University of Waterloo RDM Institutional Strategy & Implementation Plan

Vision

Data management amplifying research excellence.

Purposes

The purposes of this Research Data Management (RDM) Institutional Strategy are to:

  1. Support research excellence among Waterloo researchers
  2. Create a foundation for building great RDM services and tools for Waterloo researchers
  3. Meet the requirements of diverse funders and publishers of research, including the Tri-Agencies
  4. Reflect our commitment to RDM
  5. Recognize the value of research data both to the University and to broader society – research data are a critical research output which will catalyze future knowledge and innovation

Definitions and Scope

Research Data is a component of research—increasingly so within the last decade, for a growing number of disciplines. Research Data refers to any information created or collected as evidence in the research process or commonly accepted in the research community as necessary to validate results and conclusions. Data Management refers to the storage, access and preservation of data produced from a given investigation. Data management practices cover the entire lifecycle of the data, from planning the investigation to conducting it, and from backing up data as it is created and used to long-term preservation of data deliverables after the research investigation has concluded.

The Tri-Agencies believe that research data collected through the use of public funds should be responsibly and securely managed and be—where ethical, legal, and commercial obligations allow—available for reuse by others. To this end, the agencies support the FAIR (Findable, Accessible, Interoperable, and Reusable) guiding principles for research data management and stewardship, when appropriate. While one of the purposes of this Strategy is to meet the requirements of the Tri-Agencies or other funders, it is relevant to all research utilizing and producing research data in all forms (including, but not limited to, digital, analogue, paper, and physical materials)—whether funded or unfunded, published or unpublished, open[1] or restricted.

For the purposes of this Strategy, we consider anyone engaged in research activities to be a “researcher,” including faculty, staff, and students. "We," in the Principles stated below, refers to the broader University of Waterloo research community. Research Data Management (RDM) works through the complex interplay of faculty members, staff, students, postdoctoral fellows, and the university administration. All of us need to work together to achieve our shared strategic vision.

Indigenous Data Sovereignty

In September 2022, the University of Waterloo made a public commitment to decolonization, Indigenization, and reconciliation through a formal ceremony. The University officially recognized our responsibility to develop a better understanding of the history of the land we occupy, the colonial systems we uphold and benefit from, and the need to take meaningful actions to advance reconciliation, decolonization, and Indigenization across all faculties, service units, and areas of work. As a research-intensive institution, we understand the importance of applying these lenses to our research and research administration practices, including research data management.

The University of Waterloo respects and recognizes the sovereignty of Indigenous Peoples, Nations, and communities over research data produced by, with, for, and about them. This includes sovereignty over the collection, use, control, access, possession, and sharing of these data. These rights are recognized and upheld by the United Nations Declaration on the Rights of Indigenous Peoples.[2] Waterloo acknowledges the Tri-Agency Research Data Management Policy statement regarding a distinctions-based approach to Indigenous Data Sovereignty:

“In line with the concept of Indigenous self-determination and in an effort to support Indigenous communities to conduct research and partner with the broader research community, the agencies recognize that data related to research by and with the First Nations, Métis, or Inuit whose traditional and ancestral territories are in Canada must be managed in accordance with data management principles developed and approved by these communities, and on the basis of free, prior, and informed consent.”

Understanding that each Indigenous Nation and community will have different requirements regarding research data generated through partnerships, we honour different models of data management, such as the First Nations Information Governance Centre’s OCAP® Principles, the USAI Research Framework developed by the Ontario Federation of Indigenous Friendship Centres, the Global Indigenous Data Alliance’s CARE Principles, and the Inuit Tapiriit Kanatami National Inuit Strategy on Research.

To ensure that our commitment to respecting Indigenous Data Sovereignty principles is upheld in all facets of our research activities, and across every Strategic Direction outlined here, Waterloo recognizes the need for ongoing and meaningful consultation with Indigenous rightsholders and community members. We acknowledge that this will require unique expertise and the formation of distinct services for the management of research data from and relating to Indigenous Nations, communities, and individuals. During implementation, the Inclusive Research team will be actively engaged to ensure implementation plans include appropriate services, resources, supports and incentives related to Indigenous research.

