The National Research Information System: Technical Documentation Data Specification

Transcription

1 The National Research Information System: Technical Documentation Data Specification Version 1.1 May 2018

2 Version History Version Date Key Updates 1.0 December April 2018 Detailed list of changes as per table below Minor formatting changes made to document Section number number Description of change Section heading changed for consistency (from Data Access to Data Collection) Code set name updated Field name and code set reference changed from Appropriation Type to Appropriation Period Code set name updated Field name and definition updated to match code set name Sentence fragment removed from Additional Information Name updated (with term Objective ) to be consistent with items and Code set name added for consistency with other ANZSRC sections Field name updated to match definition and code set name Code set name updated from Organisation Type to Organisation ID Type Name updated (with the term Objective ) to be consistent with items and Section reference added Code set name added for consistency with other ANZSRC sections Section numbering updated to Name updated (with term Objective ) to be consistent with items and Code set name added for consistency with other ANZSRC sections Section reference added Name updated to be consistent with section naming Name updated to be consistent with section naming Incorrect section numbering updated Name updated to be consistent with section naming Incorrect section numbering updated Incorrect section numbering updated Incorrect section numbering updated Incorrect section numbering updated Incorrect item and section numbering updated 7.3 Sections moved to appropriate order and numbering updated. This includes the following changes:

3 Section number number Description of change now now now Incorrect section numbering updated Incorrect section numbering updated 10.6 Minor updates to definitions within code set Added guide for use to code set 11.6 Addition of Secondary school and Primary school to Organisation Type code set The National Research Information System: Technical Documentation Data Specification May 2018 Ministry of Business, Innovation and Employment WELLINGTON ISBN This work is licensed under the Creative Commons Attribution 3.0 New Zealand License. To view a copy of this license, visit or send a letter to Creative Commons, PO Box 1866, Mountain View, CA 94042, USA.

4 Table of Contents 1. What is the purpose of this document? What is the National Research Information System (NRIS)? What information will be in NRIS? Where do I find NRIS documentation? What is in this document? What information does NRIS hold? Raw Data Business Data Vault Data Mart The purpose of the data collected by NRIS Data Collection Record Structure Data Collection Code Sets and User-specified information ANZSRC Classifications Data Collection Identifiers RS&I Concept Model (source: NRIS Conceptual Framework) Who Provides NRIS Data Worked Example Endeavour Fund Asset Pool allocation of Resources Data Collection for Asset Pool (e.g. Fund) Managers NRIS Identifiers Asset Pool (M if distributing public funds) Asset Pool Planned Distribution (O) Application (Request for Resources) (O) Application Review (O) Application Decision (O) Award Granted (M if distributing public funds) Resource Distributed (M if distributing public funds) Data Collection for RS&I Managers NRIS Identifiers Project (M if using public funds) Award Received (M if using public funds) Resource Received (M if receiving public funds) Output (M if using public funds) Data collection for People and Organisation records NRIS Identifiers

5 7.2. Person Record (M) Organisation Record (M) Group (People or Organisations) (O) Facility (O) Data Access Logical Data Model Data Mart View Entities, Elements and Attributes Award and Project Code Sets Code Set Vote Code Set Appropriation Code Set Appropriation Period Code Set Appropriation Estimate Type Code Set Distribution Period Type Code Set Allocation Method Code Set Resource Type Code Set Resource Measure Code Set Constraint Type Code Set Application/Award Type Code Set Application Phase Code Set Review Method Code Set Review outcome Code Set Application Decision Code Set Status Code Set Project Type Code Set Distribution Basis Code Set Access Type Code Set Output Identifier Type Code Set Public Sector Research Alignment Code Set Centre of Research Excellence Theme Code Set National Science Challenge Theme Code Set Health Research Council Theme Code Set MPI Theme Code Set Vision Mātauranga Theme Code Set Benefiting Region People and Organisation Code Sets Code Set Person Identifier Type Code Set Person Career Stage Code Set Person Application Role Code Set Organisation Identifier Type

6 11.5. Code Set Organisation Name Type Code Set Organisation Type Code Set Personnel (Project) Roles Code Set Organisation Project Role Appendix A: Key Definitions Appendix C: Data Collection Logical Data Models Appendix D: References Figures and Tables Figure 1 NRIS Data and Access Table 1 Purpose and Review Schedule for NRIS documents... 11

7 Acronyms and abbreviations used in this document ANZSRC BERD CoRE CRI EU FTE GST HRC IRO MBIE MPI NRIS NSC NSN NZBN Australian and New Zealand Standard Research Classification Business expenditure on research and development Centre of Research Excellence Crown Research Institute European Union full-time equivalent goods and services tax Health Research Council Independent research organisation Ministry of Business, Innovation and Employment Ministry for Primary Industries National Research Information System National Science Challenge National Student Number New Zealand Business Number OIA Official Information Act 1982 ORCID id R&D RAiD RfP RS&I RS&T STEM TEC Open Researcher and Contributor ID research and development research activity identifier request for proposal research, science and innovation research, science and technology science, technology, engineering and mathematics Tertiary Education Commission MINISTRY OF BUSINESS, INNOVATION & EMPLOYMENT 7 NATIONAL RESEARCH INFORMATION SYSTEM: DATA SPECIFICATION

