PRELIMINARY REPORT PLANNING FOR THE LIFECYCLE MANAGEMENT AND LONG-TERM PRESERVATION OF RESEARCH DATA: A FEDERATED APPROACH Phase 1, Environmental Scan June 18, 2013 IMLS 51-12-0695 UNIVERSITY OF KANSAS LIBRARIES & INFORMATION TECHNOLOGY GREAT PLAINS NETWORK GREATER WESTERN LIBRARY ALLIANCE INSTITUTE OF MUSEUM AND LIBRARY SERVICES PRELIMINARY REPORT PLANNING FOR THE LIFECYCLE MANAGEMENT AND LONG-TERM PRESERVATION OF RESEARCH DATA: A FEDERATED APPROACH A report to the Advisory Council, IMLS Grant 51-12-0695 June 18, 2013 Version 1.1 Grant Staff Deborah M. Ludwig, Principal Investigator Scott R. McEathron, Investigator Bob Lim, Investigator Paul K. Farran Joni M. Blake, Investigator Gregory E. Monaco, Investigator Nicole A. Potter. Project Coordinator Acknowledgements: We wish to acknowledge the efforts and contributions to this report from many individuals, including the members of the committees and research teams listed in Appendix A. We also thank Lars Hagelin of the Greater Western Library Alliance for the development of graphics and technical advice. This project is made possible by a grant from the U.S. Institute of Museum and Library Services ________________________ Views, analyses, and recommendations expressed by the authors of the environmental scan reports reflect the perceptions and opinions of the individual authors and may not necessarily reflect those of the University of Kansas, the Greater Western Library Alliance, the Great Plains Network, or the Institute of Museum and Library Services. 2 FORWARD This report provides the preliminary findings of a collaborative planning project undertaken to identify and consider opportunities for a shared approach to management of research data by members of the Great Plains Network, the Greater Western Library Alliance, and the University of Kansas. As such, our efforts build upon a number of current and recent preparatory activities among institutional members of GPN and GWLA connecting their distinct missions to better serve the research community. The final goal of our work is the development of a plan for a collaborative and federated approach to research data management services that seeks to leverage collective strengths of member institutions This work is conducted under IMLS National Leadership Planning grant 51-12-0695 with three specific goals. Goal #1: Undertake an in-depth environmental scan focused on current national and international data management initiatives and on the needs of our member universities for research data management services and infrastructure. Goal #2: Bring together a GPN and GWLA member forum and two-day workshop for the university research, library, and technology communities focused on understanding challenges and solutions in managing, sharing, and preserving research data. Goal #3: Create and disseminate a plan for a scalable multi-institutional approach to research data management to support the university members of GPN and GWLA and advance this plan for funding. This report is a living report and will be updated as each goal is complete and shared with the advisory council and others connected to this work. 3 TABLE OF CONTENTS FORWARD ................................................................................................................................................................... 3 EXECUTIVE SUMMARY (MAY 17, 2013) ............................................................................................................. 6 Overview of the Grant and Activity to Date .......................................................................................... 6 Advisory Council Meeting in Kansas City, May 29 and 30, 2013 ........................................................ 9 CHAPTER I: ENVIRONMENTAL SCAN .......................................................................................................... 11 OVERVIEW OF THE ENVIRONMENTAL SCAN ........................................................................................... 11 SECTION A. REVIEW OF CURRENT LITERATURE ...................................................................................... 12 Introduction to the Literature Review (Scott R. McEathron) .............................................................. 12 1. Introduction and general works (Scott R. McEathron) ................................................................... 12 2. Assessments of researcher behavior, attitudes and needs (Stephanie Wright) ................................ 13 3. Services, roles and responsibilities (Brian Westra) ......................................................................... 15 4. Sharing, reuse, publication and citation (Scott R. McEathron) ...................................................... 16 5. Data management planning (Brian Westra) ................................................................................... 18 6. Policies and standards [report pending] .......................................................................................... 19 7. Institutional repositories, approaches, and issues (Sarah Potvin) ................................................... 19 8. Disciplinary or subject repositories, approaches, and issues [report pending] ............................... 23 9. Federated and collaborative approaches (Deborah M. Ludwig & Michael Bolton) ......................... 23 10. Economics/costs of data curation [report pending] ....................................................................... 34 11. Archiving and preservation (Amalia Monroe-Gulick) .................................................................. 34 12. Metadata and description (Andrew Johnson) ................................................................................ 36 SECTION B. RESULTS OF SURVEY (PRELIMINARY AS OF 5/15/2013) ........................................................ 40 SECTION C. REVIEW OF KEY PROJECTS AND TECHNOLOGIES ................................................................. 54 1. Curation of Data ............................................................................................................................... 55 2. Preservation of Digital Materials .................................................................................................... 77 3. Archiving & Repository Services ..................................................................................................... 93 4. Storage Systems ............................................................................................................................. 108 5. Enabling Technologies, Services, and Components for Data Management .................................. 115 CHAPTER II: OUTCOMES OF DATA MEETING (NOT YET AVAILABLE) ............................................ 150 CHAPTER III: PLAN FOR DATA MANAGEMENT SUPPORT (NOT YET AVAILABLE) ................... 151 APPENDIX A: COMMITTEES AND STAFF .................................................................................................... 152 STEERING COMMITTEE ........................................................................................................................... 152 ADVISORY COMMITTEE .......................................................................................................................... 152 GRANT STAFF .......................................................................................................................................... 153 RESEARCH TEAM A, LITERATURE REVIEW ............................................................................................ 153 RESEARCH TEAM B, KEY PROJECTS & TECHNOLOGIES REVIEW ........................................................... 153 APPENDIX B: GRANT ABSTRACT ................................................................................................................... 155 4 APPENDIX C: MAP OF GPN AND GWLA MEMBERSHIP ......................................................................... 157 APPENDIX D: BIBLIOGRAPHY (ALPHABETICAL) ..................................................................................... 158 APPENDIX E: BIBLIOGRAPHY (THEMATIC) ............................................................................................... 168 1. Introduction and general works .................................................................................................. 168 2. Assessments of researcher behavior, attitudes and needs ........................................................... 169 3. Services, roles and responsibilities .............................................................................................. 170 4. Sharing, reuse, publication and citation ..................................................................................... 172 5. Data management planning ....................................................................................................... 173 6. Policies and standards [pending] ................................................................................................ 174 7. Institutional repositories, approaches, and issues ....................................................................... 174 8. Disciplinary or subject repositories, approaches, and issues ...................................................... 175 9. Federated approaches ................................................................................................................... 175 10. Economics/costs of data curation .............................................................................................