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Funder requirements for Data Management Plans
This document discusses funder requirements for data management and sharing. It notes that major funders like the National Science Foundation (NSF) and National Institutes of Health (NIH) require applicants to submit a data management plan. These plans describe how research data will be organized, preserved, and shared. The document provides details on what funders expect to see in a data management plan, including a description of the data, metadata standards, data access and sharing policies, and plans for long-term data preservation. It also lists other funders that require applicants to have a data management or sharing plan.
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Funder requirements for Data Management Plans
- 1. Funder Requirements for Data Managementand Sharing Sherry Lake July 31, 2012 University of Florida Data Management Workshop
- 2. US Funding Agencies Requirement The Office of Management and Budget (OMB) Circular A-110 provides the federal administrative requirements for grants and agreements with institutions of higher education, hospitals and other non-profit organizations. In1999, revised to provide public access under some circumstances to research data through the Freedom of Information Act (FOIA). Funding agencies have implemented the OMB requirement in various ways.
- 3. Who is RequiringData Sharing? National Science Foundation (NSF) National Institute of Health (NIH) – for awards asking for $500,000 or more (since 2003) NIH Public Access Mandate (for publications) National Endowment for the Humanities (NEH) Office of Digital Humanities – New Grant Program Digital Humanities Implementation Grants
- 4. What is aData Management Plan? A comprehensive plan of how you will manage your research data throughout the lifecycle of your research project OR Briefdescription of how you will comply with funder’s data sharing policy Reviewed as part of a grant application
- 5. NSF Data Archivingand Sharing Policy Prior to 2011 To advance science by encouraging data sharing among researchers: Data obtained with federal funds be accessible to the general public Grantees must develop and submit specific plans to share materials collected with NSF support, except where this is inappropriate or impossible
- 6. Dissemination & Sharingof Research Results “Investigators are expected to share with other researchers, at no more than incremental cost and within a reasonable time, the primary data, samples, physical collections and other supporting materials created or gathered in the course of work under NSF grants. Grantees are expected to encourage and facilitate such sharing.” National Science Foundation: Award & Administration Guide (AAG) Chapter VI.D.4
- 7. Scientists Seeking NSFFunding Will Soon Be Required to Submit Data Management Plans NSF Press Release 10-077 On or around October 2010: Require that all proposals include a data management plan in the form of a two- page supplementary document Change in the implementation of NSF’s data sharing policy Specifics forthcoming
- 8. What Will aData Management Plan Look Like? “Long-Lived Digital Data Collections: Enabling Research and Education in the 21st Century.” National Science Board, September 2005. “To Stand the Test of Time: Long-term Stewardship of Digital Data Sets in Science and Engineering.” Report to National Science Foundation from Association of Research Libraries (ARL) Workshop, September 2006. “Harnessing the Power of Digital Data for Science and Society.” Report of the Interagency Working Group on Digital Data to the Committee on Science of the National Science and Technology Council, January 2009.
- 9. Plan for DataManagement & Sharing of the Products of Research As of January 18, 2011: “Proposals must include a supplementary document of no more than two pages labeled “Data Management Plan”. This supplement should describe how the proposal will conform to NSF policy on the dissemination and sharing of research results, and may include…...” NSF: Grant Proposal Guide (GPG) Chapter II.C.2.j
- 10. Parts of a(Generic) NSF Data Management Plan I. Products of the Research: The types of data, samples, physical collections, software, curriculum materials, and other materials to be produced in the course of the project. II. Data Formats: The standards to be used for data and metadata format and content (where existing standards are absent or deemed inadequate, this should be documented along with any proposed solutions or remedies). III. Access to Data and Data Sharing Practices and Policies: Policies for access and sharing including provisions for appropriate protection of privacy, confidentiality, security, intellectual property, or other rights or requirements. IV. Policies for Re-Use, Re-Distribution, and Production of Derivatives. V. Archiving of Data: Plans for archiving data, samples, and other research products, and for preservation of access to them. Grant Proposal Guide (GPG) Chapter II.C.2.j
- 11. Requirements by Directorate,Office, Division, Program, or other NSF Units Mathematical and Physical Directorate-wide Guidance Sciences Directorate (MPS) Biological Sciences Directorate (BIO) Division of Astronomical Sciences Computer & Information Sciences & Division of Chemistry Engineering (CISE) Division of Materials Research Education & Human Resources Division of Mathematical Sciences Directorate (EHR) Division of Physics Engineering Directorate (ENG) Social, Behavioral and Economic Sciences Directorate (SBE) Geological Sciences Directorate (GEO) Division of Earth Sciences Division of Ocean Sciences Atmospheric & Geospace Sciences
- 12. Which NSF requirementto use? Which Guideline Should I follow? First: follow the requirements laid out in the specific solicitation, if any. Second: follow the guidelines published by the appropriate NSF directorate and/or division. If there is a conflict, the latter takes precedence. Third: follow the more general guidelines. Interdisciplinary Proposals Use guidelines appropriate to the lead program (if there are specific guidelines)
- 13. Parts of aData Management Plan 1. The types of data and other information Types of data produced Relationship to existing data How/when/where will the data be captured or created? How will the data be processed? Quality assurance & quality control measures Security: version control, backing up Who will be responsible for data management during/after project?
