Survey of EPA and Other Federal Agency Scientific Data Management Policies and Guidance 2010


&EPA
EPA-600-R-10-047
© SURVEY OF EPA AND OTHER
H FEDERAL AGENCY SCIENTIFIC
O DATA NlANAGEAfeNT POLICIES
CM AND (aUlibANCE
U.S. Environmental Protection Agency
Office of Research and Development (ORD)
Office of Science Information Management (OSIM)
Contract No: GS-10F-0299K
EPA Order No: EP06H000698
April 30, 2010

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Survey of EPA and Other
Federal Agency Scientific Data
Management Policies and Guidance
2010
U.S. Environmental Protection Agency
Office of Research and Development (ORD)
Office of Science Information Management (OSIM)
April 30, 2010

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Contents
List of Tables	v
Section 1 Introduction	1
1.1	Report Purpose and Approach	2
1.2	Report Contents and Organization	5
Section 2 Manage Scientific Data as Enterprise Assets or Liabilities
(Policy Area #1)	6
2.1	EPA SDM Policy Information (Policy Area #1)	7
2.2	Other Federal Agency SDM Policy Information (Policy Area #1)	7
Section 3 Develop a Scientific Data Management Plan that Covers the Full
Data Life Cycle (Policy Area #2)	10
3.1	EPA Policy Information	10
3.2	Other Federal Agency Policy Information	13
Section 4 Identify Scientific Data with Metadata to Enable Needed
Business Operations (Policy Area #3)	13
4.1	EPA Policy Information	13
4.2	Other Federal Agency Policy Information	19
Section 5 Manage Scientific Data for Appropriate Control (Policy Area #4)	19
5.1	EPA Policy Information	23
5.2	Other Federal Agency Policy Information	23
Section 6 Maintain Version and Change Control on Data Sets (Policy Area #5)	23
6.1	EPA Policy Information	28
6.2	Other Federal Agency Policy Information	28
Section 7 Retain Data Commensurate with Its Value (Policy Area #6)	32
7.1	EPA Policy Information	32
7.2	Other Federal Agency Policy Information	35

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Section 8 Ensure that Scientific Data Management Processes Are Integrated with
Knowledge Management Initiative (Policy Area #7)	35
8.1	EPA Policy Information	35
8.2	Other Federal Agency Policy Information	39
Section 9 Conclusions	39
9.1	Resources by Policy Area and Agency	39
9.2	Key Resources	41
9.3	Informati on Gap s	41
9.4	Next Steps	44
Appendices
A Summary of Findings by Office and Policy Area - EPA
B Summary of Findings by Office and Policy Area - Other Federal Agencies
C References
D Additional Resources
Page iv

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Tables
1	Comparison of SDM principles and policy areas	4
2	Manage scientific data as an enterprise asset or liability: EPA documents
and resources (Policy Area #1)	8
3	Manage scientific data as an enterprise asset or liability: Other federal
agency documents and resources (Policy Area #1)	9
4	Develop a scientific data management plan that covers the full data life cycle:
EPA documents and resources (Policy Area #2)	11
5	Develop a scientific data management plan that covers the full data life cycle:
Other federal agency documents and resources (Policy Area #2)	14
6	Identify scientific data with metadata to enable needed business operations:
EPA documents and resources (Policy Area #3)	16
7	Identify scientific data with metadata to enable needed business operations:
Other federal agency documents and resources (Policy Area #3)	20
8	Manage scientific data for appropriate control: EPA documents and resources
(Policy Area #4)	24
9	Manage scientific data for appropriate control: Other federal agency documents
and resources (Policy Area #4)	26
10	Maintain version and change control on data sets: EPA documents and
resources (Policy Area #5)	29
11	Maintain version and change control on data sets: Other federal agency
documents and resources (Policy Area #5)	30
12	Retain data commensurate with its value: EPA documents and resources
(Policy Area #6)	33
13	Retain data commensurate with its value: Other federal agency documents
and resources (Policy Area #6)	36
14	Number of references to SDM documents and resources by policy area,
applicability rating, agency type, and level	40
15	SDM documents and resources with three-star ratings by agency and policy area	42

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1. Introduction
The U.S. Environmental Protection Agency's (EPA's) Office of Science and Information
Management (OSIM) in the Office of Research and Development (ORD) is developing a policy
framework and ultimately, a set of policies and related guidance for managing the scientific data
created and used by ORD across the entire life cycle of the data (e.g., from initial planning
stages, to data gathering, organization, and analysis, to data publishing, to data archiving,
potential re-use, and destruction). Developing this comprehensive scientific data management
(SDM) policy will involve a long-term (e.g., two years or more) effort requiring the assessment
and resolution of many complex information management, information technology, and other
issues, and resulting in a series of individual SDM policy statements and related guidance on
how to implement these policies. This process will entail the following general approach:
1. Develop a SDM policy framework. This framework incorporates seven general policy
areas to be covered by the ORD SDM policy, and specific policy and guidance topics
within each policy area. This framework will also identify gaps and conflicts that need to
be addressed further, and define and prioritize next steps. Information for the SDM policy
framework will be based on:
a. A review of existing EPA and other federal agency SDM policies and guidance in
order to collect sample policy approaches, categorize these documents by policy
area and other characteristics, and identify information gaps.
b. A series of workshops that bring EPA, other federal agency officials, and SDM
experts together to discuss requirements and best practices for developing SDM
policy and guidance.
2. Develop ORD SDM policies, guidance, and tools. For each policy area, as identified and
prioritized in the preceding task:
a. Identify what ORD policy, guidance, and tools must be developed for each policy
area.
b. Review and validate the information collected for each policy area, and determine
which materials are relevant to ORD's SDM development approach.
c. Determine additional sources of information, as appropriate (e.g., through
additional literature and Internet reviews, workshops, and conversations with EPA
and non-EPA agency staff who have developed similar policies).

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d. Convene working groups, composed of appropriate EPA headquarters and
regional offices and staff [e.g., Office of Environmental Information (OEI),
General Counsel, Human Resources], for each policy area. OSIM will work with
these groups to assess options within each policy area and develop SDM policies,
including defining roles and responsibilities and developing related guidance and
training materials.
e. Develop a policy implementation plan that considers issues such as changes in
work culture, impacts on automated systems, development of supporting tools,
timing of implementation, impacts on large programs, approaches for raising
awareness about the need for the SDM plan and for publicizing and promoting the
plan, and ensuring that the SDM policies, guidance, and tools are easy to
understand and use.
1.1 Report Purpose and Approach
This report presents the results of the first step in the process of developing a SDM policy -
identifying and summarizing SDM policies and/or guidance documents developed by EPA and
other federal agencies. The main purpose is to
determine the usefulness of these resources to ORD's
goal of developing its own SDM policies, and identify
gaps where more research is needed. The approach for
developing this report involved the following
activities:
~ Conducted an initial Internet and EPA Intranet
review of SDM policies. The first step involved
conducting a general Internet and EPA Intranet
review to identify literature on data
management in general and to begin to identify
federal agency policies and guidance that focus
on SDM.
~ Defined seven SDM policy areas. The text box
entitled Recommended ORD SDM policy areas
summarizes seven policy areas listed by general
order of the phases of the scientific data life
cycle. These policy areas were identified during
initial review of SDM documents, based on two
sources that focus extensively on defining key
Recommended ORD SDM
policy areas
1.
Manage scientific data as an

enterprise asset or liability.
2.
Develop a SDM plan that covers the

full data life cycle.
3.
Identify scientific data with metadata

to enable needed business operations

(e.g., access control, discovery,

linking to products).
4.
Manage scientific data for

appropriate control [e.g., intellectual

property (IP), data rights, proprietary

data].
5.
Maintain version and change control

on data sets.
6.
Retain data commensurate with its

value.
7.
Ensure that SDM processes integrate

with KM initiatives.
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principles that underlie an effective SDM program. The American National Standards
Institute's (ANST s) ANSI/GEIA 859 Data Management defines nine principles of a high-
quality data management program. The second source of SDM principles was compiled
by the National Research Council (NRC), which impaneled a committee to provide
advice on how to archive and provide access to environmental data collected by the
National Oceanic and Atmospheric Administration (NOAA) and its partners. The
committee published a report, Environmental Data Management at NOAA, which
identifies nine general principles for effective environmental data management. Based on
a review of both sets of principles, a set of seven "policy areas" were developed that
address OSIM's main SDM concerns, and that were used to categorize the SDM
documents. Table 1 presents a summary of the ANSI and NRC principles, grouped
according to similar SDM issues. The seven policy areas defined for this study are shown
in the third column of the table, matched up with the relevant ANSI and NRC principles.
~ Identifiedfederal agencies for targeted investigation and conducted research. Based on
the initial Internet and EPA Intranet reviews, research was focused in two areas:
(1) existing EPA policies and guidance related to SDM, and (2) SDM practices by other
federal agencies that are similar to EPA in terms of size (e.g., small- to moderate-sized
agencies) and/or mission (e.g., protecting human health and the environment, developing
scientific data). EPA program and office Internet and Intranet sites were searched to
identify existing SDM documentation. The goal was to collect examples of current EPA
best practices and to ensure that OSIM does not duplicate or reinvent existing policies.
Two EPA offices that have developed a variety of SDM policy materials are OEI and the
Office of Solid Waste and Emergency Response (OSWER).
Potential non-EPA federal agencies were identified based on an Internet search,
discussions with EPA staff, and a review of the CENDI [formerly called the Commerce,
Energy, National Aeronautics and Space Administration (NASA), Defense Information
Managers Group] web site. CENDI is an interagency group composed of the scientific
and technical information managers from 11 federal agencies engaged in scientific and
technical research and development. Based on these sources, several agencies were
identified that met the criteria described above and each agency's web site was searched
to identify policy and guidance documents related to SDM. Five agencies offered
relevant SDM policy and guidance information: the U.S. Department of Energy (DOE),
NASA, National Institutes of Health (NIH), NOAA, and National Science Foundation
(NSF). More limited information was also captured from other federal agencies,
including the U.S. Geological Survey (USGS) and the U.S. Department of Agriculture
(USD A).
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Table 1. Comparison of SDM principles and policy areas
ANSI-GEIA 859 Data Management principles
NOAA principles
Related OSIM SDM policy areas
Define the enterprise-relevant scope of data
management.
Manage scientific data as an enterprise
asset or liability (Policy Area #1).
Plan for, acquire, and provide data responsive to
customer requirements.
Data-generating activities should include adequate
resources to support end-to-end data management.
Environmental data management activities should
recognize user needs.
Effective interagency and international partnerships
are essential (e.g., sharing data).
Develop a SDM plan that covers the full
data life cycle (Policy Area #2).
Develop data management processes to fit the
context and business environment in which they
will be performed.
Effective data management requires a formal,
ongoing planning process.
Develop a SDM plan that covers the full
data life cycle (Policy Area #2).
Identify data products and views so their
requirements and attributes can be controlled.
~	Metadata are essential for data management.
~	Data and metadata require expert stewardship.
~	An effective data archive should provide for
discovery, access, and integration.
Identify scientific data with metadata to
enable needed business operations
(e.g., access control, discovery, linking to
products) (Policy Area #3).
Control data, data products, data views, and
metadata using approved change control processes.
Maintain version and change control on
data sets (Policy Area #5).
Establish and maintain a management process for
IP, proprietary information, and competition-
sensitive data.
Manage scientific data for appropriate
control (e.g., IP, data rights, proprietary
data) (Policy Area #4).
Retain data commensurate with value.
Environmental data should be archived and
accessible.
A formal ongoing process with broad community
input is needed to decide what data to archive and
what not to archive.
Develop a SDM plan that covers the full
data life cycle (Policy Area #2).
Retain data commensurate with its value
(Policy Area #6).
Continuously improve data management.
Develop a SDM plan that covers the full

data life cycle (Policy Area #2).
Effectively integrate data management and
Ensure that SDM processes integrate with
knowledge management (KM).
KM initiatives (Policy Area #7).
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~ Identified SDMpolicy levels. The targeted
research identified several "levels" of SDM
policy documents and resources, ranging
from broad goals, vision statements, and
principles, to policy statements, to general
and specific guidance for carrying out the
policies. These different policy levels are
shown in the text box, at right, SDM policy
levels.
~ Summarized findings. A series of tables was
developed to summarize the research
findings and to categorize these findings by
agency, policy area, and policy level. This
report presents these tables, along with a
description of the SDM policy and guidance
documents identified, the relative usefulness
of these documents to ORD's goal of
developing its own SDM policies, and
information gaps where more research is
needed.
1.2 Report Contents and
Organization
The remainder of this report presents the study
findings and conclusions. As shown in the text box,
Report organization, Sections 2 though 8
summarize study findings by SDM policy area.
Each section provides (1) a definition of the policy
area and (2) examples of the types of policy and guidance that could be developed within this
policy area, followed by brief descriptions of the EPA and other federal documents found by
policy level and associated summary tables. Each summary table organizes the SDM policy and
guidance documents for the relevant policy area by policy level. For each table, information is
provided on the agency and/or office that developed the policy/guidance, the document title and
date, a brief description of the document, an "applicability rating," and a link to the source of
information. The applicability rating is shown as one, two, or three stars. A one-star rating (*)
means that the information is related to ORD's SDM policy framework, but is expected to be of
limited value in developing its policies and guidance. A two-star rating (**) means that the
SDM policy levels
~ Goals and vision statements describe the
broad objectives that an agency wants to
achieve through its SDM.
~ Principles are high-level descriptions
and statements regarding the
development and maintenance of high-
quality SDM.
~ Recommendations for policies, often
resulting from an agency committee
investigation of SDM issues, present
general descriptions of SDM policies
that the agency needs to develop.
~ Policies are relatively brief documents
that define a rule for enhancing SDM,
and often include related information
such as definitions, roles and
responsibilities, and references.
~ General guidance includes general
instruction on how a policy should be
implemented.
~ Specific guidance includes more
specific, step-by-step instructions on
how to implement a SDM policy.
~ Other includes types of SDM documents
and resources that do not fall into any of
the preceding categories [e.g., a research
analysis, internal audit report, or
Government Accountability Office
(GAO) report].
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information is somewhat relevant to ORD's
policy framework and/or is presented in
limited detail. A three-star rating (***)
indicates that the information is directly
applicable to ORD's SDM policy/guidance
goals and could serve as a model for ORD.
Section 9 presents study conclusions,
including an overview of the key types of
SDM policy information that is available
from EPA and other federal agencies,
information gaps, and suggested next steps.
Appendices A and B provide tabular
summaries of findings organized by office
and policy area for EPA and other federal
agencies, respectively. Appendix C provides
references reviewed for this report.
Appendix D provides potentially relevant
resources that have been recently identified
and have not been incorporated in the
findings.
2. Manage Scientific
Data as Enterprise
Assets or Liabilities
(Policy Area #1)
A key principle underlying effective SDM policy, and the first policy area described in this
report, is the concept that scientific data are EPA assets and liabilities, and should be managed as
such. Scientific data developed with ORD resources (such as funding, staff, computers and other
equipment) belong to the taxpayer and are governed by EPA. These data have value, which may
be positive (i.e., assets) or negative (i.e., liabilities). An example of an asset is a data set that will
be reused for trend analysis; an example of a liability is a data set that will never be reused but
ORD continues to incur costs for its maintenance.
Report organization
Section 1:

Introduction
Section 2:

Manage Scientific Data as Enterprise
Assets or Liabilities (Policy Area #1)
Section 3:

Develop a Scientific Data
Management Plan that Covers the Full
Data Life Cycle (Policy Area #2)
Section 4:

Identify Scientific Data with Metadata
to Enable Needed Business
Operations (Policy Area #3)
Section 5:

Manage Scientific Data for
Appropriate Control (Policy Area #4)
Section 6:

Maintain Version and Change Control
on Data Sets (Policy Area #5)
Section 7:

Retain Data Commensurate with
Its Value (Policy Area #6)
Section 8:

Ensure that Scientific Data
Management Processes Are Integrated
with Knowledge Management
Initiative (Policy Area #7)
Section 9:

Conclusions
Appendix
A:
Summary of Findings by Office and
Policy Area - EPA
Appendix
B:
Summary of Findings by Office and
Policy Area - Other Federal Agencies
Appendix
C:
References
Appendix
D:
Additional Resources
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The development of this policy area will involve, for example, establishing policies or rules for
how others can use the data and who owns the data during its initial development. There can also
be polices on how to treat data appropriately by defining when it is an asset and when it is a
liability. It is important to note that this policy area often overlaps with other areas, such as
developing SDM plans, managing data for appropriate control, and data retention and valuation.
2.1 EPA SDM Policy Information (Policy Area #1)
Table 2 presents EPA documents related to Policy Area #1, manage scientific data as an
enterprise asset or liability. As shown in the table, limited EPA documentation was found for this
policy area. One OSWER document addresses this issue in terms of establishing principles and
general guidance for treating data as an asset or liability, and one OEI reference also provides
general guidance. Both documents are directly applicable to EPA/ORD (i.e., they all have a
three-star rating). Three documents discuss specific SDM policies, or provide recommendations
for policies. Two of these documents (ORD's Scientific Data Management Strategy and OEI's
National Geospatial Data Policy) contain directly applicable information and one document
provides information that would be considered potentially relevant to ORD (i.e., two stars). No
supporting documentation was found for "Goals, Vision Statements" or "Specific Guidance."
2.2 Other Federal Agency SDM Policy Information
(Policy Area #1)
Table 3 presents non-EPA federal documents and resources that relate to Policy Area #1, manage
scientific data as an enterprise asset or liability. As shown in the table, eight documents,
developed by five federal agencies (DOE, NASA, NIH, NOAA, and NSF), were identified.
These agencies recognize that scientific data are an asset that must be managed and made freely
available to the public. DOE and the NSF have developed principles regarding the need to make
data available. NASA, NIH, and NOAA have policies on retaining valuable data into the future,
and two NASA offices have developed specific guidance on how to make data available to the
public. Two documents contain information that is directly appropriate for EPA/ORD (i.e., three-
star ratings), while the remaining information is considered somewhat relevant for the office's
needs (i.e., two-star ratings).
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Table 2. Manage scientific data as an enterprise asset or liability: EPA documents and resources (Policy Area #1)
Level
Agency
name/office
Document title/date
Description/pertinent aspects
Applicability3
Link (or reference)
Goals, vision
statements

Principles
Office of Solid Waste
and Emergency
Response (OSWER)
System Life Cycle Management
Guidance Part 3 Practice Paper:
Data Management During the Life
Cycle. January 1989.
This document states: "Data is a valuable resource. Data is collected, stored, and
used to support critical OSWER program activities and decisions, making accurate
and timely data an important OSWER resource." OSWER data "is used to make
decisions affecting public health and safety, environmental quality, and the use of
public funds. Wthoutthis information OSWER could not perform its mission. The
data collected, stored, processed and disseminated by OSWER systems are used
to create the information OSWER needs to operate."
This document also provides details for project managers concerning their
responsibilities for data management under OSWER System Life Cycle
Management Guidance. The practice paper describes "data management during
the system life cycle, and provides guidance concerning major topics that should
be addressed by project teams."
Specifically, page 4 lists several benefits for increasing the focus on data
management.
***
httD://www.eDa.aov/oswer/docs/os
werlcm/00000021 .odf

Recommendations for
policies
Office of Research and
Development (ORD)
Scientific Data Management
Strategy. 2007.
An objective of the strategy is to identify and prioritize SDM projects by
determining where there are "hidden" data management projects, some of which
add significant value to the agency. It identifies others as "pet projects'" that add
no value.
***
EPA, 2007.
Policies
Office of Environmental
Information (OEI)
National Geospatial Data Policy. CIO
Policy Transmittal 05-002.
8/24/2008.
The policy states that all EPA investment in geospatial data should be leveraged
for enterprise use and managed through enterprise architecture guidance.
***
Email communication with Lynne
Petterson, 6/10/09.
National Health and
Environmental Effects
Research Laboratory
(NHEERL)
NHEERL Data Management Policy
and Practices: Genomics and
Related High Throughput Data.
The policy states that data collected from human subjects presents a challenge in
that sharing of data can only occur if the confidentiality of the subjects has been
assured. Assurance must be obtained from the NHEERL Human Subjects
Research Official prior to the entry of such data into a centralized data base.
**
EPA, Undated.
General guidance
Office of Environmental
Information (OEI)
EPA Enterprise Architecture
Target Data Architecture. 6/23/2009.
The successful management of information and data as an enterprise asset is of
critical importance. To achieve the vision of maximizing the value of enterprise
data assets, EPA will establish an Enterprise Data Architecture (EDA) Program to
create a proactive, enterprise service organization focusing specifically on critical
data management issues and challenges faced by EPA programs and their
partners.
***
Email communication with Kevin
Kirby. 7/14/09.
Office of Solid Waste
and Emergency
Response (OSWER)
System Life Cycle Management
Guidance Part 3 Practice Paper:
Data Management During the Life
Cycle. January 1989.
This document states: "If you choose an approach that doesn't address data
dictionary issues as part of a large, high impact project, you will increase the risk
of time and cost overruns for your project."
***
http://www.epa.qov/oswer/docs/os
werlcm/00000021 .pdf

Specific guidance
(e.g., how to interpret
and use policies)

Other (specify)

a. The applicability rating is shown as one, two, or three stars. A one-star rating (*) means that the information is related to ORD's SDM policy framework, but is expected to be of limited value in developing its policies and guidance. A
two-star (**) rating means that the information is somewhat relevant to ORD's policy framework and/or is presented in limited detail. A three-star rating (***) means that the information provided is directly applicable to ORD's SDM
policy/guidance goals and could serve as a model for ORD.
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Table 3. Manage scientific data as an enterprise asset or liability: Other federal agency documents and resources (Policy Area #1)
Level
Agency name/office
Document title/date
Description/pertinent aspects
Applicability3
Link (or reference)
Goals, vision
statements

Principles
Department of Energy (DOE) -
Oak Ridge National Laboratory
(ORNL)
Developing Data Management Policy
and Guidance Documents for your
NARSTO Program or Project. 2005.
The document states that at some point there is a legal obligation for
data collected with government funds to be freely available.
***
httD://cdiac.ornl.aov/Droarams/NA
RSTO/DM develoo auide.pdf
National Science Foundation
(NSF)
Implementation of the NSF Data
Sharing Policy. April 2002.
The document states that it is the responsibility of organizations to
make results, data, derived data products, and collections available to
researchers in a timely manner and at a reasonable cost.
**
http://www.nsf.aov/aeo/ear/EAR
data oolicv 204.pdf
Recommendations for
policies

Policies
National Aeronautics and Space
Administration (NASA) -
Heliophysics Great Observatory
NASA Heliophysics Science Data
Management Policy. 2007.
The paper recognizes that NASA observational data represent an
asset that must be retained in a usable state into the indefinite future.
**
httD://hDde.asfc.nasa.aov/HelioDh
vsics Data Policv 2007June25.p
df
National Institutes of Health (NIH) •
National Heart, Lung, and Blood
Institute (NHLBI)
Policy for Distribution of Data.
Undated.
Data collected by NHLBI constitute an important scientific resource. Its
full value can only be realized if it is made available (with the informed
consent of individual participants) to the largest possible number of
qualified investigators. The policy covers the responsibilities of
investigators seeking access to data, the responsibilities of
investigators in preparing data sets in response to requests, and
procedures for protecting privacy for data sets.
**
httD://www.nhlbi.nih.aov/resource
s/deca/oolicv new.htm
National Oceanic and
Atmospheric Administration
(NOAA)
NOAA Administrative Order: 216-
101. Ocean Data Acquisitions.
7/9/1990.
The order states that retrospective access to data is required by the
research community through designated national data management
centers.
**
htt p ://www.coroorateserv ices, noa
a.aov/~ames/NAOs/Chap 216/na
os 216 101 .html
General guidance

Specific guidance (e.g.,
how to interpret and
use policies)
NASA - Office of Space Science
and Applications
Guidelines for Development of a
Project Data Management Plan
(PDMP). 1993.
The guidelines state that any agreements regarding exclusive rights to
data should be stated, along with summary timelines for when the data
will be released to the public.
***
httD://nssdc.asfc.nasa.aov/nssdc/
pdmp auidelines march93.rtf
NASA - Jet Propulsion Laboratory
Cassini/Huygens Program Archive
Plan for Science Data. 2004.
The document states that archives must be accessible to the public on-
line. In addition, the office is responsible for filling large delivery orders
to the science community, and making data available to foreign
investigators, educators, and the general public.
**
http://trs-
new. jpl. nasa .aov/dspace/bitstrea
m/2014/14261/1/00-0674.pdf
Other (specify)
DOE - Office of Scientific and
Technical Information (OSTI) -
Lawrence Livermore National
Laboratory (LLNL)
The State of Data Management in
the DOE Research and
Development Complex. 7/14-
15/2004.
The report briefly discusses issues such as data ownership and DOE
rights of re-use that compound the problem of how to manage data.
**
http://www.osti.aov/publications/2
007/datameetinqreport.pdf
a. The applicability rating is shown as one, two, or three stars. A one-star rating (*) means that the information is related to ORD's SDM policy framework, but is expected to be of limited value in developing its policies and guidance.
A two-star (**) rating means that the information is somewhat relevant to ORD's policy framework and/or is presented in limited detail. A three-star rating (***) means that the information provided is directly applicable to ORD's SDM
policy/guidance goals and could serve as a model for ORD.
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3. Develop a Scientific Data Management Plan that
Covers the Full Data Life Cycle (Policy Area #2)
Developing a SDM plan provides the opportunity to focus on scientific data, including how the
data will be gathered, processed, and analyzed. This plan can involve all stakeholders (e.g., users
and potential users of the data) who can assess the value of the data for both current projects and
potential future uses and reuses, even beyond the life of the projects. For ORD projects, a data
management plan is sometimes developed as part of the quality assurance (QA) plan.
Development of this policy area will include a wide range of issues, including reviewing project
strategy and planning to determine the general needs of the data throughout its life cycle,
developing guidance on SDM planning for all projects, and tailoring planning for specific
projects (which involves determining data needs and identifying users of the data). The contents
of a data management plan often include the types of data to be authored, formatting standards,
archiving and preservation provisions, metadata, and plans for transitioning or terminating the
data. The end result may be a consolidated list of data products and tools that are needed to
support the entire life cycle of the project. As with Policy Area #1, developing a SDM plan
overlaps with several other policy areas.
3.1 EPA Policy Information
Table 4 describes 15 individual EPA documents and resources related to developing a SDM
plan.1 About one-half of these documents provide general guidance on issues such as SDM plan
contents and successful data management strategies. One document provides a recommendation
for policies, six documents are policies or specific guidance, and one document is classified as an
"other" reference, which is a document containing links to several supporting one-star
documents (i.e., of limited value to ORD). No supporting documentation was found for "Goals,
Vision Statements" or "Principles." The research identified five examples of three-star
documents that are directly relevant to EPA/ORD and 11 documents with two-star
(i.e., somewhat relevant) and one-star (i.e., of limited value) ratings.
1. Note that some documents provide information at more than one policy level (e.g., a single document might
provide policy recommendations and general guidance). Sections 4-8 report the number of individual
documents (not the double-counted references) that provide information on each policy area.
Page 10

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Table 4. Develop a scientific data management plan that covers the full data life cycle: EPA documents and resources (Policy Area #2)
Level
Agency name/office
Document title/date
Description/pertinent aspects
Applicability3
Link (or reference)
Goals, vision
statements

Principles

Recommendations
for policies
ORD
Scientific Data Management Strategy.
2007.
The strategy states an objective to define an SDM organizational structure. The structure
needs to be "tuned" to the specific needs of each L/C/O.
***
EPA, 2007.
Policies
OEI
Information Resources Management
(IRM) Policy, Chapter 19 Information
and Data Management. 2001.
Section 5, Policies, of this document lists the U.S. Environmental Protection Agency (EPA)
policies on information and data management. Note that this document has expired and
has not yet been updated.
**
Email communication with Lynne
Petterson, 6/10/09.
OEI
Records Management. 12/11/2009.
This policy states: 'The Records Management Policy establishes principles,
responsibilities, and requirements for managing EPA's records to ensure that the agency is
in compliance with federal laws and regulations, EPA policies, and best practices for
managing records. This Agency-wide policy provides the framework for specific guidance
and detailed operating procedures governing records management organization and
implementation."
*
http://www. epa. aov/records/pol icv/i
ndex.htm.
OEI
National Geospatial Data Policy. CIO
Policy Transmittal 05-002. 3/24/2008.
The policy establishes specific requirements for all EPA program offices and labs regarding
the planning, collecting, acquiring, processing, documenting, storing, accessing,
maintaining, and retiring of geospatial data.
***
http://www. epa. aov/esd/aac/pdf/ep
a natl aeo data oolicv.odf
General guidance
OSWER
Brownfields and Land
Revitalization Technology
Support Center
Management and Interpretation of Data
Under a Triad Approach - Technology
Bulletin. May 2007.
The triad approach produces flexible, but rigorous project plans; data management is key
to rapid collection and analysis of data gathered. "A successful data management strategy
depends on input not only from data management specialists but also from those who will
be generating and using the data, including vendors, geoscientists, chemists, and other
technical specialists. The data management plan must address how data from different
sources will be integrated to support decisions."
*
http://www. brownf ieldstsc. ora/odfs/
Manaaement and Interpretation o
f Data.pdf
Western Regional Air
Partnership (WRAP)
Comprehensive Data Management of
WRAP Emissions Data. 2009.
This is a data management plan for emissions data that could be used as guidance for the
creation of an ORD data management plan policy. (Note: The Western Governors'
Association and the National Tribal Environmental Council receive funding from the U.S.
EPA to administer and support the WRAP.)
*
http://www.epa.aov/ttn/chief/confer
ence/ei18/session1/hoek.odf
OEI
EPA Enterprise Architecture
Target Data Architecture. 2009.
In the framework presented in Section 4.3.1, EPA Program Offices that oversee Agency-
wide business lines will ensure that quality-related activities associated with each phase of
the EPA Data Lifecycle Framework (Figure 16) are documented. See also Appendix A.
***
Email communication with Kevin
Kirby. 7/14/09.
OEI
Guidance for Geospatial Data Quality
Assurance Project Plans. March 2003.
This guidance document describes the type of information that would be included in a QA
Project Plan by anyone developing a geospatial project or using geospatial data for EPA.
**
Email communication with Lynne
Petterson, 6/10/09.
OEI
Data Standards Policy. 6/28/2007.
This document states that: "All Agency information systems that exchange information shall
implement applicable data standards in the most current version at the appropriate phase
in the development life cycle but no later than the required implementation date specified in
the standard unless a waiver has been obtained. When a new version of a standard is
issued the old version is given a retirement date and should not be used after that date.
Implementation of data standards or the appropriate waiver shall be described in the
lifecycle and solution architecture documentation for each applicable EPA system and
documented in the Registry of EPA Applications and Databases (READ) in conformance
with the READ record maintenance schedule."
*
http://www. epa. aov/oamhood1 /adm
placement/ITS BISS/datastd.pdf
OSWER
System Life Cycle Management
Guidance Part 3 Practice Paper:
Configuration Management. January
1989.
Exhibit 2-1 provides an overview of configuration management throughout a system life
cycle. This is more for a "system" life cycle than "documentation" life cycle, but might still
have some relevance.
**
http://www. epa. aov/oswer/docs/os
werlcm/00000019. pdf
OSWER
System Life Cycle Management
Guidance Part 3 Practice Paper: Data
Management During the Life Cycle.
January 1989.
In the data management paper, Chapter 3 provides a high level review of the
recommended approach for each step of the system life cycle.
***
http://www.epa.aov/oswer/oswerlc
m.htm
Page 11

