William Pooler and Heidi Imker PhDDepartment of Research Data Service & Graduate School of Library and Information Science, University of Illinois at Urbana-Champaign

Status of Research Data Policies from Funding Agencies: Statements on Access, Archive, and Sharing

AimThis analysis will bring to the surface the increasing need for a more critical eye in regards to Data Management Planning (DMP). In some cases the funding agencies are weighing DMPs when reviewing submissions. By highlighting these trends and funding agencies’ expectations, researchers can get ahead of the game. As more weight is given to creating a better plan more researchers will ensure a quality level of DMP. Thus causing their research to stand out in the funding and review processes.

Introduction We looked at the current policies surrounding the archiving and sharing of research data. These changes showed a trend toward a more critical focus on proper data management planning and attention to the lifecycle of the data, from creation through continual use of data after the funded research has ended. In this examination, we focused on the funding policies to date, many of which have been updated this year, prompted in part by the introduction of the OSTP Access Memorandum. In the academic librarian’s / curator’s world, it is important to stay abreast of these changes and understand how these changes may affect the requirements of sharing and archiving research data.

Examples of recently modified policies on sharing and archiving

Joint Fire Science Program : Modified 2014 Archiving

All collected or generated data should be evaluated for errors and subjected to data proofing and validation procedures. Investigators must select a data repository well suited for long-term archival, publication, and data sharing of data collected or generated through JFSP funding. JFSP recommends use of the Forest Service R&D data archive ( http://www.fs.usda.gov/rds/archive/ ). If you would like to discuss the archive’s services, please contact archivist Dave Rugg (drugg@fs.fed.us) or associate archivist Laurie Porth (lporth@fs.fed.us).

SharingIt is the intent of JFSP that all data collected or generated through JFSP funds are of high quality and made freely

available to others within a reasonable time period. JFSP recognizes that preparation of data and metadata for publication is a time-consuming process. Adequate funds to support this work should be included in proposal budgets. DMPs must be attached as a separate document and are limited to two pages maximum. DMPs will be considered in the proposal review process. PIs can limit release of data sets for up to two years following submission of the final report.

Engineering / NSF : Modified 2014Archiving

The DMP should describe the period of data retention. Minimum data retention of research data is three years after conclusion of the award or three years after public release, whichever is later.

SharingPublic release of data should be at the earliest reasonable time. A reasonable standard of

timeliness is to make the data accessible immediately after publication, where submission for publication is also expected to be timely.

MethodAll information was obtained through the guidelines of

online policies, PDFs downloaded through funding institution’s web sites, and through direct contact with funding directors.

In this analysis we looked at trends in terminology, process, validation, and lifecycles surrounding research data as dictated by funding agencies.

This study compares the policies that have not been updated to the trends in the newly revised policies, This provided a look into the future of funding agencies’ requirements surrounding data retention and sharing.

All information was current as of 8/14/2014

Popular Policy Terms

Proofing and

Validation

Digital Repositories

Best Practices

Reasonable Procedures

Data Sharing Plan

(DSP)

Digital Stewardship

Plan

Alfred P. Sloan Foundation

DOE / Department of Energy

Gordon & Betty Moore Foundation

Gulf of Mexico Research Initiative

IES / Institute of Education Sciences

Institute of Museum & Library Services

Joint Fire Science Program

National Institutes of Health

Office of Digital Humanities

Atmospheric & Geospace Sciences / NSF

Astronomical Sciences / NSF

Biological Sciences / NSF

Chemistry Division / NSF

Computer & information Science & Engineering / NSF

Materials Research / NSF

Earth Science / NSF

Education & Humanities / NSF

Engineering / NSF

Generic / NSF

Physics / NSF

Social, Behavioral, Economic Sciences

USGS Data Management Plans

1996 1998 2000 2002 2004 2006 2008 2010 2012 2014 2016

2014

2014

2008

2014

2013

2014

2014

2012

2014

2014

2011

2013

2011

2011

2011

2002

2014

2014

2014

2011

2013

2014

Policy Last Modified Date

ConclusionFollowing the trends of the funding agencies’ requirements can better equip the librarian / curator to serve researchers as these requirements emerge and evolve. As the requirements move forward this project should be revisited to keep it current.

Increasing Access to the Results of Federally Funded Scientific Researchas laid out in the OSTP mandate

Each agency plan must be consistent with the objectives set out in this memorandum. Theseobjectives were developed with input from the National Science and Technology Council and public consultation in compliance with the America COMPETES Reauthorization Act of 2010 (P.L. 111-358).

Further, each agency plan for both scientific publications and digital scientific data must containthe following elements:

1. A strategy for leveraging existing archives, where appropriate, and fostering public and private partnerships with scientific journals relevant to the agency’s research;

2. A strategy for improving the public’s ability to locate and access digital data resulting from federally funded scientific research;

3. An approach for optimizing search, archival, and dissemination features that encourages innovation in accessibility and interoperability, while ensuring long-term stewardship of the results of federally funded research;

4. A plan for notifying awardees and other federally funded scientific researchers of their obligations (e.g., through guidance, conditions of awards, and/or regulatory changes);

5. An agency strategy for measuring and, as necessary, enforcing compliance with its plan;

6. Identification of resources within the existing agency budget to implement the plan;

7. A timeline for implementation; and

8. Identification of any special circumstances that prevent the agency from meeting any of the objectives set out in this memorandum, in whole or in part.