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Sam Droege
R. Michael Erwin
William Kendall
M. Kathleen Klimkiewicz
Lucie Metras
Bruce Peterjohn
B. H. Powell
Graham Smith
Lisa Whitman
H.Randolph Perry, Jr. (Chair)
November 14, 1997
Introduction
The Data Release Policy Task Force (Task Force) was appointed on August 11, 1997, by the Director of the Patuxent Wildlife Research Center working to implement recommendations made in the report The North American Bird Banding Program: Into the 21st Century. Ten members were appointed to the Task Force: Sam Droege, R. Michael Erwin, William Kendall, M. Kathleen Klimkiewicz, Lucie Metras (for Peter Blancher), H. Randolph Perry, Jr., Bruce Peterjohn, B. H. Powell, Graham Smith, and Lisa Whitman. Perry was appointed Chair of the Task Force.
Charge and Products
The Task Force was charged with updating the current Bird Banding Laboratory (BBL) data release policy relative to the potential for automated, electronic dissemination of banding data. Two products were expected:
The Completion Goal Date was established as November 15, 1997. In the process of updating the data release and use policy, the Task Force was charged with considering:
Overriding considerations in completing the charge to the Task Force were what is best for the North American Bird Banding Program and the stewardship of bird resources and banding data.
The Data Release Policy Task Force makes the following recommendations for restructuring the operations of the Bird Banding Laboratory (BBL). This report constitutes product one, the evaluation report, which explains the underlying rationale for the new data release policy recommended by the Task Force. Also attached as Appendix I is product two, the draft for a new BBL data release and use policy entitled Policy For Release and Use of Banding and Encounter Data.
These recommendations and the attached draft policy document were made on the basis of nine meetings of the Task Force between September 18 to November 14, 1997, along with several independent writing assignments. One Task Force meeting was with Mr. James Pinkerton, a U.S. Fish and Wildlife solicitor and expert on the Freedom of Information Act and the Privacy Act, to clarify legal issues surrounding data release and use. Minutes of all meetings were formulated and are attached as Appendix II (not included with electronic version of this report).
The Task Force on the policy for release and use of banding and encounter data recommends full disclosure for all banding and encounter data, including ancillary data that may be part of the North American banding files. This, of course, has to be within the constraints of the Privacy Acts of Canada and United States and such that good stewardship is maintained for both the data and the associated migratory bird populations.
The Task Force encourages full use of banding data in the hope that maximum benefits will accrue to bird populations. To promote this policy, the Task Force encourages the BBL to make all banding, encounter, and ancillary data (associated nonbanding data collected at the time of banding) available on the Internet soon after the data are electronically coded. With emerging technologies, hopefully the banding databases can be updated quarterly, or more frequently. Data that are not yet on the Internet may be made available on an individual basis upon request, usually in an electronic form. To make the data easy to access, retrieve, and summarize, the Task Force encourages the development of appropriate relational database tools and utilities to be made available by the BBL to potential users of the data as budgets allow. In addition, staff of the BBL should be available to assist users in obtaining raw banding data.
All banding and encounter records include the banders permit number. The Task Force recommends the ability to use the permit number to obtain the banders name, mailing address, and e-mail address from a separate, publicly-available data base on the Internet (permission is required prior to the release of names and addresses of Canadian banders). We recommend this open data policy with full disclosure because the data have been contributed by many cooperators and government biologists at considerable public and private expense since 1908. This policy will encourage maximum use of these data by providing data free of charge to all legitimate users.
The Task Force recommends that the BBL strive to make all data sets available. To maintain data quality, peer review may play a helpful role. The Patuxent Wildlife Research Center offers peer review services that meet Departmental requirements through its Office of Science Review.
Full disclosure is in keeping with the policies of the U.S. Geological Survey (USGS), as per the U.S. Geological Survey Manual, Part 500.14, Safeguard and Release of U.S. Geological Survey Data and Information, and Part 500.24, Policy for Release of Computer Databases and Computer Programs:
It is the policy of the USGS to conduct its activities and to make the results of its scientific and engineering investigations available in a manner that will best serve the whole public, rather than the interest or benefit of any special group, corporation, or individual.
