NSF Data Management Plan Requirements Alex Kanous

1. NSF Data Management Plan RequirementsAlex Kanous

2. NSF Announcement Beginning January 18, 2011, proposals submitted to NSF must include a supplementary document of no more than two pages labeled “Data Management Plan”. This supplementary document should describe how the proposal will conform to NSF policy on the dissemination and sharing of research results.

3. Continuing a Trend? NIH reaffirms its support for the concept of data sharing. We believe that data sharing is essential for expedited translation of research results into knowledge, products, and procedures to improve human health. The NIH endorses the sharing of final research data to serve these and other important scientific goals. . . . Starting with the October 1, 2003 receipt date, investigators submitting an NIH application seeking $500,000 or more in direct costs in any single year are expected to include a plan for data sharing or state why data sharing is not possible. Final NIH Statement on Sharing Research Data NOT-OD-03-032 (2/26/03)

4. NSF Policy on Dissemination and 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. Award & Administration Guide (AAG) Chapter VI.D.4.b.

5. The Data Management Plan will be reviewed as an integral part of the proposal Grant Proposal Guide (GPG) Chapter II.C.2.j • A Data Management Plan is required even if the funded project is not expected to generate data • A valid Data Management Plan may include only the statement that no detailed plan is needed • But this statement must be accompanied by a clear justification for why a Plan is unnecessary Grant Proposal Guide (GPG) Chapter II.C.2.j

6. Data Management Plan Contents • Types of data to be produced in the course of the project; • Standards to be used for data and metadata format and content; • Policies for access and sharing • Subject to appropriate privacy, confidentiality, security, intellectual property, or other rights or requirements; • Policies and provisions for re-use, re-distribution, and the production of derivatives; and • 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

7. Specific Directorate-Level Requirements • Engineering Directorate (ENG) • Geological Sciences Directorate (GEO) • Division of Earth Sciences • Integrated Ocean Drilling Program • Division of Ocean Sciences • Mathematical and Physical Sciences Directorate (MPS) • Division of Astronomical Sciences • Division of Chemistry • Division of Materials Research • Division of Mathematical Sciences • Division of Physics • Social, Behavioral and Economic Sciences Directorate (SBE)

8. Considerations for a Data Management Plan • Technical Limitations • Identifying tools and resources for enabling data dissemination and management • Compliance • Ensuring sharing complies with spectrum of legal, regulatory, and funding limitations

9. Technical Considerations • Identifying existing technical solutions (local or external) • NSF directs researchers to contact the relevant NSF Program Officer in situations where no public databases are available for your data • Building technical solutions • Proposal budget may include costs for implementing the Data Management Plan provided the costs are necessary (e.g. public option not available) and in accordance with applicable cost principles

10. Compliance Considerations Privacy & Confidentiality Publication Restrictions Intellectual Property Additional Funding Restrictions

11. Privacy & Confidentiality Privileged or confidential information should be released only in a form that protects the privacy of individuals and subjects involved. Award & Administration Guide (AAG) Chapter VI.D.4.b. Reasonable access to data containing sensitive information will be determined by the community of interest through the process of peer review and program management.

12. IP & Publication NSF normally allows grantees to retain principal legal rights to intellectual property developed under NSF grants . . . [but] such incentives do not . . . reduce the responsibility that investigators and organizations have . . . to make results, data and collections available to other researchers. Award & Administration Guide (AAG) Chapter VI.D.4.d. Data need not be made available prior to publication, but must within “a reasonable length of time” determined by the community of interest through the process of peer review and program management.

13. Data Sharing Resource Center • Launched in Summer ‘10 • Located within Division of Research & Development Administration • Informed by caBIG® experience • In response to: • Newly announced NSF mandate • New community of affected researchers • Ongoing NIH mandate • Standardizing University procedures for supporting data-sharing activities • Need for data management/sharing plan review

14. DSRC Activities • Assistance with: • Data Sharing Plans • Data Use Agreements • Monitoring regulatory and technology trends • Develop: • Model documents • Template agreements • Best practices and data sharing policies

15. Contact Web: http://www.drda.umich.edu/datasharing/ Phone: 615.8552 E-mail: akanous@umich.edu