Governance

This document was created by the Research Data Management Institutional Strategy Working Group and is governed by the Vice-President, Research & International (VPRI), the University Librarian, and the Chief Information Officer.

This is a living document, intended to shape our activities over the next 3-5 years, but the implementation roadmap will change as priorities emerge. This Strategy will be reviewed regularly and updated for continued relevance as we assess our RDM services for maturity.[3]

Principles

  1. Collaboration
    1. We recognize that RDM is a whole-institution effort that will require deep collaboration and coordination between the researchers, Faculties, Library, IST, Office of Research, Centres, and Institutes.
    2. We will leverage existing expertise and infrastructure around the University, as well as regionally, nationally, and internationally.
  2. Respect for Diversity
    1. We will respect and serve the diversity of research and disciplinary practices, recognizing that there is no one-size-fits-all approach to RDM.
    2. We will provide equitable access to core RDM tools and support across all faculties and disciplines.
  3. Reciprocity
    1. We will recognize that research data and research require ongoing relationships with various communities and ecosystems, and ongoing communication, respect, and collaboration.
    2. We will involve Indigenous researchers in the creation of policies, processes, and services to ensure that the specific needs of Indigenous Data Sovereignty are met.
  4. Ease
    1. We will make it easy for researchers to adopt RDM best practices.
    2. We will make it easy for researchers to identify and access the most appropriate and secure infrastructure for their specific research needs.
  5. Integrity
    1. We will respect ownership and sovereignty of data.
    2. We will align our resources with our stated values and our broader social and governmental obligations.
    3. We will acknowledge and encourage the development of processes to reward the time and expertise of all who contribute to and enable RDM excellence.
  6. Commitment
    1. We will actively invest in RDM services, skills, and infrastructure to reflect the University’s commitment.
    2. We will encourage and support all activities required for Waterloo researchers to ensure that their research data are findable, accessible, interoperable, and reusable in the long term.
    3. We will take an approach of continuous improvement, assessing researchers’ and institutional needs regularly, and adjusting services as needed.
    4. We will adopt best-in-class processes and technologies to support RDM at Waterloo.

Strategic Directions, Objectives, and Goals

1. Strategic Direction: Coordinate Services                                          

Strategic Objectives:

  • Formalize, fund, and coordinate (existing centralized and decentralized) University of Waterloo RDM services and resources under strong and visible leadership, in a way that allows for local knowledge and specialization in the faculties.
  • Ensure alignment of RDM services and processes with existing and emerging research policies, and Indigenous RDM data principles when appropriate.
  • Collaboratively design and refine services that best meet diverse research data needs, before, during, and after research.

2. Strategic Direction: Incentivize

Strategic Objectives:

  • Formally and informally incentivize RDM best practice among Waterloo researchers, especially focusing where no incentives exist (pre-research and post-research).
  • Align and coordinate RDM incentives with existing University and Faculty incentive models.

3. Strategic Direction: Expand Knowledge

Strategic Objectives:

  • Build an RDM culture of excellence.
  • Increase RDM skills and knowledge across campus for researchers and staff.

4. Strategic Direction: Promote

Strategic Objectives:

  • Promote the benefits of RDM best practices.
  • Communicate RDM resources and tools to the Waterloo community at all points in their research journey and through multiple existing channels (e.g. University-, Faculty-, Department-, Institute-, Project-level).

5. Strategic Direction: Invest in Expertise

Strategic Objectives:

  • Invest in strong and visible RDM leadership.
  • Invest in the human infrastructure to support and scale RDM services.

6. Strategic Direction: Invest in Technical Infrastructure

Strategic Objectives:

  • Define local technical infrastructural needs vis-à-vis regional and national infrastructure.
  • Invest in scaling and making it easy for researchers to use secure, University-managed infrastructure, meeting levels of need ranging from small to very large datasets.
  • Integrate with other campus IT initiatives including the IT Governance review, the Research Computing Committee work, and research security.
  • Promote and/or expand existing RDM preservation services.

Implementation Plan

STRATEGIC DIRECTION 1: Coordinate Services

Strategic Objective 1a: Formalize, fund, and coordinate (existing centralized and decentralized) University of Waterloo RDM services and resources under strong and visible leadership, in a way that allows for local knowledge and specialization in the faculties.

