep,
replicate the data/resource or doing so would not an obvious question to address is how they will be
be financially viable. preserved and shared. There are arguments for taking
a DIY approach, and also for using external services,
6. Economic case: costs may be estimated for but it is most likely that institutions will adopt some
managing and preserving the resource, and are combination of these.
justifiable when assessed against evidence of
potential future benefits; funding has been secured Possibly the first consideration will be cost, including
where appropriate. the price to be paid for maintaining a data repository
and the provision of expert staff to run it. It is
7. Full documentation: the information necessary generally accepted that costs are heavily weighted
to facilitate future discovery, access, and reuse is around the point when data are first deposited (or
comprehensive and correct; including metadata on ingested, from the repository perspective) as that’s
the resource’s provenance and the context of its where most intensive staff activity takes place.
creation and use. However further costs will arise depending on how
much preservation activity will be required over the
Institutional guidelines based on these criteria, longer term and how long that period is.
coordinated with local guidelines that adapt them
to specific disciplinary contexts, will help to focus The retention period and preservation costs beg
resources on data that have real potential for impact consideration of factors familiar to the records
and reuse. Services such as access management, manager. There are a number of statutory and
storage and preservation need to be prioritised business requirements affecting particular types of
according to value and user demand, a principle data plus emerging mandates imposed by the major
familiar to any library user who has borrowed from funders, some of whom dictate how long research
a short loan collection or sought a rare item from an data should remain discoverable and accessible.
archive. A similar approach needs to be adopted for Expectations range from three years to ‘in perpetuity’,

58
Whyte, A. & Wilson, A. (2010). ‘How to Select & Appraise Research Data for Curation’. DCC How-to Guides. Edinburgh: Digital Curation Centre. Available online: [Link]
how-guides

17
with most funders expecting data to be preserved for infrastructure delivery; for example the Jisc-funded
ten years or more. RIOXX project63 is engaged in developing guidelines
for repository metadata. The key message is not
The availability of existing services such as subject- to struggle on your own but seek help from others
specific repositories and designated data centres already engaged in repository development or
provided by research funders should also be factored operation.
into your considerations. It is arguably better for
research data to reside with other data from that If you do not already have a data repository, inevitably
discipline, so you may choose to recommend that there will be a significant capital cost for setting up
researchers use existing services where they are in a secure facility. A less obvious but more persistent
place. However, the likelihood is that most research revenue cost will derive from the necessary human
data produced in your institution will not be served infrastructure and any institution deciding to store and
by an existing data service, so a hybrid approach is curate its own data will need first to understand who
probably needed. will be providing the repository service, what essential
skills are currently available and which existing staff
Finding a solution requires the consideration of three can be retrained into a data management role, as
basic options: well as what new posts must be created, funded
and staff recruited. Frequently the repository is
• development and maintenance of an institutional
offered as a new library service and it will be easy to
data repository;
identify sources of expertise from amongst existing
• liaison with external research data repositories; staff. Otherwise, a good start would be to run a
CARDIO assessment in order to build a consensus of
• signposting of relevant services for researchers. requirements and expectations across the range of
principal stakeholders.
Institutional data repositories
Decisions on preferred options for archival data
Institutional repositories have typically been created storage cannot be taken in isolation from other
to store research publications rather than data, but defining factors. It is important to assess which
their technical infrastructure can be extended to services and tools you will need to address the
enable the curation of data without the development full range of actions set out in the DCC’s Curation
or purchase of an entirely new software platform. If Lifecycle. The DCC tools and services catalogue64
you plan to use your existing repository to manage provides a wide range of guidance on curation and
data we recommend that you seek advice from preservation actions. The DCC Lifecycle model is
another institution using the same repository software. derived partly from the Open Archival Information
For example, if you have an ePrints platform you System (OAIS) standard65, which gives a more
might want to investigate the DataPool59 project, detailed schema for developing preservation services
which explains how the University of Southampton and describes how these may interact. Using the
is exploring the development of a full research data Lifecycle model and OAIS standard can help you maximise
management service using ePrints and SharePoint the functionality of an in-house data store and to plan
software. The Universities of Cambridge and how services will be embedded alongside services for
Edinburgh both run DSpace repositories for research managing research information and publications.
data60 and several institutions are exploring the use of
CKAN to catalogue and store data61.
External research data repositories
Where repositories are being used to support There are hundreds of existing data repositories
submissions to the Research Excellence Framework, worldwide, some of which may already be used by
options exist to align the research data store with researchers in your institution. Many of these are
commercial research information management discipline-specific or community-based, some are
systems such as Atira PURE and Symplectic linked to publishers, others have grown out of small
Elements. One way of discovering how others have start-ups, for example figshare, while yet more are
tackled the installation or extension of repositories large international initiatives such as the World Data
would be to join a group such as UKCoRR62, (the Centre. A useful list of research data repositories
United Kingdom Council of Research Repositories), from around the world is available via Databib66.
an independent body for repository managers, This shows which subject areas are supported by
administrators and staff in the UK. Jisc also provides each repository and outlines any restrictions on data
support to repositories on particular aspects of access, licence agreements and the identifiers used.