8 1. What is the purpose of this document? This document provides a view of the data supplied to, used by, and accessed via the National Research Information System (NRIS). The information within this document describes data to be supplied to NRIS, the code sets used, and provides a view of the entity and attribute information accessible via NRIS. The document provides guidance for partner organisations to assess the way business operations may need to adjust to enable data sharing with NRIS, and the types of information likely to be available from NRIS. This document is intended to be read alongside the NRIS Conceptual Framework. Other NRIS documentation the NRIS Overview and NRIS Implementation Timetable may also be helpful. MINISTRY OF BUSINESS, INNOVATION & EMPLOYMENT 8 NATIONAL RESEARCH INFORMATION SYSTEM: DATA SPECIFICATION

9 2. What is the National Research Information System (NRIS)? NRIS is an information hub where people can easily find information about research, science and innovation (RS&I) in New Zealand. It will contain data sourced from organisations active in the New Zealand research, science and innovation system. NRIS will help people answer questions such as: What projects are underway? Who is working on them? Who is an expert I can contact on a particular topic? What are they working on? How much is being spent on a particular area? Which areas need additional resources and support? NRIS will initially contain information about research funded wholly, or in part, by the New Zealand Government. As experience and confidence with the system grows, we expect information on other research, science and innovation (RS&I) activities, such as privately-funded research, could be included. NRIS is not a repository, ie it will not hold the actual results of research (such as published papers) or research data 1. Most of the information about research, science and innovation that NRIS holds will come from funders such as the Ministry of Business, Innovation and Employment (MBIE) and the Ministry for Primary Industries (MPI), and research institutions such as Crown Research Institutes and Universities. In line with the government s information and data management principles, NRIS supports an open data 2 approach to research information, with information easily accessible and widely available. That said, some research information is commercially sensitive or raises privacy issues and needs protecting. When this need exists, such information will be protected within NRIS. Creating NRIS does not affect legal frameworks, such as what can be disclosed under the Official Information Act (OIA) or who makes decisions about disclosure. NRIS is expected to be operational in 2018 with data from MBIE, the Health Research Council (HRC) and the Royal Society Te Apārangi. Over the next five years, we expect all major suppliers of data to be progressively integrated. As part of this process, we will help organisations meet data collection and quality standards. Development is being led and managed by MBIE. The development and operation of NRIS is driven by a commitment to collaboration, co-governance and co-design. MBIE is working in partnership with the RS&I sector, including the Māori research community, to build a system that benefits all participants and users. 1 Research data is data that is collected, observed, or created, for purposes of analysis to produce research results 2 Open data is data that anyone can access, use or share MINISTRY OF BUSINESS, INNOVATION & EMPLOYMENT 9 NATIONAL RESEARCH INFORMATION SYSTEM: DATA SPECIFICATION

10 2.1. What information will be in NRIS? NRIS will contain information about the inputs to, and outputs of, research, science and innovation (RS&I) as well as the context in which RS&I is conducted 3. This includes information about: people, groups and organisations projects the funding environment facilities, equipment, and services events (such as scientific conferences and workshops or periods of observation or experiment) outputs and processes measurements and indicators including outputs, outcomes and impacts. The information in NRIS excludes the actual results of research, science and innovation (ie data, copies of outputs etc). NRIS will, however, contain metadata on the activities and outputs. For example, NRIS will include information about who is doing a Master s or PhD thesis and the topic of their research, but not the actual thesis and associated data. The metadata may include information on where to find the outputs of RS&I activities. 3 After CERIF see Research Information the CERIF approach (section 4, Research information) downloaded 1 September 2017 from MINISTRY OF BUSINESS, INNOVATION & EMPLOYMENT 10 NATIONAL RESEARCH INFORMATION SYSTEM: DATA SPECIFICATION

11 2.2. Where do I find NRIS documentation? Four main sources of documentation describe NRIS: NRIS Overview NRIS Conceptual Framework NRIS Implementation Timetable NRIS technical documentation These documents are available at search: NRIS Their purpose and update schedule are set out in the following table: Table 1 Purpose and Review Schedule for NRIS documents Document Purpose Current Version Next Release NRIS Overview Overview of the purpose, benefits and design of NRIS Release 1 October 2017 Reviewed 1 st Quarter 2018 NRIS Conceptual Framework Concepts and highlevel data transfer model for NRIS Release 1 October 2017 Reviewed 1 st Quarter 2018 NRIS Implementation Timetable More detailed information about the timeframe and pathway for NRIS development Release 1 October st Quarter 2018 NRIS technical documentation Technical information on the development and operation of NRIS, including data standards and security view Data specifications May 2018 Further technical documentation released as it becomes available MINISTRY OF BUSINESS, INNOVATION & EMPLOYMENT 11 NATIONAL RESEARCH INFORMATION SYSTEM: DATA SPECIFICATION