To satisfy the public need for timely information, formal publication or other approved methods of release should be accomplished as promptly as possible. When there is an immediate demand for USGS data and prompt publication is impossible or unlikely, the material should be released in open-file format, including appropriate announcements, and where applicable, the reports thus released should contain an adequate statement of their preliminary nature and that the information may be subject to change.
It is USGS policy to improve dissemination of the knowledge developed by the Bureau's information and research programs so as to enhance timely public access to earth science information and technologies. It is also USGS policy to make this information available to all interested parties at the same time. This is achieved wherever possible by making USGS databases and computer programs available to the public. Further, informal and internal exchange of data and computer programs promotes information dissemination and basic research in support of the USGS mission.
The BBL must decide what kind of databases it wants to release, Director's Approved Database or Provisional Database, per the U.S. Geological Survey Manual, Part 500.24, Policy for Release of Computer Databases and Computer Programs:
Director's Approved Database. A database compiled by the U.S. Geological Survey (USGS) that has received approval by the Director for publication or release. Director's approval of a database for publication will be given only if it meets the quality guidelines set forth in this chapter. With Director's approval, a database may be released to the public on magnetic, optical, or other computer-media or may be accessible via telecommunications. (See paragraph 5.A.(1) for procedures to obtain Director's approval).
Provisional Database. A provisional database has not received Director's approval for external distribution but meets the minimum criteria as specified in section 5.A.(2).
To be a Director's Approved Database, the database must meet the following minimum requirements (from Part 500.24):
To establish a Director's approved database, the database manager must submit a written request to the Division Chief demonstrating that the minimum requirements have been met. The request should document the purpose and scope of the database, data collection methods, quality control methods, description of data elements, instructions for operating any software that may accompany the data set, and user support.
Provisional databases must meet the following minimum criteria: Documentation of the origin of data, data collection method, peer review process, and database description. Division Chiefs may specify additional criteria as appropriate (Part 500.24).
Lastly, each database must have a manager, in accordance with USGS policy (500.24): A database manager is the USGS employee designated by the appropriate Division or Bureau authority. All databases approved for public access must have a database manager.
The Task Force recommends that the BBL take steps to promote the ethical use of data, the incorporation of professional courtesy, and encourage the utilization of data within the bounds of the highest scientific integrity. Generally this means being sensitive to ongoing projects by others who may be using the data, especially the banders of the data being used, and not allowing the data to be utilized inappropriately, such as for disturbance of endangered or sensitive species. The doctrine of fair use should prevail, with the users of banding data allowing the bander the first right to use his/her data for professional purposes. However, the Task Force recommends that the data be made available in the public databases while a bander makes personal or professional use of data.
To promote the highest data-use ethics, the Task Force recommends that the BBL contact major journal editors and explain the new data-use policy. Editors should be aware that a determination of the appropriateness of the use of banding data in papers being reviewed is necessary, much as they would evaluate how experimental animals are used. In addition, scientific and professional
societies and conservation agencies should also be notified of the new data policy and encouraged to assist in ensuring that data are fairly, professionally, and ethically used.
The Task Force recommends that the BBL request permission from banders to post their name, mailing address, and e-mail address on the Internet site. The request should be made at the time banders apply for or renew their banding permits. The BBL should inform U.S. banders that it can not legally withhold such information; the Bird Banding Office (BBO) in Canada should inform Canadian banders that such information cannot be released to data users without their permission.
For banders that do not grant posting of names and addresses, the BBL and BBO will have to handle data-use requests by individually dealing with each request on a case-by-case basis. For U.S. banders, the BBL can release name and address information without further checking with the bander, but for Canadian banders, the bander must first agree to the release of such information. The Task Force expects that most banders will agree to release of such limited personal information, and the ones that do not, will see the benefit of agreeing to such release as they gain experience with the new data-release policy.
To minimize the disruption to many banders, the Task Force recommends that banders also be consulted on whether or not they would like to be identified as individuals that need not be contacted if someone wants to use their data, regardless of the volume or type of data being used. Thus potential users of data could be notified that they are free to use such data without going through the process of contacting the bander for proper permission or citation, even if a banders past 5 years banding or encounter data contribute 5 percent or more of the total records being used for publication, or an individual record will be published or cited in the paper (the threshold for contact recommended by the Task Force in the new draft Policy for Release and Use of Banding and Encounter Data.
