Climate Change Research: Agencies Have Data-Sharing Policies but Could Do More to Enhance the Availability of Data from Federally Funded Research

GAO-07-1172 Published: Sep 28, 2007. Publicly Released: Oct 22, 2007.

Highlights

Much of the nearly $2 billion annual climate change research budget supports grants from the Department of Energy (DOE), National Aeronautics and Space Administration (NASA), National Oceanic and Atmospheric Administration (NOAA), and National Science Foundation (NSF). Some of the data generated by this research are stored in online archives, but much remains in a less accessible format with individual researchers. As a result, some researchers are concerned about the availability of data. GAO analyzed (1) the key issues that data-sharing policies should address; (2) the data-sharing requirements, policies, and practices for external climate change researchers funded by DOE, NASA, NOAA, and NSF; and (3) the extent to which these agencies foster data sharing. GAO examined requirements, policies, and practices and surveyed the 64 officials managing climate change grants at these agencies.

Recommendations

Recommendations for Executive Action

Agency Affected	Recommendation	Status
Department of Commerce	To ensure that researchers receiving federal funds to conduct climate change research understand NOAA's expectations for data sharing, the Secretary of Commerce and the NOAA Administrator should develop a set of written guidelines or use existing governmentwide guidelines, such as those endorsed by the Climate Change Science Program, to clearly inform researchers of NOAA's general expectations for data sharing.	Closed – Implemented On December 17, 2010, the Office of Science and Technology Policy required executive Departments and agencies to develop scientific integrity policies that implement broad principles, including enhancing openness and transparency in the communication of government science. A June 15, 2011 memorandum clarifies that the Department of Commerce will defer to each of its bureaus with an interest in science to determine whether it is necessary to develop bureau-specific guidance. The National Oceanic and Atmospheric Administration's draft scientific integrity policy (see http://www.noaa.gov/scientificintegrity/index.html) emphasizes good stewardship of research on behalf of others through (1)... View More
National Oceanic and Atmospheric Administration	To ensure that researchers receiving federal funds to conduct climate change research understand NOAA's expectations for data sharing, the Secretary of Commerce and the NOAA Administrator should develop a set of written guidelines or use existing governmentwide guidelines, such as those endorsed by the Climate Change Science Program, to clearly inform researchers of NOAA's general expectations for data sharing.	Closed – Implemented The National Oceanic and Atmospheric Administration's draft scientific integrity policy (see http://www.noaa.gov/scientificintegrity/index.html) emphasizes good stewardship of research on behalf of others through (1) Diligently creating, using, preserving, documenting, and maintaining collections and data, and (2) Adhering to established quality assurance and quality control programs; following Department of Commerce records retention policies, and complying with Federal law and agreements related to use, security, and release of confidential and proprietary data. Consistent with this approach, NOAA has established a Data Management Policy, which provides that environmental data will be... View More
Department of Commerce	To ensure that the agencies maximize opportunities to make data available in a manner useful to other researchers, Secretaries of Commerce and Energy, the NASA Administrator, the NOAA Administrator, and the NSF Director should consider developing mechanisms for agencies to be systematically notified when data have been submitted to archives, so that agency officials have current information about the extent of data availability in order to adjust data-sharing policies over time to best meet the needs of researchers and the communities that use their data.	Closed – Implemented In response to an Open Government Directive from the Office of Management and Budget, the Department of Commerce released a Department-wide plan for Open Government on April 7, 2010, which was subsequently updated on June 30, 2011. The plan (available at http://open.commerce.gov/open-government-plan) describes how the Department of Commerce expects to increase transparency, participation, and collaboration. Specifically, it includes information on 43 projects to increase transparency by publishing high value information on data.gov, including efforts to modernize the National Oceanic and Atmospheric Administration climate database and provide online access to historical climate data. In... View More
National Oceanic and Atmospheric Administration	To ensure that the agencies maximize opportunities to make data available in a manner useful to other researchers, Secretaries of Commerce and Energy, the NASA Administrator, the NOAA Administrator, and the NSF Director should consider developing mechanisms for agencies to be systematically notified when data have been submitted to archives, so that agency officials have current information about the extent of data availability in order to adjust data-sharing policies over time to best meet the needs of researchers and the communities that use their data.	Closed – Implemented In response to an Open Government Directive from the Office of Management and Budget, the Department of Commerce released a Department-wide plan for Open Government on April 7, 2010, which was subsequently updated on June 30, 2011. The plan (available at http://open.commerce.gov/open-government-plan) describes how the Department of Commerce expects to increase transparency, participation, and collaboration. Specifically, it includes information on 7 NOAA projects to increase transparency by publishing high value information on data.gov, including efforts to modernize its climate database and provide online access to historical climate data. In addition, NOAA grant information, including... View More