12 2.3. What is in this document? The focus of this document is to describe the complete initial set of data that can be supplied to NRIS, why it is required, and how that data may be logically structured for use. This document describes the: data collection record structure the forms of data that organisations will need to supply when they join NRIS logical data model for NRIS how MBIE expects to structure the data held in NRIS for use Code Sets details of code sets which are specific to NRIS This document does not include: data related business rules information about how, and how often, records will be submitted to NRIS information about data security and access control a data collection implementation plan information about how code set updates and versioning will be managed These topics will be addressed in This further technical documentation will be released as it becomes available. This data specifications document is intended to be read alongside the NRIS Conceptual Framework What data and information does NRIS hold? NRIS holds information about people and organisations within the RS&I sector, and their role(s) in relation to each other and to resources, awards, projects, and outputs. NRIS will hold data relating to: Asset Pool (e.g. Fund) Management: o resources available to support RS&I o planned allocation activity (e.g. funding round) o applications for use of those resources o awards made to allocate resources to projects o distribution of awarded resource(s) RS&I Management: o awards of resources granted to support a project o receipt of awarded resource(s) o project planned outputs, activity and staffing o distribution of awarded resource(s) o project activity and status o outputs MINISTRY OF BUSINESS, INNOVATION & EMPLOYMENT 12 NATIONAL RESEARCH INFORMATION SYSTEM: DATA SPECIFICATION

13 Data Collection Records The entities and attributes to be supplied to NRIS by Asset Pool Managers and by RS&I Managers are described, including identification of the minimum data set for entity. Sections 5 to 7 help organisations plan for the future by setting out the technical minimum data standards for data transfer for those who distribute resources, and those who receive resources. These minimum data standards will assist research collaborations such as Centres of Research Excellence (CoREs) and National Science Challenges (NSCs). It is important to note that the minimum technical data standards specify the information which is technically mandatory. In some cases, data which is not technically mandatory may be mandatory for business reasons ( business mandatory ). For example, in some cases information about successful applications may be required to be supplied to NRIS. Business mandatory data may vary between asset pools and planned distributions. Data Collection Record Technically Mandatory? Asset Pool Manager RS&I Manager Asset Pool Yes (if managing public funds) X Planned Distribution No X Application No X Application Review No X Application Decision No X Award Granted Yes (if managing public funds) X Resource Distributed Yes (if using public funds) X Project Yes (if using public funds) X Award Received Yes (if using public funds) X Resource Received Yes (if using public funds) X Output Yes (if using public funds) X Person Record Yes X X Organisation Yes X X Group (People or Organisation) No X X MINISTRY OF BUSINESS, INNOVATION & EMPLOYMENT 13 NATIONAL RESEARCH INFORMATION SYSTEM: DATA SPECIFICATION

14 Data Collection Logical Data Model The logical data model is a representation of the likely data mart view of the entities, attributes, and relationships held in NRIS. This model is derived from the conceptual model, reproduced in section 4.7 (refer to the conceptual framework for details). This is not the physical data model. NRIS uses a data vault and multiple data marts to store data and provide access to information Entities, Elements and Attributes The key entities for NRIS are: Asset Pool (a Fund is a particular type of Asset Pool) : a collection of resources, managed by a single administrator, to be used to enable RS&I activities in order to achieve the specified purpose of the asset pool Award a formal agreement by an asset pool to supply resources for RS&I activity, either directly to a project or person (to deliver agreed output), or to another asset pool (to achieve an agreed outcome) Resource an asset which can be used to perform RS&I activities (e.g. money, data set access, infrastructure, research inputs) Project a set of planned, managed RS&I activities, intended to deliver output(s) which increase RS&I capability Output a service or product produced as a result of RS&I activity Person an individual human being Organisation an organised group of people with a particular purpose, such as a business or government department Information about awards and resources relates to both an asset pool (as the organisation granting or distributing resources) and the RS&I manager (as the recipient of the award, and of the distributed resources) Code sets The code sets specific to NRIS are specified in Sections 10 and 11. Note that versioning of code sets will be addressed in later releases of this document. MINISTRY OF BUSINESS, INNOVATION & EMPLOYMENT 14 NATIONAL RESEARCH INFORMATION SYSTEM: DATA SPECIFICATION

15 3. What information does NRIS hold? Figure 1 NRIS Data and Access Authorised data Secure BI App (Visualisation) Authorised data access rules Secure Data Warehouse Authenticated Users (eg MBIE, HRC, RSNZ, CRIs, Universities etc) Secure Data Mart Business Data Vault Apply business rules Raw Data Vault Staging Data Store Secure data integration Data Sources (eg MBIE, HRC, RSNZ, CRIs, Universities etc) Open data Public Web App Open data access rules Data Quality checks Anonymous Users (eg NZ Public) Authorised access Authorised access NRIS Developers 3.1. Raw Data The raw data vault contains the unit records supplied by organisations to NRIS. These records are initially stored in the staging data store, and once checked and accepted, the data is permanently stored in the raw data vault Business Data Vault The business data vault contains structured data derived from the raw data via business rules. If new rules are added, or existing rules change, the business data vault can be populated with that data by processing the raw data again using the relevant rules Data Mart A Data Mart contains reporting views of the business data, derived from the data in the business data vault, and tailored for the specific purpose and intended users of that Data Mart. One initial Data Mart is expected to be produced for NRIS to support end user data access. Additional Data Marts may be added for specific purposes (e.g. a simple overview Data Mart with a limited range of entities and attributes could be delivered for a group of users, or Data Mart which combines NRIS data with additional data from other sources for targeted analysis purposes). MINISTRY OF BUSINESS, INNOVATION & EMPLOYMENT 15 NATIONAL RESEARCH INFORMATION SYSTEM: DATA SPECIFICATION