The Task Force has determined that the BBL can not legally suppress information on endangered or sensitive species; this is based on the history of Freedom of Information Act challenges. Even the Endangered Species Act does not currently help protect such data, as the mere release of such information does not in itself harm, take, or otherwise harass an endangered species. However, the BBL can refuse to maintain information that might be used by individuals to do harm to sensitive or endangered species. Consequently, the Task Force recommends that the BBL review all sensitive and endangered species and develop a limited list of species for which location data will only be maintained by the BBL to the nearest 1 degree block, as recommended by the Location Data Task Force.
Having an open data policy with distribution of banding data via the Internet is not without risks. However, the risks are justified given checks and balances and potential rewards. The Task Force recognizes that many users might not know how to use banding or associated ancillary data or the limitations of these data, even with utilities and the database tools offered. However, the Task Force recommends that the BBL not restrict data for reasons such as (1) the data are too complicated, (2) the user might not draw the proper conclusions, or (3) the user might not have the understanding to conduct analysis. Instead, the BBL should rely upon the scientific integrity of users and the scientific community, and its associated peer review process, to prevent data misuse and improper interpretations.
By making banding, encounter, and ancillary data easily available on the Internet and via other electronic means, the uses of data will invariably increase. Therefore it is more important than ever that all data sets be as accurate as possible. Correcting data errors can be time consuming and expensive and one can always debate the rewards relative to the costs of correcting data errors. However, the Task Force recommends that the BBL make every effort possible to maintain the highest accuracy feasible in all their data sets. This means (1) actively soliciting users to report errors, and (2) having data correction as a high priority so that corrections are made in a timely manner.
The Task Force recommends that the BBL use electronic means to send the document Report to Bander and to make the formulation of this document automatic. The BBL should continually update its e-mail database and encourage all banders to establish e-mail addresses for such correspondence. The Task Force recommends providing these reports to banders before data are placed on the Internet
The Task Force recommends that the BBL incorporate a liability, disclaimer, and indemnification statement in all matters related to data release and use. Below is such a statement that could be utilized from the Biological Resources Division:
No warranty expressed or implied is made regarding the accuracy or utility of the data on any system or for general or scientific purposes, nor shall the act of distribution constitute any such warranty. This disclaimer applies both to individual use of the data and aggregate use with other data. It is strongly recommended that these data are directly acquired from the Biological Resources Division (BRD) and not indirectly through other sources which may have changed the data in some way. The BRD shall not be held liable for improper or incorrect use of the data described and/or contained herein.
This statement should be provided as hard copy with any data that is not provided over the Internet, and should be clearly evident on the portion of the Home Page used to obtain BBL data electronically. Use of this disclaimer is a policy for all data provided by the Biological Resources Division (BRD) (this was a policy within the National Biological Service and the Task Force was advised that this policy still applies).
In addition, the USGS has additional statements that must be displayed with databases. From the U.S. Geological Survey Manual, Part 500.24, Policy for Release of Computer Databases and Computer Programs:
The Task Force recommends that before implementation of data-release policy changes the
BBL notify all banders and users of policy changes, particularly since the posting of data
to the Internet represents a substantial change in the way data are made available to users.
The BBL should seek constructive comments on both the new Policy for Release and Use of
Banding and Encounter Data and this document that describes the rationale for making policy
changes, the Evaluation Report with Specific Recommendations for Disseminating Banding and
Encounter Data. Banders and users of banding data will be more likely to accept policy
changes if they have a hand in shaping them, and even with the diligent work of the various
BBL Task Forces, further significant improvements might be identified with further review
by banders and members of the scientific and conservation communities.
This Evaluation Report with Specific Recommendations for Disseminating Banding and Encounter Data and the attached draft recommended policy document, Policy for Release and Use of Banding and Encounter Data, are respectfully submitted by members of the BBL Data Release Policy Task Force:
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Sam Droege Date
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R. Michael Erwin Date
_________________________________ __________
Bill Kendall Date
_________________________________ __________
M. Kathleen Klimkiewicz Date
_________________________________ __________
Lucie Metras Date
_________________________________ __________
Bruce Peterjohn Date
_________________________________ __________
B. H. Powell Date
_________________________________ __________
Graham Smith Date
_________________________________ __________
Lisa Whitman Date
_________________________________ __________
H.Randolph Perry, Jr. (Chair) Date