Open University Research Data Management Policy

The Open University Research Data Management Policy defines the standards that govern the management of research data at The Open University. Below you will find:

Research Data Management Policy

Summary of key RDM policy requirements

RDM Policy Frequently Asked Questions

Research Data Management Policy

A PDF version of this policy is available on the following link: OU Research Data Management Policy(pdf)

Contents 

Alternative format

Summary of policy

Scope

• What this policy covers
• Who this policy applies to
• Who this policy does not apply to

Introduction

Policy

1. Purpose
2. Policy principles
3. Data Management
4. Archiving and sharing of research data
5. Ethical requirements
6. Legal requirements
7. University responsibilities

Commitment to Equality, Diversity and Inclusion at The Open University

Safe space reporting

Related documentation

Further clarification

• Summary of significant changes since last version
• Policies superseded by this document

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Alternative format

If you require this Research Data Management Policy document in an alternative format, please contact the Library Research Support Team. 

Summary of policy

This policy defines the standards that govern the management of research data at The Open University. It defines research data as the evidence base on which academic researchers build their analytic or other work and applies to all those engaged in research at the OU, most typically research staff and research students.

The policy covers the management of research data during and after the research process, including the preservation and sharing of datasets.

Scope

What this policy covers

• Research data, defined as any information that has been collected, observed, generated, or created to answer a research question, and which may be used to validate original research findings
• Primary data or data derived from existing sources, in any form (e.g. physical, digital, or print)
• Original software required to view datasets, replicate analyses, or validate research findings.

Who this policy applies to

• All Open University staff, emeritus, honorary and visiting academics, independent contractors or consultants conducting research at, or on behalf of The Open University, regardless of location, whether working alone, or in collaboration, including in collaboration with researchers from third party organisations.
• Postgraduate research students registered with The Open University on a full-time or part-time basis, including those based at Affiliated Research Centres and other partner institutions.
• OU staff undertaking scholarship projects at or on behalf of The Open University
• External partners/collaborators working on projects where The Open University is the lead partner

Who this policy does not apply to

• Students studying taught undergraduate modules and qualifications, or postgraduate students registered for taught qualification, or studying modules that form part of a taught qualification. If you are undertaking a taught course dissertation module, please refer to your course materials and your tutor for further guidance on good research practice in the context of your project.

Introduction

This policy defines the standards that govern the management of research data at The Open University. In line with its mission, The Open University (OU) believes that the ideas and knowledge from its research should be made available and accessible to everyone. With our distinctive open mission, we should lead the way in fostering an open and engaging research culture. (The Open University Statement on Open and Engaging Research)

Research data management (RDM) is a recognised part of the research process and scholarly communications. Formal requirements and expectations from funders, publishers, collaborators and institutions (for example Data Management Plans and data sharing) exist and are likely to continue to evolve.

The Open University recognises that good RDM practices are vital for an efficient and effective research process. It ensures the sustainability and continued useability of research data and promotes the responsible handling of personal and sensitive data in compliance with all relevant ethical and legal requirements. The management and preservation of research data, whether it is shared or not, helps to ensure research integrity. Sharing research data ensures reproducibility of results, encourages innovation, and has broad benefits for The Open University by promoting the work of our researchers and creating opportunities for future collaboration.

Policy

1. Purpose

1.1 The purpose of this policy is to identify The Open University's position with regard to the management of research data and software and to outline the responsibilities and requirements of the University and its researchers.

1.2 The objectives of this policy are:

1.2.1 To set out the University's requirements for research data management (RDM)

1.2.2 To inform all OU staff and students, those we work with, and the public of how research data is managed at the OU.

1.2.3 To provide OU researchers and support staff with references to guidance of how to manage research data.

2. Policy principles

2.1 The Open University is committed to the Concordat on Open Research Data, the UKRI Common Principles on Research Data and the FAIR Data Principles and believes that the open sharing of data, wherever possible, is a public good.

2.2 Research data must be managed to the highest standards throughout their lifecycle in order to support excellence in research practice.

2.3 In keeping with OU principles of openness, it is expected that research data will be shared as openly as possible, as soon as appropriate and verifiable, in a manner consisten with the FAIR Data Principles (Findable, Accessible, Interoperable and Reusable)

3. Data Management

3.1 All those engaged in research at the OU, including those involved in collaborating with other institutions, must take personal responsibility for managing research data in accordance with University and funder requirements

3.2 Researchers should ensure that their handling of research data complies with the University's Data Protection Policy  and Information Security Policies (require login).