16 NRIS Identifiers Asset Pool Asset Pool Planned Distribution Application (Request for Resources) Application Review Application Decision Award Granted Resource Distributed Project Award Received Resource Received Output Person Record Organisation Record Group (People or Organisations) 3.4. The purpose of the data collected by NRIS The relationship between each record collected for NRIS and the RS&I Domain Plan Data Questions: Data Q1 What research is being done in NZ? What is the breakdown of total R&D expenditure (performing measure) on an annual basis by: (i) field of research; (ii) socioeconomic objective; (iii) research type; (iv) horizons; (v) performing institution; (vi) region where research conducted? Data Q2 How much does the government provide for R&D in total, and how is this split by: (i) field of research; (ii) socioeconomic objective; (iii) research type; (iv) horizons; (v) research theme or government goal (including Vision Mātauranga); (vi) funder, funding programme, funding mechanism; (vii) performing institution, research provider type, researcher; (viii) region where research is conducted; (ix) benefitting region? Data Q3 How much does the private sector (business, IROs and private non-profit) spend on R&D in total, and how is this split by: (i) field of research; (ii) socioeconomic objective; (iii) research type; (iv) horizons; (v) performing institution and industry sector; (vi) region where research is conducted? Data Q4 How much funding for R&D comes from overseas (other governments, international organisations, foreign firms) in total, and how is this split by: (i) field of research; (ii) socioeconomic objective; (iii) research type; (iv) horizons; (v) performing institution; (vi) region where research is conducted? Data from NRIS a key input x x x x x x x x x x x x x x x x x x x x x x x x x x x x x Data Q5 How is government funding for R&D projects actually spent (including against its designated purpose)? x x x x x x x Data Q6 How much co-funding is leveraged for particular contracts, researchers, funding programmes, sectors, disciplines or research to particular socioeconomic objectives? x x x x x x x x Data Q7 What support ($) does government provide directly for hubs and precincts as well as incubators? x x x x x x x x x Data Q8 What are the funding sources of R&D performed in CRIs and universities by (i) government sources; (ii) non-government domestic sources; and (iii) overseas? x x x x x x x x x MINISTRY OF BUSINESS, INNOVATION & EMPLOYMENT 16 NATIONAL RESEARCH INFORMATION SYSTEM: DATA SPECIFICATION

17 NRIS Identifiers Asset Pool Asset Pool Planned Distribution Application (Request for Resources) Application Review Application Decision Award Granted Resource Distributed Project Award Received Resource Received Output Person Record Organisation Record Group (People or Organisations) Data Q11 What are the characteristics of researchers and organisations applying for research funding? For each fund, who are the principal investigators and proposed contracting research organisations and what is the amount of funding sought? Science leader/principal investigator broken down by: (i) field of research; (ii) age; (iii) gender; (iv) ethnicity; (v) affiliated institution and type; (vi) qualification details; (vii) career stage. Research proposal data broken down by: (i) industry sector; (ii) socioeconomic objective; (iii) research type; (iv) horizons; (v) research theme or government goal (including Vision Mātauranga); (vi) named researchers (proposed FTEs) and their IDs (Scopus, ORCID, NSN); (vii) proposed collaborations; (viii) length of project(s)? Data Q12 What is the quantity and quality of R&D outputs of NZbased researchers by: (i) field of research; (ii) socioeconomic objective; (iii) research type; (iv) horizons; (v) research theme or government goal (including Vision Mātauranga); (vi) funder, funding programme, funding mechanism; (vii) performing institution, research provider type; (viii) researcher characteristic; (ix) region where research is conducted? Data Q13 What research capacity and capability exists in NZ? How many active researchers are there in NZ and how are they split by: (i) institution, industry sector, research provider type; (ii) career stage; (iii) field of research; (iv) qualification details (the level, place of study, and field of qualification); (v) funder, funding programme, funding mechanism; (vi) research project; (vii) age; (viii) gender; (ix) ethnicity? Data Q15 What is the involvement and achievement of NZ students in STEM subjects? How is this changing over time? How is this split by: (i) age; (ii) gender; (iii) ethnicity; (iv) decile; (v) rural/urban split? Data Q16 What are the post-study employment outcomes and career trajectories for Master s and PhD graduates and what does this look like by: (i) age; (ii) gender; (iii) ethnicity? Data Q17 What is the mobility of NZ s researchers and what are the trends? What proportion and type of researcher (by ANZSRC field of research category) stay in NZ, go overseas, or return? What is the movement within the university and CRI sector and between public institutes and the private sector? x x x x x x x x x x x x x x x x x x x x x x x x x x x x x x x x x x Data Q19 Who are the top and emerging researchers? x x x x x x MINISTRY OF BUSINESS, INNOVATION & EMPLOYMENT 17 NATIONAL RESEARCH INFORMATION SYSTEM: DATA SPECIFICATION

