RCD Capabilities Model v2.0 Questions by Facing

This document includes the main text for the questions in each Facing, grouped by topic.^[1] This is intended for use by institutions that are discussing who may contribute to an assessment using the Research Computing and Data (RCD) Capabilities Model, and want to share the type of questions that will be asked.

The RCD Capabilities Model is organized into sections that reflect different roles that staff fill in supporting Research Computing and Data, and are named to reflect who or what role is “facing” (i.e., focused on). Within each facing, the model poses questions about aspects of research computing and data for the associated role; the questions are grouped into Topics.

Larger organizations may have a team associated with each facing role, while smaller organizations may have just a few people who cover these different roles. In filling out the assessment tool, you will likely want to involve people who work in the different roles; they can work to fill out their respective section of the assessment.

Table 1 presents an introduction to the Facings, and links to the associated questions below.

Table 1 - Description and examples for the Five Facings

Copyright © 2023 Internet2 and CaRCC, and licensed for use under Creative Commons Attribution-ShareAlike 4.0 International (CC BY-SA 4.0) which grants usage to the general public, with appropriate credit to the author, and sharing any derivatives under the same terms.

Researcher-Facing Topics and Associated Capabilities

Research Computing and Data Staffing

• Do researchers have access to introductory user support and training related to the use of research computing and data resources available at local, regional, and national level?
• Are researcher-facing staff provided with professional development and networking opportunities?
• Do researcher-facing staff have the skills and capacity to broadly support researchers across levels (graduate students to PIs) and across domains with information about the use and effectiveness of new technologies?
• Can researcher-facing staff effectively serve as advocates for the research community to leadership and IT governance?
• To what extent is there a clear vision, effective guidance, and strategy for the allocation and prioritization of support resources/personnel?

Research Computing and Data Outreach (Initial Contact)

• Is there an institutional practice to proactively reach out to researchers, new faculty, or prospective faculty to explain research support services and help with computing beyond the desktop?
• Do researcher-facing staff have the skills and capacity to effectively engage in community outreach and broader impacts?
• Are researchers made aware of research computing and data related resources?
• Does your institution have a process to assess researcher awareness, satisfaction, and engagement related to Research Computing and Data services and support?
• Does your institution have a process to assess the impact of research computing and data support?
• Does your institution have marketing/communication resources (staff) with the skills and capacity to help publicize and explain research support services?

Research Computing and Data Advanced Support

• Do researchers have access to application support (training, help) for standard software packages, middleware, libraries, and modules?
• Do researcher-facing staff have the skills and capacity to diagnose inefficiencies, monitor usage, and advise on policies and optimizations to make for more efficient utilization of research computing and data resources?
• Are researcher-facing staff engaged with exploring, testing, and deploying emerging or advanced technologies to help research?
• Do researcher-facing staff regularly and effectively document processes, policies, and resources both internally and for the user community?

Research Computing Management of the Research Lifecycle

• Are researchers supported across the full research lifecycle?
• Do researchers have access to advice on research compute and data compliance, security, management, and governance?

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Data-Facing Topics and Associated Capabilities

Data Creation

• Do researchers have access to consulting or other resources on data lifecycle requirements during data creation?

Data Discovery and Collection

• Do researchers have access to consulting or other resources supporting data discovery?
• Do researchers have access to expertise about common Terms of Service for frequently crawled websites/data repositories and best practices guidance?
• Do researchers have access to software supporting data collection?
• Do researchers have access to resources (e.g., staff) to develop software supporting data discovery and collection?

Data Analysis

• Do researchers have access to consulting, expertise, or other resources on data wrangling/manipulation and data analysis?
• Do researchers have access to software that supports data wrangling/manipulation and data analysis?
• Do researchers have access to dedicated resources (e.g., staff) who can perform data wrangling/manipulation and data analysis?
• Do researchers have access to resources (e.g., staff) for software development of tools that support data wrangling/manipulation and data analysis?

Data Visualization

• Do researchers have access to consulting, expertise, or other resources on data visualization?
• Do researchers have access to software that supports data visualization?
• Do researchers have access to dedicated resources (e.g., staff) who can perform data wrangling/manipulation and data analysis?
• Do researchers have access to resources (e.g., staff) for software development of tools that support data visualization?

Research Data Curation, Storage, Backup, and Transfer

• Do researchers have access to consulting, expertise, or other resources to help them identify appropriate data repositories (on campus, in domains, and more generally) to place their data?
• Do researchers have access to resources (e.g., staff) who can advise and assist with database creation and data organization?
• Do researchers have access to tools/software that supports data backup, storage, and integrity checking?
• Do researchers have access to resources (e.g., staff) who will develop tools/software that supports data backup, storage, and integrity checking?
• Do researchers have access to software and/or environments to deal with datasets that exceed what is generally available to individuals on a workstation or personal storage subscription?
• Do researchers have access to consulting, expertise, or other resources on metadata design and use?
• Do researchers have access to tools, consulting, expertise, or other resources on good practices for use of identifiers?