- 14. Parts of aData Management Plan 2. Data & Metadata Standards Identify the formats of data files created over the course of the project What metadata are needed to make the data meaningful? How will you create or capture these metadata? Why have you chosen particular standards and approaches for metadata?
- 15. Parts of aData Management Plan 3. Policies for access and sharing 4. Policies for re-use & re-distribution Are you under any obligation to share data? How, when, & where will you make the data available? What is the process for gaining access to the data? Who owns the copyright and/or intellectual property? Will you retain rights before opening data to wider use? How long? Embargo periods for political/commercial/patent reasons? Ethical and privacy issues? Who are the foreseeable data users? How should your data be cited?
- 16. Parts of aData Management Plan 5. plans for archiving and preservation What data will be preserved for the long term? For how long? Where will data be preserved? What data transformations need to occur before preservation? What metadata will be submitted alongside the datasets? Who will be responsible for preparing data for preservation? Who will be the main contact person for the archived data?
- 17. What is aData Management Plan? A comprehensive plan of how you will manage your research data throughout the lifecycle of your research project OR Briefdescription of how you will comply with funder’s data sharing policy Reviewed as part of a grant application
- 18. Who Else isRequiring a Data Management or Sharing Plan? Institute of Museum and Library Services (IMLS) Gordon and Betty Moore Foundation Data Sharing Philosophy and Plan (since 2008) Joint Fire Science Program National Oceanic and Atmospheric Administration (NOAA)
- 19. Questions? Discussion? Sherry Lake Senior Scientific Data Consultant, UVA Library shlake@virginia.edu Twitter: shlakeuva Web: http://www.lib.virginia.edu/brown/data
Editor's Notes
- #3 Requirement of Sharing data started in 1999. In recent years several national scientific organizations have issued statements and policies underscoring the need for prompt archiving of data and funding agencies have started to require that the data they fund be deposited in a public archive. The requirement of Dissemination & Sharing of Research Results has been in the NSF Grant Policy Manual since 2002.Even though this “sharing” requirement was in the Admin Guide, there had been little if any enforcement. There was only a “check box” in the Fast Lane system. (might want to ask if this is true?, had they noticed it, had they asked researcher anything about it, or just checked the box).
- #4 NSF isn’t the only funding agency requiring a data management plan for data to be shared NEH announced on June 22, 2011 applies to Grants deadline Jan. 24, 2012 NIH 2003 Data Sharing Policy:In NIH's view, all data should be considered for data sharing. Data should be made as widely and freely available as possible while safeguarding the privacy of participants, and protecting confidential and proprietary data. To facilitate data sharing, investigators submitting a research application requesting $500,000 or more of direct costs in any single year to NIH on or after October 1, 2003 are expected to include a plan for sharing final research data for research purposes, or state why data sharing is not possible. The NIH Public Access Policy ensures that the public has access to the published results of NIH funded research. It requires scientists to submit final peer-reviewed journal manuscripts that arise from NIH funds to the digital archive PubMed Central upon acceptance for publication. To help advance science and improve human health, the Policy requires that these papers are accessible to the public on PubMed Central no later than 12 months after publication.
