The document discusses data management plan requirements for proposals submitted to the U.S. Department of Energy Office of Science for research funding. It provides context on the history of data management policies, outlines the four main requirements for inclusion of a data management plan, and suggests elements that should be included in the plan such as data types/sources, content/format, sharing/preservation, and protection. It also discusses tools like the Public Access Gateway for Energy and Science that can help manage access to research publications and data.

1. Data Management Plan Requirements
Laura Biven, PhD
Senior Science and Technology Advisor
Office of the Deputy Director for Science Programs (SC-2)
U.S. Department of Energy
Laura.Biven@science.doe.gov
NISO: Scientific Data Management
February18, 2015

2. Outline
• DOE Office of Science 101
• Context and History for DMP requirements
• DOE Public Access Plan
• Office of Science Statement on Digital Data
Management
2

3. Office of Science
By the numbers
Shown is a portion of SLAC's two-mile-long linear accelerator (or linac), which
prov ides the electron beam f or the new Linac Coherent Light Source (LCLS) – the
world’s f irst hard x-ray , f ree-electron laser. For nearly 50 y ears, SLAC's linac had
produced high-energy electrons f or phy sics experiments. Now researchers use
the v ery intense X-ray pulses (more than a billion times brighter than the most
powerf ul existing sources) much like a high-speed camera to take stop-motion
pictures of atoms and molecules in motion, examining f undamental processes on
f emtosecond timescales.
Support for basic
research in the physical
sciences by agency.
Source: NSF Science
and Engineering
Indicators 2012
SC’s mission is to deliver scientific discoveries
and major scientific tools to transform our under-
standing of nature and advance the energy,
economic, and national security of the U.S.
Research
SC supports 47% of the U.S. Federal support of basic
research in the physical sciences;
~22,000 Ph.D. scientists, grad students, engineers, and
support staff at >300 institutions, including all 17 DOE labs;
U.S. and world leadership in high-performance computing
and computational sciences;
Major U.S. supporter of physics, chemistry, materials
sciences, and biology for discovery science and for energy
sciences;
Scientific User Facilities
The world’s largest collection of scientific user facilities (aka
research infrastructure) operated by a single organization in
the world, used by 31,000 researchers eachyear.
3

4. Quick-Facts about the DOE Office of Science
4
Advanced Scientific Computing
Research
Basic Energy Sciences
Biologicaland Environmental
Research
Fusion EnergySciences
High Energy Physics
Nuclear Physics

5. 5
Office of Science User Facilities 2013
SSRL
ALS
APS
NSLS
LCLS
HFIR
Lujan
SNS
CNM
Foundry
CNMS
CINT
CFN
NERSC
OLCF
ACLF
Tevatron
FACET
B-Factory
RHIC
TJNAF
ATLAS
EMSL
JGI
ARM
DIII-D
C-Mod
NSTX
FES
SSRL
ALS
APS
NSLS
HFIR
Lujan
SNS
NSRCs
NERSC
OLCF
ALCF
Fermilab
Accelerator
Complex
B-Factory
RHIC
TJNAF
ATLAS
EMSL
JGI
ARM
DIII-D
Alcator
Light Sources
Neutron
Sources
Nano
Centers
Computing
Facilities
High energyphysics
facilities
Nuclear physics
facilities
Bio & Enviro
Facilities
LCLS
Does not include LHC; HEP supports
about 1,700 scientists, technicians, and
engineers at the LHC.
Basic Energy Sciences
Advanced Scientific
Research Computing
High Energy Physics
Nuclear Physics
Biological & Environmental
Research
Fusion Energy Sciences

6. Light Sources
SSRL 1974 & 2004
-
1,000
2,000
3,000
4,000
5,000
6,000
7,000
8,000
9,000
10,000
11,000
12,000
0%
10%
20%
30%
40%
50%
60%
70%
80%
90%
100%
1990
1991
1992
1993
1994
1995
1996
1997
1998
1999
2000
2001
2002
2003
2004
2005
2006
2007
2008
2009
2010
2011
2012
2013
PercentofUsers
Fiscal Year
Life Sciences
Chemical Sciences
Geosciences &
Ecology
Applied
Science/Engineering
Optical/General
Physics
Materials Sciences
Other
6
NSLS-II 2015
SSRL1974&2004
APS 1996
NSLS-II 2014ALS 1993
LCLS 2009

7. Single Light Source Data Flow Triples NERSC’s
Network Usage
7

8. Data-Intensive Science Drives Exponential Network Growth
8
Science Data Transferred
Each Month, in PB
20182004 2006 2008 2010 2012 2014 2016
100
0.01
0.1
1
10
Year
Internet Growth:
(30 – 40%/y ear)
ESnet Growth:
~70%/y ear

