Mapping and semantic interoperability of the German RCD data model with the Europe-wide accepted CERIF

2.1.RCD data model

The recommendation for the development and implementation of a RCD has the goal of both the standardized recording and updating of the performance data on research activities of universities and non-university research institutions in the context of decentralized data management [7] and the best practice for a better data quality of the RCD to reach research information. In 2016, the German Council of Science and Humanities published the recommendations for the specification of the RCD. Since February 2017, a central helpdesk of the German Center for Higher Education and Science Research (DZHW) supports the interpretation of the RCD specification. RCD defines six different areas of research reporting (employees, promotion of young talent, third-party funded projects, patents and spin-offs, publications and research infrastructures) and these are divided into so-called core data and their characteristics and aggregation measures based on existing definitions and standardization (such as CERIF, FRASCATI, CASRAI). To support the interoperability and longevity of research information, a technical RCD data model will be presented compatible with the CERIF data model for in-house data provision. Therefore, the RCD extends the CERIF data model and adds further entities and attributes. The RCD data model is further divided into basic data and aggregate data. The basic data model corresponds to the objects, the description of the objects with the relationships and attributes. The aggregate data model defines only the core data, without characteristics or specializations. However, the basic data model provides person-related information, whereas the aggregation model does not. The RCD data model was created at baseline and at aggregation level using an XML Schema and in the Web Ontology Language (OWL) modeling language. Further details about the XML Schema of the RCD can be found in [5,11].

Fig. 3.

CERIF Entities and their relationship.

Fig. 4.

CERIF model metrics.

Fig. 5.

RCD model metrics.

Figure 1 shows the Entity Relationship Model (ERM) of the RCD. This contains the underlying objects of the specification, their attributes and the relationships between them.

Fig. 6.

Comparison conditions.

2.2.Impact of implementing RCD on data quality in RIS

The German approach to standardization of research information reflects the heterogeneous research landscape and federal governance structure of Germany [4]. RCD serves as orientation for institutions intending to represent the RCD in their technical systems. Implementation can feasibly take place at both institutional and RIS provider level; both instances can be observed in the German science system. The RCD’s XML Schema can be utilized as a data source before importing into RIS and/or as an export format to facilitate report creation.

Table 1

Mapping (basis data) between RCD and CERIF

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Table 2

Extract of Mappings (semantics) between RCD and CERIF.

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While the introduction of the RCD has likely numerous effects on research information management processes and research information quality, we focus here on effects we perceive to most immediately impact the data quality dimensions addressed in this paper. First, the standard provides the basis for a common understanding and interpretation of research information through its semantic specifications, thus likely improving consistency of the data over time and across institutions, as well as correctness and completeness. Second, it structures the data acquisition process at institutional level and, especially if incorporated in RIS software, potentially reduces the need to harmonize previously heterogeneous data sources and formats. Impact on correctness and completeness of the data is expected here as well. In addition, it specifies relationships between research information entities, which in combination with RIS capabilities facilitate data integration. We expect this aspect of the RCD to impact correctness, consistency as well as timeliness of the relationships described. All the impacts described here will be mediated by existing data quality assurance procedures present in Higher Education and research institutions. Figure 2 provides an overview about the research information management process and the RCD’s impacts.

With the increasing integration of research information from various sources in RIS and their growing importance for institutional management, data quality is becoming a growing area of interest for Higher Education and research institutions. Incorrect, inconsistent, inaccurate and missing data will lead to erroneous research information and interfere with decisions within an institution. In order to avoid the most costs in the academic institutions, a holistic data quality management process is required in RIS. The framework presented in this paper provides institutions with the means to improve the quality of research information before integration into RIS. We report positive results of the application of our framework for sample publication data (detailed information can be found in the work of [2]).

The framework further sketches the impact of the German research information standard RCD on data quality. Our results show that data quality is to some extent contingent on standard adoption and that data quality will likely improve as a result. A standardized data model, such as RCD, is an essential prerequisite for achieving data governance in terms of monitoring and strengthening data management in institutions. This makes it possible to introduce and permanently guarantee quality in institutions as an overall target for research information.

2.3.CERIF data model

Using the CERIF data model or a CERIF compliant IT solution for current research information systems (CRIS) is a European Union recommendation to the member states [13]. The organization euroCRIS is committed to the development and distribution of the CERIF standard on data formats for research information. The uniform European format CERIF represents information about the entire research process (such as person, organizations, projects, publications, patents, service, facility and equipment, etc.). CERIF is a relational database model available as SQL scripts based on a common Entity Relationship Model (ERM) [13]. The ERM of the CERIF 1.6 release contains objects where attributes are linked by relationships. The CERIF data model differs in base, result, link, infrastructure, and 2nd level of entities. Further details on the CERIF data model can be found in [8–10,12]. Therefore, the CERIF model is conceptualized with its conceptual structure of colors as shown in Figure 3 below.