OSWER
OSWER Life Cycle Management Guide.
1989
This document provides suggestions for both the initiation and concept phase of
information management by discussing initiation phase objectives, concept phase objects,
decisions, activities, roles/responsibilities and the decision paper.
Pages 22 and 23 discuss the creation of a data management plan and what should be
included. Page 26 discusses the data management plan and what should be included in
the definition stage. Chapter 4 discusses the expansion of the data dictionary and data
management plan. Chapter 10 details how all life cycle stages work together and/or
overlap.
***
http://www.epa.aov/oswer/oswerlc
m.htm
Specific guidance
(e.g., how to interpret
and use policies)
OEI
Guidance on Systematic Planning Using
the Data Quality Objectives Process.
February 2006.
EPA has established a policy that states that before information or data are collected on
Agency-funded or regulated environmental programs and projects, a systematic planning
process must occur during which performance or acceptance criteria are developed for the
collection, evaluation, or use of these data. This document provides specific guidance at
each step of using the data quality objectives process.
**
http://www. epa. aov/aualitv/as-
docs/a4-final.odf
OSWER
System Life Cycle Management
Guidance Part 3 Practice Paper: Data
Management During the Life Cycle.
Januraryl 989.
This paper describes data management during the system life cycle and provides guidance
concerning major topics that should be addressed by project teams. Data management
begins during the concept phase, proceeds as requirements are defined and software is
implemented, and continues until the application system is terminated or replaced. The
chapters include the following: Selecting a data management approach, overview of data
management topics, data modeling activities, data design activities, data stewardship, data
documentation activities, and terms/reference manual. This document provides a useful
synopsis of many of the System Life Cycle chapters 1-10.
**
http://www.epa.aov/oswer/oswerlc
m.htm
OSWER
System Life Cycle Reviews and
Approvals. 1989.
This document provides all the steps and information necessary to review and approval all
stages of the system life cycle.
**
http://www. epa. aov/oswer/docs/os
werlcm/00000018. odf
Other
OEI
Office of Technology
Operations and Planning
(OTOP)
IT Policy Mega-Matrix. 2009.
The IT Policy Mega-Matrix is a master list of all the EPA IT policy documents (e.g., Policies,
Procedures, Standards, and Guidance) that OTOP maintains. Page 12 contains SLC
documents.
*
This document is located on the
EPA intranet at:
http://intranet.epa.aov/otoo/itoolicv/l
T Policv Meaa-
Matrix Feb2009 external.pdf
a. The applicability rating is shown as one, two, or three stars. A one-star rating (*) means that the information is related to ORD's SDM policy framework, but is expected to be of limited value in developing its policies and guidance. A two-star (**)
rating means that the information is somewhat relevant to ORD's policy framework and/or is presented in limited detail. A three-star rating (***) means that the information provided is directly applicable to ORD's SDM policy/guidance goals and could
serve as a model for ORD.
Page 12

-------
(4/30/2010)
3.2 Other Federal Agency Policy Information
Table 5 summarizes more than 20 documents and resources developed by non-EPA federal
agencies on developing a SDM plan. Five agencies have policies or guidance documents that
stress the importance of developing SDM plans that cover the full data life cycle. Three of the
documents have three-star ratings because they can serve as models for ORD - a NOAA
document, Environmental Data Management at NOAA, which defines and describes principles
that recognize the importance of SDM planning, and two NSF documents that provide SDM
policies related to data submission and archiving. The remaining documents are more general
and less relevant to ORD, but do provide some useful information about SDM planning.
4. Identify Scientific Data with Metadata to Enable
Needed Business Operations (Policy Area #3)
To gain maximum value from scientific data, it must be easily accessed and understood by those
who use it. The information that provides this understanding is "data about scientific data" -
metadata. Metadata can provide "provenance" or data lineage (e.g., by linking to information
products such as the data management plan or final report) and can also enable data discovery,
retrieval, and appropriate reuse. Metadata is essential for identifying, searching for, locating,
storing and retrieving scientific data. The consistent development and use of metadata enables
communication between cooperating agencies and the public users of data, and can be used to
identify appropriate data users and help provide access control.
Metadata is a complicated and expansive topic that may extend beyond ORD's needs to manage
scientific data. Policies and guidance developed under this policy area can include ensuring that
appropriate metadata is selected to help manage data creation and retention, developing guidance
on how to use approved standards and tools to create metadata, developing guidance on the
minimum essential metadata required, and reviewing information on who should be involved in
metadata development.
4.1 EPA Policy Information
Table 6 identifies 16 individual documents and resources that provide principles, policies, and
guidance on developing metadata to support SDM. The majority of these resources are general
and specific guidance documents. The most relevant resources include an OSWER principle that
describes the importance of keeping accurate metadata when managing data, OEI's Enterprise
Architecture Target Data Architecture report, which addresses metadata management in the
context of data management, and the OSWER Life Cycle Management Guide, which provides
guidance on developing metadata during the design phase of data management.
Page 13

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Table 5. Develop a scientific data management plan that covers the full data life cycle: Other federal agency documents and resources (Policy Area #2)
Level
Agency name/office
Document title/date
Description/pertinent aspects
Applicability3
Link (or reference)
Goals, vision
statements
NOAA
NOAA Report to Congress on Data anc
Information Management. 2005.
According to the report, NOAA is in the initial stages of developing and implementing
an integrated data management system.
*
http://www.nqdc.noaa.aov/noaa pu
bs/pdf/NOAA Conaress2005.pdf
DOE
The State of Data Management in the
DOE Research and Development
Complex. 7/14-15/2004.
The report states that DOE needs a department-wide policy that recognizes life-cycle
data management. It recommends an umbrella policy for data generators, collectors,
curators, and users.
**
http://www.osti.aov/publications/200
7/datameetinareport.pdf
Principles
NOAA
Environmental Data Management at
NOAA: Archiving, Stewardship, and
Access. 2007.
Principle #7 states that effective data management requires a formal, ongoing planninc
process. NOAA should establish and codify an enterprise-wide data management plan
(elements of plan listed on p 87-88).
Principle #2 states that data-generating activities should include adequate resources tc
support end-to-end data management.
"kick
National Research Council, 2007.
Climate Change Science Program
Strategic Plan for the Climate Change
Science Program Final Report: Chapter
13. Data Management and Information.
July 2003.
The report states that data managers must be able to understand, communicate, and
work closely with scientists and others to ensure proper stewardship for the data
archive and its distribution.
**
http://www.climatescience.aov/Libra
rv/stratp I a n2003/fi n a l/ccs pstrat pi a n 2
003-chap13.htm
National Science and Technology
Council (Office of Science and
Technology Policy)
Harnessing the Power of Digital Data
for Science and Society. 2009.
The report discusses the importance of cooperation among industry, academia,
nongovernmental organizations (NGOs), and international agencies (p. 19).
**
http://www.nitrd.aov/about/harnessir
a power web.odf
Recommendations
for policies

Policies
NIH - Division of Acquired
Immunodeficiency Syndrome
(DAIDS): Clinical Research Policies
and Standard Procedures
Documents
Requirements for Data Management
and Statistics for DAIDS Funded and/or
Sponsored Clinical Trials. 2007.
This policy states that clinical trial data need to be managed in such a way as to ensun
the authenticity and integrity of the data elements collected and to comply with
applicable regulations.
**
http://www3.niaid.nih.aov/LabsAndF
esources/resources/DAIDSCIinRsrc
h/PDF/DataMat StatPolicv.htm
NSF - Division of Ocean Sciences
(DOS)
Division of Oceans: Data and Sample
Policy. 11/3/2003.
The policy states that programs may establish more stringent data submission
procedures to meet the needs of these programs. Principal investigators supported by
these programs are required to follow these data submission procedures.
"kick
http://www. nsf. aov/ou bs/2004/nsf04
004/nsf04004 1b.htm
NSF - Social, Behavioral and
Economic Sciences (SES)
Data Archiving Policy. 7/8/2008.
This policy recognizes that many complexities arise across the range of data collection
supported by SES programs, and that unusual circumstances may require
modifications or even full exemptions. For example, human subjects protection require
removing identifiers, which may be prohibitively expensive or render the data
meaningless in research that relies heavily on extensive in-depth interviews.
-k-k-k
http://www. nsf.aov/sbe/ses/commor
/archive.iso
NOAA
NOAA Administrative Order: 216-101.
Ocean Data Acquisitions. 7/9/1990.
The order defines responsibilities and procedures for all NOAA activities that involve
the collection and archiving of ocean data from the open-ocean, Great Lakes, coastal
waters, and estuaries.
*
http://www.corporateservices.noaa.
aov/~ames/NAOs/Chap 216/naos
216 101 .html
NOAA
NOAA Administrative Order: 212-15.
Management of Environmental and
Geospatial Data and Information. 2008.
The order states that the NOAA CIO must develop a data management plan in
coordination with the appropriate data center, specifying the data life cycle and
disposition of data and information for each program.
**
http://www.corporateservices.noaa.
aov/~ames/NAOs/Chap 212/naos
212 15.html
General guidance
NASA - Heliophysics Great
Observatory
NASA He lio physics Science Data
Management Policy. 2007.
The policy document provides a blueprint for a data management plan, tracing the dat<
lifecycle from measurements to final archives, and provides examples of information
appropriate for each data provider to include in a data management plan (p. 23).
**
http://hpde.asfc.nasa.aov/Heliophvs
cs Data Policv 2007June25.pdf
NASA - Consultative Committee
for Space Data Systems (CCSDS)
Reference Model for an Open Archival
Information System (OAIS). 2002.
The document shows a data flow diagram that represents the operational OAIS archive
external data flows. The diagram shows the flow of information among producers,
consumers, and the OAIS (but does not include flows that involve management).
**
http://pubiic.ccsds.ora/pu blications/c
rchive/650x0b1. pdf
Page 14

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Table 5. Develop a scientific data management plan that covers the full data life cycle: Other federal aqencv documents and resources (Policy Area #2)
Level
Agency name/office
Document title/date
Description/pertinent aspects
Applicability3
Link (or reference)

DOE-ORNL
Developing Data Management Policy
and Guidance Documents for your
NARSTO Program or Project. 2005.
The guidelines provides a data flow chart before, during, and after a field campaign. It
mentions that a clear statement of the importance of the data collection and the flow ol
the data in the broadest possible context is needed. In addition, advanced planning for
archiving project data furthers efforts to identify, collect, and report consistent data anc
metadata and to facilitate timely data analysis, sharing, integration, and synthesis.
**
http://cdiac.ornl.aov/proarams/NAR
STO/DM develop auide.pdf
DOE-ORNL
Guidelines for Archiving Data in the
NARSTO Permanent Data Archive.
May2, 2006.
The document provides characteristics of a project data management plan that will
result in successful data archiving.
**
http://cdiac.ornl.aov/proarams/NAR
STO/Guidelines for Archivina NA
RSTO Data.pdf
NSF
Long-Lived Digital Data Collections:
Enabling Research and Education in
the 21 st Century. 2005.
The contents of the data management plan should include: the types of data to be
authored; the standards that would be applied for format, metadata content, etc.;
provisions for archiving and preservation; access policies and provisions; and plans foi
eventual transition or termination of the data collection in the long-term future.
**
http://www. nsf. aov/pu bs/2005/nsb0$
40/
NSF - Division of Earth Sciences
(EAR)
Implementation of the NSF Data
Sharing Policy. April 2002.
The policy mentions that compliance with stated data management guidelines will be
considered in the Program Officer's overall evaluation during the proposal review
process.
*
http://www.nsf.aov/aeo/ear/EAR da
ta policv 204.pdf
NOAA
NOAA Administrative Order: 212-15.
Management of Environmental and
Geospatial Data and Information. 2008.
The document states that NOAA data management planning will include end-to-end
data stewardship.
**
http://www.corporateservices.noaa.
acv/~ames/NAOs/Chap 212/naos
212 15.html
NIH - Office of Extramural
Research
NIH Data Sharing Policy and
Implementation Guide. 3.5.2003.
The policy states that the content and level of detail included in a data-sharing plan
depends on several factors, such as whether or not the investigator is planning to
share data, and the size and complexity of the dataset.
*
http://arants.nih.aov/arants/oolicv/dc
ta sharina/
NIH - National Cancer Institute
(NCI)
National Cancer Institute, Division of
Cancer Prevention (DCP),
Data Management Requirements.
October 2003.
The document states that a data management plan is prepared by the Consortium
Principal Investigator and approved by the NCI and DCP.
*
http://prevention.cancer.aov/clinicalt
rials/manaaement/consortia/steo-
2/data
NIH - DAIDS: Clinical Research
Policies and Standard Procedures
Documents
Requirements for Data Management
and Statistics for DAIDS Funded and/or
Sponsored Clinical Trials. 2007.
The document describes the processes and methods that data collection sites and
central data management facilities must develop to manage their data, including: data
management operations, overall data management system, data storage, database
closure and archiving, and data audits.
**
http://www3.niaid.nih.aov/LabsAndF
esources/resources/DAIDSCIinRsrc
h/DataManaaement. htm
Specific guidance
(e.g., how to interpret
and use policies)
NASA - Office of Space Science
and Applications
Guidelines for Development of a
Project Data Management Plan. 1993.
The guidelines mention that project data flow should be provided, including an overall
functional data flow diagram. The diagram should identify those facilities performing
various functions as the project progresses through its various mission phases.
*
http://nssdc.asfc.nasa.aov/nssdc/pd
mp auidelines march93.rtf
NASA - National Space Science
Data Center
White Paper on NASA Science Data
Retention. 2007.
The paper states that policies must ensure the continuing preservation, accessibility,
and usability of the data in their care. Plans for doing so should be spelled out in
Archives' Operating Plans.
*
http://nssdc.asfc.nasa.aov/nssdc/da
ta retention.html
DOE-ORNL
NARSTO Quality Systems
Management Plan. 9/30/1999.
The document provides a project plan and data archival process flow chart.
**
http://cdiac.ornl.aov/proarams/NAR
STO/pdf/asmp current version.PD
NIH - National Institute on Aging
Guidelines for Developing a Manual of
Operations and Procedures (MOP).
2007.
Guidelines for program investigators of multi-site clinical trials to follow when preparing
MOPs. MOPs are intended to facilitate consistency in protocol implementation and dat
collection, and are prepared before the study begins. The guidelines most relevant to
ORD include data flow (e.g., data flow, data entry, data correction), data retention, dat<
management, study completion and closeout procedures, and confidentiality.
**
http://www. nia. nih.aov/NR/rdonlvres
/AEC5CE46-96E1-43D9-BA77-
BAE8BF0D6CDC/0/ManualofProce
duresMOPFinah .doc
Other
NASA - Jet Propulsion Laboratory
Cassini/Huygens Program Archive Plan
for Science Data. 2004.
The document states that archive policies, guidelines, and requirements have been
developed to ensure data products meet standards and support collaborative studies
among Cassini Orbiter and Huygens Probe data.
*
http://trs-
new. i pi. n asa. aov/dspace/bitstream/
2014/14261/1/00-0674.pdf
National Science and Technology
Council (Office of Science and
Technology Policy)
Harnessing the Power of Digital Data
for Science and Society. 2009.
The document provides a full description of the data life cycle, which includes creation,
ingestion or acquisition, documentation, organization, migration, protection, access,
and disposition.
**
http://www.nitrd.aov/about/harnessir
a power web.pdf
a. The applicability rating is shown as one, two, or three stars. A one-star rating (*) means that the information is related to ORD's SDM policy framework, but is expected to be of limited value in developing its policies and guidance. A two-star (**) rating
means that the information is somewhat relevant to ORD's policy framework and/or is presented in limited detail. A three-star rating (***) means that the information provided is directly applicable to ORD's SDM policy/guidance goals and could serve as
model for ORD.
Page 15