Goal
Estimated Project Start Date
(Academic Term)
Lead Unit

i. Model approaches to coordination of services, including ongoing governance, and choose a model

Spring 2023

RDM WG[4]

ii. Establish project management team and project governance structure to coordinate strategic RDM projects

Fall 2023

RDM WG

iii. Develop a project status communication plan

Spring 2023

RDM WG

iv. Define “core” RDM services available to all researchers

Fall 2023

Library

v. Integrate RDM services and communications into existing university-level onboarding and research project processes

Fall 2024

Office of Research

Strategic Objective 1b: Ensure alignment of RDM services and processes with existing and emerging research policies, and Indigenous data principles when appropriate.

Goal

Estimated Project Start Date
(Academic Term)

Lead Unit

i. Review existing research policies, procedures, and guidelines for consistency

Spring 2023

Office of Research

Strategic Objective 1c:  Collaboratively design and refine services that best meet diverse research data needs, before, during, and after research.

Goal

Estimated Project Start Date
(Academic Term)

Lead Unit

i. Identify existing challenges to accessing RDM services

Spring 2023

RDM WG

ii. Inventory available RDM services at Waterloo and beyond, taking advantage of regional, national, and international infrastructure and resources where available.

Spring 2023

RDM WG

iii. Amplify existing RDM services

Fall 2023

Library

iv. Identify and prioritize service gaps, including by faculty and/or discipline

Winter 2024

RDM WG

v. Create an RDM portal that will serve as a central place to find all RDM resources

Fall 2023

IST

STRATEGIC DIRECTION 2: Incentivize

Strategic Objective 2a: Formally and informally incentivize RDM best practice among Waterloo researchers, especially focusing where no incentives exist (pre-research and post-research).

Goal
Estimated Project Start Date
(Academic Term)
Lead Unit

i. Develop an Excellence in RDM Award

Fall 2024

Office of Research

Strategic Objective 2b: Align and coordinate RDM incentives with existing University and Faculty incentive model.

Goal
Estimated Project Start Date
(Academic Term)
Lead Unit

i. Develop and provide exemplar language for Departments, Schools, and Faculties to consider when evaluating faculty research activity

Fall 2023

Office of Research

STRATEGIC DIRECTION 3: Expand Knowledge

Strategic Objective 3a: Build an RDM culture of excellence.

Goal
Estimated Project Start Date
(Academic Term)
Lead Unit

i. Provide examples to researchers of how RDM eases their research process, promotes greater data accessibility, and supports research excellence

Winter 2024

Library

ii. Foster communities of practice

Fall 2023

RDM WG

Strategic Objective 3b: Increase RDM skills and knowledge across campus for researchers and staff.

Goal
Estimated Project Start Date
(Academic Term)
Lead Unit

i. Fund additional RDM professional development for existing RDM and IT staff

Ongoing

Library/IST

ii. Advocate for RDM training for students in research streams

Fall 2023

GSPA

iii. Provide baseline RDM training for research teams

Ongoing

Library

iv. Develop curriculum and provide ongoing training around Indigenous RDM Data Sovereignty principles

Fall 2023

Office of Research

STRATEGIC DIRECTION 4: Promote

Strategic Objective 4a:  Promote the benefits of RDM best practices.

Goal
Estimated Project Start Date
(Academic Term)
Lead Unit

i. Identify a pool of exemplar researchers interested in, and practicing RDM.

Spring 2023

Office of Research

ii. Develop UW Case Studies that illustrate the benefits of RDM best practices for research outcomes, replicability, and dissemination

Winter 2024

RDM WG

iii. Create “RDM Champions” - researchers who can speak to how RDM contributes to research excellence

Winter 2024

Office of Research

Strategic Objective 4b:  Communicate RDM resources and tools to the Waterloo community at all points in their research journey and through multiple existing channels (e.g. University-, Faculty-, Department-, Institute-, Project-level).