Research Data Policy Compliance

• Does your institution have research data governance processes in place to establish data policies for research data?
• Do researchers have access to information and training on research data policy?
• Do researchers have access to support for analysis of research data sensitivity?
• Do researchers have access to expertise and policy infrastructure to manage and use sensitive data?
• Has your institution defined and deployed a process for identifying which research data to archive, preserve, or discard?
• Do researchers have access to planning expertise for storing, archival and preservation of research data beyond the term of grant funding?

Data Security/Sensitive Data Support

• Do researchers have access to compute and data environments to manage and use moderately sensitive data?
• Do researchers have access to compute and data environments to manage and use “notice triggering” data?
• Do researchers have access to compute and data environments to manage and use extremely sensitive data?

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Software-Facing Topics and Associated Capabilities

Software Package Management (installation, documentation, validation, and retirement/removal)

• Do researchers have access to support for research software package compilation and installation?
• Do researchers have access to support, facilitation or training on how to compile, install, and deploy research software?
• Do researchers have access to support for research software package assessment, documentation, and validation?

Research Software Development

• Do researchers have access to resources (e.g., staff) who can develop research software?
• Do researchers have access to resources (e.g., staff) who can develop software for wide usage?
• Do researchers have access to security validation for research software?
• Do researchers have access to usability testing for research software developed on campus?
• Do researchers have access to software or website accessibility consulting, assessment tools, etc.?

Research Software Optimization or Troubleshooting

• Do researchers have access to performance optimizing tools?
• Do researchers have access to support and consulting to optimize software?
• Do researchers have access to diagnostic and troubleshooting software?
• Do researchers have access to support and consulting for diagnosing and troubleshooting software?

Workflow Engineering

• Do researchers have access to support for research workflow packages?
• Do researchers have access to expertise and basic support to develop or script data workflows?
• Do researchers have access to dedicated staff resources to develop or script data workflows?

Software Portability, Containers, and Cloud Computing

• Do researchers have access to support for making software portable?
• Do researchers have access to guidance or training for cloud computing?
• Do researchers have access to dedicated resources (e.g., staff) for architecting and deploying cloud solutions?

Securing Access to Software

• Do researchers have access to credential systems as an element of software security?
• Do researchers have access to support for utilizing licensed software on shared resources?
• Do researchers have access to support for managing export controlled software?
• Are processes defined and adhered to for educating, monitoring, and auditing Research Computing and Data staff, other IT professionals, and researchers, to comply with software license agreements?

Software Associated with Physical Specimens (e.g., samples, research / museum collections)

• Do researchers have access to management software for physical collections?
• Do researchers have access to software for discovery and research use of physical collections?
• Do researchers have access to resources (e.g., staff) for software development for discovery and research use of physical collections?

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Systems-Facing Topics and Associated Capabilities

Infrastructure Support

• Do your systems-facing staff have access to a fully functional and reliable data center?
• Is the data center professionally managed?
• Are there institutional resources for leveraging commercial cloud services for research computing and researchers?
• Are deployment, operations, and maintenance of your infrastructure automated?
• Do systems staff have the skills and capacity to support container deployment and orchestration?

Compute Infrastructure

• Do researchers have access to high performance (batch) computing (HPC)?
• Do researchers have access to high throughput computing (HTC)?
• Do researchers have access to a production-level compute, storage, and network environment?
• Do researchers have access to specialized hardware capabilities, such as accelerators?
• Do researchers have access to interactive computing services?
• Is a standardized set of operating systems supported for HPC, workstations, and/or virtual machines?

Storage Infrastructure

• Do researchers have access to active data storage services (a.k.a., "scratch" storage, often a parallel filesystem) sufficient for HTC/HPC?
• Do researchers have access to sufficient storage to support researchers’ data intensive computing needs?
• Do researchers have access to mechanisms for isolated and secure support for storage of sensitive/secure data?
• Do researchers have access to policies and technologies that facilitate management and wide access to data?
• Do researchers have access to data archival and preservation services (e.g. tape, cloud)?
• Do researchers have access to a place to store final research data to address institutional policy and/or funding agency requirements?
• Do researchers have access to support for collaborative data grids and/or data repositories?

Network and Data Movement Infrastructure

• Do researchers have access to a high-performance network that supports research within campus?
• Do researchers have access to a protected subnet or Science DMZ?
• Do researchers have access to support for high performance data movement with dedicated data transfer nodes (DTN) and associated data movement software?
• Do researchers have access to infrastructure for data buffering between high I/O lab instruments and the data center, and/or external resources?
• Do researchers have access to mechanisms for isolated and secure support for movement of sensitive/secure data?
• Do researchers have access to virtualized networking techniques such as Software Defined Networks, overlays, etc.?

Specialized Infrastructure

• Do researchers have access to support for edge computing and data resources?
• Do researchers have access to support for sensors, internet of things?
• Do researchers have access to support for researcher workstations or laptops?
• Do researchers have access to support for special science instruments?
• Do researchers have access to specialized compute capability?