18 NRIS Identifiers Asset Pool Asset Pool Planned Distribution Application (Request for Resources) Application Review Application Decision Award Granted Resource Distributed Project Award Received Resource Received Output Person Record Organisation Record Group (People or Organisations) Data Q23 How much does the government spend on providing direct support to business innovation, excluding R&D? x x x x x x x x x Data Q26 What is the extent, nature and quality of collaboration between researchers, either in NZ or offshore (eg collaboration on joint R&D and innovation projects, co-authorship, co-invention in patents, contract R&D, exchanges, conference/event attendance)? Who is doing what with whom? Data Q27 What is the extent, nature and quality of collaboration between researchers and end users (cut at project level), and between research institutions and end users? x x x x x x x x x x Data Q28 How much resource do universities and research institutes allocate to knowledge exchange activities? x x x x x Data Q31 How much direct revenue is generated from the x x x x commercialisation of NZ research (eg patenting, licensing, spin-outs) and in what industry and field of research? Which researchers/research providers were responsible? Data Q33 What is the level and types of engagement/communication between the science sector and the public? x x x Data Q34 What are the levels of engagement between researchers and Māori? x x x x x x Data Q37 What are the costs of doing research (ie inputs) in NZ? x x x x x x x Data Q38 What are the transaction costs in the research system, including governance costs of particular funding mechanisms? x x x x x x x Will require information to be finalised in subsequent NRIS releases (eg use of outputs, infrastructure) Data Q30 What are the adoption rates or use rates of research outputs and knowledge exchange activities of researchers and scientists, such as participation on panels, round tables and assessments, engagement with policymakers in central and local government? Data Q35 What is NZ s physical infrastructure for research and what is its financial value? Data Q36 What is the demand for research infrastructure from different sectors? x x x x Data from NRIS supplements other existing or planned RS&I data sources Data Q10 What is R&D as a percentage of revenue or added value in each industry (R&D intensity) and for each institution? x x x x x MINISTRY OF BUSINESS, INNOVATION & EMPLOYMENT 18 NATIONAL RESEARCH INFORMATION SYSTEM: DATA SPECIFICATION

19 NRIS Identifiers Asset Pool Asset Pool Planned Distribution Application (Request for Resources) Application Review Application Decision Award Granted Resource Distributed Project Award Received Resource Received Output Person Record Organisation Record Group (People or Organisations) Data Q14 What STEM skills exist in NZ and what are the trends over time? Data Q20 Who supervises research students? x x Data Q21 What is the absorptive capacity of NZ business? What is BERD on an annual basis and what is the breakdown of BERD by: (i) firm size and by distribution (eg top 25, top 100 R&D spenders); (ii) industry; (iii) firm type; (iv) grant/non-grant recipients; (v) age of firm; (vi) length of R&D project? Data Q24 What are the characteristics (eg investment in capital, level of exports, level of collaboration) of firms performing R&D and innovative firms? What is the performance (as measured by revenue, value-add, productivity) of firms performing R&D? Data Q29 What are the citation rates of research outputs, including publications and patents, and who is doing the citing (cut by individuals, institutions, field of research, industry sector, domestic/international)? Data Q32 What is the quality of commercialisation skills of NZ researchers, research providers and businesses? Data Q9 How much are industry sectors required to spend on R&D into specific topics (due to legislative requirements)? How much levy funding is spent on R&D and in which industry? Data Q18 What is the level of managerial and entrepreneurial skills in NZ? Data Q22 What are the innovation rates of NZ firms by: (i) firm size and by distribution; (ii) industry; (iii) firm type; (iv) grant/non-grant recipients; (v) age of firm? How much do firms spend on innovation? Data Q25 What are the factors driving firms decisions on investment in R&D and who should perform it? What are the barriers to increasing investment in R&D? Out of scope for NRIS x x x x x x x x x x x x MINISTRY OF BUSINESS, INNOVATION & EMPLOYMENT 19 NATIONAL RESEARCH INFORMATION SYSTEM: DATA SPECIFICATION

20 4. Data Collection 4.1. Record Structure Sections 5-7 of this document describe the elements and key attributes for each entity for which data is collected. As NRIS develops, the elements and attributes will continue to be extended and updated. Where an element can be derived via calculation or by using existing elements, it has been excluded. Each individual element has a definition, purpose, additional comments, and an indication of whether the information is technically mandatory. If an element is technically mandatory, it must be supplied for the record to be accepted into the raw data vault. Business rules may require some data which is not technically mandatory to be supplied in specific circumstances e.g. some funds distributing financial resources supplied by MBIE are currently required to supply information about successful applications. This can be described as business mandatory data. Which data will be business mandatory depends on the agreements between the organisations who are involved in the distribution of resources. Each data element has been defined according to a set of attributes that are based on ISO Standard Information Technology Specification and standardization of data elements, These attributes, set out in the table below, describe the essential nature of each data element. Term Name Obligation Description/Guidance for completing A letter-number identifier for an element. The identifier is unique across the entire data specification. Whole numbers (1, 2, etc) are used for elements. Sub elements are identified as fractions of the whole number (1.1, 1.2, 1.3, etc). The name of the element Optional, single value to be supplied 0..n Optional, up to n values can be supplied 0..* Optional, multiple values can be supplied 1 Mandatory, single value to be supplied 1..n Mandatory, up to n values can be supplied 1..* Mandatory, multiple values can be supplied Definition Additional Information Purpose (Reason) A statement that expresses the essential nature of the element and its differentiation from all other elements. (Comments) Additional guidance to inform the use of the element. Details of why the element is necessary. MINISTRY OF BUSINESS, INNOVATION & EMPLOYMENT 20 NATIONAL RESEARCH INFORMATION SYSTEM: DATA SPECIFICATION

