Legal Interoperability of Research Data: Principles and Implementation Guidelines, Christoph Bruch, Helmholtz Open Science Coordination Office (RDA/CODATA Legal Interoperability Interest Group)
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The document discusses legal interoperability principles and guidelines for research data developed by the Research Data Alliance (RDA) and CODATA Legal Interoperability Interest Group. It provides an overview of RDA, the interest group, and their work developing principles and guidelines to facilitate lawful access to and reuse of research data while balancing various legal interests. The principles focus on determining rights and responsibilities, transparency of rights, and harmonization of rights. Guidelines for each principle provide more specific recommendations.
Legal Interoperability of Research Data: Principles and Implementation Guidelines, Christoph Bruch, Helmholtz Open Science Coordination Office (RDA/CODATA Legal Interoperability Interest Group)
- 1. Science. Set Free - OpenAIRE workshop “Legal issues in Open Research Data” 04 April 2017, University of Barcelona, Barcelona Legal Interoperability of Research Data Principles and Implementation Guidelines Christoph Bruch Helmholtz Association Co-chair, RDA/CODATA Legal Interoperability Interest Group
- 2. Research Data Alliance Seite 2 Barcelona, 04.04.2017
- 3. Research Data Alliance Launched in 2013 Community-driven : 5400 members / 123 countries Provides a neutral space where its members can come together through focused global Working and Interest Groups to develop and adopt infrastructure that promotes data-sharing and data- driven research Works via working groups Produces outcomes: Legal interoperability paper is one Helmholtz Association is a member of RDA Seite 3 Barcelona, 04.04.2017
- 4. RDA/CODATA Legal Interoperability IG CODATA The Committee on Data for Science and Technology of the International Council for Science RDA/CODATA Legal Interoperability IG Subscribed members: Currently 81 Most active members: about 10 Regular phone conferences Meetings during RDA plenaries Currently working on dissemination and endorsement plan for the Principles Seite 4 Barcelona, 04.04.2017
- 5. Principles and Guidelines on the Legal Interoperability of Research Data Seite 5 Barcelona, 04.04.2017
- 6. Aspects of legal interoperability Covered by current Version of the Principles Copyright Not covered by the current Version of the Principles Data Protection law Liability law National security / public order law Labor law Academic freedom Current version https://doi.org/10.5281/zenodo.162241 Seite 6 Barcelona, 04.04.2017
- 8. Principles 1. Facilitate the lawful access to and reuse of research data. 2. Determine the rights to and responsibilities for the data. 3. Balance the legal interests. 4. State the rights transparently and clearly. 5. Promote the harmonization of rights in research data. 6. Provide proper attribution and credit for research data. Barcelona, 04.04.2017 Seite 8
- 9. Guidelines for Principle 1 Facilitate the lawful access to and reuse of research data. A. Access to and reuse of research data should be open and unrestricted as a default rule, or otherwise be granted to users with the fewest limitations possible. B. Governments, institutions, or researchers can apply one of an array of legal instruments to place collections of research data in the public domain, with no restrictions on reuse. C. The CC0 or PDDL waivers of rights are the preferred voluntary, nongovernmental approaches to facilitate the legal interoperability of research data. The non- restrictive (“common-use, attribution-only, CC-BY 4.0”) license may also be considered when disseminating the data for broad use. D. In asserting any rights and in applying access and reuse terms and conditions to any research data made publicly available, all members of the research community should make such data available equitably to all users, including the most disadvantaged ones. Barcelona, 04.04.2017 Seite 9
- 10. Guidelines for Principle 2 Determine the rights to and responsibilities for the data. A. Research data disseminators need to establish who or what entity has the rights to any given collection of data before the data are disseminated to others. B. It is also the responsibility of research data users to abide by the rights applicable to the collection of research data, as well as the specific user rights in the jurisdiction that the data are being used. C. Representatives of research communities who are also experts in policy and legal issues are encouraged to participate in fora that develop and implement laws and other norms governing access to, and the reuse and legal interoperability of, research data. D. A well-conceived educational process for researchers regarding rights and responsibilities in research data should be developed and adopted by relevant institutions. Barcelona, 04.04.2017 Seite 10
- 11. Guidelines for Principle 3 Balance the legal interests. A. As a default rule, intellectual property rights in government or publicly-funded collections of research data should be waived as far as possible and distributed in the least restrictive manner. B. Governments and public research institutions need to justify any restrictions on research data that may be imposed over and above any restrictions on the access and reuse of data that are defined by existing legislation. C. Policymakers should consider public interests in developing rules for access to and use of publicly generated research data. D. Public research funding organizations and the rights holders of public research data sources should reduce time embargoes for exclusive personal periods of research use to the minimum necessary. E. As a default rule, all rights holders of research data that are partly or fully funded by the public sector need to avoid the use of individual contracts or agreements that restrict access to and reuse of the data. Barcelona, 04.04.2017 Seite 11
- 12. Guidelines for Principle 4 State the rights transparently and clearly. A. The use of standardized electronic statements regarding the legal rights retained (if any) by the rights holders and providers of research data can greatly assist in their comprehensibility by a wide audience-- including by machines. B. The rights holder(s) of any given data used in research should engage competent legal counsel when it is necessary to determine the applicable law(s) and to clarify the differences among jurisdictions. C. Rights holders should inform users about any special terms and conditions of use. Barcelona, 04.04.2017 Seite 12
- 13. Guidelines for Principle 5 Promote the harmonization of rights in research data. A. Research policymakers and practitioners can use both top-down and bottom-up approaches, and mixes of both, to harmonize rights concerning research data. B. Bottom-up actions based on voluntary, private law mechanisms, can be an effective approach for research individuals or institutions to take in the absence of government action, but are relatively fragmented and less harmonized. C. Top-down harmonization through “hard” law, such as multilateral treaties or executive agreements, or national legislation or administrative regulation, can work in some contexts and can be extremely useful as a broad harmonization tool. D. Process-based approaches such as workflows decision-making charts, decision making apps and tools, or scoreboards might be considered useful tools to promote harmonization. Barcelona, 04.04.2017 Seite 13
- 14. Guidelines for Principle 6 Provide proper attribution and credit for research data. A. Attribution of research data used in any scholarly output should be a normative convention established by good research policy and practice, and preferably not by a legal mandate or a license requirement. Barcelona, 04.04.2017 Seite 14
- 15. Thank you very for your attention christoph.bruch@os.helmholtz.de Barcelona, 04.04.2017 Seite 15
- 16. CC-BY Where not indicated otherwise, the text of this work is licensed under the Creative Commons – Attribution 4.0 To view a copy of this license, visit http://creativecommons.org/licenses/by/4.0 Helmholtz Logo copyright Helmholtz Association Barcelona, 04.04.2017 Seite 16