59
DataPool project, URL: [Link]
60
DSpace@Cambridge, URL: [Link] and Edinburgh DataShare, URL: [Link]
61
See for example: Winn, J. (2012, September 6). Choosing CKAN for research data management. Blog post. Orbital project, University of Lincoln. Retrieved 12 March 2013, from [Link]
[Link]/2012/09/06/choosing-ckan-for-research-data-management
62
UKCoRR, URL: [Link]
63
RIOXX project, URL: [Link]
64
DCC. Tools and services catalogue, URL: [Link]
65
Higgins, S. (2007). Using OAIS for Curation. DCC Briefing Paper. Available online: [Link]
66
Databib website, URL: [Link]

18
The immediate benefit of using an established data When you are developing your strategy, consider how
repository is the access it provides to a ready-made far you can go in attempting to fund and coordinate
and expert infrastructure, not only for storing data but researchers’ use of external services and whether
also for enabling its discovery and delivery. While data they meet institutional criteria for data preservation
centres help ‘to set standards for data creation and and sharing. For instance, should data deposited in
metadata, they cannot provide the individual, tailored such a repository be tracked by the institutional data
support that individual researchers need as they catalogue? How will researchers notify the institution
work on their individual projects’67. However, some of such deposits and will a core set of the data be
attempts are being made to liaise with researchers maintained onsite? Clear procedures need to be
prior to data handover, particularly in the case of data established.
centres sponsored by research funders.

Some funders directly support facilities to curate Data repositories – a summary of key actions
the data generated from the research they have
sponsored. Although there is an onus on researchers • Where required, develop and maintain an
to offer data for deposit, designated services such institutional data repository;
as the UK Data Archive68 and NERC data centres69
nonetheless apply strict criteria to determine whether • Explore options to align your repository with
data will be accepted. There may also be a cost. The existing systems, for example for Research
Archaeology Data Service70, for example, expects to Information Management;
recover the cost of archiving from the body funding
the archaeological investigation, in the form of a one- • Decide what role external data repositories will
off payment collected at the time of deposit71. Before play in your RDM strategy;
deciding how to incorporate the data centres into any
research data management strategy, it is essential to • Provide guidance and support to direct
understand the rules of engagement for each of them. researchers to relevant services.
As a first step, consult the table in the DCC’s overview
of funders’ data policies72, where we indicate which of
them support data centre services.
5.8 Data catalogues
Signposting relevant services for Research organisations are expected to have a
researchers record of the research data they hold and to make
this metadata available online to support data
discoverability and reuse. The RCUK Common
Researchers and data managers are likely to be well Principles on Data Policy state that:
informed about available subject repositories in their
discipline. If there are none, there is potential for the To enable research data to be discoverable and
RDM service to advise on any that are in closely- effectively re-used by others, sufficient metadata
related fields and may accept deposit. The service should be recorded and made openly available
should at least point researchers to lists of suitable to enable other researchers to understand the
repositories. The directory of data repositories research and re-use potential of the data. Published
available from Databib73 may be of use. results should always include information on how to
access the supporting data74.
The choice of any external repository should take
into account the need to ensure that data deposited The EPSRC goes further by recommending the use of
overseas is in a jurisdiction offering equivalent robust Digital Object Identifiers (DOIs) and specifying
legal protection as it would receive in the UK. The that the metadata is sufficient to allow others to
repository should also be covered for the possibility understand what research data exists, why, when and
that it ceases operation, by arranging to hand over how it was generated, and how to access it75.
the data to somewhere that can sustain similar
protection. You may wish to provide a list of approved These requirements leave institutions with a number
repositories that your institution has confidence in and of issues to consider:
is willing to recommend to researchers.
• what metadata is needed to adequately record
datasets?