Goal
Estimated Project Start Date
(Academic Term)
Lead Unit

i. Develop use cases, research workflow guides, checklists, and decision trees for researchers’ self-guided RDM

Fall 2023

Library

ii. Align services and human contacts with different points in the decision tree, making it easy to find the right people at the right time

Fall 2024

RDM WG

iii. Establish a responsive communications plan to keep researchers informed of changes and opportunities in the RDM landscape

Fall 2024

RDM WG

iv. Identify and close service awareness gaps

Fall 2024

RDM WG

STRATEGIC DIRECTION 5: Invest in Expertise

Strategic Objective 5a. Invest in strong and visible RDM leadership

Goal
Estimated Project Start Date
(Academic Term)
Lead Unit

i. Define and recruit an interim RDM coordinator

Spring 2023

Library (dotted line to Office of Research)

ii. Define and recruit a permanent RDM coordinator

Spring 2025

TBD

Strategic Objective 5b. Invest in the human infrastructure to support and scale RDM services.

Goal
Estimated Project Start Date
(Academic Term)
Lead Unit

i. Assign dedicated resources to manage RDM projects

Ongoing

TBD, based on specific projects

ii. Define the key competencies of project and portfolio management capabilities to ensure successful delivery and management of services

Winter 2024

RDM WG (as location of services TBD)

iii. Fund additional FTE with appropriate RDM expertise in ways that provide equitable access to researchers from across the Faculties.

TBD (based on capacity needs)

RDM WG (as location of services TBD)

iv. Make consultative support available:

a) at earliest stages of project development to plan for best practices in data stewardship

b) at beginning of active research to enable best practices in data collection and processing stages

c) at end of projects, to enable best practices in appropriate data destruction, preservation and/or sharing

Fall 2023

Office of Research

iv. Improve the ease of use and access of centralized RDM services

Fall 2024

RDM WG

STRATEGIC DIRECTION 6: Invest in Technical Infrastructure

Strategic Objective 6a. Define local technical infrastructural needs vis-à-vis regional and national infrastructure.

Goal
Estimated Project Start Date
(Academic Term)
Lead Unit

i. Identify and understand the technical services available to researchers from our regional and national partnerships

Fall 2023

Library

ii. Collaborate with Indigenous researchers to identify access to and/or design reliable and trustworthy community/local infrastructure that meets Indigenous communities’ data sovereignty needs and standards

Winter 2024

Office of Research

Strategic Objective 6b. Invest in scaling and making it easy for researchers to use secure, University-managed infrastructure, meeting levels of need ranging from small to very large datasets.

Goal
Estimated Project Start Date
(Academic Term)
Lead Unit

i. Design all services and technical infrastructure informed by user research

Ongoing

RDM WG

ii. Improve the ease of use and access to active storage and sensitive data storage

Fall 2023

IST [CTSC]

iii. Improve the ease of use and access to collaboration tools

Fall 2023

IST [CTSC]

Strategic Objective 6c. Integrate with other campus IT initiatives including the IT Governance review, the Research Computing Committee work, and research security.

Goal
Estimated Project Start Date
(Academic Term)
Lead Unit

i. Advocate for appropriate membership on campus committees

Spring 2023

Office of Research

Strategic Objective 6d. Promote and/or expand existing RDM preservation services.

Goal
Estimated Project Start Date
(Academic Term)
Lead Unit

i. Assess current state of preservation options

Spring 2023

Library

ii. Collaborate with national research data preservation initiatives.

Spring 2023

Library

[1] Open Data are defined as “Structured data that are accessible, machine-readable, usable, intelligible, and freely shared. Open data can be freely used, re-used, built on, and redistributed by anyone – subject only, at most, to the requirement to attribute and sharealike.” See: https://codata.org/initiatives/data-science-and-stewardship/rdm-terminology-wg/rdm-terminology/ 

[2] The Truth and Reconciliation Commission of Canada adopted the United Nations Declaration on the Rights of Indigenous Peoples as Canada’s “framework for reconciliation” (Call to Action 43). https://www.un.org/development/desa/indigenouspeoples/declaration-on-the-rights-of-indigenous-peoples.html

And

https://www.iisj.net/en/workshops/international-law-united-nations-declarations-rights-indigenous-peoples-and-indigenous

[3] Using tools such as the Maturity Assessment Model in Canada (MAMIC): https://doi.org/10.5281/zenodo.5745492

[4] The Research Data Management Working Group is envisioned as the placeholder for now. A coordination approach may involve the creation of a different standing, coordinating body.