Given that there is a close link between research data and research publications, and that data constitutes a primary form of research output, it is appropriate that research funders’ open access policies address the issue of open research data (Royal Society 2012).  Open research data is free to use, modify, and share for any purpose by anyone.  Acknowledging the data source (attribution) and/or providing the data under the same or similar conditions as the original (share-alike) would be the only conditions of use (Open Knowledge 2014).  Open research data must also be technically open, that is, that the data be available for no more than the cost of reproduction and in machine-readable and bulk form. The significance of primary data gathered in research projects across domains is its high potential for not only academic re-use, but its value beyond academic purposes, particularly for governments, SME, and civil society. More importantly, the availability of these data provides an ideal opportunity to test the key premise underlying open research data — that when it is made publicly accessible in easily reusable formats, it can foster new knowledge and discovery, and encourage collaboration among researchers and organizations (Borgman 2012, Pampel and Dallmeier-Tiessen 2014, Hodson and Molloy 2015).

Transitioning to an open research data policy raises a number of issues (Walport and Brest 2011, Borgman 2012, Royal Society 2012, Pampel and Dallmeier-Tiessen 2014). Research funding organizations need to be aware of and have an understanding of the opportunities and challenges of open research data policies.  For example, realistic and cost-effective strategies for funded researchers to collect, manage, and store the various types of data resulting from their research are unclear. Furthermore, publishing open research data requires skillsets that researchers may have yet to develop. Finally, intellectual property rights issues and privacy concerns are rife in the release of data as well as broader ethical issues around the rights over and “ownership” of collected data. These issues relate to data sharing in general but are particularly challenging in the context of development research.

Most existing funder data sharing requirements have been developed by western funders of natural sciences and biomedical research. The most recent surveys (see references in Hodson and Molloy) of funder policies in this area are somewhat out of date as the policy environment is in flux. Hodson and Molloy (2015) provide pointers to recent surveys as well as an analysis of best practice in policy including a set of issues that policies should address. These include both issues of framing and operational concerns:

1. An account of general drivers and principles
2. A discussion of the requirements for effective data sharing
3. A statement of necessary limits to openness
4. A definition of research data
5. An overview of data within the scope of the policy
6. An indication of the general criteria for the selection of research data
7. A summary of responsibilities
8. An indication of the availability of infrastructure and responsibility of costs
9. An overview of data management planning requirements
10. Recommendations on enabling discovery and re-use
11. Stipulations to encourage recognition and reward for data providers
12. A summary of reporting requirements, compliance monitoring and possible sanctions

This checklist provides a useful frame within which to both consider and critique the proposed IDRC policy as well as testing the capacity of individual projects to share data and the limitations they face. In particular a focus on points 3, 4, 5, and 7 will be helpful.

Very little work has been done examining open data policies in the context of development research specifically. Using Hodson and Molloy as a framing device derived largely from considerations of those funders in Europe and North America will allow us to test and extend this to include aspects specific to development research. This project will serve to inform open access to research data policies of development research funders through pilot testing open data management plan guidelines with a set of IDRC grantees.

The general objective of this project is to develop a model open research data policy and implementation guidelines for development research funders to enable greater access to development data.

The specific objectives are to:

1. Test and refine implementation guidelines for development research funders’ open research data policies;
2. Examine the specific ethical and implementation issues in data sharing in the context of development research including issues of knowledge developed in development and indigenous contexts;
3. Initiate the development of a community of practice around open data management planning amongst IDRC grantees;
4. Build the capacity of grantees on open data management; and Communicate the lessons learned on effective open research data management practices within IDRC and beyond

The overarching research question is: What are the essential components of an effective open access to research data policy for development research funders?

We will attempt to answer this question by generating, testing and refining a set of open data implementation guidelines through a series of pilot studies. We will use the framework of Hodson and Molloy to guide our analysis. We will also test the completeness of framework with respect to the specific issues of development research funders.

The project includes three components

1. A state-of-the art review on open access data management plans.
2. Eight open data pilot studies with volunteer IDRC grantees
3. Report and recommendations for IDRC and development funders on data sharing policies and guidelines to support project data sharing.

Literature Review

Open Data Pilot Studies

Reporting and Recommendations

The project will be supported by an expert advisory group (EAG) that will meet twice during the project and provide advice for specific pilot project participants. The EAG will meet at the beginning of the project to identify initial issues on implementation and policy with the IDRC policy. This meeting will then include project participants and discussion of challenges and issues that may arise, as well as approaches to overcoming them. The EAG will also participate in an assessment meeting at the end of the project both to critique the progress made by the pilot projects and to test the recommendations arising from the project.

