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Public Access: Practical Ways to Assist Faculty to Comply with Public Access Policies
Public Access and Research IntegrityMichelle Benson, PhDAssistant Director for Research Integrity and Compliance, Columbia University
Public Access to PublicationsStephanie Scott, MS, CRADirector of Policy and Research Development, Sponsored Projects Administration, Columbia University
Public Access to Research DataKristin Briney, PhDData Service Librarian, University of Wisconsin-Milwaukee
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Public Access and Research Integrity:
One University's Approach to Promoting Research and Data Integrity
Michelle Benson, PhDAssistant Director for Research Integrity and Compliance
Columbia University
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OSTP Memo
• Issued in February 2013
• Federal agencies with more than $100M in R&D expenditures to develop plans to make the published results of federally funded research freely available to the public within one year of publication– Agencies had 6 months from 2/22/2013 to issue draft plans
• Plans include access to publications and data
• Implementation dates have varied across federal agencies
https://obamawhitehouse.archives.gov/blog/2013/02/22/expanding-public-access-results-federally-funded-research
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Columbia University Webpage on Public Access
• Hyperlinks to policy and repositories
• Additional pages devoted to NIH and NSF
• Joint effort between SPA, Libraries and Research Compliance
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Columbia University Website on Research Data
https://research.columbia.edu/research-data-columbia
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What Public Access Means for Research Integrity
• Increased visibility of research results and the data supporting them
– Researchers need to be aware of their data quality and management
• Columbia University initiated the Research and Data Integrity (ReaDI) Program in 2014 to enhance data management and research integrity– www.research.columbia.edu/ReaDI-Program
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ReaDI Program Overview
Resources: Tutorials, templates, guidelines, robust website repository of resources targeting researchers at all career stages and addressing discipline-specific requirements
Outreach: Presentations to departments, centers, new-faculty and student orientations, special programs
Consults: PI-initiated meetings or discussions via phone and/or email
Increasing Number of Researchers
Outreach
Resources
Consults
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ReaDI Program Resources
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Notebook (n=99) Instrumentation (n=64) Samples (n=57)Tutorial Survey Results
Types of Resources for Research and Data Integrity
Experimental Design
Guidelines
Lab Management
Data Management
Tutorials
Reproducibility
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www.research.columbia.edu/ReaDI-Program
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Making the ReaDI Program Available Outside Columbia
• Resources are relevant to many researchers at most institutions
• Columbia University has created a version of the ReaDI Program that can be linked to from your institutional webpages– For more information contact Michelle Benson at
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Preview: ReaDI Program Outside Columbia University
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Public Access to Publications
Stephanie F. Scott, MS, CRADirector of Policy & Research Development
Columbia [email protected]
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OSTP Feb 22nd 2013 Memo -Publications Summary*
• Use a 12-month post-publication embargo period as a guideline for making research papers publicly available.
• Easy public access to the peer-reviewed publication.
• “Repositories could be maintained by the Federal agency funding the research, through an arrangement with other Federal agencies, or through other parties working in partnership with the agency including, but not limited to, scholarly and professional associations, publishers and libraries.”
• *Source: “Expanding Public Access to the Results of Federally Funded Research.” 2013. Whitehouse.Gov. February 22, 2013. https://obamawhitehouse.archives.gov/blog/2013/02/22/expanding-public-access-results-federally-funded-research.
