Swinburne University of Technology
Research Data Management Checklist
DETAILSNAME OF PRINCIPAL INVESTIGATOR
NAME OF RHD STUDENT (IF APPLICABLE)
NAME OF SUPERVISOR (IF APPLICABLE)
CONTACT DETAILS
RESEARCH PROJECT NAME OR THESIS TITLE
THIS DOCUMENT’S FILENAME
PERSON UPDATING THIS DOCUMENT
VERSION NUMBER
DATE LAST UPDATED
INTRODUCTION
This checklist has been developed to support Swinburne researchers in documenting the information needed to successfully manage their research data. A policy document, Management of research data and primary materials, is currently being drafted for release to the Swinburne community in 2011. This checklist will be revised as necessary to ensure it is fully aligned with the final version of the policy document—references to specific policy guidelines will be added in relevant places within this checklist. In the meantime, this checklist will supplement the standards set forth in Swinburne’s Policy on the conduct of research, as well as Swinburne’s other guidelines for research governance and integrity:
We welcome feedback from researchers, so that we can refine this document or create supplementary tools that will improve the data management process.
A. THE AUSTRALIAN CODE FOR THE RESPONSIBLE CONDUCT OF RESEARCH
This checklist will also support researchers in meeting the requirements of the Australian Code for the Responsible Conduct of Research: The Code stipulates, with respect to the creation, sharing and management of data, that:
- Researchers are to retain research data and primary materials
- Data should be made available for use by other researchers (unless prevented by ethical, privacy or confidentiality matters)
- Researchers must manage the storage of research data in ‘a durable, indexed and retrievable form’
- Researchers must maintain confidentiality of research data and primary materials.
B. RESEARCH DATA AND AUSTRALIAN RESEARCH COUNCIL DISCOVERY PROJECTS
For Australian Research Council Discovery projects commencing 2010 and beyond, there is a requirement that research data be made available for reuse by others within six months of project completion—if this cannot be done because of ethics requirements or other issues of privacy or confidentiality, this has to be noted in the project final report.It is reasonable to expect that funders will soon begin to mandate the submission of data management plans as a component of funding proposals.
C. USING THIS CHECKLIST
The checklist will inevitably function as a working document, as some components of the checklist cannot be completed until the research project is underway, and other components may need to be altered as the project evolves.As a simple Microsoft Word document, checklist items can be completed or updated by inserting the requested information within the bracketed spaces; pending items or notes can also be inserted within the brackets.The document is sufficiently flexible to be easily altered to accommodate data description methods and data management requirements that are specific to a particular research project.
It is important that all research collaborators participate in or be made aware of any updates or changes to the checklist, as successful completion of a data management plan depends on a shared understanding of practices related to data storage and access, version control, and guidelines for retention and disposal of data throughout each phase of the research project.A copy of this checklist should be kept with other research project documentation, and its location should be recorded in the same central or departmental research data registry where other project details are recorded.
D. ARE YOU A RESEARCH HIGHER DEGREE STUDENT?
This checklist should be completed by Research Higher Degree students in consultation with their research supervisor(s). Students and supervisors may also need to consult with the project’s chief investigator or, in some cases, with industry partners or other third parties in order to clarify some sections of this checklist.Students who require access to data-related IT resources such as high performance computing capacity and large data storage should work with their supervisors to coordinate appropriate support from Information Technology Services and/or the Swinburne supercomputing facilities.
SECTION 1. DATA GENERATED OR COLLECTED AS PART OF THE RESEARCH PROJECT
This section addressesnew data created in support of your research project.The project may also be supported through the use of pre-existing
data.If the project makes use of pre-existing data (your own or someone else’s), then you should also refer to Section 2 of this document.
1.1 DATA TO BE GENERATED AND/OR COLLECTED
Research data can exist in many formats.If you are unsure what constitutes research data, or how to describe the types of data that you will be collecting, it may be useful to refer to the Australian National Data Service (ANDS) guide What is research data?
DESCRIBE DATA TYPES
Procedures used to collect, check and verify data
DESCRIBE PLANS FOR DATA COLLECTION
DESCRIBE PLANS FOR DATA CHECKING
DESCRIBE PLANS FOR DATA VERIFICATION
1.2 INTELLECTUAL PROPERTY, COPYRIGHT AND OWNERSHIP
There are a number of issues concerning intellectual property and copyright in research data.ANDS provides some information in their Copyright and data guide: .For general information, refer to the Swinburne policy on intellectual property: . For more detailed advice, contact the Swinburne Copyright Office: .
No copyright or IP subsists in the data that will be generated and/or collected for this project (Go to Section 1.3)
Intellectual property (IP) and copyright subsists in some of the data that will be generated and/or collected for this project, and is owned by:
RHD student:
Swinburne University of Technology (IP has been assigned to the University)
Joint owners:
External party/parties:
There is an agreement governing the data ownership arrangement. Specify:
1.3 PRIVACY AND CONFIDENTIALITY
For more information, refer to Swinburne’s policy documents on research ethics: , or contact Swinburne Research: .