67
Collins, E. (2012). The national data centres. In G. Pryor (Ed.), Managing Research Data (pp 151-172). London: Facet. ISBN: 978-1-85604-756-2
68
UK Data Archive, URL: [Link]
69
NERC data centres, URL: [Link]
70
Archaeology Data Service, URL: [Link]
71
Archaeology Data Service. (2007, November). Charging policy. Version 4. Retrieved 12 March 2013, from [Link]
72
DCC. Overview of funders’ data policies, URL: [Link]
73
Databib website, URL: [Link]
74
RCUK. (2011). Common Principles on Data Policy. Retrieved 12 March 2013, from [Link]
75
EPSRC. (2011). Policy Framework on Research Data. Retrieved 12 March 2013, from [Link]

19
• does any of this metadata already exist, and if so, data, or a small number thereof, would improve
where is it held? resource discovery or discovery-to-delivery in any
useful or significant way.
• how should the metadata be captured?
When considering how metadata can be captured,
• how will the metadata be exposed, and if possible opportunities to automatically harvest data from
collated nationally? related systems to avoid re-entry should be explored
wherever possible. Universities are considering
It is useful to consult guidance from DataCite, an different options of where to house the metadata:
organisation that aims to establish easier access to existing repositories or research information
research data and persistent identification via DOIs. It management systems could potentially be extended,
offers a metadata schema76 that lists core metadata or specialised metadata stores could be employed83.
properties chosen for the accurate and consistent Options for collating metadata at a national level, for
identification of data for citation and retrieval example as is done by Research Data Australia84, are
purposes, along with recommended use instructions. also being explored by Jisc and the DCC. A number
By working with data centres, DataCite assigns of pilot studies will be compared to draw out lessons
persistent identifiers to datasets, and is developing an for the wider community and inform the development
infrastructure to support simple and effective methods of national data registry services.
of data citation, discovery, and access. Useful content
is available via the British Library which has run a The primary concerns for HEIs are to:
series of five workshops to support HEIs77.
• collect the metadata in a seamless way, integrating
A number of institutions are attempting to define the systems wherever possible to avoid placing
metadata required for datasets. At the University of additional administrative burdens on researchers;
Oxford, the DaMaRO78 project has been developing
DataFinder. A three-tier metadata approach is • ensure that standards are followed wherever
envisaged, comprising: possible to enable export into any national system
as it develops.
1. mandatory minimal metadata – a set of 12 fields
extended from DataCite metadata; As yet, there is not an accepted model to follow;
research into data catalogues is very much at the
2. mandatory administrative information – e.g. funder preliminary, pilot stages. However, we encourage
details and grant number; people to monitor developments and adopt emerging
approaches rather than each institution defining its
3. optional, discipline-specific metadata to enable own standard.
reuse.