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Where are we now?Federal
Agency
Public Access System System for Publication Uploads and
Management
Effective Date
- CAUTION -
wide variation
NIH PubMed Central NIHMS (uploads) and MyNCBI (management) 4/7/2008
NSF NSF-Public Access Repository (PAR) NSF-PAR via Research.gov 1/25/2016
DoD PubDefense: powered by the Defense
Technical Information Center (DTIC)
Enterprise Content Management System
(ECMS)
accomplished
incrementally
DOE PAGES DOE STI Management System 10/1/2014
NASA NASA PubSpace (manuscripts stored in PMC) NIHMS - use ‘NASA researchers’ with ORCID
login
10/1/2015
AHRQ PubMed Central NIHMS and MyNCBI Memo
released
2/19/2016
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PMC Plays a Big Role• National Institutes of Health (NIH)
• Administration for Community Living (ACL)
• Agency for Healthcare Research and Quality (AHRQ)
• Bill & Melinda Gates Foundation
• Centers for Disease Control and Prevention (CDC)
• Environmental Protection Agency (EPA)
• Food and Drug Administration (FDA)
• Howard Hughes Medical Institute (HHMI)
• National Aeronautics and Space Administration (NASA)
• National Institute of Standards and Technology (NIST)
• Office of the Assistant Secretary for Preparedness and Response
(ASPR)
• U.S. Department of Veterans Affairs (VA)
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Not Just Federal Agencies• Health Research Alliance (HRA) Public Access Initiative
• https://www.healthra.org/about-hra/working-groups/ostf/
• Partnered with the National Library of Medicine (NLM) to enable HRA member-funded awardees/grantees to deposit their publications into PubMed Central (PMC).
• Example, American Heart Association’s (AHA) Public Access Policy:
• https://professional.heart.org/professional/ResearchPrograms/AwardsPolicies/UCM_461225_Open-Science-Policy-Statements-for-AHA-Funded-Research.jsp
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Participant PollPlease select your institution type (best answer):
• Private Institution of Higher Education (IHE)
• Public/State Controlled IHE
• Nonprofit other than IHE
• For-profit (includes organizations and individual consultants)
• Non-Domestic (non-US) entity
• Other
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Participant PollWhich department at your institution has primary responsibility in assisting faculty with fixing and troubleshooting non-compliant NIH publications?• Sponsored Projects Office
• Libraries
• Both Sponsored Projects and Libraries collaborate.
• Other Department
• Faculty are just told to correct them.
• Don’t know.
• N/A – due to Institution Type
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Types of Support for Researchers
Training
•Why & how to be compliant
• In-person
•Hands-on
•Live webinars
•Targeting PIs and all potential authors.
Resources
•Tips/cheat sheets
•Copyright Agreement boilerplate language/templates
•Videos
•Dedicated webpages of information
•Use existing training materials from sponsors
Troubleshooting
•Correcting problems when a paper is non-compliant.
• Instructing how to prevent non-compliance next time.
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Who Supports the Researchers?
Collaborative Partnership
Research Administration
Sponsored Projects Office
Research Compliance and Integrity
Legal/General Counsel
LibrariesCopyright Advisory
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Practical Areas of Assistance & Training – The Main Opportunities
Communicating with publishers
Troubleshooting non-compliant
papers
Systems Required
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Explaining this to ResearchersNIH Public Access Policy
• The National Institutes of Health (NIH) Public Access Policy requires that all peer-reviewed publications arising from NIH-funded research must be submitted to the digital archive PubMed Central (PMC) upon acceptance for publication.
• The Policy requires that these papers are accessible to the public in PubMed Central no later than 12 months after publication. The full policy can be found here: http://publicaccess.nih.gov/policy.htm
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More about the Policy
• PIs must use MyBibliography in MyNCBI to manage their papers, which autopopulate in the RPPR.
• PIs/Authors may need to use the NIH Manuscript System (NIHMS) to deposit the peer-reviewed articles, which will eventually go into PMC.
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Communicating the Why & Benefits• Results of NIH-funded research become more prominent,
integrated and accessible, making it easier for all scientists to pursue NIH's research priority areas competitively.
• PMC materials are integrated with large NIH research data bases such as Genbank and PubChem, which helps accelerate scientific discovery.
• Clinicians, patients, educators, and students can better reap the benefits of papers arising from NIH funding by accessing them on PMC at no charge.
• The Policy allows NIH to monitor, mine, and develop its portfolio of taxpayer funded research more effectively, and archive its results in perpetuity.*
*Source: “Frequently Asked Questions about the NIH Public Access Policy | Publicaccess.Nih.Gov.” n.d. Accessed January 1, 2018. https://publicaccess.nih.gov/faq.htm.
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Challenging Policy to Communicate
• PubMed Central; NIHMS; MyBibliography/MyNCBISystems
• ‘no later than 12 months’, ‘upon acceptance for publication’, NIHMS IDs – provisionally compliant for 3 months
Dates
• Methods A – DPublishers’
Involvement
• Research Team, Subrecipients, Postdocs, TraineesPotential Authors
• Multiple offices potentially involved to provide support and training.