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Table 6. Identify scientific data with metadata to enable needed business operations: EPA documents and resources (Policy Area #3)
Level
Agency name/office
Document title/date
Description/pertinent aspects
Applicability3
Link (or reference)
Goals, vision
statements

Principles
Office of Science Advisor
Assessment Factors. June 2003.
Section 2.2.3 e of this document asks: Is the complete data set accessible,
including metadata, data-dictionaries and embedded definitions (e.g., codes
for missing values, data quality flags and questionnaire responses)? Are
there confidentiality issues that may limit accessibility to the complete data
set?
*
http://www.epa.qov/OSA/spc/pdfs/
assess2.pdf
OSWER
System Life Cycle Management
Guidance Part 3 Practice Paper: Data
Management During the Life Cycle.
January 1989.
This document states the principle that accurate information about data is
essential. Effective management of data collected by OSWER requires that
accurate information about data (i.e., metadata) be kept.
***
http://www.epa.aov/oswer/docs/os
werlcm/00000021 .pdf
Recommendations
for policies

Email communication with Lynne
Petterson, 6/10/09.
Policies
OEI
Data Standards Policy. 6/28/2007.
This Data Standards Policy establishes principles, responsibilities, and
requirements for the development, maintenance, and implementation of
data standards within the jurisdiction of the U.S. Environmental Protection
Agency. This policy discusses the use of common terminology and data
elements for consistency and data sharing; the use of centralized registries
of data elements, XML schema and code sets, based on approved data
standards, and related roles and responsibilities.
**
http://www.epa.qov/oamhpod1/ad
m placement/ITS BISS/datastd.p
df
General guidance
Office of Air and Radiation
Emissions, Monitoring, and Analysis
Division
Annual Air Quality Data Certifications
for PM and Ozone Design Values.
6/12/2002.
This memo requires states and Tribes to document their annual air quality
data sets so EPA can accurately interpret the reported data. States and
Tribes must certify that prior year data are entered and the summary report
is accurate.
*
http://www.epa.qov/ttn/amtic/files/
ambient/pm25/datamanq/desiqn
mem.pdf
Office of Air and Radiation
Emission Inventory Improvement
Program (ElIP) Data Management
Committee (DMC)
El IP Phase I Data Model. 1999.
This document describes four views of the El IP Data Model that provide
common formats so data can be shared. It also provides a thorough data
element dictionary, a list of entities and their attributes, and data model
codes.
*
http://www.epa.qov/ttn/chief/eiip/t
echreport/volume07/vii01 .pdf
OEI
EPA Enterprise Architecture
Target Data Architecture. 6/23/2009.
Section 4 examines the various components of data management that are
critical at the enterprise level and must be addressed for enterprise
architecture. Topics in this section address data quality, enterprise data
security, metadata and master data management and data governance.
***
Email communication with Kevin
Kirby. 7/14/09.
OEI
EPA Enterprise Architecture
Target Data Architecture. 6/23/2009.
Enterprise Metadata Architecture, Section 4.6-4.6. The enterprise metadata
architecture proposed for EPA is a cross-cutting framework of policy,
standards, communication, implementation, and continual evaluation
required for enabling a consistent metadata capability. This document
includes information on Metadata Standards and Policy Development
(Section 4.6.1), Governance for Data and Metadata (Section 4.6.2),
Communication and Outreach (Section 4.6.3), Implementation Assistance
(Section 4.6.4), Lessons Learned and Performance Measures (Section
4.6.5). See also Appendix C.
***
Email communication with Kevin
Kirby. 7/14/09.
Page 16

OEI
Metadata Standards for the Enterprise
Content Management Program. Last
updated 7/2/09.
The purpose of these standards is to define a consistent set of required
metadata elements for all applications participating in the enterprise content
management program. These standards cover unstructured information,
which includes but is not limited to documents and records, and applies to
all EPA Programs, Regions, Labs and Offices. Specifically, these standards
underscore the importance of a consistent, yet somewhat flexible, set of
metadata elements for the effective and accurate classification, retrieval,
management and use of unstructured information. This document provides
examples of baseline metadata standards and some associated roles and
responsibilities.
***
Email communication with Lynne
Petterson, 6/10/09.
Office of Research and
Development (ORD)
Implementing the National Geospatial
Data Policy: Lessons Learned. 2009.
This document provides lessons learned on data management policy
implementation. It identifies weaknesses related to the National Geospatial
Data Policy, including: metadata, infrastructure (e.g., network and systems
interoperability regarding metadata and data load), and data management
[e.g., need to develop a process through which project data will be
cataloged and disseminated through Environmental Information
Management System (EIMS)].
**
httD://intranet.eDa.aov/osointra/Sci
ence%20Council/Related%20Doc
s/ORDNGDPPILOTS.pdf
OSWER
OSWER Life Cycle Management
Guide. 1989.
In Chapter 3 of the OSWER Life Cycle Management Guide, Page 21, Exhibit
3-10 discusses the Requirements Data Dictionary and how it serves as a
repository for metadata.
Chapter 4 describes that, in the design phase, it is up to the user to enter
metadata in the design data dictionary to document the physical design of
each data base or data file.
***
http://www.eDa.aov/oswer/oswerlc
m.htm
EPA Region 9
Tribal Water Protection
National Tribal WQX/STORET Data
Management. 2008.
This is a presentation on how to apply metadata to data for sharing
purposes, emphasizing consistency. The examples given are for the Water
Quality Exchange (WQX) and STORET and may not carry over to other
projects.
*
h tt d ://www. e oa .a ov/rea i o n09/wate
r/tribal/storet-
t ra i n i n a/odf/WOXTe m d late. odf
Specific guidance
(e.g., how to interpret
and use policies)
Great Lakes National Program
Office
Lake Michigan Mass Balance
Metadata. 3/9/2006.
The Metadata link offers some guidance on metadata reporting formats and
sample naming.
**
httD://www.eDa.aov/areatlakes/lm
mb/metadata.html
OEI
National Geospatial Data Policy.
Procedure for Geospatial Metadata
Management. 10/25/2007.
Geospatial Data Stewards must create or update the metadata record for
each acquired data set so that it meets the minimum requirements of the
EPA Metadata Technical Specification. During the data storage and access
phase, stewards must refer to the technical specification for data storage
and access requirements. Maintenance responsibility for geospatial and
metadata falls to the data owner or data steward of the program office or
division.
**
http://www.epa.qov/qeospatial/do
cs/2131.pdf
OEI
Data Standards Implementation.
6/28/2007.
This document contains procedures establishing the key steps to follow for
implementation of EPA data standards. It discusses procedures for the
following areas: development of implementation guidance for a data
standard, review/approval of implementation guidance for a data standard,
conformance assistance, and conformance measurement.
**
http://www.epa.qov/irmooli8/oolici
es/2133p3.pdf
OEI
Data Standards Maintenance.
6/28/2007.
This document contains procedures establishing the key steps to follow for
maintenance and revision of EPA data standards and implementation
guidance. It discusses procedures for the following areas: proposal for data
standard and/or implementation guidance revision, development of minor
and major data standard revisions, data standards review and approval
procedures for major revisions.
**
http://www.epa.qov/irmpoli8/polici
es/2133p2.pdf
Page 17

OEI
Requesting Data Standards
Conformance Waiver. 6/28/2007.
This document contains procedures establishing the key steps to follow for
requesting a data standard conformance waiver from EPA data standards. It
discusses procedures for the following areas: types of waivers;
determination of need; and submission, disposition and posting of a waiver.
**
http://www.eoa.aov/irmooli8/Dolici
es/2133p4.pdf
OEI
Data Standards Development.
6/28/2007.
These procedures establish the key steps to follow for development and
approval of EPA data standards. This document provides procedures for the
following: Data standard proposal, development, and approval and draft
data standards review.
*
httD://www.eDa.20v/irmDoli8/Dolicies/
2133ol.Ddf
OSWER
System Life Cycle Management
Guidance Part 3 Practice Paper: Data
Modeling. May 1992.
This is a detailed document that includes topics such as: What are data
models, creating data entities, data relationships and creating relationships
between data entities, creating data elements, and changing the model.
"This paper (1) introduces data modeling techniques; (2) defines specific
data standards for logical data modeling to follow during the SLC; and (3)
offers some "how to" guidance throughout the data modeling process."
***
http://www.epa.aov/oswer/docs/os
werlcm/00000022.pdf
Other

a. The applicability rating is shown as one, two, or three stars. A one-star rating (*) means that the information is related to ORD's SDM policy framework, but is expected to be of limited value in developing its policies and guidance. A two-
star (**) rating means that the information is somewhat relevant to ORD's policy framework and/or is presented in limited detail. A three-star rating (***) means that the information provided is directly applicable to ORD's SDM
policy/guidance goals and could serve as a model for ORD.
Page 18

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(4/30/2010)
4.2 Other Federal Agency Policy Information
A significant amount of information on the development of metadata was found among non-EPA
federal agencies. As Table 7 shows, more than 20 principles, policy recommendations, policies,
guidance, and other documents related to metadata and SDM were identified. Three agencies -
DOE, the NSF, and NOAA - have published a total of four documents that contain principles
regarding identifying scientific data with metadata. All five federal agencies have developed
policy recommendations (six documents), policies (six documents) and general guidance (eight
documents) related to metadata, including three three-star-rated documents (the NIH Data
Sharing Policy and Implementation Guide, the NSF's Division of Ocean Sciences: Data and
Sample Policy, and the National Science and Technology Counci 1' s Harnessing the Power of
Digital Data for Science and Society). Five specific guidance documents were identified, two of
which are particularly relevant to ORD (i.e., NASA's Heliophysics Science Data Management
Policy and the Strategic Plan for the Climate Change Science Program Final Report).
5. Manage Scientific Data for Appropriate Control
(Policy Area #4)
Scientific data can be developed under agreements such as contracts, grants, and partnerships. In
these cases, rights to the data and its reuse may be specified in the agreements, and data must be
managed to comply with these provisions. It is also important to provide credit to the data
creators. Often referred to as IP, this important policy area describes intangible assets that allow
the rights of the data provider to be recognized in order to comply with legal obligations. The
development of this policy area will create specific metadata and data management requirements,
which may be documented in the data management plan and procedures.
Development of this policy area will include, among other things, guidance on understanding
data rights and circumstances (e.g., proprietary data) that create different types of data rights,
policies to establish and maintain an identification process for IP, and guidance on establishing
levels of control and how to select the appropriate level of control for a data set given specific
data rights. This policy area is related to other policy areas - for example, access controls may be
part of the SDM planning process in Section 3, Develop a Scientific Data Management Plan that
Covers the Full Data Life Cycle, and will create metadata requirements (from Section 4, Identify
Scientific Data with Metadata to Enable Needed Business Operations). This area may also affect
"embargoed" data that cannot be released outside the project until the final project deliverables
are released (see Section 6, Maintain Version and Change Control on Data Sets).
Page 19

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Table 7. Identify scientific data with metadata to enable needed business operations: Other federal agency documents and resources (Policy Area #3)
Level
Agency
name/office
Document title/date
Description/pertinent aspects
Applicability3
Link (or reference)
Goals, vision
statements

Principles
NSF - Office of Polar
Programs (OPP)
Guidelines and Award Conditions for
Scientific Data. 1998.
The OPP considers the documentation of data sets (metadata) as vital to the exchange of
information on polar research and to a data set's accessibility and longevity for reuse.
*
http://www.nsf.aov/pubs/1 999/odd
991/odd991 .doc
DOE - OSTI
The State of Data Management in the
DOE Research and Development
Complex. 7/14-15/2004.
The report states that metadata must be optimized for future retrieval, assimilation, and re-
use. A professional staff of scientists is needed to manage data.
**
http://www.osti.qov/publicationsZ2
007/datameeti nareport.pdf
DOE-ORNL
Developing Data Management Policy
and Guidance Documents for your
NARSTO Program or Project. 2005.
The guidance states that there must be a decision on whether investigators have an
obligation to make data easy to use by others.
**
http://cdiac.orn I .aov/oroa rams/N A
RSTO/DM develop auide.pdf
NOAA
Environmental Data Management at
NOAA: Archiving, Stewardship, and
Access. 2007.
Principle #5 states that metadata are essential for scientific data management.
Principle #6 states that scientific data stewardship, with assigned organizational
responsibility, should be applied to all environmental data sets and their associated
metadata to ensure that this information is preserved, remains continually accessible and
can be improved as future discoveries build understanding and knowledge.
Principle #8 states that an effective data archive should provide for discovery, access, and
integration.
**
National Research Council, 2007.
Recommendations
for policies
NIH - Office of
Extramural Research
NIH Data Sharing Policy and
Implementation Guide. 3/5/2003.
The policy mentions that regardless of the mechanism used to share data, each dataset will
require documentation.
The policy also states that data sharing promotes many goals of the NIH research endeavor.
This is particularly important for unique data that cannot be readily replicated.
***
http://arants.nih.aov/qrants/policv/
data sharina/
NSF - Office of Polar
Programs
Guidelines and Award Conditions for
Scientific Data. 1998.
The guidelines recommend that data archives of OPP-supported projects should include
easily accessible information about the data holdings, including quality assessments,
supporting ancillary information, and guidance for locating and obtaining the data.
**
http://www.nsf.aov/pubsZ1 999/opp
991/opp991 .doc
NSF - Social,
Behavioral and
Economic Sciences
Data Archiving Policy. 7/8/2008.
The policy recommends that if it is appropriate for other researchers to have access to data,
the investigators should specify a time at which they will be made generally available, in an
appropriate form and at a reasonable cost.
**
http://www.nsf.aov/sbe/ses/comm
on/arch ive.isp
NOAA
Environmental Data Management at
NOAA: Archiving, Stewardship, and
Access. 2007.
This book states that:
(1) Guidelines are needed on stewardship and the need for systematic, ongoing assessment
and improvement of data. Stewardship plans should be consistent but flexible so
improvements in data and metadata are captured. (2) Guidelines are needed on making
data available to users in a timely manner and accessible with as few barriers as possible
(administrative, technological, and systematic barriers are described). (3) Environmental
data should be easily discoverable by a broad range of users. Data discovery should not
require any specific knowledge about the data or how they are managed. (4) A distributed
data access structure can support improved data discovery and seamless integration. (5)
Metadata that adequately documents and describes each archived data set should be
created and preserved to ensure the enhancement of knowledge. (6) Search tools and other
discovery-enhancing features could be improved at many environmental data access points
by the use of expanded metadata (detailed list provided on pp. 75-76).
It further recommends that: (1) NOAA policies establish and maintain data and metadata
migration plans for all current and future long-term archive systems to adapt to information
technology evolution. (2) NOAA and partners should continue to expand usage of standards
and reference models.
**
National Research Council, 2007.
Page 20