Infrastructure Software

• Do researchers have access to resource management and/or queuing software for managing access to resources (e.g. SLURM, Torque)?
• Can researchers leverage institutional-level Identity and Access Management?
• Do researchers have access to 2-factor authentication (where prudent)?
• Is researcher access to systems and data managed with a common, project-based or role-based tool?
• Are researchers' external collaborators able to use their home organization credentials (or ORCID IDs, etc.) to access systems and data?
• Do researchers have access to modules support to provide access to system-wide software libraries and applications?

Monitoring and Measurement

• Is there a practice in place for monitoring infrastructure at the node (individual unit) level for resources that support research?
• Is there a practice in place utilizing active network measurement tools (i.e. perfSONAR) for the research-supporting network, DMZ, DTN etc.?
• Is there a practice in place for whole system testing (e.g./chaos monkey) on resources that support research?
• Is there a practice in place for both active and passive measurement of infrastructure that supports research?
• Do researchers have access to monitoring tools as part of their workflow?
• Is performance data (on resources that support research) analyzed and used for operational decision making?
• Is a method in place to track and report resource usage at the researcher/project level?

Change Mngmnt, version control, administration, and ticketing

• Do Research Computing and Data staff follow a documented change management process?
• Do Research Computing and Data staff utilize version control repositories of services and infrastructure data?
• Do Research Computing and Data staff leverage a ticketing system for user support?
• Do Research Computing and Data staff follow an established procedure for privileged account management among the administrators, including tracking of elevated privileges?
• Have Research Computing and Data staff established a workflow environment to support end-to-end network performance troubleshooting?

Documentation

• Do Research Computing and Data staff produce and regularly maintain systems facing documentation?
• Do Research Computing and Data staff have documented processes, procedures, and policies for infrastructure management?

Planning

• Do Research Computing and Data planning processes include/incorporate security and compliance considerations?
• Do Research Computing and Data staff follow a formal process for procuring research computing, data, networking, etc. resources?
• Is a systems and infrastructure lifecycle plan defined and maintained?
• Are researchers and governance roles engaged to explore gaps and to address emerging needs and technologies?
• Are systems-facing staff engaged with exploring, testing, and deploying emerging or advanced technologies to help research?

Best security practices for open environments

• Is Research Computing and Data (RCD) security coordinated with institutional IT Security and Compliance?
• Are Security Best practices implemented (such as those from NIST, trusted CI, CVE, and others)?
• Is there a security incident response plan, and an associated response team?

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Strategy and Policy-Facing Topics and Associated Capabilities

Institutional Alignment (How policies and priorities are set)

• Does your Research Computing and Data (RCD) team/group have a strategic plan, and is this strategic plan updated on a regular basis?
• Is your Research Computing and Data (RCD) strategic plan aligned to campus plans?
• Do the Research Computing and Data (RCD) service and support community and underlying IT service providers have a good awareness and understanding of major research efforts/initiatives across the institution?
• Are research priorities, and Research Computing and Data (RCD) strategic priorities well-understood by your institution's management and planning groups?
• Is there a Faculty Advisory Group (or equivalent) that provides review and advice on priorities for the Research Computing and Data (RCD) program?
• Does institution-level management and planning recognize and value the impact of Research Computing and Data (including return/value on investment)?
• Are researchers effectively informed and made aware of Research Computing and Data (RCD) resources and services?
• Are Research Computing and Data (RCD) resources and services available in support of instruction or other pedagogical uses?

Institutional Culture for Research Support

• Is there an understanding across the IT organization, research community, and institutional leadership of the distinction between Research Computing and Data services and standard (enterprise) IT services?
• Is facilitation of Research Computing and Data services recognized as an important role to the campus?
• Are Research Computing and Data operating metrics captured and reported to leadership?

Funding

• Are Research Computing and Data services funded in a sustainable manner?
• Are new funding opportunities proactively identified and assessed at an institutional level, for relevance to institutional mission and alignment to Research Computing and Data needs and priorities?
• Do research funding activities actively integrate the Research Computing and Data (RCD) services group?
• Do Research Computing and Data (RCD) services groups/teams submit (extramural) grant proposals for RCD investments and innovations?
• Have Research Computing and Data (RCD) services groups/teams been awarded (extramural) grants they applied for, in support of RCD investments and innovation?

Partnerships / Engagement with External Communities

• Do Research Computing and Data (RCD) services groups/teams actively engage with regional and/or national Research Computing and Data peers/communities?
• Are institutional Research Computing and Data services provided to external users, such as hosting data repositories, providing computing resources, etc.?
• Is there a practice of active engagement of your institution in external partnerships (for funding, or for advancing Research Computing and Data activities and interests?

Professional Development of Research Computing and Data Staff

• Are Research Computing and Data (RCD) staff provided with professional training opportunities?
• Are Research Computing and Data staff provided with opportunities for career advancement?
• Are Research Computing and Data (RCD) staff permitted to use staff time to engage in regional or national community efforts?

Diversity, Equity, and Inclusion

• Is there a policy and practice to ensure (and if necessary, improve) diversity, equity, and inclusion, on the Research Computing and Data (RCD) staff?
• Are Research Computing and Data recruitments (job listings) reviewed for inclusive language to attract a broad range of applicants?
• Do Research Computing and Data staff have access to diversity, equity, and inclusion training?

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