- #6 This policy has been in the Grant Policy Manual since 2002.Little or no enforcement, no more than a “Checkbox” in the grant submission system
- #7 This policy has been in the Grant Policy Manual since 2002.Little or no enforcement, no more than a “Checkbox” in the grant submission system
- #8 May 10, 2010 announcement: each discipline has its own culture about data-sharing, and said that NSF wants to avoid a one-size-fits-all approach to the issue. But for all disciplines, the data management plans will be subject to peer review, and the new approach will allow flexibility at the directorate and division levels to tailor implementation as appropriate. This is a change in the implementation of NSF's long-standing policy (Grant Policy Manual since 2002) that requires grantees to share their data within a reasonable length of time, so long as the cost is modest. making sure that any data obtained with federal funds be accessible to the general public.
- #9 The research community will be informed of the specifics of the anticipated changes and the agency's expectations for the data management plans.With no guidelines from NSF, how were we going to support our researchers when Oct. comes around?Looked through piles of NSF, gov. papers to get a hint as to what could be required.Long-lived:In this report we have asserted that NSF should have a coherent and thoughtful digital data collection strategy. The same is true for the individual or teams of researchers who will author and curate data. They need to have a strategy for dealing with data from their inception to their demise, or at least the foreseeable future. We define a data management plan to be a plan that describes the data that will be authored as well as how the data will be managed and made accessible throughout its lifetime.---- SPECIFIED CONTENTS of planTest of Time:NSF should require inclusion of DMP in proposal submission. Several key elements were identified.IWGDDThis report provides a strategy to ensure that digital scientific data can be reliably preserved for maximum use in catalyzing progress in science and society. AGENCIES: to promote data management planning process – includes preparing a data management plan for proposals. Nice list of elements to be considered, with guidance/definitions.Uva started creating a DMP guide with the IWGDD elements. Our 1st “template”.
- #10 In October 2010, the Grant Proposal Guide was updated with the following: As of January 18, 2011, all new NSF proposals are required to include a data management plan: Describes how the researcher will adhere to the NSF Sharing PolicyUploaded as 2-page supplemental document in FastLane labeled as “Data Management Plan”Formally peer-reviewed, and will require status updates in all progress reports Broad guidelines, but directorates may have specific guidelines for their community Important.... The policy was not starting until Jan. 2011!!! This is NOT a all encompassing Data Management Plan on how the researcher will manage his research throughout the project, ONLY how the researcher will manage data to “share”, per the policy on “Dissemination & Sharing of Research Results”. Implementation will be flexible within NSF divisions. In many of the answers to questions, the FAQ includes “will be determined by the community of interest through the process of peer review and program management”
- #11 DMP should describe how the proposal will conform to NSF policy on the dissemination and sharing of research results (see AAG Chapter VI.D.4), and may include: A valid Data Management Plan may include only the statement that no detailed plan is needed, as long as the statement is accompanied by a clear justification. These are the parts from the Generic guidelines.
- #12 The 1st bullet in the handout is the link for the NSF page on Data Management Plan Guidelines for Divsions/Directorates. Here’s a list of which one have guidelines: Left-side lists Directorate-wide guidanceRight-side lists the divisions under the directorates with Division Specific guidance Not all directorates/divisions have guidelines. If guidance specific to the program is not available, Use the more general guidelines in the Grant Proposal Guide.
- #13 With differing guidelines, which one should you use? Guidelines should be followed in this order:First, follow the requirements laid out in the specific solicitation, if any. These can generally be found in a section entitled "Proposal Preparation Instructions." Contact the program officer with any questions. Second, follow the guidelines published by the appropriate NSF directorate and/or division. Not all directorates and divisions have published data management guidelines; check the NSF's page on Dissemination and Sharing of Research Results for updates (1st link in handout) Third, follow the more general guidelines in the Grant Proposal Guide.
- #17 Describe means by which you will provide access to data and applicable time frame.Describe means for preserving data, if different from above.How long should the data be kept?
- #18 As we will see, the NSF is really concerned with managing data in order to share it. Currently, it is not interested researchers providing a more comprehensive Data Management Plan though out the research life cycle. We recommend initiating a more comprehensive Data Management Plan to see the full benefits of managing your data. But to comply with NSF mandate, all you need is a 2-page description what data you have and how you will share it.
- #19 IMLS as of March 2011 for Projects that Develop digital data