These frequently asked questions (FAQs) are generally relevant to the DOE requirements and guidance for digital research data management. These FAQs do not add or eliminate any requirements provided in DOE Order 241.1C, DOE solicitations for proposals, or other relevant regulations. Additional requirements, guidance, and FAQs specific to a DOE sponsoring research office may be available on the sponsoring office’s website.
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: 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.
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."
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: 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. Suggestions for what information to include in a citation for your data product and how to format this information is provided by OSTI. 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.
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 data management plan. Failure to do so may negatively influence future funding opportunities.