3.3 All researchers are required to write a Data Management Plan (DMP) before data collection begins which sets out how research data will be managed, shared, and preserved. If any of the following applies, your DMP must be emailed to the Library Research Support Team for review:

• You are working with special category data
• You need to share data with external collaborators during your project
• You are conducting fieldwork to collect data
• You are using data belonging to an external organisation (e.g. business/government/charity)
• You are expecting to generate a large dataset (over 25GB)

3.4 Before data collection begins, DMPs should be uploaded to either Open Research Data Online (ORDO), the OU's institutional research data repository (for research projects) or to the Open University Scholarship Exchange (for scholarship projects). These should be published either openly or under embargo, and should be reviewed and updated throughout the project.

4. Archiving and sharing of research data

4.1 Researchers are required to archive research data in a trusted digital repository (one whose mission is to provide reliable, long-term access to managed digital resources) with sufficient metadata to enable re-use, and to make that data openly available, where ethical, legal or commercial considerations allow. This repository may be funder or discipline specific, ORDO (for research projects), or the OU Scholarship Exchange (for scholarship projects). The data should be assigned a licence to make terms of data re-use clear. The Open University has a preference for a Creative Commons Attribution (CC-BY) licence, but other licences may be appropriate.

4.2 Where data have been archived in a repository other than ORDO or the OU Scholarship Exchange, a metadata-only record should be published on ORDO which describes the data and provides a persistent link (such as a DOI) to the data.

4.3 Research data and their associated metadata should be prepared for archive in a way that ensure the data are findable, accessible, interoperable and reusable, in accordance with the FAIR data principles. ORCID iDs must be used when publishing research data, to unambiguously link data to specific researchers.

4.4 The University accepts that access to research data may be subject to restrictions for a number of different reasons (e.g. to protect commercial interests or intellectual property rights, participant privacy and confidentiality, ethical approval requirements, legal or security issues, or other legitimate reason). Where research data cannot be made openly available, metadata should be published in a trusted repository which describes the data and justifies the restrictions, stipulating any access requirements and the length of time the restrictions willl continue.

4.5 Obtaining research data from human participants places ethical and legal obligations on researchers. The need to respect confidentiality and privacy can seem to conflict with expectations that data will be shared wherever possible, but with careful planning, it may be possible to share both quantitative and qualitative data from human participants. A combination of gaining consent for sharing, de-identifying or anonymising personal data, and controlling access, can ensure long term access to sensitive data. It is the responsibility of the researcher to process research data in a way that maintains confidentiality of any research participants where appropriate, prior to uploading to a repository. Guidance on best practice can be found on the Library Research Support website.

4.6 Data supporting published research must be made available no later than the first date of online publication. Published research papers must include a data availability/access statement which describes how, and on what terms, supporting data may be accessed. If there is no supporting research data or data cannot be made available, the statement should make that clear.

4.7 Research data must be preserved in a trusted digital repository (one whose mission is to provide reliable, long-term access to managed digital resources) for a minimum of ten years from date of last access. Some external funders may require a longer minimum retention period and some research data may need to be kept in perpetuity. Metadata records describing the dataset must be maintained in perpetuity, even where the data are no longer available.

4.8 Where research data are in print format, they should be digitsed and uploaded to a trusted repository wherever posisble. Where supporting research data are physical, the researcher must create a metadata record in a suitable repository so that other researchers may find and request access to supporting research data. 

5. Ethical Requirements

5.1 The legitimate interests of human participants in research must be protected, according to the principles set out within the University's Ethics Principles for Research Involving Human Participants.

6. Legal Requirements

6.1 The legal obligations of individual researchers in relation to research data management are covered within the Public Interest Disclosure document (requires login), Data Protection Policy and Intellectual Property Policy (requires login).

7. University Responsibilities

7.1 The University will engage with funders, policy makers and other stakeholders to ensure that research data management policies and services evolve in line with sector requirements.

7.2 It is the responsibility of the Executive Deans or Directors of academic units to monitor research outputs and to ensure that the institution complies with its obligations to funders to manage associated research data and to disseminate the results of publicly funded research.

7.3 The Open University will provide access to services and facilities that meet sector and funder requirements for storage, access and curation of data produced in the course of research conducted in the University's name.

7.4 The University will provide training, support and guidance on policies and best practice in research data management and preservation.