No human subject data will be collected for this project (Go to Section 1.3.1)
Data will be collected from human participants. If nature of data not described in Section 1.1, describe:
Ethics approval obtained. Approved ethics application: application number, location, etc:
No personal information is contained in the data
The data contains personal information. Describe identifying information:
Consent will be/has been obtained from each identified persons to disclose this information:
The consent form allows for re-use of this data for future research. Provide details, including scope and restrictions for re-use:
The consent form does not allow for re-use of this data
Privacy restrictions apply (no consent to disclose data has been obtained)
Describe the safeguards put in place to prevent unauthorised disclosure. Will data will be anonymised, de-identified, or sanitised? Will data be encrypted and/or stored securely?
1.3.1 CONFIDENTIALITY
No confidential data will be collected for this project (Go to Section 1.4)
The data contains confidential information:
Confidentiality agreement has been/will be signed by all members of the research team. Refer to signed confidentiality agreements, location etc:
Extent of permitted use
Safeguards have been / will be put in place to prevent unauthorised disclosure. Describe: encryption, password protection, anonymisation, locked storage for non-digital data, etc:
The data contains culturally sensitive information.Describe measures to respect the sensitivities involved:
The data contains other information that requires special treatment.Describe the nature of this information and procedures to satisfy these requirements:
1.4 OTHER LEGAL ISSUES OR CONSTRAINTS
For more information about determining the privacy and confidentiality requirements associated with your research data, contact Swinburne Research: .
There are no other legal issues associated with the data collected and/or generated for this research project (Go to Section 1.5).
There is a contractual agreement about the use of the data collected and/or generated that is not mentioned in Sections 1.2 or 1.3 above. Describe this agreement, including restrictions on the use and re-use of data:
This agreement has an impact on:
Storage of data. Explain:
Access to data by:
Swinburne project team. Explain:
External team members. Explain:
Swinburne collaborators. Explain:
External collaborators. Explain:
Other:
Publication of data. Explain:
There are other legal issues that may impact the management, access to, and storage of data collected and/or generated by this research project:
1.5 STORAGE OF NON-DIGITAL DATA AND RELATED RESEARCH RECORDS
Contact the Research Administration Coordinator in your faculty for additional information about accessing and securing storage space for non-digital data.
There is no non-digital data associated with this project (Go to Section 1.6).
Non-digital data (eg fieldwork notebooks, specimens, questionnaires, etc) will be generated and/or collected for this research project
The items below refer to non-digital data storage and use while the research project is underway.Post-project storage is addressed in Section 1.9 below.
The storage receptacle(s) and physical location(s) for storing this data is/are:
Security safeguards are required. Describe:
Specific environmental conditions (climate control, etc) are needed for the proper storage of this data. Describe:
Other storage requirements apply:
1.5.1 SHARING OF NON-DIGITAL DATA AND CONTROLLING ACCESS
During the project, non-digital data will not be shared—only the person completing this checklist will have access (Go to Section 1.5.2)
Non-digital data will be shared internally—with the following Swinburne collaborators (staff and student researchers):
Access will be controlled by (eg locked filing cabinets, check-out procedures, etc):
Non-digital data will be shared externally—with external project collaborators; with co-supervisor(s) or research students at another institution; with research participants; with a funding agency; etc). Provide details of external collaborators or other participants who will have access to data:
Data will be shared with external parties in the following way(s):
Access will be controlled by:
1.5.2 VOLUME OF NON-DIGITAL DATA
The approximate volume of non-digital data that will be generated by this project is (Describe using relevant measures, eg file cabinet drawers; number and size of boxes; feet of shelf space; etc):
1.6 STORAGE OF DIGITAL DATA AND RELATED RESEARCH RECORDS
For more information or guidance on safe and secure research data storage, contact Swinburne Research: or Information Technology Services:.
There is no digital data associated with this project (Go to Section 1.7).
Digital data (egspreadsheets, online survey results, digital images, software code, etc) will be generated and/or collected during this research project
The items below refer to digital data storage and use while the research project is underway.Post-project storage is addressed in Section 1.9 below.
The digital data will be stored in (select and describe all that apply):
Networked drive. Describe access to and management of this networked service:
External hard drive(s). Specify quantity of external drives and their usual location:
Personal computer hard drive. Specify location of this computer:
Portable storage media such as DVD, USB drive, etc. Specify media, number of copies, and location/s:
Other:
In addition to the primary storage specified above, digital data will be backed-up to:
Local Swinburne research networks. Provide verification of access to this storage:
Faculty/department/research centre server. Specify, including backup frequency:
Other backup arrangements exist:
1.6.1 FILE FORMATS OF DIGITAL DATA
Consider the durability of all digital data formats. Choosing standards-based formats assists with long-term access and preservation. Special hardware and software requirements may have a negative impact on long-term access and preservation.