Goals of the initial meeting:

• Review the IDRC ORD policy and critique the implementation guidelines
• Orient the volunteer grantees to participate in the pilot case studies
• Develop guidelines for the pilot projects
• Refine the monitoring and evaluation framework

At the final wrap up meeting the research lead of each participating project will be expected to participate at a roundup workshop at the conclusion of the pilot to share experience and lessons learned. The reporting (above) will be used as the basis for discussion with reflection based on draft case studies for response from the participants and experts.

See Table 1.

Table 1. Download as CSV 

Risk Assessment and Recommendations

Risk Category	Risk Description	Risk Likelihood High, Medium or Low	Prevention Plan
Risks to achievements of objectives	An insufficient number of volunteer projects to participate in the pilot case studies are identified.	M	The call to Program Officers will be made through a variety of channels – PA Directors, Lyris lists and Friday coffee and the significance of the RSP will be clearly articulated.
	An insufficient number of volunteer projects are working with knowledge within indigenous contexts.	M	Program Officers responsible for projects working with indigenous knowledge will be identified and targeted.
	Program Officers do not have sufficient time to participate in the project.	H	The time commitment required from Program Officers will be described in the call and their ability to participate effectively in the project will be confirmed before their participation is finalized.
Risks to timing	The pilot case studies are not completed within eight (8) months.	M	The mentors and their grantees will collaborate on work plans with deliverables and completion dates. The work plans will be monitored by the principal investigators and the responsible officer.
Ethics considerations	Knowledge from indigenous sources cannot be made open due to IP rights concerns.	M	Examine this ethics consideration at the outset and determine how the needs/rights of all parties (grantees and indigenous participants) can be met.
Grantees capacity risk	Grantees do not have sufficient time to participate in the project.	M	The time commitment required from grantees will be accurately described in the call to Program Officers and confirmed before the volunteer grantees are selected.
	Grantees do not have the knowledge and experience required to manage and share research data.	L	The project workshop and project mentors will provide knowledge and support.

While there have been a range of data policy implementation projects across a range of research funders this IDRC project treads new ground in investigating research data sharing in the specific context of development research. This raises both issues of data ownership and ethics that are specific to development research as well as raising more prominently issues that are common to research data sharing generally.

Two core audiences are therefore research funders engaged in development issues, particularly those with a strong position on data sharing more generally (Wellcome Trust, Gates Foundation,  and DFID) and research funders concerned more broadly with  developing strong practice in collaboration and data sharing (with a focus on Canadian funders of the Tri-Council Group). Our focus will be on directly engaging the first group (through involvement in the workshop  and wrap up meeting) and engaging the broader research funder community more generally through published reports, best practice documents, at meetings such as the Research Data Alliance, FORCE2016 etc. and potentially through a new community of practice around open data management and sharing planning.

1. September 2015 - Submit the RSP PAD and budget
2. September 2015 -  send an internal call  to IDRC Program Officers to identify grantees to participate in the pilot case studies
3. September 28, 2015 - complete a draft of the monitoring and evaluation framework and metrics for success
4. October 31, 2015 - finalize the eight (8) volunteer grantees to participate in the pilot case studies
5. December 11, 2015 - complete the literature review and survey of funders/data infrastructure providers.
6. January 11-13, 2016 - Convene a three day workshop at IDRC - The Expert Advisory Group to meet on the first day and the eight (8) volunteer grantees and IDRC Program Officers to join the meeting for the last two days
7. The pilot case studies will commence in January 2016 and finish in September 2016 for a  duration of eight months
8. Reporting: Project will be interviewed for a preliminary report after 4 months and at 8 months for the final report.
9. Wrap up meeting: The research lead of each participating project will be expected to participate at a roundup workshop at the conclusion of the pilot to share experience and lessons learned. The reporting (above) will be used as the basis for discussion with reflection based on draft case studies for response from the participants and experts. This will take place in October 2016.
10. Reporting: Final outputs to be delivered by November 2016 (see below)

• Costs relating to the implementation of the pilot, including labour and infrastructure, will be covered by IDRC.
• Specific technical and professional support services will also be provided
• Each project will also be assigned a mentor from the Expert Advisory Group.
• Other incentive or recognition for providing open data will be considered as a key part of the pilot project.

Outputs

Outcomes

Roles of IDRC Open Access Working Group Members

Roles of the Expert Advisory Group

Roles of the volunteer grantees

Exploring the opportunities and challenges of implementing open research strategies within development institutions. IDRC Project:108131

The project will be exploring ethical considerations related to the release of research data to the public. Of note, individual privacy concerns and issues of intellectual property will be studied within the eight case studies. Each case study implementer will also be asked to conform with the ethical protocols of their respective institutions and projects. All data sharing will be carried out by the projects themselves within existing regulatory, ethical and contractual arrangements that are in place.

LC and CN planned and wrote the proposal. The proposal was refined through multiple rounds of discussion with IDRC.