Government
Accountability Office
(GAO)
Climate Change Research: Agencies
Have Data-Sharing Policies but Could
Do More to Enhance the Availability of
Data from Federally Funded Research.
2007.
The guidelines recommend that NOAA evaluate whether additional strategies are warranted
to facilitate the permanent archiving of relevant data, which may include: leveraging existing
resources and devoting a greater portion of data collection funds to archiving activities.
*
httD://www.aao.aov/new.items/dO
71172.pdf
Policies
NIH-NHBLI
Policy for Distribution of Data. Undated.
The policy states that documentation for data sets must be comprehensive and sufficiently
clear to enable investigators who are not familiar with a data set to use it. The documentation
must include data collection forms, study procedures and protocols, descriptions of all
variable recoding performed, and a list of major study publications.
**
httD://www.nhlbi.nih.aov/resource
s/deca/oolicv new.htm
NIH-DAIDS: Clinical
Research Policies and
Standard Procedures
Documents
Requirements for Data Management
and Statistics for DAIDS Funded and/or
Sponsored Clinical Trials. 2007.
The requirements recommend that clinical trial data need to be managed in such a way as to
ensure the authenticity and integrity of the data elements collected and to comply with
applicable regulations.
**
http://www3.niaid.nih.aov/LabsAn
d Resou rces/ resou rces/DAI DSClin
Rsrch/DataManaaement.htm
DOE - Atmospheric
Radiation
Measurement (ARM)
Atmospheric Radiation Measurement
Data Sharing and Distribution Policy.
2006.
All data sets acquired during an Intensive Operational Period (IOP) or campaign will be
made available to the ARM External Data Center for dissemination to users and forwarding
to the ARM Archive.
*
httD://www.arm.aov/data/docs/Doli
cy
NSF - Division of
Ocean Sciences
Division of Ocean Sciences: Data and
Sample Policy. 11/3/2003.
The policy recommends that annual reports, required for all projects, should address
progress on data and research product sharing.
The policy also states that where no data or sample repository exists for the collected data or
samples, metadata must be prepared and made available. The principal investigator is
required to address alternative strategies for complying with the general philosophy of
sharing research products and data.
***
http://www.nsf.qov/pubs/2004/nsf
04004/nsf04004 1b.htm
NOAA
NOAA Report to Congress on Data and
Information Management 2005.
The report recommends that integration and interoperability should be achieved through
common protocols, hardware, and software, as well as the use of data and metadata
standards. NOAA has begun this process by adopting a common enterprise-wide IT
architecture.
**
http://www.nadc.noaa.aov/noaa d
ubs/pdf/NOAA Conaress2005.pdf
NOAA
NOAA Administrative Order: 216-101:
Ocean Data Acquisitions. 1990.
The order states that NOAA managers of programs that conduct ocean data collection
activities are responsible for assuring that data and related information with high utility for
other users are available in a timely manner at national processing centers and national data
centers, and are documented and archived in designated national data management
centers.
*
http://www.coroorateservices.noa
a.aov/~ames/NAOs/Chap 216/na
os 216 101 .html
General guidance
NASA - Office of
Space Science and
Applications
Guidelines for Development of a Project
Data Management Plan (PDMP). 1993.
The guidelines state that a section of the PDMP should identify and describe all data sets
expected to be generated. This includes the science data itself, associated ancillary data,
and orbit/attitude data of the spacecraft.
**
httD://nssdc.asfc.nasa.aov/
nssdc/pdmp quidelines m
arch93.rtf
NASA - National
Space Science Data
Center
White Paper on NASA Science Data
Retention. 2007.
Projects must create and certify optimally standards-adherent definitive data sets, and
accompanying material (documentation, ancillary data, software, etc.) as needed to make
the data independently usable.
**
http://nssdc.asfc.nasa.aov/nssdc/
data retention.html
NASA - Jet Propulsion
Laboratory
Cassini/Huygens Program Archive Plan
for Science Data. 2004.
The policy describes that labels and index files provide searchable keys and describe
characteristics of the products. Index files are used to populate the search catalog.
The document states that the Planetary Data System (PDS) Discipline Node assigned to an
instrument team coordinates and leads a peer review of a sample volume. Members will be
asked to participate in peer reviews as well as members of the science community outside
the program. The peer review is used to ensure that the archive contains all the components
needed to perform science analysis, and is prepared as documented in the Software
Interface Specification.
*
htto://trs-
new. i pi. nasa.aov/dsoace/bitstrea
m/2014/14261 /1 /00-0674. pdf
Page 21

NIH-Office of
Extramural Research
NIH Data Sharing Policy and
Implementation Guide. 3/5/2003.
According to the policy, final research data are recorded factual material commonly accepted
in the scientific community as necessary to document, support, and validate research
findings. This does not mean summary statistics or tables; rather, it means the data on which
summary statistics and tables are based.
**
httD://arants.nih.aov/arants/oolicv/
data sharina/
NIH-NCI
National Cancer Institute (NCI), Division
of Cancer Prevention (DCP)
Data Management Requirements.
October 2003.
The data management plan should document the rules for handling data ranges, data types,
and coding of missing data.
**
ftp://narsto.esd.ornl.qov/pub/DES
metadata/var names web sour
ces/NARSTO template atmosoh
eric measurements.xls
National Science and
Technology Council
Harnessing the Power of Digital Data for
Science and Society. 2009.
The report provides examples of data management mechanisms that include: continued
improvement in interoperability across all layers (from software to hardware to networks and
resources); comprehensive, global, and transparent search, query, and retrieval capabilities;
development, continuing evolution, broad adoption, and regular use of appropriate,
community based, cost-effective standards designed to allow efficient information use in
innovative ways and in complex combinations; and promotion of ready access to appropriate
documentation and metadata.
•kick
http://www.nitrd.qov/about/harnes
sina oower web.pdf
DOE-ORNL
Developing Data Management Policy
and Guidance Documents for your
NARSTO Program or Project. 2005.
The document states that metadata should clearly state the source of data, and whether
data are preliminary and for use only among the project or suitable for widespread
dissemination and citation requirements.
-k-k
htt d ://cdiac.orn I .qov/proq rams/N A
RSTO/DM develop quide.pdf
NOAA
NOAA Administrative Order: 216-101:
Ocean Data Acquisitions. 7/9/1990.
The order states that data submitted to the national data management centers are to be
submitted via computer-compatible digital media when possible rather than as printed
reports. Documentation must include information sufficient to fully describe the physical
recording technique, data format, recording mode, blocking factor, and other pertinent items.
k
http://www.corporateservices.noa
a.qov/~ames/NAOs/Chap 216/na
os 216 101 .html
Specific guidance
(e.g., how to
interpret and use
policies)
NASA Heliophysics
Great Observatory
NASA Heliophysics Science Data
Management Policy. 2007.
The document states that the Heliophysics Data Environment (HPDE) will benefit greatly
from more conventional standards, but experience has shown that if these are imposed by
bodies without community input they tend to be ignored.
•kick
http://hpde.qsfc.nasa.qov/Helioph
vsics Data Policv 2007June25.p
df
DOE-ORNL
Developing Data Management Policy
and Guidance Documents for your
NARSTO Program or Project. 2005.
ORNL uses a web-based inventory of project data using the existing ORNL metadata search
and data retrieval system called Mercury.
ik
htt p ://cdiac.orn I .qov/proq rams/N A
RSTO/DM develop quide.pdf
DOE-ORNL
The NARSTO Atmospheric
Measurements Template. 4/29/2005.
NARSTO provides a Data Exchange Standard (DES) template that is designed to help data
originators create DES files. The worksheet titled "Detailed Metadata" contains a possible
layout and content of a companion detailed metadata document.
•k-k
ftp://narsto.esd.ornl.qov/pub/DES
metadata/var names web sour
ces/NARSTO template atmosph
eric measurements.xls
Climate Change
Science Program
Strategic Plan for the Climate Change
Science Program Final Report. 2003.
The report states that the CCSP will provide additional specific community-based guidelines
for scientific metadata content where and as appropriate. One approach will be to adopt the
ISO 19115 /TC211 Geographic Information/Geomatics standard, which is built on the
Federal Geospatial Data Clearinghouse (FGDC) core standards.
•kick
http://www.climatescience.qov/Lib
rarv/stratplan2003/final/ccspstratp
Ian2003-chap13.htm
NIH Enterprise
Architecture
Active Directory (AD) Attribute Data
Content and Management: Best
Community Practice v1.3. 2008
The document lists user attribute data content management rules.
•k-k
http://enterprisearchitecture.nih.qo
v/NR/rdonlvres/8B8AFA60-68A1 -
4155-A08F-
03163B610E39/0/NI HRFC0008Ac
tiveDirectorvAttributeDataContent
andManaqement.pdf
Other
NOAA
NOAA Report to Congress on Data and
Information Management. 2005.
The report states that NOAA faces a major challenge in enabling interoperability between
legacy systems and emerging data systems. This lack of system interoperability, across
NOAA and across agencies, hampers the collaborations enabled by technological gains.
•k
http://www.nqdc.noaa.qov/noaa d
ubs/pdf/NOAA Conqress2005.pdf
a. The applicability rating is shown as one, two, or three stars. A one-star rating (*) means that the information is related to ORD's SDM policy framework, but is expected to be of limited value in developing its policies and guidance. A two-star (**)
rating means that the information is somewhat relevant to ORD's policy framework and/or is presented in limited detail. A three-star rating (***) means that the information provided is directly applicable to ORD's SDM policy/guidance goals and
could serve as a model for ORD.
Page 22

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(4/30/2010)
5.1 EPA Policy Information
Table 8 presents the findings for ten EPA documents and resources on managing scientific data
for appropriate control. Three OEI policies and a National Health and Environmental Effects
Research Laboratory (NHEERL) policy were identified related to this topic. A significant
amount of supporting documentation was found for the "General Guidance" and "Specific
Guidance" policy areas. No supporting documentation was found for "Goals, Vision
Statements," "Principles," and "Recommendations for Policies." Two resources are directly
relevant to EPA/ORD and six documents are considered to be at least somewhat relevant.
5.2 Other Federal Agency Policy Information
As Table 9 shows, a significant amount of information related to IP, data rights, and other issues
involving the control of SDM has been developed by other federal agencies. Close to
20 documents and resources were identified, at all levels. A wide range of federal agencies and
offices, including DOE, NASA, NIH, NOAA, NSF, the Climate Change Science Program, the
National Science and Technology Council, and GAO, developed these documents. Eight
resources are categorized as "Recommendations for Polices" and "Policies," half of which are
considered to be of direct use to ORD. These "three-star" documents include DOE's ARM Data
Sharing and Distribution Policy, which provides several policies that may be of direct use to
ORD. Six documents provide information on general guidance for managing scientific data and
two documents offer specific guidance. All but one of the guidance documents are "two-star"
documents, considered to be potentially useful for ORD.
6. Maintain Version and Change Control on
Data Sets (Policy Area #5)
Control of scientific data is needed to ensure the integrity of the data and the final product. Data
within a project undergoes a continued development phase, from working data to mature,
released, submitted, and archived data. This includes, for example, developing naming
conventions and other approaches to maintain version and change control. Not all data require
the same level of control, depending on customer-imposed requirements, and agency
requirements. One factor to be considered is the maturity of the data set. For example, putting the
data under control too early in its life cycle becomes burdensome and yields little business value.
Control of data within a project might be considered as important as the control of the final
product.
Page 23

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Table 8. Manage scientific data for appropriate control: EPA documents and resources (Policy Area #4)
Level
Agency
name/office
Document title/date
Description/pertinent aspects
Applicability3
Link (or reference)
Goals, vision
statements

Principles

Recommendations
for policies

Policies
OEI
Agency-wide Quality System
Documents. 12/30/2009.
This site provides links to potentially helpful documents, such as Overview of the EPA Quality
System for Environmental Data and Technology, Guidance for Developing Quality Systems for
Environmental Programs, Guidance on Systematic Planning using the Data Quality Objectives
Process, Guidance for Preparing Standard Operating Procedures, Guidance on Environmental
Data Verification and Data Validation, and Data Quality Assessment: A Reviewer's Guide.
*
Email communication with Lynne
Petterson, 6/10/09.
OEI
EPA Quality Manual for Environmental
Programs. 5/5/2000.
This document discusses Requirements for Reporting Environmental Data. Section 2.5 covers
requirements for reporting technical data; 2.6 covers QA and QC requirements and guidance
(mandatory and advisory). The document states: "The primary goal of the Agency-wide Quality
System is to ensure that environmental programs and decisions are supported by data of the
type and quality needed and expected for their intended use, and that decisions involving the
design, construction, and operation of environmental technology are supported by appropriate
quality assured engineering standards and practices. The scope of this Manual includes
applicable environmental programs involving: the collection, evaluation, and use of
environmental data by and for the Agency, and the design, construction, and operation of
environmental technology by the Agency."
**
httD://www.eDa.aov/irmDoli8/cioDol
icv/2105-P-01 -0.pdf
National Health and
Environmental
Effects Research
Laboratory
(NHEERL)
NHEERL Data Management Policy and
Practices: Genomics and Related High
Throughput Data.
The document provides data sharing guidelines. For example, it states that data access to
scientists not directly involved in the original project team will be initially restricted. The data
available to outside investigators upon data upload will be limited to a brief description of the
experiment sufficient to determine the utility of the underlying data for other purposes. In
addition, data should be available to all members of a collaborative unit, irrespective of the
composition of that unit, as soon as it is generated and reviewed for accuracy.
**
EPA, Undated.
OEI
National Geospatial Data Policy. CIO
Policy Transmittal 05-002. 8/24/2008.
Geospatial data that are acquired by EPA (including contractors, grantees and vendors) must
comply with all procedures and standards applicable to those data as if they were collected by
EPA.
***
http://www.epa.aov/esd/aac/pdf/e
oa natl aeo data policv.pdf
General guidance
OSWER
OSWER Life Cycle Management Guide.
1989
Chapters 2-9 of the Life Cycle Management Guide provide suggestions as to how to properly
manage information through the following phases: Definition, Design, Development,
Implementation, Production, Evaluation and Archive.
***
http://www.epa.qov/oswer/oswerlc
m.htm
OSWER
System Life Cycle Management
Guidance Part 3 Practice Paper: Data
Management During the Life Cycle.
January1989.
Chapter 2 discusses how to select the right data model based on the level of impact it will have
in relation to data sharing, organizational impact and cost.
**
http://www.epa.aov/oswer/docs/os
werlcm/00000021 .pdf
Specific guidance
(e.g., how to interpret
and use policies)
OEI
Procedures for Preparing Privacy Act
Statements. 2009.
These procedures provide instructions for developing Privacy Act Statements (PAS) that must
be provided to individuals when a federal agency requests personal information about them
that is to be maintained in a system of records retrieved by name or personal identifier (5
U.S.C. 552a (e)(3)). These procedures list what to put in the PAS and provides a sample. This
document lists the process the PAS goes through.
**
Email communication with Lynne
Petterson, 6/10/09.
EPA Privacy Policy
Procedures for Preparing Privacy Impact
Assessments. 2008
These procedures provide instructions for determining if Personal Identifiable Information is
collected in systems and ensuring adequate controls are put in place. The Privacy Impact
Assessment (PIA) is the tool required by the OMB for addressing privacy issues with electronic
systems. No specific guidance is provided for completing the PIA, just the process for
submitting them and having them reviewed and accepted.
**
http://intranet.epa.aov/oei/imitpoli
cv/aic/ciopol icv/2151 -p-04.pdf
Page 24

