information management

INFORMATION MANAGEMENT Reference (if applicable) Revision Number Effective Date Authorisation 1 1st January 2006 Peter Montague INFORMATION MANAGEMENT Reason for Policy Because the CRC is a joint venture of research and educational agencies and industry, and is accountable to the Australian Government, it is essential that we operate under best practices for research and scientific reporting of raw data, the processing of the data through to reports, publications, technology transfer, commercialisation and the registering of IP. While best practices are widely employed by the CRC Participants, the CRC needs to ensure that a minimum standard, for the management of data and information in both field and laboratory situations, is met throughout our activities. As the legal custodian of CRC intellectual property, the CRC needs to be aware of and have access to the information generated by our activities. The policy also aims to enhance communications between staff of the CRC and other participating agencies. The efficient handling of information enables all aspects of reporting: within the CRC, between the various participating agencies, to the Australian Government, and to scientific journals, to be done in an efficient and timely manner. What is new? The following guidelines represent normal, responsible management of scientific data. They are not novel, and they are not intended to be different from those of the various participating organisations. There is only one specific new requirement for recording information, namely the Project Data Register which will be an additional page in the existing Project Intellectual Property Register. The guidelines aim to show clearly where responsibilities reside during the processes of information management, from the primary researchers (students, technicians and others), through Project leaders and PhD Supervisors, to Program leaders, the CEO and the Board. Definitions of Information Raw data Raw data are data collected by primary researchers in notebooks, and also include photographs and instrument print-outs along with relevant observations. Increasingly these 5e34f720-d7fd-4679-8fd3-1465dd5bfed5.doc 1 data are recorded directly on computers. In all cases information needs to be dated and arranged in an orderly manner. This information is the responsibility of the individual researcher, including presentation, dating and safe storage and back-up. Project Leaders and PhD Supervisors need to know of the existence and location of these raw data and have access to them when necessary. It is the responsibility of the Program leader at the beginning of and during each project to assess the likelihood that the project will generate commercially valuable intellectual property (IP). Should this be considered likely, and accordingly noted in the IP Register, then the more stringent codes for recording data, described in the CRC IP and Commercialisation Policy, are required. NB: The protocols for the management of IP in the CRC have been in place for some years (see IP and Commercialisation Policy, Policy Manual, on Aquafin CRC Website). Qualified data This is the stage where raw data have been assessed as reliable and are processed into the qualified data sets which will become the basis for the preparation of reports, publications, etc. It is the responsibility of the Project Leader and PhD Supervisor to ensure that data are processed into qualified data sets and registered (see below) as soon as is reasonable. Assessment, storage, security of, and access to, qualified data are the responsibility of the primary researcher. PhD Supervisors should have their own copy of their student’s qualified data. All qualified data should be backed-up securely on CD or DVD. It is the responsibility of the Project leader or PhD Supervisor to make qualified data available to the Program leader or the CEO, if requested. Data Register The data sets need to be registered, by being identified in a manner that enables potential users to assess how useful they might be, their origins and constraints on their use. The Register should show who is responsible for the data, where they are located and the degrees of confidentiality attached to them. The Data Register for a Project is a new page in the Project Intellectual Property Register (see attached revised IPR proforma). This page should be updated and copied into each Milestone Report (see attached MR proforma, Revision of January 2006). The CRC Office will then compile the Project Data Registers into a CRC Data Register, and this will appear on the website of the CRC as a means of communicating information across the CRC without compromising confidentiality. It will also allow the CRC to identify and access all information required for all aspects of mandatory reporting in a timely fashion. It is the responsibility of the Project leaders and PhD Supervisors to ensure that material for the Data Register is up to date at the time of their Milestone Reports. Information In this context, information is defined as documents that summarise, and report on the data collected. In the CRC, the principal vehicle is the Milestone Report. The responsibility for the development of information, and for its quality, is collectively with the primary researcher, Project leaders and PhD Supervisors, and Program leaders. 