How to Create a Data Management Plan

Grant proposal season is upon us. Increasingly, writing a grant proposal also means writing a data management plan that details how data will be managed, preserved, and shared after a funded project ends. The Scholarly Communication Department offers a Data Management Planning service and works directly with PIs, grant writers, and administrators to create plans that align with funder requirements.

Why are data management plans required?

In February of 2013, the White House Office of Science and Technology Policy released a memo entitled “Increasing Access to the Results of Federally Funded Scientific Research.” This memo mandated that all federal agencies with over $100 million in annual conduct of research and development expenditures develop a plan for public access to research output. Data management plans, previously required only in some circumstances by some federal agencies, became widespread. By October 2016, all federal agencies meeting these criteria had implemented public access policies. These public access policies hinge on the precept that research funded by taxpayer dollars should be made available to the public, industry, and research community.

Why can’t I preserve data with my funding agency?

The 2013 OSTP memo was an unfunded mandate. This contributed to a landscape of distributed solutions provided by many stakeholders in academic research. Commercial publishers, universities, non profits, and government data centers all worked to support researchers working to comply with new data sharing guidelines. In some cases, individual directorates/divisions will provide or endorse a data repository, for example the Arctic Data Center for NSF-funded science on the Arctic, or GenBank, the NIH genetic sequence database. In other cases, researchers are expected to use their discretion in selecting an appropriate data sharing solution.

Where do I find data management plan requirements?

Indiana University is a member of the DMPTool, a tool that walks users through creating, reviewing, and sharing a data management plan.

screenshot of DMPTool
https://dmptool.org/

The tool has pre-fabricated templates for each directorate/division across funding organizations. To browse requirements for a specific funder, navigate to the DMP Requirements section and search for or select a funder from the list provided. To create a data management plan using one of these templates, log in to the tool using IU credentials and select the relevant funder from the list provided.

How do I choose a repository for my data?

This question is best answered on a case-by-case basis, but there are general guidelines that researchers can use to make the best choice. If in doubt, get in touch.

  1. If a repository is mandated by a funding organization, researchers must use this repository for sharing data
  2. If there is a widely-used disciplinary repository in your domain, consider choosing that repository. If you aren’t sure, check author guidelines for the top three journals in your field. Do they all recommend the same repository for sharing data? Alternately, take a look at www.re3data.org/ to see a registry of disciplinary repositories.
  3. If you have no appropriate disciplinary repository, would rather not pay fees to deposit data, or prefer to keep your data with your institution, consider Indiana University’s institutional repository IUScholarWorks. It is completely free, operated by the Libraries, and designed to support funder requirements.
  4. If none of the above solutions are appropriate for your data and you need unique or specific features, look for an established, well-supported, open repository like Zenodo (Integrates with Github!) or Harvard’s Dataverse (APIs! Maps geospatial files!)

I want to use IUScholarWorks to preserve and share my data. What do I say in my plan?

https://scholarworks.iu.edu/

Language for data management plans will differ depending on the project and the funder. However, many researchers have found the following statement to be a useful starting point in describing IUScholarWorks:

To increase access to the published research that has been funded, the researchers will deposit peer-reviewed or pre-print manuscripts (with linked supporting data where possible) in the IU ScholarWorks institutional repository. A DOI will be created for the data and used in all publications to facilitate discovery.
These data will be preserved according to the current digital preservation standards in place for content within the IU’s institutional repository infrastructure.  This includes a duplicate copy within the IU Scholarly Data Archive (SDA) and eventual deposit into the Digital Preservation Network preservation platform.
The combination of these systems provides mirroring, redundancy, media migration, access control, file integrity validation, embargoes, and other security-based services that ensure the data are appropriately archived for the life of the project and beyond.

I have a lot of data – can I still put it in IUScholarWorks?

Yes. In almost all cases, we are able to to provide free data archiving to IU-affiliated researchers through our partnership with the UITS Scholarly Data Archive. Large datasets live in the Scholarly Data Archive and are made accessible through IUScholarWorks by way of a persistent URL. Here is an example of a weather dataset published in IUScholarWorks.

Pro tip: You can drop off your dataset in the departmental staging area and send us an email with contextual information – we’ll do the heavy lifting and make sure it gets into IUScholarWorks.

Who can help me with my data management plan?

We can. Contact iuswdata@indiana.edu for assistance creating or implementing a data management plan. The Scholarly Communication Department can help to connect PIs with free campus-supported services to preserve and share data.

Leveraging the License: Part I

The Scholarly Communication Department attended several orientations and events for new faculty over the last few weeks. During these events, I have had the privilege of chatting informally with a faculty members about IU Bloomington’s new Open Access Policy. Faculty have a lot of questions about how the policy works, what kinds of scholarship the policy applies to, and author processing charges (or APCs).

