Funder Requirements for Data Management and Sharing

Sherry Lake

July 31, 2012 University of Florida Data Management Workshop

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.

Who is Requiring Data 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

What is a Data Management Plan? A comprehensive plan of how you will

manage your research data throughout the lifecycle of your research project

OR

Brief description of how you will comply with funder’s data sharing policy

Reviewed as part of a grant application

NSF Data Archiving and 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

Dissemination & Sharing of 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

Scientists Seeking NSF Funding Will Soon Be Required to Submit Data Management Plans

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

NSF Press Release 10-077

What Will a Data 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.

Plan for Data Management & Sharing of the Products of ResearchAs 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

Parts of a (Generic) NSF Data Management PlanI. 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

Directorate-wide GuidanceMathematical and Physical Sciences Directorate (MPS)

Biological Sciences Directorate (BIO)

Computer & Information Sciences & Engineering (CISE)

Education & Human Resources Directorate (EHR)

Engineering Directorate (ENG)

Social, Behavioral and Economic Sciences Directorate (SBE)

Division of Astronomical Sciences Division of Chemistry

Division of Materials Research

Division of Mathematical Sciences

Division of Physics

Geological Sciences Directorate (GEO)

Division of Earth Sciences

Division of Ocean Sciences

Atmospheric & Geospace Sciences

Requirements by Directorate, Office, Division, Program, or other NSF Units

Which NSF requirement to 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)

Parts of a Data Management Plan1. 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?

Parts of a Data Management Plan2. 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?

Parts of a Data Management Plan3. Policies for access and sharing4. 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?

Parts of a Data Management Plan5. 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?

What is a Data Management Plan? A comprehensive plan of how you will

manage your research data throughout the lifecycle of your research project

OR

Brief description of how you will comply with funder’s data sharing policy

Reviewed as part of a grant application

Who Else is Requiring 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)

Questions? Discussion? Sherry Lake

Senior Scientific Data Consultant, UVA Library

shlake@virginia.edu Twitter: shlakeuva Web:

http://www.lib.virginia.edu/brown/data