9. • COMPETES2010 “Interagency Public Access Committee”
• Office of Science Working Group on Digital Data
• Office of Science FACAReports (2011)
• OSTP Requestfor Information (2012)
• Office of Science User Facility Input (2013)
• OSTP Memo“Increasing Access to the Results of Federally Funded
Scientific Research” (Feb.,2013)
• DOE Public Access Plan and
Office of Science Statementon Digital Data Management(July,2014)
Brief History – Data
9
Data
Management
Policies of other
Agencies
Global
Policy
Context

10. OSTP Memo and the DOE Response
10
Increasing Access to the Resultsof Federally Funded
ScientificResearch
http://www.whitehouse.gov/sites/default/files/microsites/ostp/ostp_public_access_memo_2013.pdf
DOE PublicAccess Plan is
available on the DOE Open
Government website
http://energy.gov/downloads/doe-public-access-plan

11. DOE Public Access Plan: A Department-wide policy
The Office of Science intends to publish its data management
plan requirements on July 28, 2014. Starting October 1, 2014,
the requirements will be included in all invitations and
solicitationsfor research funding issued by the Office of
Science.
Other DOE Offices and elements will implement data
management plan requirements no later than October 1, 2015.
The result will be a Department-wide policy. Should it be
necessary, additional supplementary guidance and
requirements addressing specific needs would be issued by
each Office or element and coordinated centrally.
11For Internal Use Only

12. Snapshot with TOC
12

13. Principles
• Effective data management has the potential to increase the pace of scientific
discoveryand promote more efficientand effective use of government funding
and resources.Data management planning should be an integral part of
research planning.
• Sharing and preserving data are central to protecting the integrity of science
by facilitating validation of results and to advancing science by broadening the
value of research data to disciplines other than the originating one and to
society at large. To the greatest extent and with the fewestconstraints
possible,and consistentwith the requirements and other principles of this
Statement, data sharing should make digital research data available to and
useful for the scientific community, industry, and the public.
• Not all data need to be shared or preserved.The costs and benefits of doing
so should be considered in data management planning.
Office of Science Statement on Digital Data Management
http://science.energy.gov/funding-opportunities/digital-data-management/
13

14. Office of Science Statement on Digital Data Management
• Requirements apply to proposals for research funding
• Requirements apply to proposals submitted for new,
renewal, and some supplemental research funding
• Requirements apply to proposals regardless of the PI’s
institution
• Requirements apply to proposals submitted in response to
solicitationsand invitations issued after Oct. 1, 2014
• Requirements do not apply to applications to use Office of
Science user facilities.
14

15. Requirements
All proposals submitted to the Office of Science for research funding must
include a Data ManagementPlan (DMP)that addresses the following
requirements:
1. DMPs should describe whether and how data generated in the course of the
proposedresearchwill be shared and preserved.If the plan is not to share
and/or preserve certain data, then the plan must explain the basis of the
decision(for example, cost/benefitconsiderations,other parameters of
feasibility, scientific appropriateness,or limitations discussed in Requirement
#4).At a minimum, DMPs must describe howdata sharing and preservation
will enable validation of results, or how results could be validated if data are
not shared or preserved.
Office of Science Statement on Digital Data Management
15

16. Requirement 2 of 4
2. DMPs should provide a plan for making all research data displayed in
publications resulting from the proposed researchopen, machine-readable,
and digitally accessible to the public at the time of publication. This includes
data that are displayed in charts, figures, images, etc. In addition, the
underlying digital research data used to generate the displayed data should
be made as accessible as possible to the public in accordance with the
principles stated above. This requirement could be met by including the data
as supplementary information to the published article, or through other
means. The published article should indicate how these data can be
accessed.
Office of Science Statement on Digital Data Management
16

17. Requirement 3 of 4
3. DMPs should consult and reference available information about data
management resources to be used in the course of the proposed research.In
particular, DMPs that explicitly or implicitly commit data management
resources at a facility beyond what is conventionally made available to
approved users should be accompanied by written approval from that facility.
In determining the resources available for data management at Office of
Science User Facilities, researchers should consult the published description
of data management resources and practices at that facility and reference it in
the DMP. Information about other Office of Science facilities can be found in
the additional guidance from the sponsoring program.
Office of Science Statement on Digital Data Management
17