21 4.2. Sub Element Obligations When a set of attributes for an element may be supplied multiple times (e.g. project personnel identifiers), the attribute set is listed at the end of the element table, and appears in bold. The attribute set is specified in a sub element table following the element table. The obligation for the entire sub element is documented in the element table. The obligation for each attribute of the sub element is then documented in the sub element table Data Collection Code Sets and User-specified information In some specific areas for data collection, finding a single, comprehensive, and appropriate code set for describing data is difficult. Examples include personnel roles on projects and output types. In these cases, a custom code set is likely to impose significant compliance costs on data providers and limit the information data providers can supply. One approach to this problem is to combine one or more standard code sets, and collect an optional descriptive field with the organisation s current description. The code set values can be used to group and summarise data. The descriptive values can be used for analysis and research, findings from which can then be used to develop a more accurate code set. This approach will also allow any group with values not effectively captured by an existing code set to ensure their data can be captured for future use, analysis, and research. This approach is proposed for two particular data collection areas: Personnel Role there are many subtly different roles people play in the RS&I sector. Rather than limit the roles available to a code set, a combination of a relatively high level standardised role code set (for rollup and reporting) and a descriptive field for the actual role title assigned by the organisation involved is proposed. Output Type multiple code sets are in use in the sector, and different types of RS&I activity have significantly different types of output (sometimes described in different ways). Rather than attempt to create a new, definitive code set, the proposed approach is to use a combination of the ORCID Output Type code set (mandatory), and the TEC code set (optional for those who currently use TEC output type), and a descriptive field for the output type as described by the organisation involved. This approach may also be taken for data collection for other data elements in the future. MINISTRY OF BUSINESS, INNOVATION & EMPLOYMENT 21 NATIONAL RESEARCH INFORMATION SYSTEM: DATA SPECIFICATION

22 4.4. ANZSRC Classifications Applications and projects will be expected to supply ANZSRC codes for: Type of Activity (TOA) Fields of Research (FOR) Socio-economic Objective (SEO) 4.5. Data Collection Identifiers Three forms of identifier are used in data collection: NRIS identifiers persistent, unique to NRIS identifiers used for data collection and data management Local identifier a persistent, unique (to the data provider) identifier used by that data provider for an entity (e.g. the Project ID used by a university to identify a specific project) External identifier a persistent, unique identifier used by multiple data providers and recognised by NRIS. This includes a range of sector identifiers (e.g. ORCiD, RAiD, NZBN), and allows for a range of identifiers to be used over time NRIS identifiers must be used to identify the data provider and organisation supplying data. This enables NRIS to clearly identify the original source of data, and the organisation who provided the data to NRIS. Local identifiers enable the linking of data supplied by a single data provider over time. External identifiers allow the linking of data across multiple data providers. MINISTRY OF BUSINESS, INNOVATION & EMPLOYMENT 22 NATIONAL RESEARCH INFORMATION SYSTEM: DATA SPECIFICATION

23 4.6. RS&I Concept Model (source: NRIS Conceptual Framework) This model describes the core concepts within the RS&I sector, and the relationships between those concepts. For a complete description of the concept model, refer to the NRIS Conceptual Framework New Zealand Research, Science, and Innovation Concept Model Influences Government legislation and policy authorises a Vote to allocate resources to a Fund in order to achieve public sector priorities Priorities determines Policy Influences influences informs Private sector organisations and people allocate resources to an Asset pool with goals which align with their priorities Align with Goal / Purpose Contributes to achieving Outcome/Impact 1 Contributes to Good / Service delivers May affect Stakeholder (e.g. End User) uses Is disseminated to identifies RS&I outputs are used by stakeholders to deliver new and enhanced goods and services, and inform RS&I policy and priorities An Administrator grants resources to RS&I organisations or people for activities which support achievement of the goals of that asset pool A Funder grants money to RS&I organisations for projects which support achievement of the goals of the Fund A Funder grants money to RS&I organisations to build and maintain infrastructure which is needed for projects supported by the Fund A Funder grants money to RS&I people to develop RS&I skills and knowledge to support achievement of fund goals An Administrator devolves resources by granting them to another asset pool A Funder devolves funding by granting money to another Fund RS&I organisations request resources from an asset pool with goals which align with their proposal goal to enable provision of infrastructure or delivery of a project RS&I people request resources for professional development (e.g. scholarship) from an asset pool with an interest in their skills and knowledge Administrator (e.g. Funder) controls Aligns with Monitors/evaluates Has a Asset Pool (e.g. Fund) Makes arranges receives Contains Devolves resources to Resource (e.g. Money) allocates Decision informs Review assesses Request for resources (e.g. application, EOI) Project uses Infrastructure* Is granted via Subcontract To deliver Is a form of Delegates activity output via submits To deliver Resource Award Is with RS&I organisation To develop Has a Controls supply to Consists of Payment/Usage schedule Person* Affiliates with Works on ***Capability the capacity and ability to respond and adapt to new knowledge To enact submits Is a member of Activity Determines RS&I Team 1 Refer to The Impact of Science discussion paper issued June 2017: write Proposal delivers informs Collaborates with identifies has RS&I output Contributes to Knowledge* Opportunity / Question Addresses /investigates Proposal Goal/ Purpose RS&I outputs contribute to the pool of knowledge, and inform RS&I Team proposals and activity planning An RS&I team focuses on an opportunity or question, and may propose one or many projects exploring facets of that opportunity or question Stakeholders with an interest in a particular area of concern collaborate with an RS&I team to identify an opportunity or question, and/or plan a proposal An RS&I team describes project, infrastructure, or personal activities, expected outputs, and the resources required to achieve a specified goal in a proposal Person or Organisation Funding Process/Work Output NRIS High Level Research, Science, and Innovation System Concept Model (Extended) 1.0 Revised Draft based on working group feedback 25 Aug 2017 DRAFT MINISTRY OF BUSINESS, INNOVATION & EMPLOYMENT 23 NATIONAL RESEARCH INFORMATION SYSTEM: DATA SPECIFICATION

