Research Data and Records Management

The management of research data and records refers to ways in which recorded information (in whatever form or medium) from research is organised, stored, maintained and accessed both during the lifespan of the research and in the long term. Effective research data and records management supports both high quality research and academic integrity.

HKU recognises the importance of good practice in research data and records management and seeks to promote the highest standards. The University’s Policy on the Management of Research Data and Records was approved by the Senate at its meeting on May 5, 2015. Revisions were made and approved by Senate on September 3, 2024.

• Policy on the Management of Research Data and Records
• HKU Libaries Research Data Services
• Videos and materials of research data management training workshops held by the University Grants Committee (UGC) in March to July 2023
• UGC self-paced learning materials on (1) principles of research data management and (2) introduction to data management plans

Policy on the Management of Research Data and Records

1.    The University of Hong Kong seeks to promote the highest standards in the management of research data and records.(Note 1) Such standards are fundamental to academic integrity and the pursuit of high quality research. In recognition of applicable data-related policy statements and codes of practice of research funders,(Note 2) the University ensures that sound systems are in place to protect the value of research data and intellectual properties in accordance with best practices in research, including through clear policy, guidance, supervision, training and support. Under the Information Security and Data Management Policy (ISDM), the University, Information Technology Services (ITS), Faculty Deans or their designees, and reporting officers of independent centres/institutes/units are responsible to implement this Policy on the Management of Research Data and Records.

2.    The University recognises that accurate and retrievable research data are an essential component of any research project and necessary to verify and defend, when required, the process and outcomes of research. Research data are valuable to researchers for the duration of their research, and may well have long-term value for research, teaching and for wider exploitation for the public good, by individuals, government, business and other organisations, as a project develops and after research results have been published.

3.    Researchers, departments/faculties, divisions, central administrative units and service providers and, where appropriate, research sponsors and external collaborators, need to work in partnership to implement good practice and meet relevant legislative, research funder and regulatory requirements. A researcher is anyone who conducts research at the University, under the auspices of the University, or with University resources.

4.    Absent an arrangement to the contrary, the University asserts ownership over research data for projects conducted at the University, under the auspices of the University, or with University resources.

5.    Research data and records should be:

• accurate, complete, authentic and reliable;
• identifiable, retrievable, and available when needed;
• handled safely and stored securely;
• supported by metadata about how and when the data were generated and by who;
• stored at more than one location;
• kept in a manner that is compliant with legal obligations, funding body requirements, and protocols of the Institutional Review Board (IRB) and Human Research Ethics Committee (HREC); and
• accessible to others in a responsible manner in line with ethical, data sharing and open access principles. (Note 3)

6.    Research data and records should be retained with the University for as long as they are of continuing value to the researcher and the wider research community, and as long as specified by research funder, patent law, legislative and other regulatory requirements. The minimum retention period for research data and records is five years after data collection or the most recent publication related to the data, whichever is later.

7.    Where research is supported by a contract with or a grant to the University that includes specific provisions regarding ownership, retention of and access to data, the provisions of that agreement will take precedence.

8.    If research data and records are to be deleted or destroyed, either because the agreed period of retention has expired or for legal or ethical reasons, this should be done in accordance with all legal, ethical, research funder and collaborator requirements and with particular concern for confidentiality, security, cost of long-term storage, and re-use value of the retained data.

9.    Researchers are responsible for:

• managing research data and records in accordance with the principles and requirements set down in this policy;
• ensuring that research data and records owned by the University are accessible to the University;
• developing and documenting clear procedures for the collection, storage, use, re-use, access and retention or destruction of the research data and records associated with their research. This shall include, where appropriate, defining protocols and responsibilities in a joint or multi-institution collaborative research project. This information should be incorporated, where appropriate, in a research data management plan;
• planning for the ongoing custodianship (at the University or using third-party services) of their data after the completion of the research or, in the event of their departure or retirement from the University, reaching agreement with the head of department/faculty (or his/her nominee) as to data custodianship; and
• ensuring that any requirements in relation to research data and records management placed on their research by funding bodies or regulatory agencies or under the terms of a research contract with the University are also met.

10.    The University is responsible for:

• providing access to services and facilities for the storage, backup, deposit and retention of research data and records that allow researchers to meet their requirements under this policy and those of the funders of their research;
• providing researchers with access to training, support and advice in research data and records management;
• providing the necessary resources to those operational units charged with the provision of these services, facilities and training;
• determining the appropriate storage, use, re-use, redaction, sharing and deletion of data owned by the University; and
• enforcing and auditing the implementation of the data management plan associated with all research data owned by the University.

11.    The University Research Committee is responsible for guiding the development and updating of this policy.

12.    This policy should be read in conjunction with the Policy on Research Integrity.


Acknowledgement: this is an adapted version of University of Oxford Research Data Management Policy, November 2023.
 

Notes:

(1) Research data and records are defined as the recorded information (regardless of the form or the media in which they may exist) necessary to support or validate a research project’s observations, findings or outputs.

(2) See for example the UK Research and Innovation (UKRI) principles at https://www.ukri.org/about-us/policies-standards-and-data/good-research-resource-hub/open-research/, National Institutes of Health (NIH) policies at https://sharing.nih.gov/data-management-and-sharing-policy, National Science Foundation (NSF) Data Management Plan at http://www.nsf.gov/bfa/dias/policy/dmp.jsp, and Wellcome Trust statement at https://wellcome.org/what-we-do/our-work/sharing-research-data-improve-public-health-full-joint-statement-funders-health, which has been endorsed by many organisations including the National Health and Medical Research Council (NHMRC) in Australia. Phase II of the Review of the Research Grants Council (RGC) recommends the requirement of Data Management Plan in the applications submitted to the RGC’s research funding schemes, which is an important step to promote responsible data management and sharing (https://www.ugc.edu.hk/doc/eng/ugc/publication/report/report20210106/report20210106.pdf).

(3) Note that the University is a signatory to the Berlin Declaration on Open Access to Knowledge in the Sciences and Humanities, which recognises that information (including research data) should be made widely and readily available to society and encourages and advocates open access publication.