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Research Funder Requirements

Department of Energy (DOE)

The Department of Energy has several divisions that provide funding for academic research - The Office of Science (OS) and the Office of Energy Efficiency & Renewable Energy (EERE). They both adhere to the Department's policies on digital data management.

The Department of Energy affirms that the following principles for the management of digital research data support its mission.

  • Effective data management has the potential to increase the pace of scientific discovery and promote more efficient and effective use of government funding and resources. Data management planning should be an integral part of research planning.
  • Sharing and preserving data are central to protecting the integrity of science by facilitating validation of results and to advancing science by broadening the value of research data to disciplines other than the originating one and to society at large. To the greatest extent, with the fewest constraints possible, and consistent with the requirements and other principles stated in this document, data sharing should make digital research data available to and useful for the scientific community, industry, and the public.
  • Not all data need to be shared or preserved. The costs and benefits of doing so should be considered in data management planning.  

DOE Policy for Digital Research Data Management

Suggested Elements for a Data Management Plan:

  • Data Types and Sources. A brief, high-level description of the data to be generated or used through the course of the proposed research and which of these are considered digital research data necessary to validate the research findings.

  • Content and Format. A statement of plans for data and metadata content and format, including, where applicable, a description of documentation plans, annotation of relevant software, and the rationale for the selection of appropriate standards. (Existing, accepted community standards should be used where possible. Where community standards are missing or inadequate, the DMP could propose alternate strategies that facilitate sharing and should advise the sponsoring technology office or program of any need to develop or generalize standards.)

  • Data Sharing and Data Preservation.  A description of the plans for data sharing and preservation. This should include, when appropriate:

  • The anticipated means for sharing, applicable contact information, and the rationale for any restrictions on who may access the data and under what conditions

  • A timeline for sharing and preservation that addresses both the minimum length of time the data will be available and any anticipated delay to data access after research findings are published

  • Any special requirements for data sharing, for example, proprietary software needed to access or interpret data, applicable policies, provisions, and licenses for re-use and re-distribution, and for the production of derivatives, including guidance for how data and data products should be cited

  • Any resources and capabilities (equipment, connections, systems, software, expertise, etc.) requested in the research proposal that are needed to meet the stated goals for sharing and preservation (This could reference the relevant section of the associated research proposal and budget request.)

  • Cost-benefit considerations to support whether/where the data will be preserved after direct project funding ends and any plans for the transfer of responsibilities for sharing and preservation

  • Whether, when, or under what conditions the management responsibility for the research data will be transferred to a third party (e.g. institutional or community repository)

  • Any other future decision points regarding the management of the research data, including plans to re-evaluate the costs and benefits of data sharing and preservation.

Protection. A statement of plans, where appropriate and necessary, to protect confidentiality, personal privacy, Personally Identifiable Information, and U.S. national, homeland, and economic security; recognize proprietary interests, business confidential information, and intellectual property rights; and avoid significant negative impact on innovation, and U.S. competitiveness.

Rationale. A discussion of the rationale or justification for the proposed data management plan including, for example, the potential impact of the data within the immediate field and in other fields, and any broader societal impact. 

DOE implemented new rules on classified human subject research in February 2016.  

Do you have any questions or need assistance understanding the DOE requirements? We can help you with selecting an appropriate repository, understanding funder requirements, and drafting and reviewing your data management plan.  Contact us at dmconsult@virginia.edu.  

 

DOE: Office of Science (OS)

The Department of Energy (DOE) Office of Science (OS) implemented a data management plan (DMP) requirement in October 2014. This was extended to all DOE programs effective October 1, 2015.

There are 8 programs at the Office of Science. Several of the programs have subprograms, or additional requirements. The requirements are usually included in the individual program pages, but they may also be found as FAQs or guidance on the primary program's web page.

If you intend to use any of the Office of Science User Facilities, you will need to follow the data management requirements of the facilities in addition to the requirements of the programs and DOE. ASCR, BES, BER, FES, HEP and NP all have facilities available. The User Facilities page provides links to all of these resources. 