EPA Privacy Policy
Procedures for Preparing and Publishing
Privacy Act Systems of Records
Notices. 2008
These procedures provide the instructions for preparing a System of Records Notice (SORN).
These procedures apply whenever information is retrieved by a name or personal identifier
from records under the control of the Agency, regardless of format or location (i.e., systems,
applications, databases, Web sites, filing cabinets). These procedures must be followed before
collecting personal information on an individual and retrieving it by one of those elements.
**
httD://intranet.eDa.aov/oei/imitDoli
cv/aic/cioDolicv/2151 -D-03.odf
Office of Water
Office of Wetlands,
Oceans and
Watersheds
Volunteer Stream Monitoring: A
Methods Manual Chapter 6 Managing
and Presenting Monitoring Data.
11/30/2006.
This chapter emphasizes the need to establish a method for data management and handling.
It doesn't offer much guidance, however.
*
http://www.eDa.aov/volunteer/stre
am/vms60.html
Other

a. The applicability rating is shown as one, two, or three stars. A one-star rating (*) means that the information is related to ORD's SDM policy framework, but is expected to be of limited value in developing its policies and guidance. A two-star
(**) rating means that the information is somewhat relevant to ORD's policy framework and/or is presented in limited detail. A three-star rating (***) means that the information provided is directly applicable to ORD's SDM policy/guidance goals
and could serve as a model for ORD.
Page 25

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Table 9. Manage scientific data for appropriate control: Other federal agency documents and resources (Police
/ Area #4)
Level
Agency
name/office
Document title/date
Description/pertinent aspects
Applicability3
Link (or reference)
Goals, vision
statements
Climate Change
Science Program
Strategic Plan for the Climate Change
Science Program Final Report. 2003.
The report states that full and open sharing of the full suite of global data sets for all global
change researchers is a fundamental objective.
**
h tt d ://www. cl i matesc ie n ce. a ov/Li b
rarv/stratDlan2003/final/ccsDstratD
Ian2003-chao13.htm
DOE-ORNL
Developing Data Management Policy and
Guidance Documents for your NARSTO
Program or Project. 2005.
The document states that copyrights are a difficult issue. A plan must allow the instrument
operator to reap the rewards of his/her efforts, but the common good is served by sharing.
**
http://cdiac.orn I .aov/proa rams/N A
RSTO/DM develop quide.pdf
Principles
NSF
Long-Lived Digital Data Collections:
Enabling Research and education in the
21st Century. 2005.
The reports states that NSF expects significant findings from the research and education
activities it supports to be promptly submitted for publication, with authorship that accurately
reflects the contributions of those involved.
**
http://www.nsf.aov/pubs/2005/nsb
0540/
DOE-ORNL
Developing Data Management Policy and
Guidance Documents for your NARSTO
Program or Project. 2005.
A policy must address how the project will ensure intellectual property rights are protected
and co-authorship or credit is given to originators and investigators.
**
http://cdiac.orn I .qov/proq rams/N A
RSTO/DM develop quide.pdf
Recommendations
for policies
National Science
and Technology
Council
Harnessing the Power of Digital Data for
Science and Society. 2009.
The report describes examples of mechanisms that include: reliable protection of security,
privacy, confidentiality; and intellectual property rights in complex data environments.
•kick
http://www.nitrd.qov/about/harnes
sinq power web.pdf
Climate Change
Science Program
Strategic Plan for the Climate Change
Science Program Final Report. 2003.
The report recommends improved access to data by expanding the Global Change Master
Directory (GCMD) to facilitate access to data.
The CCSP will develop and implement guidelines for when and under what conditions data
will be made available to users other than those who collected them.
•k-k
http://www.climatescience.qov/Lib
rarv/stratplan2003/final/ccspstratp
Ian2003-chap13.htm
NIH-Office of
Extramural
Research
NIH Data Sharing Policy and
Implementation Guide. 3/5/2003.
According to the policy, investigators sharing under their own auspices should consider
using a data-sharing agreement to impose appropriate limitations on users.
The policy mentions that regardless of the mechanism used to share data, each dataset will
require documentation.
The policy states that data sharing promotes many goals of the NIH research endeavor. It is
particularly important for unique data that cannot be readily replicated.
•k-k
http://arants.nih.aov/qrants/policv/
data sharina/
Government
Accountability Office
Climate Change Research: Agencies Have
Data-Sharing Policies but Could Do More to
Enhance the Availability of Data from
Federally Funded Research. 2007.
The report recommends NOAA develop 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.
***
http://www.aao.aov/new.items/dO
71172.pdf
Policies
DOE-ARM
ARM Data Sharing and Distribution Policy.
2006.
ARM data are available to all participants on a free and open basis and are publishable
upon receipt with acknowledgment of ARM as the source.
The policy states that researchers and participants may release their own preliminary data
to whomever they wish and the preliminary data of other investigators with consent from the
data's originator.
The automatic inclusion of a data originator as a co-author is not insisted upon in the ARM
Program, but the source of any data should be clearly recognized either as a co-author or
through an appropriate acknowledgment.
•kick
http://www.arm.aov/data/docs/poli
cy
DOE - OSTI
NARSTO Quality Systems Data Center:
Developing Data Management and
Guidance Documents. 2006.
The guidelines state that a policy must provide standard names to identify the project, data
files, and data sets.
•k-k
http://cdiac.orn I .aov/oroa rams/N A
RSTO/DM develop auide.pdf
NIH-Office of
Extramural
Research
NIH Data Sharing Policy and
Implementation Guide. 3/5/2003.
The policy states that recognizing that the value of data often depends on their timeliness,
and data sharing should occur in a timely fashion. NIH expects the timely release and
sharing of data to be no later than the acceptance for publication of the main findings from
the final dataset.
•k-k
http://arants.nih.aov/arants/policv/
data sharina/
Page 26

NSF - Social,
Behavioral and
Economic Sciences
Data Archiving Policy. 7/8/2008.
The policy states that intellectual property rights may be at risk in some forms of data
collection. The policy is intended to be flexible enough to accommodate the variety of
scientific enterprises that constitute SES programs. No comprehensive set of rules is
possible.
•kick
httD://www.nsf.aov/sbe/ses/comm
on/arch ive.iso
General guidance
NIH-Office of
Extramural
Research
NIH Data Sharing Policy and
Implementation Guide. 3/5/2003.
The policy says that it is appropriate for scientific authors to acknowledge the source of data
upon which their manuscript is based. Many investigators include this information in the
methods and/or reference sections of their manuscripts.
•k-k
http://arants.nih.aov/arants/oolicv/
data sharina/
NIH - National
Institute on Aging
Guidelines for Developing a Manual of
Operations and Procedures (MOP). 2007.
The guidelines discuss the safeguards put in place to ensure participant confidentiality and
data security. A list of safeguards is provided on p. 22.
•k
http://www.nia.nih.qov/NR/rdonlvr
es/AEC5CE46-96E1-43D9-BA77-
BAE8BF0D6CDC/0/ManualofProc
eduresMOPFinaM .doc
NOAA
NOAA Administrative Order: 216-101:
Ocean Data Acquisitions. 7/9/1990.
The order states that managers will work with their principal investigators to assure that
other data, which may not be appropriate for archival at national centers, are documented
and archived within the established period of time at the principal investigator's or an
associated institution so that these data will be available for other uses upon request.
•k-k
http://www.corporateservices.noa
a.qov/~ames/NAOs/Chap 216/na
os 216 101 .html
NOAA
NOAA Administrative Order: 212-15.
Management of Environmental and
Geospatial Data and Information. 12/2/2008.
The order states that managers should maintain a list of applicable reference materials and
will provide access to their electronic editions on its web site.
•k-k
http://www.corporateservices.noa
a.qov/~ames/NAOs/Chap 212/na
os 212 15.html
NSF
Long-Lived Digital Data Collections:
Enabling Research and education in the
21st Century. 2005.
The report identifies and describes the roles of key actors in digital data collections, and the
key contents of a data management plan.
-k-k
http://www.nsf.qov/pubs/2005/nsb
0540/
NSF-EAR
Implementation of the NSF Data Sharing
Policy. April 2002.
The policy states that data may be made available for secondary use through submission to
a national data center, publication in a widely available scientific journal, book or web site,
through the institutional archives that are standard for a particular discipline, or through
other EAR-specified repositories.
-k-k
http://www.nsf.qov/qeo/ear/EAR
data oolicv 204.pdf
Specific guidance
(e.g., how to interpret
and use policies)
NSF - Office of
Polar Programs
Guidelines and Award Conditions for
Scientific Data. 1998.
The guidelines recommend that principal investigators should make their data available to
all reasonable requests and should submit the data collected to designated data centers as
soon as possible, but no later than two years after the data are collected.
-k-k
http://www.nsf.qov/pubs/1 999/opp
991/opp991 .doc
NASA-
Consultative
Committee for
Space Data
Systems
Reference Model for an Open Archival
Information System. 2002.
The document states that some projects have one-year proprietary periods before data are
released to the science community. The policy is to avoid receipt of any proprietary data
sets during the proprietary period.
The document states that the word processing format is proprietary, and it can't be acquired
even to the level of simply viewing the document. It may be necessary to migrate the
document to a non-proprietary format to ensure its long-term preservation.
-k-k
http://public.ccsds.orq/publication
s/archive/650x0b1 .pdf
Other
DOE - OSTI
The State of Data Management in the DOE
Research and Development Complex. 7/14-
15/2004
According to the report, issues such as data ownership and DOE rights of re-use compound
the problem of how to manage resulting data.
-k-k
http://www.osti.qov/oublications/2
007/datameeti nqreport.pdf
NIH-Office of
Extramural
Research
NIH Data Sharing Policy and
Implementation Guide. 3/5/2003.
The policy states that the rights and privacy of human subjects who participate in NIH-
sponsored research must be protected at all times. It is the responsibility of the
investigators, their Institutional Review Board (IRB), and their institution to protect the rights
of subjects and the confidentiality of the data.
•k
http://arants.nih.aov/qrants/policv/
data sharina/
a. The applicability rating is shown as one, two, or three stars. A one-star rating (*) means that the information is related to ORD's SDM policy framework, but is expected to be of limited value in developing its policies and guidance. A two-star
(**) rating means that the information is somewhat relevant to ORD's policy framework and/or is presented in limited detail. A three-star rating (***) means that the information provided is directly applicable to ORD's SDM policy/guidance goals
and could serve as a model for ORD.
Page 27

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(4/30/2010)
Development of this policy area might include a specification of the different levels of control to
be used in ORD. In many cases, because of the nature of scientific data life cycle, etc., there may
be unique "stages" that need to be identified before change control guidance may be developed.
In many instances, a unique change control number is assigned to each request and entered into a
change status accounting tracking system. Also included are a specification of the business rules
for each level of control and the development of the roles and responsibilities for different levels
of control. This may include a requirement to coordinate this activity with the development of
the governance structure for SDM (see Section 2). It should be noted that this is not a
comprehensive list of issues that may need to be addressed in this policy area.
6.1 EPA Policy Information
Table 10 presents the EPA documents and resources regarding maintaining version and change
control on data sets. Only three individual documents were found. The OSWER document on
System Life Cycle Management Guidance provides an example of both general guidance and
specific guidance. The paper's information may be considered relevant for ORD (i.e., a two-star
rating). In addition, two policy recommendations were identified, including ORD's Scientific
Data Management Strategy, which suggests that EPA should establish standards, policies, and
procedures for scientific data quality cleanup, change control, and audits. No supporting
documentation was found for "Goals, Vision Statements," "Principles," and "Policies."
6.2 Other Federal Agency Policy Information
As shown in Table 11, a total of 15 other federal agency documents and resources were
identified that address the issue of maintaining version and change control. These include four
policy recommendations, four policies, four general guidance documents, and five specific
guidance documents (numbers do not total 15 because some documents provide information at
more than one level). A wide range of federal agencies and offices, including DOE, NASA, NIH,
NOAA, NSF, and the Climate Change Science Program, developed these documents. The
"Policies and "General Guidance" documents are all rated with two- or three-stars. Most notably,
NASA's Guidelines for Development of a Project Data Management Plan provides information
on policies for change control that could be very useful to ORD. The policy recommendations
and specific guidance documents all have one- or two-star ratings.
Page 28

-------
Table 10. Maintain version and chang
e control on data sets: EPA documents and resources (Policy Area #5)
Level
Agency
name/office
Document title/date
Description/pertinent aspects
Applicability3
Link (or reference)
Goals, vision
statements

Principles

Recommendations for
policies
OEI
QIC Steering Committee - CIO Policy
Consolidated Comments Form. 2009.
This is a steering committee form with reviewer comments regarding possible
changes/clarifications to the following documents: Enterprise Content Management
Policy, Metadata Standards for the Enterprise Content Management Program, and
E-mail Records Procedures.
*
Email communication with
Lynne Petterson, 6/10/2009.
ORD
Scientific Data Management Strategy.
2007.
The strategy suggests that EPA should establish standards, policies, and procedures for
scientific data quality cleanup, change control, and audits. For example, if problems or
issues arise with the quality of scientific data, there must be a defined set of guidelines
to determine what actions to take.
***
Email communication with
Lynne Petterson, 6/10/09.
Policies

General guidance
OSWER
System Life Cycle Management Guidance
Part 3 Practice Paper: Configuration
Management. 1989.
This document provides guidance regarding the implementation of configuration
management (CM), defined as systematically identifying the characteristics of a system
and formally controlling any changes or additions to these items. The guidance
describes specific activities associated with CM; describes project organization
structures to accomplish CM; describes the documentation of project-specific CM
activities in a CM plan.
Chapter 2 of this paper discusses the establishment of configuration item identification,
which acts as "labels" for the characteristics described in the documentation. This
chapter also discusses change request impact analysis.
**
http://www.epa.qov/oswer/docs/
oswerlcm/00000019.pdf

Specific guidance
(e.g., how to interpret
and use policies)
OSWER
System Life Cycle Management Guidance
Part 3 Practice Paper: Configuration
Management. January 1989.
Chapter 3 of this paper provides steps to implementing CM into an organization.
**
http://www.epa.aov/oswer/docs/
oswerlcm/00000019.pdf

Other

a. The applicability rating is shown as one, two, or three stars. A one-star rating (*) means that the information is related to ORD's SDM policy framework, but is expected to be of limited value in developing its policies and guidance. A two-
star (**) rating means that the information is somewhat relevant to ORD's policy framework and/or is presented in limited detail. A three-star rating (***) means that the information provided is directly applicable to ORD's SDM policy/guidance
goals and could serve as a model for ORD.
Page 29

