HKU DataHub: The Guide

Handbook for PhD and MPhil Programmes 

As documented in the Handbook for PhD and MPhil Programmes issued by the Graduate School, regulations on data management plans (DMP) and dataset submission are applicable to RPg students enrolling from September 2017 onwards. 

Appendices 20 & 21, Procedures for the Degree of Master of Philosophy (MPhil) and Doctor of Philosophy (PhD) specifies: 

For probation and confirmation of candidature: 

1. A candidate who registers in September 2017 and thereafter has to submit a Data Management Plan (DMP) before the expiry of his/her probationary period if data is to be collected or generated as part of the research.   

For submission of thesis for examination: 

2. A candidate who registers in September 2017 and thereafter shall also submit a dataset of his/her research, where applicable, at the time he/she submits the thesis for examination. 

The HKU Policy on Research Data and Records Management 

The University’s Policy on the Management of Research Data and Records was approved by the Senate at its meeting on May 5, 2015. Revisions were made and approved by Senate on September 3, 2024. 

The policy states the University’s ownership over research data for projects conducted at the University without any arrangements to the contrary, and the minimum retention period for research data and records is five years after data collection or the most recent publication related to the data, whichever is later. 

The policy asks HKU researchers, i.e. anyone who conducts research at the University, to be responsible for  

• ensuring that research data and records owned by the University are accessible to the University; 

• developing and documenting clear procedures for the collection, storage, use, re-use, access and retention or destruction of the research data and records associated with their research, being documented in a research data management plan (DMP). 

The HKU Libraries is providing relevant research data services to enable this process. 

Dataset Submission for RPg Students: What to deposit 

Under the HKU policy, “research data” is defined as the recorded information (regardless of the form or the media in which they may exist) necessary to support or validate a research project’s observations, findings or outputs. 

1. Your data files 

In other words, all materials and information, including but not limited to raw data, processed data, protocols, scripts, questionnaires, codes used for data analysis or visualizations, necessary for a third party to arrive at the same research results claimed are research data, and must be preserved. 

Below are several examples: 

• Interviews: transcripts, questionnaire, interviewer guidelines 

• Field and/or lab work: research notebook in digital format 

• Multimedia files: images, video clips, audio sound files 

• Software: codes, metadata of your software, any instructions necessary to obtain the software 

• Source codes: any codes that were written to collect, analyze, visualize your data 

2. Documentation describing your data files 

As part of the data deposit, RPg students should indicate which datafiles are raw data (i.e. data that indicate the original data collection process such as questionnaires) and which are processed data (i.e. data ready for analysis in publications) in a separate document. Documentation such as README file, data dictionary, codebooks should be well documented and submitted alongside your research data. 

The documentation, e.g. README file, aims to provide your supervisor and data curators an overview of your data, describing how you organize your data and how the files are named, relationships between files, details of your data, and methodological information, etc. A clear and tidy file structure would allow viewers to better understand your findings and locate the resources they need easier, which would eventually avoid prolonged data deposit processing time for your research outputs. 

Your README file should consist of four main components:

1. General Information

2. Data and File Overview

3. Data Description For Each Files

4. Methodological Information (if applicable)

For specific requirements under each section, please refer to the README file template below:

Sensitive data 

For sensitive data that may contain personal identifiers and confidential or restricted data as per the HKU Policy on Research Ethics, depositors and/or PIs are strongly advised to submit an anonymized copy for long-term retention.  They must also be submitted under restricted access unless the approval of relevant Institutional Review Board (IRB) or ethics committees, e.g. Human Research Ethics Committee (HREC) has been obtained. 

Dataset Submission Form

Reminder: Do NOT submit this form until you have received email confirmation from the Libraries.

1. Go to the Online Dataset Submission Form at <https://lib.hku.hk/dataset-submission/>

2. Login with your HKU Portal ID.

3. Your details will be automatically filled after you have logged in.

4. Enabling dataset destruction is optional. If necessary, tick the “Enable Dataset Destruction” box and enter the date of destruction. Please strictly follow the University requirement on minimum retention period when you are making the request.

5. Enter the DOI that has been reserved for your dataset. Press on the “Resolve” button. The details of your dataset will appear automatically. Double check if it is the correct record that you are going to submit.

6. Click on “Submit”. An email notification will be automatically sent to your primary supervisor for his/her review.

7. If no further comments from your supervisor is received, print out and submit a hardcopy of the Dataset Submission Form to your department or faculty for record.

Restricted Access Procedures for RPg Students

There are occasions that you may wish to upload your data with access control conditions, especially for the sensitive data that conveys personal identifiers. The below will guide you through the steps required for setting up access restrictions to your files.

If your data contain sensitive, confidential or restricted data per the HKU Policy on Research Ethics, you are required to handle those data by means of either of the below two methods:

1. Upload the data under restricted access

2. Make and upload a version that anonymizes the data, for public access (with the approval of relevant IRBs or ethics committees)

You are recommended to consult your supervisor on the suitability of your chosen access right control option before the submission. 

For uploading your data files under restricted access, which only allows you and your supervisor to access those files, please refer to the below procedures:

Step 1: Click on “Add embargo and restricted access” on the item record editing page.

Step 2: Leave the option “Nobody” as your currently selected option.

Step 3: Click on “On files only” from the dropdown menu under Embargo type.

Step 4:  Decide how long your data files will be restricted for access.

• For fully confidential items, select “Permanent Embargo” under Embargo period.
• For applying an embargo with a fixed period of time, select the appropriate length of time or select a specific date.

OR

Note: For RPg student research dataset submission, dataset under this setting will be accessible only to the student, and his/her supervisor(s). The examiner(s) of thesis may also request access to the data for thesis examination process (MPH15 & PHD15 of the Procedures). When the student and supervisor(s) leave the university, the Dean of the faculty will be granted access permission.