DATA MANAGEMENT PLANS (DMP ) FOR NSF PROPOSALS

1. DATA MANAGEMENT PLANS (DMP) FOR NSF PROPOSALS ACCESS for VALIDITY ACCESS for INNOVATION

2. BASICS • Starting January 2011 for NEW proposals • Not voluntary – “integral part” of proposal and FastLane • Required for all data for any level of NSF funding • Supplementary 2-page document (max) • Optional: Also part of 15-page (max) Project Description Source: Special Information and Supplementary Documentation, http://www.nsf.gov/pubs/policydocs/pappguide/nsf11001/gpg_2.jsp#IIC2j

3. BASICS+ • Must address both physical and digital data • Must include sufficient information for assessment • “Efficiency and effectiveness” of the DMP will be considered

4. WHY? “Such dissemination of data is necessary for the community to stimulate new advances as quickly as possible and to allow prompt evaluation of the results by the scientific community. “ – NSF (italics mine) • Part of Openness trend in government (data.gov) • NIH Public Access Policy (2008) • H.R. 5037 – Data accessibility applies to all federal research agencies (2010) • “Phase one” of effort to make sure data obtained by federal monies is available to general public

5. SHARING EXPLAINED • Data is expected to “explain and defend results” • Archiving and accessibility standards determined by Community of Interest (COI) and institution • Data should be made available in reasonable amount of time (COI) • Data availability must meet COI standards of privacy and confidentiality of human subjects • DMP must explain legal issues involved in cases of non-release of proprietary data (COI)

6. NOTHING TO SHARE? • Data Management Plans are required even if a project is not expected to generate data that requires sharing • DMP should clearly explain non-sharing in light of COI standards (peer review) • Between the lines: Not sharing will require justification and close scrutiny by NSF • Sharing is preferred

7. WHAT DATA IS COVERED? • Factual material (physical or digital) necessary to validate findings as defined by COI • Minimal level of data retention defined by specific Directorates, Offices, Divisions, and Programs • More robust data retention/access standards defined by COI should be followed and explained in DMP

8. MINIMAL DATA RETENTIONEXAMPLE 1: ENGINEERING DIRECTORATE • Analyzed data (incl. images, tables and tables of numbers used for making graphs) • Metadata that defines how data was generated, such as experiment descriptions, computer code, and computer-calculation input Source: Requirements by Directorate, http://www.nsf.gov/bfa/dias/policy/dmp.jsp

9. MINIMAL DATA RETENTIONEXAMPLE 2: DIVISION OF EARTH SCIENCES • Investigators are expected to preserve/share primary data, samples, physical collections, & supporting materials • Provide easily accessible information about data holdings, including quality assessments and guidance/finding aids • Data may be made available through submission to national data center, publication in journal, book, or accessible website of institutional archives

10. MINIMAL DATA RETENTION EXAMPLE 3: DIV. OF OCEAN SCIENCES • Principal investigators are required to submit all data collected to a designated National Data Center (e.g., National Oceanographic Data Center) • Physical samples (cores, sediment, dredge) must be archived, curated and made available to investigators on request • Metadata must be prepared and made available where no data or sample repository exists

11. MINIMAL DATA RETENTIONEXAMPLE 4: DIRECTORATE FOR SOCIAL, BEHAVIORAL & ECONOMIC SCIENCES • Data sets: fully cleaned and documented data should be placed in data archive or library • Researchers “should consider whether and how” to keep or store physical data materials (e.g., handwritten reports, video tapes, microfilm) • Tabulated data from experimental research should be made available to investigators requesting data

12. WHAT DATA MAY NOT BE COVERED? • COI defines data parameters • For example (from Engineering Directorate): • Raw data (preliminary analysis) • Paper drafts • Peer reviews • Communications with colleagues

13. DATA MANAGEMENT PLAN CONTENT • Expected Data: types, physical/electronic collections, materials to be produced • Standards to be used for data and metadata format and content • Policies for access and sharing including provisions for appropriate protection of privacy, confidentiality, security, intellectual property, or other rights or requirements

14. DATA MANAGEMENT PLAN CONTENT+ • Policies and provisions for re-use, re-distribution, and the production of derivatives • Plans for archiving data, samples, and other research products, and for preservation of access to them

15. COSTS • DMP costs can be included in proposal budget • Costs must be justified according to applicable cost principles (i.e., they make sense according to the nature and scope of the proposal) • Costs are necessary to implement DMP per COI standards

16. WHERE DO I START? • Minimal standards for types of data and retention/sharing may not exist at this point • Check with specific office or directorate responsible for proposal area for guidance and review • Data Management & Sharing FAQs: http://www.nsf.gov/bfa/dias/policy/dmpfaqs.jsp