Principles

Recommendations for
policies
NOAA
NOAA Administrative Order: 212-15.
Management of Environmental and
Geospatial Data and Information.
12/2/2008.
The order recommends managers be alert to and mitigate the risks caused by changes of
instruments, platforms, locations, and methods for observing or processing data.
*
http://www.corporateservices.n
oaa.qov/~ames/NAOs/Chap 21
2/naos 212 15.html
NOAA
Environmental Data Management at
NOAA: Archiving, Stewardship, and
Access. 2007.
The book recommends that NOAA policies establish and maintain data and metadata
migration plans for all current and future long-term archive systems to adapt to information
technology evolution.
**
National Research Council,
2007.
DOE - ORNL
Developing Data Management Policy and
Guidance Documents for your NARSTO
Program or Project. 2005.
The guidance recommends that policies adopt, adapt, or refine model documents as
appropriate with input from managers, investigators, modelers, and data coordinators.
They must also address data validation and assigning quality levels.
*
htt d ://cdiac.orn I .aov/proa rams/
NARSTO/DM develoo auide.D
df
NIH-Office of
Extramural Research
NIH Data Sharing Policy and
Implementation Guide. 3/5/2003.
According to the policy, investigators sharing under their own auspices should consider
using a data-sharing agreement to impose appropriate limitations on users.
**
http://arants.nih.aov/arants/poli
cv/data sharina/
Policies
NIH - DAIDS
Requirements for Data Management and
Statistics for DAIDS Funded and/or
Sponsored Clinical Trials. 2007.
This policy states that change control procedures should ensure quality control in changes
made to the data collection tools. It includes how changes are requested, how the impact
of changes is assessed, who is responsible for authorizing the changes, how the changes
are tested and released, and how the changes are documented.
•kick
http://www3.niaid.nih.aov/Labs
And Resou rces/resou rces/DAI D
SCIinRsrch/DataManaaement.h
tm
NASA - Office of
Space Science and
Applications
Guidelines for Development of a Project
Data Management Plan (PDMP). 1993.
The guidelines state that policies should illustrate the plans for modifications and updates
to this document over time, and how those changes will be controlled.
The guidelines state that each PDMP should have a glossary of terms relevant to that
project. Each PDMP should have an acronym list of terms relevant to that project.
•kick
http://nssdc.asfc.nasa.aov/nssd
c/pdmp auidelines march93.rtf
DOE-ORNL
Developing Data Management Policy and
Guidance Documents for your NARSTO
Program or Project. 2005.
The guidelines state that a policy must provide standard names to identify the project,
data files, and data sets.
**
htt p ://cdiac.orn I .aov/proa rams/
NARSTO/DM develop auide.p
df
NSF - EAR
Implementation of the NSF Data Sharing
Policy. April 2002.
The document states that data inventories should be published or entered into a public
database periodically and whenever there is a significant change in type, location, or
frequency of such observations.
**
http://www.nsf.aov/aeo/ear/EAR
data oolicv 204.pdf
General guidance
NASA - National
Space Science Data
Center
White Paper on NASA Science Data
Retention. 2007.
The paper suggests that ensuring continuing data integrity and usability requires periodic
data renewal cycles. Some of these cycles will involve only bit migration from old to new
media.
•kick
http://nssdc.asfc.nasa.aov/nssd
c/data retention.html
NASA - Consultative
Committee for Space
Data Systems
Reference Model for an Open Archival
Information System. 2002.
The document addresses the migration of digital information to new media and forms, the
data models used to represent the information, the role of software in information
preservation, and the exchange of digital information among archives.
•k-k
http://public.ccsds.ora/publicati
ons/archive/650x0b1 .odf
NSF - Social,
Behavioral and
Economic Sciences
Data Archiving Policy. 7/8/2008.
According to the policy, the kinds of qualitative information collected in research projects
supported by SES can range from microfilms and other copies of very old documents to
oral interviews and video tapes about historical events in science or about contemporary
technological controversies. They can consist of hand- written records of open-ended
interviews. Investigators should consider whether and how they can develop special
arrangements to keep or store these materials so that others can use them.
•k-k
http://www.nsf.aov/sbe/ses/com
mon/archive.isp
NIH - National Institute
on Aging
Guidelines for Developing a Manual of
Operations and Procedures (MOP). 2007.
The guidelines state that when updating, staff must correct data and maintain an audit trail
of all data changes.
•kick
http://www.nia.nih.aov/NR/rdonl
vres/AEC5CE46-96E 1-43D9-
BA77-
BAE8BF0D6CDC/0/ManualofPr
oceduresMOPFinall .doc
Page 30

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Table 11. Maintain version and change control on data sets: Other federal agency documents and resources (Policy Area #5)
Level
Agency
name/office
Document title/date
Description/pertinent aspects
Applicability3
Link (or reference)
Specific guidance
(e.g., how to interpret
and use policies)
NASA - Jet Propulsion
Lab
Cassini/Huygens Program Archive Plan
for Science Data. 2004.
The policy states that filenames will adhere to International Organization for
Standardization (ISO) 9660 level 2 specifications that allow the total filename length of 31
characters.
*
htto://trs-
new. i dI . nasa.aov/dsoace/bitstre
am/2014/14261/1/00-0674.odf
DOE - ORNL
Developing Data Management Policy and
Guidance Documents for your NARSTO
Program or Project. 2005.
The document mentions that data from NARSTO projects are formatted in the NARSTO
Data Exchange Standard (a spreadsheet-compatible layout, which uses standardized and
consistent metadata values).
*
htt d ://cdiac.orn I .aov/oroa rams/
NARSTO/DM develoo auide.D
df
DOE-ARM
ARM Data Sharing and Distribution Policy.
2006.
The ARM External Data Center and Archive will track data versions and ensure latest data
versions are made available to data recipients.
*
httD ://www . a r m. a o v/d ata/d o cs/ p
olicv
DOE - ORNL
The NARSTO Atmospheric Measurements
Template. 4/29/2005.
Every regular measurement needs to have an associated NARSTO standard flag.
"Dimensional" variables indicate the setting for measurements, such as site, date, time,
and altitude.
*
ftp://narsto.esd.ornl.aov/oub/DE
S metadata/var names web s
ources/NARSTO template atm
osoheric measurements.xls
DOE - OSTI - LLNL
Management of OSTI-LLNL Electronic
Data. 2005.
According to the document, electronic files may be converted from one software to
another. Staff should include an entry in their scientific notebook indicating that a
verification of file conversion has been conducted. It also includes detailed steps on data
transfer.
**
https://eed.llnl.aov/vmp/pdf/IM-
317550-2. odf
Other

a. The applicability rating is shown as one, two, or three stars. A one-star rating (*) means that the information is related to ORD's SDM policy framework, but is expected to be of limited value in developing its policies and guidance. A two-star
(**) rating means that the information is somewhat relevant to ORD's policy framework and/or is presented in limited detail. A three-star rating (***) means that the information provided is directly applicable to ORD's SDM policy/guidance goals
and could serve as a model for ORD.
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(4/30/2010)
7. Retain Data Commensurate with Its Value
(Policy Area #6)
Data should only be retained as long as it has value to current or future users. There must be a
method in place to ensure adequate retention and preservation of data that have value to the
agency and how to dispose of data that no longer have value. Data can be retained in many ways,
at differing costs (e.g., on-line, near-on-line, archives). Determining the probability and value of
future use and the appropriate retention mechanism and timing requires cost-effectiveness
assessment and the participation of all stakeholders, including those who represent potential
future users of the data (e.g., librarians).
The development of this policy area will include guidance on the factors to be considered in
making data retention decisions. Data retention includes preservation, maintenance and control
of data for future use, while data refresh/migration refers to the periodic transfer of data to new
hardware/software configurations to ensure data can still be used. In addition, disposal of data
includes specific instructions for elimination of data from different types of media, to different
levels of assurance of destruction. Guidance on making retention decisions might include
developing a flowchart or decision tree for such decisions. There may also be a development of
guidance regarding business rules that different retention decisions trigger. For example, this
may include the maintenance of associated indices of those data. In many cases, there may be
case studies since most of these decisions are both decentralized and unique to each agency or
project.
7.1 EPA Policy Information
EPA information on retaining data commensurate with its value is shown in Table 12. Ten
documents were found that might offer insight into Policy Area #6. These documents cover the
"Principles," "Recommendations for Policies," "Policies," "General Guidance," "Specific
Guidance," and "Other" areas. Three documents are very applicable to ORD (i.e., a three-star
rating), including OEI's Enterprise Content Management Policy, which provides information on
data storage and records management. No supporting documentation was found for "Goals,
Vision Statements."
Page 32

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Table 12. Retain data commensurate with its value: EPA documents and resources (Policy Area #6)
Level
Agency name/office
Document title/date
Description/pertinent aspects
Applicability3
Link (or reference)
Goals, vision
statements

Principles
Great Lakes National
Program Office
Great Lakes Environmental
Database. 2009.
The Great Lakes Environmental Database pages state: "Long after the studies are
completed, the data remain and must be managed."
**
htt p ://www. e pa. aov/a I n oo/mo nito ri n
a/data proi/alenda/index.html
Recommendations
for policies
ORD
Scientific Data Management
Strategy. 2007.
The paper states that it is necessary to maintain scientific records for historical research
and regulatory purposes. It notes that there are many conflicting data formats, making it
difficult to retrieve and re-use the information they contain. Therefore, a policy should
develop overall standards and guidelines for acceptable formats for long-term retention.
The paper also suggests a records retention schedule to ensure that records are kept
only as long as legally and operationally required and that obsolete records are retired or
disposed of in a controlled manner. This strategy paper also discusses the need for a
disaster recovery plan.
***
EPA, 2007.
Policies
OEI
Enterprise Content Management
Policy. July 8, 2009.
This policy establishes the EPA Enterprise Content Management Program. The
Program advises EPA staff on how best to store data, how to apply established data
and metadata resources and how to manage records in accordance with all federal and
Agency records management statues, regulations, policies, procedures and standards.
***
Email communication with Lynne
Petterson, 6/10/09.
National Health and
Environmental Effects
Research Laboratory
(NHEERL)
NHEERL Data Management
Policy and Practices: Genomics
and Related High Throughput
Data.
The policy states that storage should be completed within three months after completion
of primary data generation to allow for sufficient quality assurance of the raw data. If
additional time is needed for QA of the raw data, the length should be determined
following discussion with the project lead and the appropriate AD.
**
EPA, Undated.
OEI
National Geospatial Data Policy.
CIO Policy Transmittal 05-002.
8/24/2008.
The program office or project sponsoring the original collection effort is responsible for
spatial data maintenance and decisions regarding ultimate retention and disposal. Data
disposition for archiving must also comply with the records retention requirements of the
program under which the data were collected.
***
http://www.eoa.aov/esd/aac/odf/eo
a natl aeo data oolicv.pdf

General guidance
Great Lakes National
Program Office
Introduction to Lake Michigan
Mass Balance Data. 3/9/2006.
The database was developed under the following guidelines: develop a system having
cross-program and project utility, document the quality of all data populating the system,
ensure that the resulting data base has long-term value, and avoid duplicating effort
with other data systems.
**
http://www.epa.aov/areatlakes/lmm
b/database.html

Office of Water
Office of Wetlands,
Oceans and Watersheds
Volunteer Stream Monitoring: A
Methods Manual: Chapter 6
Managing and Presenting
Monitoring Data. 11/30/2006.
This document stresses checking with data users to ascertain both how the data will be
used, and processes/presentation formats. References STORET as best repository for
data sharing.
**
http://www.eoa.aov/volunteer/strea
m/vms60.html

Specific guidance
(e.g., how to interpret
and use policies)
EPA Records Schedule
EPA Records Schedule, Data
Standards and Registry Service.
7/31/2009.
This schedule authorizes the disposition of the record copy in any media (media
neutral), excluding any records already in electronic form. Records designated for
permanent retention must be transferred to the National Archives in accordance with
National Archives and Records Administration (NARA) standards at the time of transfer.
(N1-412-08-15). This document provides guidance on what type of disposition is
required for each type of media.
*
http://www.epa.aov/records/oolicv/
schedule/sched/096.htm

OEI
E-mail Records Procedures.
September 25, 2009.
These procedures state: "E-mail is a significant means of conducting Agency business.
As such, some e-mail messages qualify as Agency records and must be managed
appropriately to successfully carry out the mission of EPA. Proper e-mail records
management enables the Agency to meet its business needs and legal obligations,
including responding to Freedom of Information Act (FOIA), litigation and other
production requests. This document provides specific steps to maintain email records
via EC MS or a paper recordkeeping system."
*
Email communication with Lynne
Petterson, 6/10/09.
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Table 12. Retain data commensurate with its value: EPA documents and resources (Policy Area #6)
Level
Agency name/office
Document title/date
Description/pertinent aspects
Applicability3
Link (or reference)
Other
Office of Technology
Operations and Planning
IT Policy Mega-Matrix. 2009.
The IT Policy Mega-Matrix is a master list of the IT policy documents (e.g., Policies,
Procedures, Standards, and Guidance) that OTOP maintains. Pages 22-25 contain
archive documents.
*
This document is located on the
EPA intranet at:
http://intranet.epa.aov/otop/itpolicv/
IT Policv Meaa-
Matrix Feb2009 external.pdf
a. The applicability rating is shown as one, two, or three stars. A one-star rating (*) means that the information is related to ORD's SDM policy framework, but is expected to be of limited value in developing its policies and guidance. A two-
star (**) rating means that the information is somewhat relevant to ORD's policy framework and/or is presented in limited detail. A three-star rating (***) means that the information provided is directly applicable to ORD's SDM
policy/guidance goals and could serve as a model for ORD.
Page 34

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(4/30/2010)
7.2 Other Federal Agency Policy Information
Table 13 shows close to 20 federal agency resources on retaining data commensurate with its
value, developed by DOE, NASA, NIH, NOAA, NSF, and the Climate Change Science Program.
These documents cover all levels except for "Goals, Vision Statements" and "Other." Three
resources are of particular relevance to ORD. Environmental Data Management at NOAA:
Archiving, Stewardship, and Access provides policy recommendations and specific guidance on
developing infrastructure that ensures long-term access and preservation of data assets. The
Climate Change Science Program's Strategic Plan for the Climate Change Science Program
presents policies and general guidance data acquisition, retention, and purging. Another key
document is DOE's Guidelines for Archiving Data in the NARSTO Permanent Archive. Most of
the other documents in this policy area are rated with two stars, and provide additional valuable
information for ORD in developing policies and guidance on data retention.
8. Ensure that Scientific Data Management
Processes Are Integrated with Knowledge
Management Initiative (Policy Area #7)
Data management and KM are interdependent. The foundation provided by SDM can enable
both knowledge sharing (through discovery and retrieval of scientific data, for example) and
knowledge retention by supporting knowledge harvesting when a principal investigator retires or
leaves EPA. In all SDM activities, one must remain knowledgeable about KM initiatives.
Development of this policy area may include a determination of any KM initiatives that will
impact ORD during the SDM implementation horizon, and of any interdependence with the
SDM initiative. Also included may be a review of KM tools (processes, approaches to change
management, or analytical tools) that can be adapted for the SDM initiative. It is important to
note that both SDM and KM face cultural hurdles, since both are intimately involved in
professionals' daily work habits and may benefit from shared approaches. Some data mining
tools developed for the "unstructured" data could prove useful to SDM (for example, analyzing
collections of images, text, and briefings could lead to discovery of projects that have useful
associated scientific data).
8.1 EPA Policy Information
There was no supporting documentation found for this policy area.
Page 35

