Requirements and Guidance for Digital Research Data Management

Applicability of Requirements

Q: When will Data Management Plan requirements be replaced by Data Management and Sharing Plan requirements?

A: Each DOE sponsoring research office will continue to ensure that all of its funded research activities have an associated Data Management Plan (DMP), based on the requirements in the 2014 DOE Public Access Plan, through September 30, 2025. Beginning October 1, 2025, each DOE sponsoring research office will ensure that the requirements for a Data Management and Sharing Plan (DMSP), based on the 2023 DOE Public Access Plan, are included in all new solicitations and invitations for research funding with details about how and when a DMSP should be submitted. Sponsoring research offices will have discretion regarding whether DMSP requirements are applied to existing awards.

Note: The remaining questions may be applicable for preparing a DMP, even if the term DMSP is used.

Q: Will a proposal be funded if it does not include a DMSP?

A: In the majority of cases, a DMSP will be required as part of the research proposal.  In this case, the DOE reserves the right to reject, without merit review, any proposal that does not include a DMSP.  However, in some cases, the DMSP will not be required until later in the selection and procurement process.   Please consult the relevant requirements of the funding solicitation or contact the cognizant sponsoring research office for details including when the DMSP will be required.

Q: Will a proposal be funded if the DMSP does not follow the requirements of the sponsoring research office?

A: Each sponsoring research office reserves the right not to select a proposal for funding if the DMSP fails to comply with the Department’s, the office's, and the solicitation's requirements.

Q: Do I need to include a DMSP if I am submitting a new or renewal research proposal in response to an SC Notice of Funding Opportunity (NOFO), including the annual Continuation of Solicitation for the Office of Science Financial Assistance Program NOFO (a.k.a. the “Open Call”)?

A: Yes.

Q: I am submitting a proposal for a conference or workshop, do I need to include a DMSP with my proposal?

A: No. The DMSP requirements apply only to proposals for research funding.

Q: I am submitting a proposal for supplemental funding after October 1, 2025, but the original award was made before this time and does not address the updated DMSP requirements. Do I need to submit a DMSP responsive to the updated requirements with the supplemental proposal?

A: Yes. A DMSP responsive to the updated requirements should be included to address the research products of the supplemental research scope. You may reference the DMP for the active award, if appropriate. If you are uncertain, you should contact the cognizant program manager.

Q: Do I need to submit a DMSP with a proposal for supplemental funding if the supplemental work would be the same as the existing grant or would not generate additional digital research data?

A: Yes. The DMSP in the supplemental proposal should reference the DMSP of the existing grant and may explain that no additional digital research data will be generated, as appropriate.

Q: I am a DOE laboratory employee requesting research funding from the DOE that is not connected to a solicitation (e.g. a Notice of Funding Opportunity). Do I need to submit a DMSP?

A: Yes.

Q: I am applying for time at one of the Department of Energy user facilities. Do I need to submit a DMSP with my proposal to the facility?

A: The DOE DMSP requirements only apply to applications for research funding submitted directly to the DOE. Any requirements or guidance related to your facility access proposal will be issued by that facility.

Q: I am applying for a DOE SBIR award. Do I need to submit a DMSP?

A: Yes. Please see specific program guidance on how to prepare a DMSP associated with an SBIR or STTR application. DMSP requirements for the ARPA-E SBIR and STTR programs will be detailed in the relevant solicitation.

Q: How will DMSP implementation be tracked and measured?

A: Implementation performance measuring will be at the discretion of the sponsoring research program based on the approved DMSP. All data shared publicly in accordance with an approved DMSP must be reported as research products in accordance with the terms and conditions of the award or contract, which will include reporting public datasets to the Office of Scientific and Technical Information (OSTI) as Scientific and Technical Information (STI).

What to Include in a DMSP

Q: What should I include in the Data Management and Sharing Plan I submit with my research proposal?

A: A list of suggested elements for a DMSP can be found in Suggested Elements for a Data Management and Sharing Plan.

Q: Part or all of my proposed research is considered Human Subjects Research (HSR), which includes research involving Personally Identifiable Information (PII). What special requirements apply to the DMSP I submit with this proposal?

A: For proposals with HSR, including research involving PII, an appropriate research protocol will need to be approved by the appropriate DOE Institutional Review Board (IRB) or an external IRB with an approved Federal wide assurance. Follow the instructions of the research solicitation to determine whether the data management aspects of this protocol should be included in the DMSP. At a minimum, the DMSP should acknowledge the type of HSR and/or PII involved and give a projected timeline for IRB approval. Information regarding DOE requirements for HSR and research involving PII, including how to obtain IRB approval, can be found on the Human Subjects Protection Program (HSPP) webpage.

Q: What kind of data should be considered in the DMSP? Should the DMSP cover raw data, processed data, analyzed data, software, etc.?

A: The Principal Investigator or other appropriate research lead should determine which digital scientific data should be the subject of the DMSP and, in the DMSP, propose which data should be shared and/or preserved in accordance with the DMSP requirements.

Q: My research involves sensitive data that, for one or many reasons, should not be shared. How do I address this in my DMSP?

A: As stated in the DMSP requirements, data sharing limitations that protect sensitive data may be applicable and should be described in the DMSP. When limitations are applicable, researchers are encouraged to share data in a manner that mitigates risk, such as providing reduced data sets, aggregated data, or tiered access to data in a way that maintains appropriate protections. Strategies used to enable maximal data sharing should be described in the DMSP.

