Research Outputs System: Third Party Access Guidelines


Application


These guidelines apply to all staff and students at the University.

Purpose


The purpose of these guidelines is to define who may access the research records of third parties, under whose authority this may occur, and for what reasons they may do this.

Contents


Background –

  • What is the Research Outputs system?
  • How are Research Outputs records managed?
  • How is the Research Outputs system used?

Guidelines -

  • Access by an individual to their own research outputs records
  • Access to all research outputs records for the purposes of system administration or technical support
  • Access to research outputs records for the purposes of verification
  • Access to research outputs records for the purposes of populating other systems such as decision support systems and the University Directory
  • Access to research outputs records for the purposes of reporting
  • Delegated access to an individual’s research outputs records
  • Delegated access to research outputs records of a group

Background


What is Research Outputs?

Research Outputs is the system used to record and manage publications, creative works and professional activities.

All users of Research Outputs are able to discover and read publications, creative works and professional activity records in Research Outputs.

 

How are Research Outputs records managed?

Research Outputs records can be managed in one of four ways:

  1. By an individual managing their own records
  2. By an individual managing the records of a third party (eg an academic), where the third party has authorised this arrangement
  3. By an individual (eg a departmental administrator) managing the records for a large group of users, such as a research group, department, or faculty
  4. By a system administrator who has full system and reporting access to all records

 

How can access to the Research Outputs system be used?

  • To enter or manage existing research outputs
  • To perform verification of research outputs metadata
  • To create reports of research outputs and associated metrics e.g. citations
  • To perform bibliometric comparisons for benchmarking purposes
  • To perform system administration or support tasks
  • To extract data to populate other University systems such as the Research Repository, the University Directory, and decision support systems
  • To contribute to the development of KPIs to measure progress towards the University’s strategic objectives

Guidelines


Access by an individual to their own Research Outputs records

  • All staff, including UniServices staff, and doctoral candidates are provided with an account in Research Outputs so that they can manage their own records
  • Even if a user does not personally delegate third party access to their records, a third party may still have read only or write access; this includes delegated access granted by a user’s Dean, Academic Head or by staff authorised by the Chair of the Electronic Research Management Advisory Group for the purposes of data verification, reporting, system administration or technical support
  • The record of that authorisation is logged in the University enterprise call logging system by the Research Outputs System Administrator

 

Delegated access to an individual’s Research Outputs records

  • Users of Research Outputs are able to delegate access to their own records to third parties. For example a user may delegate a departmental administrator to manage their records
  • Third parties to whom access can be delegated must be users of the system, as defined within these guidelines
  • Individuals who delegate access to their records must be aware that the third party can perform all activities within the system that the individual is able to perform.  This includes:
    • Adding new records
    • Editing existing records
    • Deleting records
    • Viewing existing records, including citations
    • Uploading full-text files and granting permission for them to be submitted to the Research Repository
    • Viewing professional activities in the Professional Activities Legacy Database
  • A third party who has been given delegated access may request technical support and further provide access to an individual’s record for a technical support person
  • It continues to be the responsibility of the delegating individual to ensure their Research Outputs records are maintained, even if they have delegated access to a third party
  • It is the responsibility of the delegating individual to add and remove delegations within the system as appropriate

 

Delegated access to Research Outputs records of a group

  • Staff members in charge of a group of users, for instance a Dean or an Academic Head, may delegate some or all of the management of their group members’ Research Outputs records to a third party, for instance a group administrator
  • These types of delegation can only be completed by a line manager or with the documented consent of a staff member who is not line managed by the head of the group requesting the delegation
  • Formal, written and signed notification is required from the head of a group to the Research Outputs System Administrator who will log the notification in the University enterprise call logging system before access to the accounts of all users in that group is provided to a third party. This access is provided for up to 12 months.
  • Access is reviewed annually and will be removed unless renewal is confirmed via an email from the delegating authority when contacted about the status
  • It is the responsibility of the head of the group to ensure that all group members are aware that the access has been delegated, and that the delegated third party will have full access to each individual’s research records.  Email notification is acceptable
  • It continues to be the responsibility of the delegating individual to ensure their Research Outputs records are maintained, even if access has been delegated to a third party