Central Support
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This is the Key• The process starts while communicating with the publisher,
prior to the manuscript being accepted for publication.– TIP: Create a checklist of all the points to be discussed with the publisher
• It has to be accessible to the public no later than 12 months after publication. – this is about the embargo period and communicating that with the publisher!!
• Really have only 3 months to get into compliance, to obtain that PMCID#. – this is important for the PI!
• It can be archived in PMC, with a PMCID#, until it is made available to the public at the 12-month mark.
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PubMed
Indexed citations and abstracts
PubMed Central
Full-text journal articles with figures, PDFs, and
supplemental files
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Show & Tell: PubMed
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Show & Tell: PMC
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Example – archived in PMC, but not yet available
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It’s Compliant! Even though article is not publicly available in PMC.
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Preventing Non-Compliance – Checklist for Communicating with Publishers
1. Is the journal reputable?
– See NOT-OD-18-011
– See Open Mike Blog: Continuing Steps to Ensuring Credibility of NIH Research: Selecting Journals with Credible Practices
– Journal should be transparent about its fees, practices and peer-review process.
– Get assistance from Libraries.
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Preventing Non-Compliance – Checklist for Communicating with Publishers
2. Communicate to the journal the paper was funded by NIH, and the need to comply with the NIH Public Access Policy.
3. Clarify that information is documented.
a) Is it in the copyright agreement? – Get help if it is not!!!
b) Does it state the embargo is 12 months?
4. Read the Instructions to Authors. What are the publisher’s expectations regarding PubMed Central?
5. Clarify your roles! – who will do what?
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Expanding on Clarifying the Roles!• Who will do what?
– Will publisher ensure the paper is in PMC? By when? (Method A)
– Will publisher ensure the paper is in PMC, but for a fee? – Open Access Journal? (Method B)
– Will publisher initiate submitting the paper in NIHMS, and will you have to complete the process? How will you be alerted? (Method D)
– Will I have to submit the peer-reviewed manuscript into NIHMS? (Method C)
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Chart comes from: “Submission Methods | Publicaccess.Nih.Gov.” n.d. Accessed January 1, 2018. https://publicaccess.nih.gov/submit_process.htm.
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Public Access vs Open Access• “Public access” refers to unrestricted access to a publication in
a public online repository, often following an embargo period imposed by the publisher (typically 12 months). Copyright rules are still in place.
• “Open access” implies not only public access, but also includes free and unrestricted re-use of information. Users are permitted to read, download, copy, distribute, print, search or link to the full text of the article(s), to crawl them for indexing, to pass them as data to software, or use them for any lawful purpose (Budapest Open Access Initiative, 2/14/2002).
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Systems• Helpful one-stop shop:
https://era.nih.gov/grantees/manage_publications.cfm• NIHMS, use the tutorials:
https://www.nihms.nih.gov/db/sub.cgi?page=stepbystep
• MyBibliography in MyNCBI:• https://publicaccess.nih.gov/my-bibliography-faq.htm
– Ensure MyNCBI account is linked to eRA Commons.– Add citations.– Edit each citations ‘status’ to indicate how it complies with Public
Access Policy.– Associate the citation to each grant award that supported it.
• Training resources will be accessed either when author is working with a publisher during acceptance phase, or when trying to correct a non-compliance publication.
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Overview of the NIHMS process (Methods C & D)
Blog Post on NIHMS:http://ncbiinsights.ncbi.nlm.nih.gov/2015/02/03/nihmss-new-look-streamlines-the-manuscript-submission-process/
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Non-compliant papers
• NIH delays processing of non-competing continuation grant awards if publications arising from the award are not in compliance with the public access policy.
• The award will not be processed until recipients have demonstrated compliance.
• Compliance with the Public Access Policy is not a factor in the scientific and technical merit evaluation of grant applications.
• Non-compliance will be addressed administratively, and may delay or prevent awarding of funds.