7.5 The Pro Vice Chancellor, Research and Innovation, the Research Committee, Executive Deans and Directors and Scholarship Steering Group are responsible for the overall effective management of research data at the OU.

Commitment to Equality, Diversity and Inclusion at The Open University

Policies are inclusive of all Open University staff and Open University postgraduate research students, regardless of age, care experience, caring status or dependency, civil status, disability, family status, gender, gender expression, gender identity, gender reassignment, marital status, marriage and civil partnership, membership of the Traveller community, political opinion, pregnancy and maternity, race, religion or belief, sex, sexual orientation, socio-economic background or trades union membership status.   

Safe Space Reporting

The Open University is committed to creating a diverse and inclusive environment in which everyone feels safe and is treated with dignity and respect.  Unlawful discrimination of any kind across The Open University will not be tolerated.  Safe Space Reporting is available through Report and Support, an online tool through which staff, students, learners and visitors are encouraged to report incidents of assault, bullying, harassment, hate crime, or sexual harassment. It also provides information about what you can do if these incidents happen to you, or to someone you know, and where you can find support. 

Related Documentation

Refer to the following documentation in conjunction with this document

• Ethics Principles for Research Involving Human Participants
• Public Interest Disclosure (requires login)
• Research Degrees Student Handbook
• Data Protection Policy (requires login)
• Open University's Information Security Policies (requires login)
• Open Research Data Online (ORDO) Policy
• Open University Scholarship Exchange Policy (requires login)
• Open University Intellectual Property Policy (requires login)
• Open University Research Code of Practice
• Open University Digital Preservation Policy
• Open University Statement on Open and Engaging Research
• Open University Retention Schedule: Research
• Scholarship Plan 2024-2029

Support for Research Data Management at The Open University can be found on the Library Research Support website.

Further Clarification

If you have any queries around the content provided within this document and how to interpret it, please contact the Library Research Support team.

Summary of significant changes since last version

There are a number of significant changes from the previous version of this policy (Version 3.0 dated 01/12/2021) These are:

a) Includes a requirement to write a Data Management Plan (as opposed to a recommendation)

b) Includes a requirement to generate a metadata-only record on ORDO for data preserved/shared elsewhere

c) Includes and requirement to use an ORCID iD when publishing data, to unambiguously link data to specific researchers

d) Policy to cover software in addition to research data

e) Policy to cover scholarship in addition to research

Policies superseded by this document

This document replaces the previous version of the Open University Research Data Policy [v.3.0 dated 01/12/2021].  

Document Control

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Summary of key RDM Policy requirements

The Open University approved an update to its Research Data Management Policy which came into force on 1st December 2024. The table below outlines the key requirements of the policy and provides further information on how to comply, and where to find additional guidance and support.

Please note that this is only a summary of the main requirements. All those conducting research at the OU should read and familiarise themselves with the full Open University Research Data Management Policy.

For those conducting scholarship, a different Data Management Plan template should be used instead of using the guidance/links below. Please see the scholarship intranet page for full details of how the policy applies to scholarship, and how to access the template.

Contact the Library Research Support team if you need further assistance.

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RDM Policy Frequently Asked Questions

1. Do I need to write a Data Management Plan?

Writing a Data Management Plan (DMP) is mandatory for all researchers in all disciplines, including Postgraduate Researchers (PGRs). Please ensure you have a plan in place before commencing your project/data collection and that you upload a copy of it to ORDO (or The Scholarship Exchange, for scholarship projects). Follow templates and guidance on how to create a Data Management Plan. The Library Research Support team can provide advice and guidance, and review DMPs.

2. I don’t collect any data; do I still need to write a Data Management Plan?

Part of the Data Management Planning process is to identify what sort of data/materials you are working with, whether this is through primary data collection or re-use of secondary sources. It’s possible that you are in fact collecting data though you may not consider it ‘data’, and there may also be implications associated with using secondary data/sources (such as images, maps, literary sources) that need consideration. Generally speaking, there are only a handful of disciplines (e.g. theoretical Mathematics and Physics) where there are no primary or secondary data being generated or re-used. In these instances, a DMP is not required. For Postgraduate Research Students in the Faculty of Arts and Social Science (FASS) who are not working with human participants, there is a different DMP template which you should use, available from the Data Management Plans page of our website. Contact the Library Research Support team if you need advice on which DMP you should complete, or if you don't think you need to complete one.

