Summary
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.
According to the scientific community--as represented by the National Academies and professional scientific associations--four key issues that data-sharing policies should address include what, how, and when data are to be shared, as well as the cost of making data available to other researchers. First, the information necessary to support major published results should be made available to other researchers. However, there are statutory limits on data sharing--such as intellectual property protections--as well as practical limits such as the lack of appropriate archives. Second, when the appropriate infrastructure exists, data should be made accessible through unrestricted archives. Third, data should generally be made available immediately or after a limited proprietary period to allow for analysis and publication of results. Fourth, data should be made available at no more than the marginal cost of reproduction and distribution. Finally, the extent to which specific policies address these key data-sharing issues may vary, depending on the type of research. Although some program managers at all four agencies have included data-sharing requirements in grant awards, these agencies rely primarily on policies and practices to encourage researchers to make climate change data available. An interagency policy, as well as numerous agency, program, and project-specific data-sharing policies, encourages researchers to make climate change data available. The policies range from broad statements calling for open and timely access to data to more detailed policies that define the mechanisms and timelines for making the data accessible. Further, these policies often vary according to the needs of specific research programs or projects. Beyond their written requirements and policies, all of the agencies also rely on unwritten practices to facilitate data sharing. For example, two program managers withhold grant payments if data have not been made available for use by other researchers. While the four agencies have taken steps to foster data sharing, they neither routinely monitor whether researchers make data available nor have fully overcome key obstacles and disincentives to data sharing. Because agencies do not monitor data sharing, they lack evidence on the extent to which researchers are making data available to others. Key obstacles and disincentives could also limit the availability of data. For example, one obstacle is the lack of archives for storing certain kinds of climate change data, such as some ecological data, which places a greater burden on the individual researcher to preserve it. Preparing data for future use is also a laborious and time-consuming task that can serve as a disincentive to data sharing. In addition, data preparation does not further a research career as does publishing results in journals. The scientific community generally rewards researchers who publish in journals, but preparation of data for others' use is not an important part of this reward structure. Consequently, researchers are less likely to focus on preserving data for future use, thereby putting the data at risk of being unavailable to other researchers.
Recommendations
Our recommendations from this work are listed below with a Contact for more information. Status will change from "In process" to "Open," "Closed - implemented," or "Closed - not implemented" based on our follow up work.
Director:
Team:
Phone:
John B. Stephenson
Government Accountability Office: Natural Resources and Environment
(202) 512-6225
Recommendations for Executive Action
Recommendation: 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.
Agency Affected: Department of Commerce
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Agency Affected: Department of Commerce: National Oceanic and Atmospheric Administration
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Recommendation: 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.
Agency Affected: Department of Commerce
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Agency Affected: Department of Commerce: National Oceanic and Atmospheric Administration
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Agency Affected: Department of Energy
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Agency Affected: National Aeronautics and Space Administration
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Agency Affected: National Science Foundation
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Recommendation: 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.
Agency Affected: Department of Commerce
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Agency Affected: Department of Commerce: National Oceanic and Atmospheric Administration
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Agency Affected: Department of Energy
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Agency Affected: National Aeronautics and Space Administration
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Agency Affected: National Science Foundation
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Recommendation: 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.
Agency Affected: Department of Commerce
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Agency Affected: Department of Commerce: National Oceanic and Atmospheric Administration
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Agency Affected: Department of Energy
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Agency Affected: National Aeronautics and Space Administration
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Agency Affected: National Science Foundation
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