Department of Energy	To ensure that the agencies maximize opportunities to make data available in a manner useful to other researchers, Secretaries of Commerce and Energy, the NASA Administrator, the NOAA Administrator, and the NSF Director should consider developing mechanisms for agencies to be systematically notified when data have been submitted to archives, so that agency officials have current information about the extent of data availability in order to adjust data-sharing policies over time to best meet the needs of researchers and the communities that use their data.	Closed – Implemented In a written response to GAO-07-1172, DOE stated that for all climate change research grants awarded from DOE, DOE will request that, when data has been submitted to DOE (or other agency)-sponsored archives, the Principal Investigator notify the appropriate contact in DOE. DOE will include a stipulation in the terms and conditions of each climate change research grant awarded by DOE's Office of Science that annual progress reports and the final report must document the data obtained from DOE-sponsored research and must identify where the data has been submitted for archiving, whether at DOE or at other agency's archives. (Source: DOE Management History Report at HQ DM 4501704) Further,... View More
National Aeronautics and Space Administration	To ensure that the agencies maximize opportunities to make data available in a manner useful to other researchers, Secretaries of Commerce and Energy, the NASA Administrator, the NOAA Administrator, and the NSF Director should consider developing mechanisms for agencies to be systematically notified when data have been submitted to archives, so that agency officials have current information about the extent of data availability in order to adjust data-sharing policies over time to best meet the needs of researchers and the communities that use their data.	Closed – Implemented NASA implemented our recommendation to maximize opportunities to make data available in a manner useful to other researchers. NASA has mechanism in place to systematically make broad public announcements of new data sets and updated versions of existing products added to its archives. NASA Earth science data sets and updated data products are announced to the approximate 1,000-person Earth Observing System (EOS) investigators working group email list and on NASA's EOS data and Information System Distributed Active Archive Center (DAAC) websites. NASA supports nine DAACs. NASA provided us with several examples of its public announcements, such as METI and NASA Release the ASTER Global DEM... View More
National Science Foundation	To ensure that the agencies maximize opportunities to make data available in a manner useful to other researchers, Secretaries of Commerce and Energy, the NASA Administrator, the NOAA Administrator, and the NSF Director should consider developing mechanisms for agencies to be systematically notified when data have been submitted to archives, so that agency officials have current information about the extent of data availability in order to adjust data-sharing policies over time to best meet the needs of researchers and the communities that use their data.	Closed – Implemented NSF published an updated National Science Foundation Open Government Directive Plan on September 20, 2010 (available at http://www.nsf.gov/publications/pub_summ.jsp?ods_key=opengov). The plan describes mechanisms NSF uses to publicly share high value datasets. Initially, NSF has made four high value data sets available through Data.gov, including Freedom of Information Act data from 2008-2009, NSF funding rates for competitive research proposals from FY 2009, and information about NSF Graduate Research Fellowship awardees, and honorable mention recipients for the past ten years.
Department of Commerce	To ensure that the agencies maximize opportunities to make data available in a manner useful to other researchers, the Secretaries of Commerce and Energy, the NASA Administrator, the NOAA Administrator, and the NSF Director should consider using the grant review process, where their program offices are not currently doing so, to facilitate further data sharing by (1) evaluating researchers' data-sharing plans as part of the grant review process and (2) using evidence of researchers' past data-sharing practices to make future award decisions. The use of such criteria in the grant review process should be clearly conveyed to researchers before they submit research proposals and after award decisions have been made.	Closed – Implemented On December 17, 2010, the Office of Science and Technology Policy required executive Departments and agencies to develop scientific integrity policies that implement broad principles, including enhancing openness and transparency in the communication of government science. A June 15, 2011 memorandum clarifies that the Department of Commerce will defer to each of its bureaus with an interest in science to determine whether it is necessary to develop bureau-specific guidance (see http://www.commerce.gov/sites/default/files/documents/2011/june/scientific_integrity_memorandum.pdf) The National Oceanic and Atmospheric Administration's draft scientific integrity policy (see... View More