3. I’ve already started/completed data collection, do I still need to write a Data Management Plan?

Researchers who already commenced/completed data collection before the new policy requirement to write a Data Management Plan came into effect (1st December 2024) should still put in place a DMP for their project which details how the data is/was being collected/stored/handled and what your plans are for future data preservation and sharing at the end. There is no requirement for scholarship projects which received approval prior to 1st December 2024 to put in place a DMP.

4. Do I need to write a Data Manament Plan before I apply for approval from other relevant Open University teams (e.g. HREC/Data Protection)?

The order in which you complete the necessary documents/approvals is not important, provided a Data Management Plan is in place before you commence data collection (or secondary data analysis). That being said, you may find it helpful to work through a Data Management Plan before submitting your HREC application or Data Protection Questionnaire, because the answers you provide in your DMP will help to inform both of these applications.

5. I am creating a staff/student survey, do I need to write a Data Management Plan?

If you are creating a staff or student survey and require consent from the Staff Survey Project Panel (SSPP) or the Student Research Project Panel (SRPP) then generally speaking, you will not need to write a Data Management Plan, unless the survey forms part of a scholarship or research project, or you are planning on publishing your results. Contact the Library Research Support team  if you need guidance on whether a DMP is required for your project.

6. Does my Data Management Plan need review/sign off, and how long does this take?

If your project meets any of the criteria listed under the 'Assistance' section of our Data Management Plans webpage, then it must be sent to the Library Research Support Team for review/sign-off (this is because they represent higher risk projects). For any other project this is entirely optional, but you may feel that you would benefit from some input. We ask for at least 7 working days' notice of any deadline for review.

7. What training or support is there to help me comply with the policy?

The Library Research Support team runs ongoing training sessions throughout the year on all aspects of data management, including how to write a Data Management Plan. The research data management pages of the Library Research Support Team’s website are also a useful source of guidance. You can contact the Library Research Support team with specific data management/policy queries.

8. I’m a Postgraduate Researcher. Will this affect my upgrade?

All researchers, including PGRs, are required to comply with the Research Data Management Policy. This means that you must complete a Data Management Plan and submit it to ORDO before data collection commences. This will not affect the upgrade process, but it is important that you comply with Open University Policies. Failure to do so can have significant impacts such as data loss, privacy breaches, ethical breaches, failing to meet funder mandates, or being unable to share your data. Effective data management and being able to write a DMP are also key research skills which funders will look at when submitting research funding bids.

9. I conduct scholarship, does this policy apply to me?

Yes, but you should follow the specific guidance and Data Management Plan template for scholarship. Please see the scholarship intranet page for full details of how the policy applies to scholarship, and how to find the template. Data Management Plans and data from scholarship projects will be uploaded to The Scholarship Exchange, rather than ORDO, following the processes outlined in that guidance.

10. Do I need to publish my software?

If you have software that supports published research findings, is needed to reproduce or replicate research results, or has potential for use in future research, you are required to archive and share it (where ethical, legal or commercial restrictions permit). Code hosting services such as GitHub, BitBucket or GitLab are not suitable for archiving software as they don’t guarantee preservation. Please follow the guidance provided on preserving and sharing research software.

11. What is an ORCID, and how to I add it to ORDO?

ORCID is a free, unique, persistent identifier (PID) for individuals which helps you to claim credit for your work and disambiguate authors. If you don’t already have one, you can sign up for an ORCID free online. When publishing your research data/software in ORDO, you will be now required to include your ORCID. Please consult our guidance on how to link your ORCID with your ORDO account.

12. Do I need to add metadata to ORDO for data published outside of The Open University?

We have automated the creation of metadata records in ORDO for any data shared in Zenodo or any Figshare repository (Figshare or Figshare Plus) so you should not need to take any action to fulfil this requirement for datasets shared in these repositories. For data shared in any other repository, you will need to create a metadata record on ORDO for it. Please follow the instructions for how to create a metadata-only record on ORDO for data archived elsewhere.

13. My Data Management Plan has been revised - does it need to be reviewed/approved again?

A Data Management Plan is meant to be a living document, so changes are likely to be made to it throughout a project's life. Small edits to a DMP do not need to go through review/approval again. You can simply replace the version uploaded to ORDO. If something substantial has changed in your project or in the way that you are handling your data (e.g. you have changed your plans for data sharing), then it is a good idea to send your new version to the Library Research Support Team to check over before uploading the new version to ORDO.

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