Q: My proposal will be jointly funded by two SC Programs. Which Program-specific guidance should I follow?

A: In this case, specific requirements will be found in the Notice of Funding Opportunity or solicitation. If you are still uncertain, contact the cognizant program manager.

Q: My proposed research is part of a larger scientific collaboration that has established by-laws for data management and is funded by more than one program or agency. How should this be addressed in the DMSP I submit with my proposal?

A: The by-laws of the collaboration should be referenced in the DMSP and you should describe any limitations that may arise from relevant agreements between sponsors. Your DMSP should also address any data generated that is not part of the collaboration.

Q: There is a policy at my institution that all data and materials supporting my research are owned by the institution. What data management practices should I use in my DMSP?

A: Your DMSP can refer to your institution’s policy, but your DMSP must meet the full requirements in the solicitation to be funded. Proposals that do not comply with DMSP requirements may not receive funding.

Q: My proposed research will not produce any data worth the cost of sharing or preservation. What information should I provide in my DMSP?

A: Your DMSP should include the cost/benefit considerations that explain why the scientific value in publicly sharing data generated by the research does not justify the expense and should describe how the research results can be validated and replicated if data are not shared. You are encouraged to consider cost effective opportunities to share aggregated or reduced data that enable validation and replication of results.

Data Sharing and Preservation

Q: If a journal article with supplementary data included is reported as an R&D output/STI to DOE OSTI, does providing the journal article count as reporting the data too?

A: Sharing data exclusively as supplemental material to a publication is unlikely to satisfy the DMSP requirements. Scientific data is required to be shared publicly as described in your approved DMSP. Your DMSP should specify the use of digital repositories that align, to the extent practicable, with the National Science and Technology Council document entitled "Desirable Characteristics of Data Repositories for Federally Funded Research" (NSTC Desirable Characteristics).

Q: Has DOE established a centralized repository for data?

A: DOE has not established a centralized repository for data. In general, DOE does not endorse or require sharing in any specific repository and encourages researchers to select the repository that is most appropriate for their data type and discipline, though individual sponsoring research offices may provide specific guidance or designate a specific repository.

Q: I intend to store my research data at my home institution. Do I need to include a statement in my DMSP that specifies this as the repository location?

A: Yes. Your institution repository should align with the NSTC Desirable Characteristics and your DMSP should describe how the data will be preserved and made available for public access.

Q: I intend to store my research data at an SC facility. Do I still need to address data preservation in my DMSP?

A: Yes. Your DMSP should describe the data management and sharing resources you intend to use at the SC facility and, if necessary, obtain a letter of agreement from the facility. Please refer to the data management resources provided by the relevant facility.

Q: There is no applicable data center or repository for the digital data my research produces. How should I make my data accessible?

A: Though data centers or repositories applicable to your specific discipline may not exist, other data centers or repositories with a more general focus may be appropriate. For example, your national laboratory or academic institution’s library may have a general research data repository that could be used.

Q: The data or data products from my research will likely be cited by me and/or others. What should I do to ensure that these are cited appropriately and that I receive proper attribution for their use in others’ research?

A: There are no global standards for how to cite data products. To facilitate the citation of data products, the DOE encourages the use of persistent identifiers such as Digital Object Identifiers (DOIs). DOIs facilitate the accurate linking between publications and data products. In most cases, the DOE can provide DOIs free of charge for datasets resulting from DOE-funded research through the OSTI Data ID Service.

Q: How does this policy address sharing and preservation of supporting materials in physical form (e.g. in notebooks) or physical collections?

A: Physical collections and materials are not covered by this policy.

Q: Will I need to make my digital data available prior to analysis or publication?

A: No. The DMSP requirements include making all scientific data displayed in and underlying peer-reviewed publications at the time of publication. In addition, a timeline should be provided for sharing digital scientific data produced under the R&D effort not associated with peer-reviewed scholarly publications. However, allowable data sharing limitations may affect the timelines for sharing data, including existing policies and agreements. Any appropriate limitations should be described in the DMSP, which will be evaluated through the merit review process. Additional requirements imposed by the sponsoring program office or solicitation.

Q: How do I determine the length of time data resulting from my research should be shared or preserved?

A: Applicants should propose a timeframe that is appropriate for the science and reasonable for the budget. Considerations could include the uniqueness of the data, the ease or difficulty of regenerating the data or validating the results through other means in the future. The proposed timeframe will be evaluated through the merit review process. Additional requirements imposed by the sponsoring program office or solicitation.

Q: Based on cost, benefit, and other considerations mentioned in the DMSP requirements, it is not appropriate or feasible to post my research data onto an open website for public download. Are there other ways my data can be shared?

A: Yes. There may be other, more appropriate ways for you to share your research data, such as using tiered or limited access repositories, sharing aggregated or anonymized data, or other mechanisms that maximize appropriate data sharing. This should be discussed in your DMSP.

Evaluation

Q: Should my proposed budget specifically address the resources and costs associated in implementing my DMSP?

A: Costs associated with the scope of work and resources articulated in a DMSP may be included in the proposed research budget as permitted by the appropriate cost principles.

Q: What consequences, if any, result from failure to carry out the DMSP of a funded research proposal?

A: The DMSP is part of the overall conditions of the funded research and, as such, it is expected that researchers will follow, to the best of their ability, the proposed research and associated DMSP. Failure to do so may negatively influence your success in applying for future funding opportunities.