24 4.7. Who Provides NRIS Data There are two primary data provider roles: New Zealand Research, Science and Innovation System Data Provision influences Asset Pool Managers: Organisations responsible for administration of an asset pool provide data about that asset pool, awards made, and resources distributed. They can also supply information about planned distribution of resources, applications, reviews, and decisions. Priorities aligns with Goal / Purpose determines influences contributes to achieving Policy informs Outcome / Impact 1 Project informs contributes to contributes to consists of influences works on Behaviour / Attitudes influences Good / Service Activity influences delivers may affect delivers Stakeholder identifies (e.g. End User) uses is disseminated to RS&I Output contributes to Some asset pools may resource only RS&I projects, others may resource projects which include RS&I and non-rs&i activities. Only RS&I related data is to be supplied to NRIS. monitors/evaluates Resource Administrator controls (e.g. Funder) has a Asset Pool (e.g. Fund) contains devolves resources to Resource (e.g. Money) Infrastructure is granted via to deliver to deliver Person Capability the capacity and ability to respond and adapt to new knowledge determines to develop Resource Award is a member of affiliates with informs Knowledge makes allocates is a form of is with has a RS&I Managers: Organisations responsible for administration of RS&I activities provide data about awards received, projects, and outputs. Both sets of data providers will need to supply information about people and organisations who are involved in awarding resources, or performing RS&I activities. aligns with One organisation may act as both an Asset Person or Resourcing / Process / Output Organisation Funding Work Pool manager, and as an RS&I Manager. Note that it is possible one organisation may supply data to NRIS (the data provider) on behalf of another organisation (the data owner). arranges receives Decision informs Review assesses Request for Resources (e.g. Application, EOI) Subcontract delegates activity output via submits RS&I organisation to enact controls supply to submits Payment / Usage Schedule RS&I Team 1 Refer to The Impact of Science discussion paper issued June 2017: authors Proposal collaborates with identifies Opportunity / Question / Hypothesis addresses / investigates Proposal Goal / Purpose NRIS High Level Research, Science and Innovation System Concept Model 2.0 For Publication Oct 2017 FINAL has MINISTRY OF BUSINESS, INNOVATION & EMPLOYMENT 24 NATIONAL RESEARCH INFORMATION SYSTEM: DATA SPECIFICATION

25 4.8. Worked Example Endeavour Fund The model below shows a view of the allocation of resources from the Endeavour Fund to a variety of projects, one of which also receives an award from another (non-nris) asset pool, and another project subcontracts some of the RS&I activity to be performed by their project. A variety of outputs are produced, some directly resulting from a single project, others as a result of multiple projects. grant Award of Resources Asset Pool grant distribute distribute Distribution of Resources Contribution to Output grant Asset Pool Fonterra Research Fund Administrator: Fonterra Ltd grant distribute Administrator: $00,000 receives Private Sector Award 100 $ Resources receives distribute $ 100 Resources $ receives delivers Output i $a00,000 Award receives P.I. PROJECT A receives Contributes to $ 100 Resources Output ii $b00,000 Award receives Contributes to P.I. PROJECT B 100 $ Resources receives $c00,000 Award receives receives receives P.I. P.I. P.I. PROJECT C2 Subcontract PROJECT C1 distribute Contributes to Contributes to Contributes to $ 100 Resources receives Output iii Contributes to Output iv $x0,000 Award receives P.I. PROJECT x In order to build this picture, the Endeavour Fund and the funded projects need to supply information to NRIS. The diagrams on the following pages (4.8.1 to 4.8.4) explore this in more detail. MINISTRY OF BUSINESS, INNOVATION & EMPLOYMENT 25 NATIONAL RESEARCH INFORMATION SYSTEM: DATA SPECIFICATION

26 Asset Pool Data The Endeavour Fund needs to supply information about the awards that have been granted, and the resources which have been distributed. The Fund may also supply information about the applications received for resources, and the decisions made when reviewing those applications. grant grant distribute Asset Pool distribute grant Endeavour Fund Administrator: MBIE distribute $ 100 Resources $a00,000 Award $ 100 Resources $b00,000 Award 100 $ Resources $c00,000 Award Note: In some cases, asset pools will award resources to another asset pool, rather than a project ( devolving resources) and that asset pool will then award resources to a project. MINISTRY OF BUSINESS, INNOVATION & EMPLOYMENT 26 NATIONAL RESEARCH INFORMATION SYSTEM: DATA SPECIFICATION

27 Project A Data Project A needs to supply information about the project, the award the project has received from the Endeavour Fund, the resources received, and the related outputs produced. Project A may also in future supply information about the award from the Fonterra Research Fund (see main diagram 4.8). $ $a00,000 Award receives $00,000 receives Private Sector Award receives P.I. 100 $ Resources receives delivers PROJECT A Contributes to $ Output i Output ii MINISTRY OF BUSINESS, INNOVATION & EMPLOYMENT 27 NATIONAL RESEARCH INFORMATION SYSTEM: DATA SPECIFICATION

