Principles of Data Stewardship

Around the world, over the last decade, research data have been recognized as assets that must be managed to enable the maximum extraction of value. Where that research data are created through the support of public funds, it has been recognized that the public has a serious interest in data management and preservation.

Data stewardship as asset management needs to be framed in a life cycle model, embodying all stages of the research process and engaging all with a responsibility for data preservation including researchers, research institutions, funding agencies, and government. The following principles are presented to inform and guide developments in data stewardship in Canada.

Principle 1: Roles and Responsibilities

Stakeholders in the public research enterprise should collaboratively establish a framework of codes of practice for access to digital research data. This framework must define, as clearly as possible, the roles and responsibilities of the various parties involved in data-related activities.

Creators and users of research data as well as responsible institutions and funders should be aware of and fulfill their responsibilities in accordance with these codes of practice.

Principle 2: Interoperability, standards and quality assurance

The value and utility of research data depends, to a large extent, on the quality of data and their interoperability with other data. In order to promote international and interdisciplinary use of research data, data should be created and collected in accordance with international standards and where applicable, interoperability of datasets should be a key consideration. If standards do not yet exist, stakeholders should actively contribute to their development. Criteria for selection and long-term retention of data should take into consideration quality assurance issues.

Principle 3: Access, usage and credit

Digital research data should be easy to find, and access should be provided in an environment which maximizes ease of use; provides credit for and protects the rights of those who have gathered or created data; and protects the rights of those who have legitimate interests in how data are made accessible and used.

The fundamental policy objective of making data available and accessible requires that users should have timely, user-friendly access to relevant data, and at the lowest possible cost. There is a need to balance conflicting interests and rights, but wherever possible, free and open access should be the default option.

Principle 4: Benefits and cost effectiveness

The models and mechanisms for managing and providing access to digital research data must:

• Safeguard the public investment in the original creation of the data
• Provide for cost effective on-going technological and operational management of the stored data

Principle 5: Preservation and sustainability

Digital research data of long-term value arising from current and future research should be preserved and remain accessible for current and future generations. In order to accomplish there must be a collective effort:

• Develop criteria for selection and long-term retention of data
• Develop a network of sustainable repositories to host and maintain data in the long-term
• Ensure access to and re-use of data in research that would comply with regulatory requirements- or should we first create those regulations?
• Anticipate adapting and moving data to new electronic environments as they emerge
• Develop transparent and practical policies and procedures that would enable storing, sharing, re-use, of stored data

These principles have been adapted from the Research Information Network principles outlined in "Stewardship of digital research data: a framework of principles and guidelines", January 2009.