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Demonstrating Compliance Retrospectively
• If article has already been published and you are in non-compliance, you will need to immediately follow the steps outlined below to bring your article(s) into compliance:
• Is there a person designated with the PACM role in the eRACommons?– Public Access Compliance Monitor (PACM) Tool - good starting place
• Tells me if process started, and by whom
• Sometimes it is a matter of telling the PI/author that they missed an email, or
• It will tell me nothing has been done.
• https://www.ncbi.nlm.nih.gov/pmc/utils/pacm/
– Also check NIHMS
– PubMed40
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PACM Example
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If nothing was done….
• Advise the PI to….– Contact the Journal and request permission to
deposit the manuscript into NIHMS (Method C).
• Then direct them to systems tutorials.
– Double-check the embargo period.
– Double-check the Copyright Agreement.
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Public Access Wizard
• http://publicaccess.nih.gov/
• Show me specific instructions for my publication!!!
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In Conclusion• Close collaboration between SPA & Libraries promotes
better communication to faculty.
• Try a preventive medicine approach:– Checklist for authors on communicating with journals.
– Importance of the copyright agreement.
– Don’t overcomplicate it.
• Troubleshooting is everyone’s problem.– PACM Tool – use it!
• Use as much of the existing resources provided by sponsors as possible with regards to systems training.– Don’t re-invent the wheel!
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Public Access Resources
• NIH Public Access Homepage:• http://publicaccess.nih.gov/
• NIH Manuscript System (NIHMS):• http://nihms.nih.gov/
• PubMed Homepage:• http://www.ncbi.nlm.nih.gov/pubmed
• PubMed Central (PMC) Homepage:• http://www.ncbi.nlm.nih.gov/pmc/
• MyNCBI:• http://www.ncbi.nlm.nih.gov/myncbi/
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Public Accessto Research Data
Kristin Briney
Data Services Librarian
University of Wisconsin-Milwaukee
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Learning Objective
• Learn to navigate grant mandates around data management and sharing, and provide support for researchers' data needs at key places in the data lifecycle.
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Why Data?
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“a scientific publication is not the scholarship itself, it is merely
advertising of the scholarship”
Buckheit, J. B., & Donoho, D. L. (1995). WaveLab and Reproducible Research. In Lecture Notes in Statistics Volume 103 (pp. 55–81). New York: Springer.
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http://www.nytimes.com/2013/04/28/magazine/diederik-stapels-audacious-academic-fraud.html
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Vines, T. H., Albert, A. Y. K., Andrew, R. L., Débarre, F., Bock, D. G., Franklin, M. T., … Rennison, D. J. (2014). The availability of research data declines rapidly with article age. Current Biology : CB, 24(1), 94–7. http://doi.org/10.1016/j.cub.2013.11.014
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Data Requirements
1. Data sharing
2. Data management plan
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Data Management Plans (DMP)
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Participant Poll
• Have you ever helped a researcher with a DMP?
– Yes
– No
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What is a DMP?
• 2-page document
• Describes:
– What data will be produced
– How the data will be managed during the project
– How the data will be handled after the project
– How the data will be shared
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NSF General Template
• Types of data produced
• Data and metadata standards
• Policies for access and sharing
• Policies for re-use, redistribution
• Plans for archiving and preservation
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DMP FYI
• DMP expectations are tightening over time
• Poor data management plans can make the difference in getting funding!
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Researchers Need
• Help navigating DMP requirements
– Usually easy to find requirements
– Sometimes hard to fulfill them
• Assistance with DMP drafts
– Ask for boilerplate language/examples
– Need holes filled
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Researchers Need
• Help navigating DMP requirements
– Usually easy to find requirements
– Sometimes hard to fulfill them
• Assistance with DMP drafts
– Ask for boilerplate language/examples
– Need holes filled
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Agency DMP Requirements
• Always check grant information for specifics
• DMPTool
– https://dmptool.org/guidance
• SPARC
– http://datasharing.sparcopen.org/
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NSF General Template
• Types of data produced
• Data and metadata standards
• Policies for access and sharing
• Policies for re-use, redistribution
• Plans for archiving and preservation
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Alfred P. Sloan Foundation
• Description
• Management
• Dissemination
• Archiving and Stewardship
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Researchers Need
• Help navigating DMP requirements
– Usually easy to find requirements
– Sometimes hard to fulfill them
• Assistance with DMP drafts
– Ask for boilerplate language/examples
– Need holes filled
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DMP Examples
• DMPTool
– https://dmptool.org/public_dmps
– Good and bad examples
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Common Pitfalls
1. Not including enough background on data
2. Not being specific about what happens to different data
– What data is being created v. what is being shared?