The University of Essex is similarly adopting a three- Data catalogues – a summary of key actions
tier approach. Their schema is based on DataCite,
INSPIRE and DDI 2.179, a combination of generic • Learning lessons from early innovators,
metadata schema and specific standards for social define the metadata you need to record
science data. Another group of universities involved research datasets;
in the C4D project is exploring options to create
an extension to the CERIF standard to describe • Establish a system for capturing and
datasets80. The use of accepted standards is key. displaying a record of research data holdings;
Moreover, to enhance discoverability it makes sense
to comply with global metadata harvesting initiatives • Integrate systems where possible to benefit
such as that provided by OpenAIRE81. from options to harvest data and embed
metadata creation into existing workflows;
Although no dominant model has yet emerged, these
early innovators can hopefully lessen the work for • Expose metadata for inclusion in national
other institutions. Earlier research is also worthy of catalogues or other relevant services.
note, such as the UKOLN Scientific Data Application
Profile Scoping Study82. This study assessed whether
a single metadata application profile for research

76
DataCite. Metadata scheme, URL: [Link]
77
DataCite workshops website, URL: [Link]
78
DaMaRO project blog, URL: [Link]
79
Ensom, T. (2012, October 19). Repository beta and metadata profile released. Blog post. Research Data @Essex. Retrieved 12 March 2013, from [Link]
repository-beta-metadata-profile-released
80
C4D project blog, URL: [Link]
81
OpenAIRE website, URL: [Link]
82
Scientific Data Application Profile Scoping Study, URL: [Link]
83
ANDS. Metadata stores solutions, URL: [Link]
84
ANDS. Research Data Australia website, URL: [Link]

20
6. Getting started 8. Bibliography and further
sources
There are many services that an institution may
provide to support research data management. While Many of the examples within this guide are drawn
these may be led by different groups or functions, from work undertaken during two phases of the
there should be a coherent vision across the services. Jisc Managing Research Data (MRD) programme
The integration of systems and workflows is also key; and a series of DCC Institutional Engagements. We
for example many are attempting to join up research encourage you to consult these programmes of work
information systems with repositories, or to support in detail:
data management planning through the inclusion of
flags in grant application systems. Coordination is DCC Institutional Engagements: [Link]
crucial to raise awareness and embed good practice. [Link]/community/institutional-engagements

The key to getting started is to identify your strengths Jisc Managing Research Data programme 2011-
and weaknesses and to prioritise action. The DCC’s 13: [Link]
CARDIO tool85 can help you take stock of your di_researchmanagement/[Link]
current position. Service development can then
be approached incrementally, addressing each Jisc Managing Research Data programme 2009-2011:
component as a manageable task whilst keeping an [Link]
eye on their wider coordination. aspx

Support from colleagues and senior management is Beitz, A., Dharmawardena, K. & Searle, S. (2012).
crucial to achieve your aims and ensure sustainable, Monash University Research Data Management
well-embedded services. As we have already Strategy and Strategic Plan 2012-2015. Retrieved 12
remarked, a useful initial step is to convene a steering March 2013, from [Link]
group to develop the strategy and oversee progress. [Link]/download/attachments/39752006/Monas
To be effective this should include a senior academic h+University+Research+Data+Management+Strat
champion, researchers, and a broad range of service [Link]?version=1&modificationDa
staff. The DCC’s briefing paper on Making the Case for te=1334289180000
Research Data Management will help you find ways to
engage different groups86. Beagrie, N. & Pink, C. (2012) Benefits from Research
Data Management in Universities for Industry and Not-
for-Profit Research Partners. Charles Beagrie Ltd &
University of Bath. Retrieved 12 March 2013, from
[Link]
7. Acknowledgement
Collins, E. (2012). The national data centres. In G.
We thank DCC colleagues for their input, particularly Pryor (Ed.), Managing Research Data (pp 151-172).
Laura Molloy and Florence Kennedy for proofreading. London: Facet. ISBN 978-1-85604-756-2
We are also very grateful for comments from: the
Iridium project (University of Newcastle); Managing Ensom, T. (2012, October 19). Repository beta and
Research Data: a pilot project in Health and Life metadata profile released. Blog post. Research Data
Sciences (University of the West of England); UK Data @Essex. Retrieved 12 March 2013, from http://
Archive (University of Essex); Robin Rice (University [Link]/repository-beta-
of Edinburgh); and Simon Hodson (Jisc). Many of metadata-profile-released
the examples in this guide come from the Jisc MRD
community and DCC Institutional Engagement EPSRC. (2011). Policy Framework on Research
partners, so we are indebted to those involved in Data. Retrieved 12 March 2013, from [Link]
these programmes for sharing their lessons. [Link]/about/standards/researchdata/Pages/
[Link]