The following file formats will be used:
These formats are (check all that apply; add explanatory notes if necessary, particularly to clarify which of these characteristics apply when multiple formats are employed):
Widely available
Durable (likely to last for at least 5 years after the end of the project)
Open (do not need proprietary software to interpret)
Proprietary. Why is this format is preferred to an open format?
Tools/applications (hardware and software) needed to create/process/visualise the data include:
Software:
Standard software. Brand name or other details:
Non-standard software
Other applications; hardware:
1.6.2 SHARING DIGITAL DATA AND CONTROLLING ACCESS
You should be sure about the implications of sharing your data, as this practice may be governed by ethics and privacy considerations, as well as copyright and intellectual property ownership issues.For questions about ownership, contact the Swinburne Copyright Office: . Information Technology Services at Swinburne may be able to provide advice about specialised data transfer tools that enable secure data sharing: .
During the project, data will not be shared—only the person completing this checklist will have access (Go to Section 1.6.3)
Data will be shared internally—with the following Swinburne collaborators (staff and student researchers):
Access to internally shared digital data will be controlled by (Describe processes, eg password protection, encryption, etc):
Data will be shared externally—with external collaborators; co-supervisor(s) or research students at another institution; with research participants; with a funding agency; etc). Provide details of external collaborators or other participants who will have access to data:
Data will be shared with external parties in the following ways (check all that apply, and describe):
Data stored at Swinburne will be accessed remotely (eg via an online shared workspace). Details:
Data will be transferred to other location/s. Describe all transfer tools, eg email, FTP, physical media such as flash drives, etc:
Access to externally shared digital data will be controlled by (Describe processes, eg password protection, encryption, etc):
1.6.3 VOLUME OF DIGITAL DATA
It may be difficult to estimate the volume of digital data that will be collected or generated in the life of a research project, and amounts may fluctuate as the project is underway, especially as multiple versions and backup copies are created. It is important to monitor and update your records of data volume, as this could have an impact on processing, sharing, and storage mechanisms and capabilities.Data volume will also need to be a consideration when making decisions about long-term storage and retention (see Sections 1.8 and 1.9).For guidance on managing and processing large volumes of digital research data, contact Swinburne Research:or Information Technology Services:.
The approximate volume of digital data that will be generated by this project is (Estimate quantity in megabytes, gigabytes, terabytes, etc):
1.7 DOCUMENTATION AND METADATA (RECORDKEEPING AND DESCRIPTION)
Raw data can be incomprehensible outside a specific discipline or community of interest. Therefore supplementary materials for describing, deciphering and contextualising data should be made available, especially for data that may be used by others (including researchers from another discipline) after the original research project has been completed (see Section 1.9).Such materials include descriptions of data collection methodologies, codebooks or data dictionaries and metadata schema. For more information about metadata standards and data documentation, see the ANDSGuide to Metadata: or Monash University’s guidelines for research data metadata and documentation: .Forassistance with metadata standards and documentation, contact Swinburne Library at.
Documentation to inform project team members and/or secondary users about research methods, data collection, and data preparation was/will be prepared by Person: on Date:
The procedure for reviewing and updating this documentation is (Describe procedure, including person(s) responsible and frequency of reviews):
Metadata and minimum information standards that will be used to describe the data include:
Codebooks, data dictionaries, data definition files and schema include (Provide details here, including processes for accessing and updating these resources):
The protocol for data and record filing is (Describe the system for maintaining digital folders and directory structures; or physical filing systems):
File naming conventions, including codes, labelling and/or identifiers are as follows:
The master version and copies of data will be identified in the following manner:
Version control measures include (Provide details, including naming conventions for versions of data files):
Protocols for document structures are (Provide relevant detail, including standardised column headings, formats for various data types [dates, text, numbers], etc):
Compliance with document structure protocols to be reviewed as (Describe procedures, person(s) responsible and frequency):
Other documentation or metadata requirements are (Provide details here, including software that may be used to manage files, documentation and metadata):
1.8 RETENTION PERIOD FOR RESEARCH DATA
The standard retention periods described below dictate minimum retention requirements; research data should also be evaluated for its long-term viability. Could other researchers—within or outside your discipline—benefit from having access to your data?This may involve re-purposing your data for research pursuits quite distinct from those for which the data was originally collected.
After the completion of the research project (or upon submission of a thesis for RHD students), the data will be retained for a fixed period of:
5 years after the publication of results (minimum retention period)
Disposal will be allowed afterDate: ; the person responsible for approving disposal is: Name and contact information:
7 years (data relates to psychological testing/interventions with adults—calculated from the conclusion of the intervention)