The Office of Scientific and Technical Information (OSTI) manages the collection of all DOE STI. They provide access to the OSTI.gov; DOE pages; DOE data Explorer; DOE Code; DOEpatents; ScienceCinema; Science.gov; WorldWideScience.org; and SC e-journals sites and portals.

DOE OS provides a Glossary of Terms and a FAQ for their DMP requirements, including a list of suggested elements for the DMP.  

Do you have any questions or need assistance understanding the DOE requirements? We can help you with selecting an appropriate repository, understanding funder requirements, and drafting and reviewing your data management plan.  Contact us at dmconsult@virginia.edu.  

DOE: Office of Energy Efficiency & Renewable Energy (EERE)

The Department of Energy (DOE) Office Energy Efficiency & Renewable Energy (EERE) implemented a digital data management plan (DMP) requirement effective October 1, 2014 for all EERE research solicitations. 

All projects selected for EERE research funding must include a data management plan (DMP) that addresses the following requirements:

  • DMPs should describe whether and how data generated in the course of the proposed research will be shared and preserved. If the plan is not to share or preserve certain data, then the plan must explain the basis of the decision (for example, cost-benefit considerations, other parameters of feasibility, scientific appropriateness, or limitations discussed in #4 below). At a minimum, DMPs must describe how data sharing and preservation will enable validation of results or how results could be validated if data are not shared or preserved.

  • DMPs should provide a plan for making all research data displayed in publications resulting from the proposed research open, machine-readable, and digitally accessible to the public at the time of publication. This includes data that are displayed in charts, figures, images, etc. In addition, the underlying digital research data used to generate the displayed data should be made as accessible as possible to the public in accordance with the principles stated above. This requirement could be met by including the data as supplementary information to the published article or through other means. The published article should indicate how these data can be accessed.

  • DMPs should reference available information about data management resources to be used in the course of the proposed research. In particular, DMPs that explicitly or implicitly commit data management resources at a facility beyond what is conventionally made available to approved users should be accompanied by written approval from that facility.

  • DMPs must protect confidentiality, personal privacy, personally identifiable information, and U.S. national, homeland, and economic security; recognize proprietary interests, business confidential information, and intellectual property rights; avoid significant negative impact on innovation and U.S. competitiveness; and otherwise be consistent with all applicable laws, regulations, and Department of Energy orders and policies. There is no requirement to share proprietary data. 

Additional Guidance for EERE digital DMPs:

  • The principal investigator should determine which data should be the subject of the DMP and make sure that the DMP addresses which data should be shared and/or preserved in accordance with the requirements.

  • In determining which data should be shared and preserved, researchers must consider the data needed to validate research findings as described in the requirements and are encouraged to consider the potential benefits of their data to their own fields of research, fields other than their own, and society at large.

  • Researchers are encouraged to propose DMPs that reflect relevant standards and community best practices for data and metadata and make use of community-accepted repositories and publicly accessible databases whenever practicable.

  • Costs associated with the scope of work and resources articulated in a DMP may be included in the proposed research budget as permitted by the applicable cost principles.

  • To improve the discoverability of and attribution for datasets created and used in the course of research, EERE encourages the citation of publicly available datasets within the reference section of publications and the identification of datasets with persistent identifiers such as digital object identifiers (DOIs). In most cases, EERE can provide DOIs free of charge for data resulting from Department of Energy-funded research through the Office of Scientific and Technical Information Data ID Service. However, researchers are encouraged to first refer to their institution’s internal processes for obtaining DOIs.

DOE EERE provides a Glossary of Terms and a FAQ for their DMP requirements.  

Do you have any questions or need assistance understanding the DOE requirements? We can help you with selecting an appropriate repository, understanding funder requirements, and drafting and reviewing your data management plan.  Contact us at dmconsult@virginia.edu.