Garrett, L. et al. (2012). JISC funded Kaptur project

environmental assessment report. Project Report.
Visual Arts Data Service (VADS). Available online:
[Link]

CARDIO website, URL: [Link]

85

Whyte, A. & Tedds, J. (2011). ‘Making the Case for Research Data Management’. DCC Briefing Papers. Edinburgh: Digital Curation Centre. Available online: [Link]
86

briefing-papers

21
Higgins, S. (2007). Using OAIS for Curation. DCC Winn, J. (2012, September 6). Choosing CKAN for
Briefing Paper. Available online: [Link] research data management. Blog post. Orbital project,
net/1842/3354 University of Lincoln. Retrieved 12 March 2013,
from [Link]
ICPSR. (n.d.). Framework for Creating a Data choosing-ckan-for-research-data-management
Management Plan. Retrieved 12 March 2013, from
[Link]
datamanagement/dmp/[Link]

Jones, S., Ball, A. & Ekmekcioglu, Ç. (2008). The

Data Audit Framework: a First Step in the Data
Management Challenge. International Journal of Digital
Curation, 3 (2): 112–120. doi:10.2218/ijdc.v3i2.62

Research360 project. (2012). Postgraduate Data

Management Plan template. University of Bath.
Retrieved 12 March 2013, from [Link]
[Link]/research360/2012/03/postgraduate-dmp-
template-first-draft

RCUK. (2011). Common Principles on Data Policy.

Retrieved 12 March 2013, from [Link]
[Link]/research/Pages/[Link]

Rosenthal, D. & Vargas, D. (2013) Distributed

digital preservation in the cloud. Paper given at
8th International Digital Curation Conference,
Amsterdam January 2013. Retrieved 12 March 2013,
from [Link]
uploads/2013/01/[Link]

UKRIO. (2009). Code of Practice for Research:

Promoting good practice and preventing misconduct.
London: UK Research Integrity Office. Retrieved 12
March 2013, from [Link]
code-of-practice-for-research

University of Edinburgh. (2012). Research Data

Management (RDM) Roadmap August 2012 – January
2014. Retrieved 12 March 2013, from [Link]
[Link]/schools-departments/information-services/
about/strategy-planning/rdm-roadmap

Van den Eynden, V., et al. (2011). Managing and

sharing data: best practice for researchers. 3rd edition.
Essex: UK Data Archive. Available online: [Link]
[Link]/media/2894/[Link]

Whyte, A. & Tedds, J. (2011). ‘Making the Case for

Research Data Management’. DCC Briefing Papers.
Edinburgh: Digital Curation Centre. Available online:
[Link]

Whyte, A. & Wilson, A. (2010). ‘How to Select &

Appraise Research Data for Curation’. DCC How-to
Guides. Edinburgh: Digital Curation Centre. Available
online: [Link]

Winn, J. (2012, August 6). OwnCloud: An ‘academic

dropbox’? Blog post. Orbital project, University
of Lincoln. Retrieved 12 March 2013, from http://
[Link]/2012/08/06/owncloud-an- Follow the DCC on Twitter:
academic-dropbox @digitalcuration and #ukdcc

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