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Common Pitfalls
3. Not detailing timelines for sharing and retention
– Sharing is common at time of publication
– Retention is MINIMUM 3 years, better 10 years
4. Insufficient information on sharing
– Sharing “by request”
– Not listing an option for where data may be shared
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Common Pitfalls
5. Copying old DMPs without improving them
– Reviewers can spot boilerplate
• 1 sentence is fine, half of the DMP is not
– Sharing expectations shifting
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Researchers Need
• Help navigating DMP requirements
– Usually easy to find requirements
– Sometimes hard to fulfill them
• Assistance with DMP drafts
– Ask for boilerplate language/examples
– Need holes filled
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DMP Help
• Librarians!
• DMPTool
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dmptool.org
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Data Sharing
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Participant Poll
• Have you ever helped a researcher meet their data sharing mandates?
– Yes
– No
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Participant Poll
• Have you ever gotten push back from a researcher about data sharing mandates?
– Yes
– No
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Data Sharing
• Data sharing usually occurs with publication
• Share what is needed to reproduce the research
• Limitations for human subject/sensitive data
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Data Sharing FYI
• No compliance measures for following sharing plan from DMP
• Researchers are not all on board with new data sharing requirements
• Sharing expectations still shifting
• New sharing requirements from journals
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Researchers Need
1. To know how to share
– Several data sharing venues exist
2. Help identifying where to share
– Many data repositories exist
3. Help identifying what to share
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Researchers Need
1. To know how to share
– Several data sharing venues exist
2. Help identifying where to share
– Many data repositories exist
3. Help identifying what to share
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Sharing Venues
• By request
• On researcher’s personal website
• In the institutional repository
• In a data repository
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Sharing Venues
• By request
• On researcher’s personal website
• In the institutional repository
• In a data repositoryPreferred
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Researchers Need
1. To know how to share
– Several data sharing venues exist
2. Help identifying where to share
– Many data repositories exist
3. Help identifying what to share
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Where to Share Data
• What repositories does the researcher know about?
• Journal recommended repositories
Scientific Data: https://www.nature.com/sdata/policies/repositories
• re3data: https://www.re3data.org/
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Where to Share Data
• Defaults:
– Dryad (biology): www.datadryad.org
– ICPSR (social science): www.icpsr.umich.edu
– Figshare: figshare.com
– Zenodo: zenodo.org
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Researchers Need
1. To know how to share
– Several data sharing venues exist
2. Help identifying where to share
– Many data repositories exist
3. Help identifying what to share
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What Data to Share
• Depends…
– on the project
– on disciplinary norms
• Reproducibility is target
– Include enough to let someone redo your work
• Exclusions for sensitive data
– Usually human subjects data
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Researchers Need
1. To know how to share
– Several data sharing venues exist
2. Help identifying where to share
– Many data repositories exist
3. Help identifying what to share
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Don’t Forget
• Many of these details will go in the DMP
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Data Sharing Help
• Librarians!
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Conclusion
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Data Requirements
1. Data management plan
– Help navigating DMP requirements
– Assistance with DMP drafts
2. Data sharing
– To know how to share
– Help identifying where to share
– Help identifying what to share
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Data Requirements
1. Data management plan [MANDATORY]
– Help navigating DMP requirements
– Assistance with DMP drafts
2. Data sharing [NO COMPLIANCE MEASURES]
– To know how to share
– Help identifying where to share
– Help identifying what to share
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Note on Copyright/Licensing
• Copyright does not always apply to data
– Cannot copyright facts (Feist v. Rural)
• Best to license data when sharing
– Data is meant to be used
• CC0 and CC BY preferred
– Panton Principles argue for CC0
– Some repositories have a default license