DOE public access plan

In response to the White House Office of Science and Technology Policy (OSTP) directive issued in 2013, the Department of Energy (DOE) released its Public Access Plan on July 24, 2014. The Plan requires public access to scientific publications and public access to scientific data in digital formats.

To ensure long-term preservation and access to publications arising from DOE funding, as of October 1, 2014, DOE-funded researchers will be required to submit to the Office of Scientific and Technical Information (OSTI) the metadata, including a DOI, and either their accepted manuscript or a link to a copy of the accepted manuscript available in a publicly accessible repository. This requirement applies to all scholarly publications describing unclassified and otherwise unrestricted research produced in whole or in part with DOE funding unless prohibited by law, regulation, or policy. The Department will ensure compliance through mechanisms in place for collecting research deliverables.

Details

To enhance discoverability, the DOE is hosting the Public Access Gateway for Energy and Science (PAGES). PAGES provides metadata and abstracts for publications resulting from DOE funding. If the publisher’s Version of Record (VoR) is publicly accessible, PAGES will link to the VoR. (Publishers participating in the Clearinghouse for Open Research of the United States [CHORUS] will submit to OSTI article metadata and a link to the published VoR hosted on their website.) If the publisher does not provide public access, PAGES will link to the accepted manuscript in an open access institutional repository twelve months after publication and then link to the VoR when it becomes publicly accessible.  In cases where the full text is not publicly accessible through the publisher or an institutional repository, PAGES will link to the accepted manuscript in a repository hosted by the OSTI.

PAGES metadata will be included in the DOE’s Enterprise Data Inventory and Public Data Listing.  A dark archive of accepted manuscripts will be part of the Enterprise Data Inventory to be used in the event links become broken or the full text becomes inaccessible or otherwise fails to meet the standards for interoperability, download capabilities, and applicable regulations.

For more information, see the DOE’s Public Access Plan.  

The DOE is taking a phased approach to implementing data management requirements.  As of October 1, 2014, the data management policy of the Office of Science is in effect.  Other DOE Offices must have a policy in place by October 1, 2015. 

Details of the Office of Science data management policy

As of October 1, 2014, all grant proposals submitted to the DOE Office of Science must include a Data Management Plan (DMP). This policy applies to all unclassified and otherwise unrestricted research data required to validate research findings produced in whole or in part with DOE funding unless prohibited by law, regulation, or policy. 

DMPs will be reviewed as part of the grant proposal merit review process. Reviewers will consider the relative values of long-term access and preservation and the associated cost and administrative burden. Proposals that do not include a DMP will be rejected.  Proposals with a DMP that does not meet the following requirements will not be funded. A DMP must:

  • Describe whether and how data generated in the research will be shared and preserved and how this will enable validation of the research results. If the data are not to be shared or preserved, the DMP must explain the basis for this decision and how the research results could be validated.
  • Include plans for making all data displayed (e.g., charts, figures) in publications resulting from the research open, machine-readable, and digitally accessible to the public at the time of publication. The data underlying the displayed data should also be publicly accessible. Published articles should indicate how the data can be accessed.
  • Reference the data management resources to be used in the research. If the data management resource or facility requires approval prior to use, written approval should accompany the DMP.
  • Protect confidentiality, privacy, personally identifiable information, security, proprietary interests, and intellectual property rights; avoid negative impact on innovation and U.S. competitiveness; and comply with all applicable laws, regulations, orders and policies. 

Direct and indirect costs associated with the DMP may be included in the proposal budget.

Researcher responsibilities

Researchers are responsible for proposing DMPs that reflect relevant standards and community best practices for data and metadata and for implementing the DMP as part of their research activity. Failure to follow the DMP to the best of their ability will negatively influence future funding opportunities. Current oversight of grants allows for withholding or adjusting funds at the end of each performance period. 

Researchers are encouraged to

  • Use machine-readable and open data formats.
  • Adhere to data interoperability standards.
  • Use open licenses to enable reuse of the data.
  • Use common core and extensible metadata schema for data.
  • Deposit data in existing publicly accessible community or institutional repositories or submit the data to the article publisher as supplemental information.
  • Provide a DOI for each dataset.  The OSTI's DATA ID Service can provide DOIs free of charge for datasets resulting from DOE-funded research.

NOTE: If you want help preparing a Data Management Plan, use the DMPTool or consult your liaison librarian.

Additional requirements

Sponsoring programs or sub-programs may apply additional requirements and review criteria for the DMP. For example, the Office of Energy Efficiency and Renewal Energy (EERE) will provide a DMP template and include requirements to ensure specific research data are submitted to the Open Energy Information Platform (OpenEI).  All publicly accessible date in OpenEI will be integrated into the DOE’s Enterprise Data Inventory and Public Data Listing using the Project Open Data metadata schema to describe each dataset.

For more information

Public Access Plan
Additional Guidance 
Additional Requirements and Guidance from Office of Science Program Offices 
Data Management Resources at the Office of Science User Facilities 
Digital Data Management Frequently Asked Questions