18. Snapshot of Facilities Page
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19. Requirement 4 of 4
4. DMPs must protect confidentiality, personal privacy, Personally Identifiable
Information, and U.S. national, homeland, and economic security; recognize
proprietary interests, business confidential information, and intellectual
property rights; avoid significant negative impact on innovation, and U.S.
competitiveness;and otherwise be consistentwith all applicable laws,
regulations, and DOE orders and policies.There is no requirement to share
proprietary data.
• DMPs will be reviewed as part of the overall Office of Scienceresearch proposal merit
review process.
• Additional requirements and review criteriafor the DMP may be identified by the
sponsoring program or sub-program, or in the solicitation.
Office of Science Statement on Digital Data Management
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20. Digital Research Data:
The term digital data encompasses a wide variety of information stored in digital form
including: experimental, observational, and simulation data; codes, software and
algorithms; text; numeric information; images; video; audio; and associated metadata. It
also encompasses information in a variety of different forms including raw, processed, and
analyzed data, published and archived data.
This statement focuses on digital research data, which are researchdata that can be
stored digitally and accessed electronically. OMB Circular A110 defines research data as
follows:
“Research data is defined as the recorded factual material commonly accepted in the scientific
community as necessary to validate research findings, but not any of the following: preliminary
analyses, drafts of scientific papers, plans for future research, peer reviews, or communications
with colleagues. This 'recorded' material excludes physical objects (e.g., laboratory samples).
Research data also do not include:
(A) Trade secrets, commercial information, materials necessary to be held confidential by a
researcher until they are published, or similar information which is protected under law; and
(B) Personnel and medical information and similar information the disclosure of which would
constitute a clearly unwarranted invasion of personal privacy, such as information that could be
used to identify a particular person in a research study.”
Definitions
20

21. Data Preservation:
Data preservationmeans providing for the usability of data beyond the lifetime of
the research activity that generated them.
Data Sharing:
Data sharingmeans making data available to people other than those who have
generated them. Examples of data sharing range from bilateral communications
with colleagues,to providing free,unrestricted access to the public through, for
example, a web-based platform.
Validate:
In the context of this statement, validatemeans to support, corroborate,verify, or
otherwise determine the legitimacy of the research findings. Validation of
research findings could be accomplished by reproducing the original experiment
or analyses; comparing and contrasting the results against those of a new
experiment or analyses; or by some other means.
Definitions
21

22. Suggested Elements for a Data Management Plan
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• Data Types and Sources
• Content and Format
• Sharing and Preservation
• Protection
• Rationale

23. • Data Types and Sources.Abrief, high-level descriptionof the data to be
generated or used through the course of the proposedresearchand which of
these are considered digital research data necessary to validate the research
findings.
• Contentand Format.Astatement of plans for data and metadata content
and format including, where applicable, a descriptionof documentation plans,
annotation of relevant software, and the rationale for the selectionof
appropriate standards. (Existing, accepted community standards should be
used where possible.Where community standards are missing or inadequate,
the DMP could propose alternate strategies that facilitate sharing, and should
advise the sponsoring program of any need to develop or generalize
standards.)
Suggested Elements
23

24. • Sharing and Preservation. A description of the plans for data sharing and
preservation. This should include, when appropriate:
• the anticipated means for sharing and the rationale for any restrictions on who may access the
data and under what conditions;
• a timeline for sharing and preservation that addresses both the minimum length of time the data
will be available and any anticipated delay to data access after research findings are published;
• any special requirements for data sharing, for example, proprietary software needed to access
or interpret data, applicable policies, provisions, and licenses for re-use and re-distribution, and
for the production of derivatives, including guidance for how data and data products should be
cited;
• any resources and capabilities (equipment, connections, systems, software, expertise, etc.)
requested in the research proposal that are needed to meet the stated goals for sharing and
preservation. (This could reference the relevant section of the associated research proposal
and budget request);
• cost/benefit considerations to support whether/where the data will be preserved after direct
project funding ends and any plans for the transfer of responsibilities for sharing and
preservation;
• whether, when, or under what conditions the management responsibility for the research data
will be transferred to a third party (e.g. institutional, or community repository);
• any other future decision points regarding the management of the research data including plans
to reevaluate the costs and benefits of data sharing and preservation.
Suggested Elements
24

25. • Protection.Astatement of plans, where appropriate and necessary,to
protect confidentiality, personal privacy, Personally Identifiable Information,
and U.S. national, homeland, and economic security; recognize proprietary
interests, business confidential information, and intellectual property rights;
and avoid significant negative impact on innovation, and U.S.
competitiveness.
• Rationale.A discussionof the rationale or justification for the proposed data
management plan including, for example, the potential impact of the data
within the immediate field and in other fields,and any broader societalimpact.
Suggested Elements
25

26. Data ID Service
https://www.osti.gov/elink/aboutDataIDService.jsp
26
Provided through DOE’s Office of Scientific and Technical Information (OSTI)

27. Funding Opportunity Announcement Language
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28. Funding Opportunity Announcement Language
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Merit Review Criteria:

29. Public Access Gateway for Energy and Science (PAGESBeta)
• Full text versions of peer-reviewed articles resulting from DOE
supported research are publicly accessible through PAGESBeta
• DOE-supported researchers are required to submit metadata for peer-
reviewed publications and full text or links to accepted manuscripts
starting in FY 2015
• PAGESBeta will link to full-text accepted manuscripts or articles after a
12-month post-publication administrative interval.
• Researchers should acknowledge DOE funding appropriately
http://science.energy.gov/funding-opportunities/acknowledgements/
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http://www.osti.gov/pages/