5e34f720-d7fd-4679-8fd3-1465dd5bfed5.doc 2 Knowledge In this context knowledge is defined as documents that integrate and interpret data sets and draw conclusions which guide future research, or influence commercial practices. “Documents” may include software, models, prototypes or specialist databases. The knowledge is transmitted in the form of Final reports, PhD theses and scientific publications, and is required by the CRC for reporting to stakeholders and to the Australian Government, planning for technology transfer and commercial activities, and identifying material for publicity purposes and opportunities for new business. The CRC Office handles distribution of Final reports, approves activities and materials for technology transfer to stakeholders, approves release of scientific publications, and holds a copy of each PhD thesis. Summary of senior responsibilities PhD Supervisors 1. A copy of the information generated by each PhD student, as well as draft thesis material, should be held by their academic Supervisor. This is to prevent its loss if a student does not complete a thesis within a reasonable time. 2. This information should be passed by the student to the Supervisor on completion of each major experiment. 3. A copy of each accepted PhD thesis must be deposited with the CRC office. CRC Project and Program Leaders 1. CRC Program leaders must ensure that Project IP Registers are kept up to date. Each Milestone report will include an entry to show that this has been done. 2. When it is identified by the Project leader or Program leader that there is a potential for substantial commercial IP to be generated, then laboratory notebooks must be maintained as set out in Appendix 5, IP and Commercialisation Policy. This decision should be noted in the Project IP Register. 3. During the course of the project, the Project leader should ensure that raw data are processed into qualified data as soon as is reasonable, and make qualified data available to other CRC Participants if requested to do so by the respective CRC Program leader or by the CEO. 4. Project Milestone reports must include an updated list of processed, qualified data generated by the project, as the Project Data Register. The final list must be copied to the CRC Office when the Final Report is approved. Office and Board of CRC 1. The CRC Office will be compile the Project Data Registers into the CRC Data Register and this will be posted on the CRC website to show what information is available for possible use in CRC activities by Participants, or is likely to contribute to greater cooperation and technology transfer. Participants will be alerted by email when the website Data Register has been updated. 2. In principle, all CRC information captured is confidential, but is available for use by Participants for CRC activities only. In case of doubt, refer to the CEO. IP Registers can be used to identify material that is or is not considered commercially sensitive. CRC information can be published subject to the CRC approval processes. 5e34f720-d7fd-4679-8fd3-1465dd5bfed5.doc 3 3. Decisions about the sale of CRC project data are the responsibility of the IP Committee of the Aquafin CRC Board. 5e34f720-d7fd-4679-8fd3-1465dd5bfed5.doc 4 Table 1 – INFORMATION MANAGEMENT & RESPONSIBILITIES Raw Data Collected by primary researchers Dated data in notebooks or in computers, with appropriate security and back-up Responsibility of primary researchers with access for Project Leader and PhD Supervisor, or as required by the research institution. Responsibility of primary researcher and Project Leader and PhD Supervisor, or as required by the research institution. Available to CRC Program leaders on request. (a) responsibility o Project leader; (b) responsibility of CRC. Processed Data Confirmed reliable datasets Stored on CD/DVDs in more than one known, safe place Data Register (New) (a) Project Data Register: a new page in Project IP Register; (b) CRC Data Register: a register of all qualified CRC data Documents which report and summarise collected data for mandatory reporting (a) Held by Project Leader; (b) Held by CRC, preferably on the website and/or CD or DVD Milestone reports. Held by CRC for reporting to Australian Government and for other communications Final Reports, publications, manuals, models, software, prototypes, specialist databases. Held and promoted by the CRC Information Responsibility of all researchers, leaders and the CEO. Knowledge Documents which integrate and interpret data to draw conclusions which guide future research and influence commercial practices Responsibility of all researchers, leaders, CEO and the Board These guidelines to management of information and the staff responsible at various levels are already generally practiced in the CRC, with the exception of the Data Register. The requirements are more rigorous for research that is deemed by Program leaders to have commercial IP implications. The necessary protocols for information management in this case have been clearly defined in the IP and Commercialisation Policy. 5e34f720-d7fd-4679-8fd3-1465dd5bfed5.doc 5