National Oceanic and Atmospheric Administration	To ensure that the agencies maximize opportunities to make data available in a manner useful to other researchers, the Secretaries of Commerce and Energy, the NASA Administrator, the NOAA Administrator, and the NSF Director should consider using the grant review process, where their program offices are not currently doing so, to facilitate further data sharing by (1) evaluating researchers' data-sharing plans as part of the grant review process and (2) using evidence of researchers' past data-sharing practices to make future award decisions. The use of such criteria in the grant review process should be clearly conveyed to researchers before they submit research proposals and after award decisions have been made.	Closed – Implemented The National Oceanic and Atmospheric Administration's draft scientific integrity policy (see http://www.noaa.gov/scientificintegrity/index.html) emphasizes good stewardship of research on behalf of others through (1) Diligently creating, using, preserving, documenting, and maintaining collections and data, and (2) Adhering to established quality assurance and quality control programs; following Department of Commerce records retention policies, and complying with Federal law and agreements related to use, security, and release of confidential and proprietary data. Consistent with this approach, NOAA has established a Data Management Policy, which provides that environmental data will be... View More
Department of Energy	To ensure that the agencies maximize opportunities to make data available in a manner useful to other researchers, the Secretaries of Commerce and Energy, the NASA Administrator, the NOAA Administrator, and the NSF Director should consider using the grant review process, where their program offices are not currently doing so, to facilitate further data sharing by (1) evaluating researchers' data-sharing plans as part of the grant review process and (2) using evidence of researchers' past data-sharing practices to make future award decisions. The use of such criteria in the grant review process should be clearly conveyed to researchers before they submit research proposals and after award decisions have been made.	Closed – Implemented In written response to GAO-07-1172, DOE stated "In solicitations of grant applications for climate change research, DOE will require applicants to describe their data sharing plans and will evaluate applicants' data-sharing plans as part of the grant review process, as relevant. DOE will also consider applicants' past data-sharing practices, as relevant, in making future funding decisions." In addition, according to the December 13, 2010 directive DOE O 241.1B Scientific and Technical Information Management, all contracts managed by the Department of Energy are to include a Contractor Requirement Document stating that each contractor is required to manage scientific and technical... View More
National Aeronautics and Space Administration	To ensure that the agencies maximize opportunities to make data available in a manner useful to other researchers, the Secretaries of Commerce and Energy, the NASA Administrator, the NOAA Administrator, and the NSF Director should consider using the grant review process, where their program offices are not currently doing so, to facilitate further data sharing by (1) evaluating researchers' data-sharing plans as part of the grant review process and (2) using evidence of researchers' past data-sharing practices to make future award decisions. The use of such criteria in the grant review process should be clearly conveyed to researchers before they submit research proposals and after award decisions have been made.	Closed – Implemented NASA provided us with information demonstrating how its grant review process facilitates data sharing. NASA employs "full and open exchange" data policy for its satellite data and standard products holdings. According to the agency's Research Opportunities in Space and Earth Sciences Guidebook for Proposers, all data taken through research programs sponsored by NASA are considered public and requires prompt public disclosure of the results, and significant findings from supported research are to be promptly submitted for peer reviewed publication with authorship(s) that accurately reflect the contribution of those involved. In addition, as a general policy NASA no longer recognizes a... View More
National Science Foundation	To ensure that the agencies maximize opportunities to make data available in a manner useful to other researchers, the Secretaries of Commerce and Energy, the NASA Administrator, the NOAA Administrator, and the NSF Director should consider using the grant review process, where their program offices are not currently doing so, to facilitate further data sharing by (1) evaluating researchers' data-sharing plans as part of the grant review process and (2) using evidence of researchers' past data-sharing practices to make future award decisions. The use of such criteria in the grant review process should be clearly conveyed to researchers before they submit research proposals and after award decisions have been made.	Closed – Implemented NSF's Award and Administration Guide contains the agency's current policy on Dissemination and Sharing of Research Results. The overarching expectation is that NSF grantees will share their data with other scientists and will submit their findings for publication. The specific policy may be found at: http://www.nsf.gov/pubs/policydocs/pappguide/nsf10_1/aag_6.jsp#VID4. According to the NSF guidance, proposals for NSF grants submitted or due on or after January 18, 2011 must include a supplementary data management plan describing how the proposal will conform to NSF policy on the dissemination and sharing of research results and may include: the types of data, samples, physical... View More