28 Project B, C1, and X Data Project B, C1 and X need to supply information about the project, the award the project has received, the resources the project has received, and the related outputs produced. $ 100 $b00,000 Award 100 $ Resources $c00,000 Award Resources receives receives receives P.I. receives P.I. PROJECT C1 PROJECT B contributes to contributes to Output ii Output iii $ 100 $x0,000 Award Resources receives receives contributes to P.I. Output iv PROJECT x MINISTRY OF BUSINESS, INNOVATION & EMPLOYMENT 28 NATIONAL RESEARCH INFORMATION SYSTEM: DATA SPECIFICATION

29 Endeavour Round Smart Ideas High Level Processes 2. Applications Declined; Notify applicant Administrator MBIE Application and review data 2.4 REVIEW CONCEPT Review concept proposal Decision data 2.5 Science Board concept decision Review data 2.8 REVIEW PROPOSAL Review full proposal No award made Declined; Notify applicant 2.9 Science Board Approved full proposal decision 2.10 GRANT AWARD Approve award and notify applicant Award Data 2.11 ISSUE CONTRACT Describe agreed activities, funding and outputs Award Made Decision data Applicant Organisation Interested in Smart Ideas Award 2.1 REGISTER Register for the Endeavor round 2.3 SUBMIT CONCEPT Submit Concept Proposal Invited to complete full proposal 2.7 SUBMIT PROPOSAL Submit full proposal RS&I team 2.2 PROPOSE CONCEPT Create Concept Proposal 2.6 PROPOSE PROJECT Create full proposal Technically mandatory data is created Technically optional data is created Project C2 Data Project C2 needs to supply information about the project, the award the project has received and made(the subcontract issued), the resources received and distributed, and the related outputs produced. $c00, $ Resources Award receives P.I. receives receives receives P.I. P.I. PROJECT C1 PROJECT C2 subcontracts contributes to contributes to contributes to distribute $ 100 Resources $x0,000 Award Output iii Output iv MINISTRY OF BUSINESS, INNOVATION & EMPLOYMENT 29 NATIONAL RESEARCH INFORMATION SYSTEM: DATA SPECIFICATION

30 Business Processes and the availability of data for NRIS This model shows a high level view of the processes involved in allocating and using resources in the RS&I sector. RS&I Resource Allocation High Level Processes 1. Set up Asset Pool 2. Allocate Resources 3. Complete Project Administrator (Funder) PLAN INVESTMENT DETERMINE ALLOCATION METHOD INVITE REQUESTS FOR RESOURCES Institutional Negotiated REVIEW APPLICATION No award made Declined Decision Approved GRANT AWARD Contract Contract required AGREE CONTRACT DISTRIBUTE RESOURCES Request resource distribution Applicant Organisation NEGOTIATE PROJECT SUBMIT APPLICATION SIGN CONTRACT Award made REPORT ON PROGRESS No contract required RS&I Team Contestable On Demand DESCRIBE PROJECT Updated request required PLAN PROJECT UNDERTAKE ACTIVITY DELIVER RS&I OUTPUT Project completed? DISSEMINATE KNOWLEDGE Project complete 1. Set up Asset Pool For the Endeavour Fund, the allocation process is contestable, and guidelines are issued for applications. Endeavor Endeavour Round High Level Processes 1. Set up Asset Endeavor Pool Round Administrator MBIE 1.1 PLAN INVESTMENT Asset Pool Data Applicant Organisation 1.2 CALL FOR PROPOSALS Publish application guidelines, Planned Distribution Data 1.3 RUN ROADSHOWS RS&I team Technically mandatory data is created Technically optional data is created MINISTRY OF BUSINESS, INNOVATION & EMPLOYMENT 30 NATIONAL RESEARCH INFORMATION SYSTEM: DATA SPECIFICATION

31 2. Applications For the Endeavour Fund, processing applications for resources takes two forms, one for Smart Ideas and the other for Research Programmes: Endeavour Round Smart Ideas High Level Processes 2. Applications Declined; Notify applicant Administrator MBIE Application and review data 2.4 REVIEW CONCEPT Review concept proposal 2.5 Science Board concept decision Decision data Review data 2.8 REVIEW PROPOSAL Review full proposal No award made Declined; Notify applicant 2.9 Science Board full proposal decision Decision data Approved 2.10 GRANT AWARD Approve award and notify applicant Award Data 2.11 ISSUE CONTRACT Describe agreed activities, funding and outputs Award Made Applicant Organisation Interested in Smart Ideas Award 2.1 REGISTER Register for the Endeavor round 2.3 SUBMIT CONCEPT Submit Concept Proposal Invited to complete full proposal 2.7 SUBMIT PROPOSAL Submit full proposal RS&I team 2.2 PROPOSE CONCEPT Create Concept Proposal 2.6 PROPOSE PROJECT Create full proposal Technically mandatory data is created Technically optional data is created MINISTRY OF BUSINESS, INNOVATION & EMPLOYMENT 31 NATIONAL RESEARCH INFORMATION SYSTEM: DATA SPECIFICATION