The question that has been most difficult to explain quickly and effectively in these informal conversations has been about how faculty can “leverage” or utilize the license established by the Open Access policy when negotiating with potential publishers. This post will explain in more detail what “leveraging the license” means and clarify when in the publishing process faculty should attempt to negotiate. This post on leveraging the OA policy license is part one of a two-part series. The second post will explore the OA policy license in more detail, particularly when it concerns utilizing third-party content.

Our new Open Scholarship website includes a detailed FAQ that answers common questions faculty have about the OA policy. One of the questions listed is, “Will I have to negotiate my copyright transfer with my journal publishers?” Our answer is no. The policy maintains faculty agency and empowers them to make the best decision for their research. Faculty can always embargo their article to comply with their selected journal’s policies or opt out of the OA policy for a specific article.

However, we note that in many cases, it is in the faculty member’s best interest to negotiate. Moreover, the license that IUB OA Policy establishes can support faculty efforts to retain their copyright. Under the question about negotiating copyright transfers we state, “The policy operates automatically to give IUScholarWorks a license in any scholarly articles faculty members complete after its adoption… communicate this policy to your publisher and add to any copyright license (or assignment for scholarly articles) an addendum stating that the agreement is subject to this prior license. That way, you will avoid agreeing to give the publisher rights that are inconsistent with the prior license to IUScholarWorks that permits open-access distribution.”

What does this mean in practice? How do you begin to start a conversation with a publisher that has a restrictive publishing agreement? When should you mention the IUB OA Policy and subsequent license? We have created a flowchart to answer these questions:

Open access policy workflow

Flowchart created by Jamie Wittenberg

After your manuscript is complete, you should identify a journal that offers the readership and audience that you are most interested in. If this is an open access journal, once your article is accepted and published you have complied with the OA policy! If this is a closed journal, you will need to determine if your publishing agreement allows self-archiving (or posting an open version of your article in a repository). The Scholarly Communication department is always happy to help faculty review their publishing agreements. If the publishing agreement allows you to share a version of your work, preferably the publisher’s final version (after peer review with typesetting), then you will submit that version to the institutional repository. Archiving the author’s final manuscript will nevertheless meet the OA policy’s requirement. If the journal does not allow self-archiving, it’s time to consider negotiating.

Negotiating with a publisher is both personal and contextual. Your decision to negotiate may be impacted by your level of comfort, goals, co-authors, and the importance of the publication venue. Is this the only venue that makes sense for your article? Does this journal have impressive metrics or important readership? Or are there other publication venues that might accept the article? Is it non-negotiable to you that others have access to your article, regardless of library affiliation or socio-economic status? Asking these questions can help you decide if publisher negotiation is in your best interest. In general, many publishers are familiar with open access policies so starting a conversation about the publishing agreement is not harmful and can help clarify how or if you should continue to negotiate.

After you have reviewed the publishing agreement and you’ve decided that you would like to negotiate, you can contact our Copyright Program Librarian and lawyer, Naz Pantaloni, for guidance. In addition to having expertise in copyright, Naz has worked with several scholars to retain their author rights and is familiar with strategies for negotiating with publishers. Naz will either assist you with preparing an addendum to present to the journal or help you construct a response that includes information about the IUB Open Access policy. One addendum template that Naz might help you utilize comes from the Big 10 Academic Alliance (formerly CIC). An example of a response to a publisher in order to start the negotiation process is found on our Open Scholarship Q&A:

“[Journal] acknowledges that [Author] retains the right to provide a copy of the final manuscript, upon acceptance for [Journal] publication or thereafter, for compliance with the Indiana University Open Access Policy and for public archiving in IUScholarWorks as soon as possible after publication by [Journal].”

If you cannot come to an understanding with your publisher and need to sign over the exclusive rights to your work, you must complete the opt out process.

In a previous post, I wrote about the spectrum of openness that exists and the Scholarly Communication Department’s goal of supporting all manifestations of open. It is worth stating that the IUB Open Access policy is about making content open and available to readers everywhere. But it is also true the OA policy is about author rights. When authors retain their rights, including the right to reproduce, distribute, display, and make derivative works of their scholarship, they retain the life of their work. I have consulted with many faculty members (and graduate students) that need to interlibrary loan their own work because they don’t have access to it. I’ve worked with numerous faculty that wish they would have retained at least some of their rights so that they could make their work available to their students or share it more broadly. In addition to resources like our copyright program and publishing resources, the OA policy provides a mechanism for faculty to find their seat at the negotiation table. I’m excited for what this means for the research profile of IU Bloomington.