 

Access to Research Outputs records for the purposes of reporting

  • Members of the Senior Leadership Team and Academic Heads have access to Research Outputs data for reporting and benchmarking purposes
  • Staff members can be assigned a Statistician role which provides read-only access to records in the system for reporting, planning and management purposes. This role does not allow the staff member to make changes to records, other than their own
  • Staff requiring this level of access for a specific group of records, e.g. records for a Faculty, must be authorised in writing by the relevant Dean(s), Academic Head(s) or the Chair of the Electronic Research Management Advisory Group
  • The written authorisation will be forwarded to the Research Outputs System Administrator who will ensure this authorised access is logged in the University enterprise call logging system
  • This access is role-based and will change if the staff member assigned to this role changes
  • Staff members with a Statistician role are only allowed to use the data for the purposes of the reports that they are requested to compile, or to support work requested or approved by a member of the Senior Management Team or Academic Head(s)
  • The Research Outputs Systems Administrator(s) can run departmental annual reports for the purposes of departmental reporting, to be provided to the Academic Head, Departmental Research Manager, or assigned delegate

 

Access to Research Outputs records for the purposes of verification

  • Some staff require access to the system in order to verify research outputs’ records
  • The staff member is only allowed to edit metadata for the purposes of correcting it in order to ensure the data is of sufficiently high quality for reporting purposes or to ensure correct citation data in the University Directory profile
  • Staff requiring this level of access must be authorised by the University Librarian who will inform the Research Outputs System Administrator so the names are recorded in the University enterprise call logging system
  • Details of the verification process are outlined in the “Research Outputs: Verification of Publications and Creative Works Guidelines”

 

Access to all Research Outputs records for the purposes of system administration or technical support

  • Research Outputs system administrators may access the records of third parties strictly for the purposes of system administration, system testing, upgrades or the provision of technical support
  • Research Outputs system administrators may only edit records with the express permission of the individual concerned, or one of their delegates.  Permission may be granted by email or verbally on the telephone during a support call
  • Research Outputs system administrators may edit research records or edit automatic search settings in order to resolve system issues or technical support requests

 

Access to Research Outputs records for the purposes of populating other systems such as the Research Repository, the University Directory and decision support systems

  • Data held within Research Outputs is useful for populating other University systems.  All applications for access to data should be sent to the Chair of the Electronic Research Management Committee for consideration by members of that Committee.
  • Re-use of the data is encouraged, subject to the following conditions:
    • Only elements of data that are visible to standard users may be re-used. This excludes the use of personal details and confidential data.  Data that has been derived from ‘up-stream’ systems such as HR data should be sourced directly from those systems not from Research Outputs.
    • Some elements of data that have been sourced from commercial databases may not be reused; this data is restricted by licensing and copyright. Examples include bibliometrics (citation and publication data, and long abstracts sourced from Thomson Reuters and Scopus data sources). Advice should be sought from the University Librarian, or an agreed delegate, if these data elements are required.
    • Users of the system whose data may be re-used in a public setting, such as externally accessible web pages, should always have the ability to have all or some of their data suppressed as outlined in the University Directory Policy and the associated Guidelines.

Definitions


The following definitions apply to these guidelines:

Bibliometric means quantitative and statistical analysis of publications such as journal articles

Research Outputs is the system used to record and manage publications, creative works and professional activities.

University means the University of Auckland including all subsidiaries

Verification is the process to confirm the existence of a research output and the author relationship to that research output; and ensure metadata is of sufficient quality to produce an accurate reference that can be used for reporting purposes and to locate the item

Document management and control


Content manager: Research Support Services Manager, Libraries and Learning Services

Owner: DVC (Research)

Approved by:  Electronic  Research Management  Advisory  Group; Research Committee

Date approved: 6 July 2015

Review date:  1 March 2017