Department of Commerce	To ensure that researchers make climate change data available to other researchers, the Secretaries of Commerce and Energy, the NASA Administrator, the NOAA Administrator, and the NSF Director should evaluate whether additional strategies are warranted to facilitate the permanent archiving of relevant data, which may include: leveraging existing resources; devoting a greater portion of data collection funds to archiving activities; or working with existing entities such as the National Science and Technology Council's Interagency Working Group on Digital Data, to develop additional data archives.	Closed – Implemented According to its June 2011 Open Government Plan, the Department of Commerce intends to create a searchable archive of FOIA responses. This will not only make it easier for the public to find out more about how the Department has responded to requests, but also reduce the staff time associated with answering duplicative requests. Additionally, in the past, records were typically posted to the e-FOIA Reading Room after a minimum of three requests had been received. Commerce is now posting records that relate to topics that may be of broad interest following the receipt and processing of one request. Several bureaus within commerce also noted activities related to data archives in... View More
National Oceanic and Atmospheric Administration	To ensure that researchers make climate change data available to other researchers, the Secretaries of Commerce and Energy, the NASA Administrator, the NOAA Administrator, and the NSF Director should evaluate whether additional strategies are warranted to facilitate the permanent archiving of relevant data, which may include: leveraging existing resources; devoting a greater portion of data collection funds to archiving activities; or working with existing entities such as the National Science and Technology Council's Interagency Working Group on Digital Data, to develop additional data archives.	Closed – Implemented NOAA's Environmental Data Management Committee developed procedures for scientific records appraisal and archive approval for data managers and data users and producers in September and August 2008, respectively. These guides address data archiving processes in NOAA. See http://nosc.ngdc.noaa.gov/docs/products.html for additional details.
Department of Energy	To ensure that researchers make climate change data available to other researchers, the Secretaries of Commerce and Energy, the NASA Administrator, the NOAA Administrator, and the NSF Director should evaluate whether additional strategies are warranted to facilitate the permanent archiving of relevant data, which may include: leveraging existing resources; devoting a greater portion of data collection funds to archiving activities; or working with existing entities such as the National Science and Technology Council's Interagency Working Group on Digital Data, to develop additional data archives.	Closed – Implemented In a written response to GAO-07-1172, DOE stated it will request a meeting with appropriate experts from NOAA, NASA, and NSF to discuss existing data archiving strategies in the four agencies and whether additional strategies are warranted to facilitate permanent archiving of relevant global change data collected by the four agencies. DOE will also request that the U.S. Climate Change Science Program Principals evaluate whether additional strategies are warranted to facilitate permanent archiving of relevant data, since this could also involve data archiving strategies across all CCSP agencies, including DOE, NOAA, NSF, and NASA. According to its Open Government Plan, the Department of... View More
National Aeronautics and Space Administration	To ensure that researchers make climate change data available to other researchers, the Secretaries of Commerce and Energy, the NASA Administrator, the NOAA Administrator, and the NSF Director should evaluate whether additional strategies are warranted to facilitate the permanent archiving of relevant data, which may include: leveraging existing resources; devoting a greater portion of data collection funds to archiving activities; or working with existing entities such as the National Science and Technology Council's Interagency Working Group on Digital Data, to develop additional data archives.	Closed – Implemented NASA implemented this recommendation by evaluating whether additional strategies were warranted to facilitate the permanent archiving of relevant data in several ways. Through its Earth science program, NASA is systematically evaluating the demand for data products by the science community and users, and developing methodologies for data archival and distribution of service to the science community and the Nation; they currently believe their current and projected capacity for data archiving and distribution is sufficient for the foreseeable future. NASA's EOSDIS Distributed Active Archive Center User Working Group evaluates the demand for NASA Earth Science data products, analyzes... View More
National Science Foundation	To ensure that researchers make climate change data available to other researchers, the Secretaries of Commerce and Energy, the NASA Administrator, the NOAA Administrator, and the NSF Director should evaluate whether additional strategies are warranted to facilitate the permanent archiving of relevant data, which may include: leveraging existing resources; devoting a greater portion of data collection funds to archiving activities; or working with existing entities such as the National Science and Technology Council's Interagency Working Group on Digital Data, to develop additional data archives.	Closed – Implemented NSF's Award and Administration Guide contains the agency's current policy on Dissemination and Sharing of Research Results. The overarching expectation is that NSF grantees will share their data with other scientists and will submit their findings for publication. According to NSF guidance, proposals for NSF grants submitted or due on or after January 18, 2011 must include a supplementary data management plan describing how the proposal will conform to NSF policy on the dissemination and sharing of research results (see http://www.nsf.gov/pubs/policydocs/pappguide/nsf11001/aag_6.jsp#VID4) and may include plans for archiving data, samples, and other research products, and for preservation... View More

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