Principles
NASA - Jet
Propulsion
Laboratory
Cassini/Huygens Program Archive Plan for
Science Data. 2004.
The policy should ensure the long-term preservation of data.
*
http Mrs-
new. i pi. nasa.aov/dspace/bitstrea
m/2014/14261/1/00-0674.pdf
DOE - OSTI
The State of Data Management in the
DOE Research and Development
Complex. 7/14-15/2004.
According to the report, a data management plan should describe how data
should be preserved, documentation needed to assure validation and future use,
and funding/infrastructure needs to ensure longevity. It states that turning over
data files is not mandatory.
**
http://www.osti.aov/publications/2
007/datameeti nareport.pdf
NOAA
Environmental Data Management at
NOAA: Archiving, Stewardship, and
Access. 2007.
Principle #1. Environmental data should be archived and made easily accessible
to researchers and consumers.
Principle #9. A formal, ongoing process with broad community input is needed to
decide what data to archive and what to dispose.
**
National Research Council, 2007.
Recommendations
for policies
NIH - National
Cancer Institute
National Cancer Institute (NCI), Division of
Cancer Prevention (DCP),
Data Management Requirements. October
2003.
The document recommends that policies indicate how long the records will be
retained and when the process begins.
**
http://Drevention.cancer.qov/clinic
altrials/manaqement/consortia/ste
p-2/data
DOE-ORNL
Developing Data Management Policy and
Guidance Documents for your NARSTO
Program or Project. 2005.
The guidance recommends that managers ask about value of data: short-term (3-
5 years), mid-term (10 years), or longer (20 years). In addition, scientists are
encouraged to document their data at a level sufficient to satisfy the "20-year
test." Someone 20 years from now, not familiar with the data or how they were
obtained, should be able to find data of interest and then fully understand and
use the data solely with the aid of the documentation archived with the data.
**
http://cdiac.orn I .qov/proq rams/N A
RSTO/DM develop quide.pdf
NOAA
Environmental Data Management at
NOAA: Archiving, Stewardship, and
Access. 2007.
The book states that archiving and access decisions are closely related. When
resources are limited, access to older or less commonly used data should be
scaled back, rather than removing data from the archive.
**
National Research Council, 2007.
Policies
NIH-Office of
Extramural
Research
NIH Data Sharing Policy and
Implementation Guide. 3/5/2003.
The policy states that recognizing that the value of data often depends on their
timeliness, and data sharing should occur in a timely fashion. NIH expects the
timely release and sharing of data to be no later than the acceptance for
publication of the main findings from the final dataset.
**
http://arants.nih.aov/qrants/policv/
data sharina/
NIH - DAIDS
Requirements for Data Management and
Statistics for DAIDS Funded and/or
Sponsored Clinical Trials. 2007.
The requirements state that policies must develop a plan for record retention,
both electronic and hard copy. It must include when record retention begins, the
length of time the records are retained, where the records are retained, the
security of the storage space, who has access to the storage space, and who is
responsible for approving access.
**
http://www3.niaid.nih.aov/LabsAn
d Resou rces/resou rces/DAI DSClin
Rsrch/DataManaaement.htm
Climate Change
Science Program
Strategic Plan for the Climate Change
Science Program Final Report. 2003.
The report states that procedures and criteria for setting priorities for data
acquisition, retention, and purging should be developed by participating
agencies, both nationally and internationally. A clearinghouse process should be
established to prevent the purging and loss of important data sets.
•kic-k
http://www.climatescience.aov/Lib
rarv/stratplan2003/final/ccspstratp
Ian2003-chap13.htm
NASA-
Heliophysics Great
Observatory
NASA Heliophysics Science Data
Management Policy. 2007.
The National Space Science Data Center (NSSDC) policy ensures the
maintenance of the permanent archive. The physical arrangements for such
storage will be made in whatever manner is most economical, secure, and
accessible.
NASA archives must have user advisory committees to advise on the likely future
use and value of datasets candidate for resource-intensive renewal cycles.
*
http://hpde.asfc.nasa.aov/Helioph
vsics Data Policv 2007June25.p
df
Page 36

NSF - EAR
Implementation of the NSF Data Sharing
Policy. April 2002.
The policy recommends the preservation of all data, samples, physical
collections, and other supporting materials needed for long-term earth science
research. Education is required of all EAR-supported researchers.
*
http://www.nsf.aov/aeo/ear/EAR
data policv 204.pdf
General guidance
NASA - Office of
Space Science and
Applications
Guidelines for Development of a Project
Data Management Plan (PDMP). 1993.
The guidelines state that project data repositories are project specific, providing
temporary storage for active data as they are being processed and analyzed.
This section of a PDMP should address the requirements placed on the project
data repositories. Once archived, data sets and supporting information shall be
periodically reviewed to assess their value for continued retention by NASA.
The guidelines state that plans should address how data will transition from
project to permanent discipline archives. Table 8 provides a format for
summarizing storage requirements by data set.
**
http://nssdc.asfc.nasa.aov/nssdc/
pdmp auidelines march93.rtf
NSF
Long-Lived Digital Data Collections:
Enabling Research and education in the
21st Century. 2005.
The report states that the vast majority of NSF support carries with it no long-
term commitment. Principal investigator grants have a duration of several years.
Centers are typically funded for five years with a potential for an additional five
years of funding. Long-lived digital data collections raise a new issue. It is timely
for NSF to consider whether it should make very long-term commitments to a
digital collection.
**
http://www.nsf.aov/oubs/2005/nsb
0540/
DOE-ORNL
Guidelines for Archiving Data in the
NARSTO Permanent Data Archive.
5/2/2006.
According to the document, NARSTO encourages scientists to document their
data at a level sufficient to satisfy the "20-year test."
The document includes guidance that stresses characteristics of projects and
data that are worthy or able to be well-archived.
•kic-k
http://cdiac.orn I .aov/proa rams/N A
RSTO/Guidelines for Archivina
NARSTO Data.pdf
Climate Change
Science Program
Strategic Plan for the Climate Change
Science Program Final Report. 2003.
It mentions that lessons learned from NASA's efforts in handling its current
holdings (more than 2,500 terabytes) must be used by the community.
Many important heritage data sets face a growing risk of loss due to deterioration
of paper records, obsolescence of electronic media and associated hardware
and software, and the gradual loss of experienced personnel.
•kic-k
http://www.climatescience.aov/Lib
rarv/stratplan2003/final/ccspstratp
Ian2003-chap13.htm
NASA-
Consultative
Committee for
Space Data
Systems
Reference Model for an Open Archival
Information System. 2002.
The document states that a long-term timeframe is long enough to be concerned
with the impacts of changing technologies, including support for new media and
data formats, or with a changing user community.
•k-k
http://Dublic.ccsds.ora/publication
s/archive/650x0b1 .pdf
NIH - National
Cancer Institute
National Cancer Institute (NCI), Division of
Cancer Prevention (DCP),
Data Management Requirements. October
2003.
The document states that the data management plan should include a
description of the security plan and should delineate responsibilities and
expected behavior of all individuals who have access to study data and systems.
It also indicates how long the records will be retained and when the process
begins.
•k-k
http://Drevention.cancer.aov/clinic
altrials/manaaement/consortia/ste
D-2/data
NOAA
NOAA Administrative Order: 216-101:
Ocean Data Acquisitions. 1990.
This order recognizes that data are used weeks to decades after the initial data
acquisition. These archived data sets usually have more stringent quality
requirements than do real-time data.
k
httD://www.corDorateservices.noa
a.aov/~ames/NAOs/ChaD 216/na
os 216 101 .html
Page 37

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Table 13. Retain data commensurate with its value: Other federal agency documents and resources (Policy Area #6)
Level
Agency
name/office
Document title/date
Description/pertinent aspects
Applicability3
Link (or reference)
Specific guidance
(e.g., how to interpret
and use policies)
NASA - National
Space Science Data
Center
White Paper on NASA Science Data
Retention. 2007.
The paper states that data sets leading up to the production of the definitive
dataset should be retained only to a point six months past the creation and
certification of the definitive dataset.
The paper also states that derived datasets should be retained as long as they
remain scientifically viable (i.e., algorithms or coefficients used in their derivation
remain credible) and the cost of regenerating them (for some anticipated request
level) outweighs the cost of their retention and maintenance.
The paper recommends that NASA archives should have user advisory
committees to advise on (among other things) the likely future use and value of
data sets candidate for resource-intensive renewal cycles.
**
http://nssdc.qsfc.nasa.qov/nssdc/
data retention.html
NOAA
Environmental Data Management at
NOAA: Archiving, Stewardship, and
Access. 2007.
The book recommends that NOAA develop and maintain scalable and reliable
infrastructure that ensures long-term access and preservation of data assets.
The book suggests that it may be cost-effective to regenerate certain kinds of
environmental data on demand.
•kic-k
National Research Council, 2007.
DOE-ORNL
NARSTO Quality Systems Management
Plan. 9/30/1999.
The document provides a project plan and data archival process flow chart.
*
http://cdiac.orn I .qov/proq rams/N A
RSTO/pdf/qsmp current version.
PDF
NSF - Division of
Ocean Sciences
Division of Ocean Sciences: Data and
Sample Policy. 11/3/2003.
According to the policy, principal investigators are required to submit all
environmental data collected to the designated National Data Centers as soon as
possible, but no later than two years after the data are collected.
*
http://www.nsf.qov/pubs/2004/nsf
04004/nsf04004 1b.htm
NSF-EAR
Implementation of the NSF Data Sharing
Policy. 2002.
The paper states that for those programs in which selected principal investigators
have initial periods of exclusive data use, data should be made openly available
as soon as possible, but no later than two years after the data were collected.
This period may be extended under exceptional circumstances, but only by
agreement between the principal investigator and the NSF. For continuing
observations or for long-term (multi-year) projects, data are to be made public
annually.
**
http://www.nsf.qov/qeo/ear/EAR
data policv 204.pdf
NIH - National
Institute on Aging
Guidelines for Developing a Manual of
Operations and Procedures (MOP). 2007.
The guidelines state that the length of time study files are to be maintained
should be specified in the MOP. NIH policy requires that studies conducted under
a grant retain participant forms for three years, while studies conducted under
contract must retain participant forms for seven years. Individual Institutional
Review Boards (IRBs), institutions, states, and countries may have different
requirements for record retention. Investigators should adhere to the most
rigorous requirements.
*
http://www.nia.nih.oov/NR/rdonlvr
es/AEC5CE46-96E 1-43D9-BA77-
BAE8BF0D6CDC/0/ManualofProc
eduresMOPFinah .doc
Other

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(4/30/2010)
8.2 Other Federal Agency Policy Information
There was no supporting documentation found for this policy area.
9. Conclusions
As described above, a wide variety of documents and resources about SDM-related goals,
policies, and guidance developed by EPA and other federal agencies were identified. This review
demonstrates that, in general, federal agencies have yet not developed comprehensive policies
and approaches for managing the burgeoning amount of scientific data that they create.
Nevertheless, this compilation of resources provides a solid base of information for beginning to
develop a set of ORD SDM policies and guidance.
Table 14 presents a summary of the SDM documents and resources by policy area, level, and
applicability rating. The following sections briefly summarize these resources by policy area, key
resources, information gaps, and next steps.
9.1 Resources by Policy Area and Agency
A total of 78 individual documents and other SDM resources were
identified. The text box at right, Number of individual documents
and resources by agency, shows how these resources are distributed
by agency (see Appendix C for a complete list of resources).
Many of these resources apply to more than one policy area.
Consequently, as shown in Table 14, when allowing for double
counting, the 78 EPA and non-EPA federal agency documents and
resources provided 189 references to SDM goals and visions,
principles, policy recommendations, policies, general guidance,
specific guidance, and related information.
The greatest number of EPA SDM resources identified during this task relate to Policy Area #2,
developing a SDM plan that covers the full data life cycle (16 double-counted resources), and
Policy Area #3, identifying scientific data with metadata to enable needed business operations
(17 double-counted resources). More limited information is available regarding all the other
policy areas except for Policy Area #7, ensuring SDM integrates with KM.
In terms of non-EPA federal agencies, a large number of resources (ranging from 17-29 double-
counted items per policy area) are available relating to Policy Areas #2, #3, #4, #5, and #6. Eight
(double-counted) resources (which received two- and three-star applicability ratings) were found
for Policy Area #1 and no resources were found for Policy Area #7.
Number of individual
documents and
resources by agency
EPA - 40
DOE-7
NASA - 5
NIH-7
NOAA-6
NSF-5
Other - 8
Total - 78
Page 39

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Table 14. Number of references to SDM documents and resources by policy area, applicability rating, agency type, and level
Number of references3

Policy #1:


Policy #4:
Policy #5:

Policy #7:



Manage

Policy #3:
Manage
Maintain
Policy #6:
Ensure



SDM as
Policy #2:
Identify
SDM for
version and
Retain data
SDM



asset or
Develop a
SDM with
appropriate
change
commensurate
integrates
All policy


liability
SDM plan
metadata
control
control
with its value
with KM
areas


ft ft ft ft
ft ft ft ft ft ft
ft ft ft ft ft ft
ft ft ft ft ft ft
ft ft ft ft ft ft
ft ft ft ft ft ft
ft ft ft ft ft ft
ft ft ft ft ft ft
All
EPA









Goal, vision statements
0 0 0
0 0 0
0 0 0
0 0 0
0 0 0
0 0 0
0 0 0
0 0 0
0
Principles
0 0 1
0 0 0
1 0 1
0 0 0
0 0 0
0 1 0
0 0 0
1 1 2
4
Recommendations for policies
0 0 1
0 0 1
0 0 0
0 0 0
1 0 1
0 0 1
0 0 0
1 4 0
5
Policies
0 1 1
1 1 1
0 1 0
1 2 1
0 0 0
0 1 2
0 0 0
2 10 1
13
General guidance
0 0 2
3 2 3
3 1 3
0 1 1
0 1 0
0 2 0
0 0 0
6 7 9
22
Specific guidance
0 0 0
0 3 0
1 5 1
1 3 0
0 1 0
2 0 0
0 0 0
4 12 1
17
Other
0 0 0
1 0 0
0 0 0
0 0 0
0 0 0
1 0 0
0 0 0
2 0 0
2
Total
0 1 5
5 6 5
5 7 5
2 6 2
1 2 1
3 4 3
0 0 0
16 26 21
63
Federal agencies









Goals, vision statements
0 0 0
1 1 0
0 0 0
0 2 0
0 0 0
0 0 0
0 0 0
1 3 0
4
Principles
0 1 1
0 2 1
1 3 0
0 2 0
0 0 0
1 2 0
0 0 0
2 10 2
14
Recommendations for policies
0 0 0
0 0 0
1 3 1
0 2 2
2 2 0
0 3 0
0 0 0
3 10 3
16
Policies
0 3 0
1 2 2
2 3 1
0 2 2
0 2 2
2 2 1
0 0 0
5 14 8
27
General guidance
0 0 0
3 7 0
2 5 1
1 5 0
0 2 2
1 4 2
0 0 0
7 23 5
35
Specific guidance
0 1 1
2 2 0
1 2 2
0 2 0
4 1 0
3 2 1
0 0 0
10 10 4
24
Other
0 1 0
1 1 0
1 0 0
1 1 0
0 0 0
0 0 0
0 0 0
3 3 0
6
Total
0 6 2
8 15 3
8 16 5
2 16 4
6 7 4
7 13 4
0 0 0
31 73 22
126
Total by policy and rating
0 7 7
13 21 8
13 23 10
4 22 6
7 9 5
10 17 7
0 0 0
47 99 43
189
Grand totals
14
42
46
32
21
34
0
189
189
Key to applicability ratings:
* = Related topic that ORD needs to be aware of, but doesn't offer much useful information.
** = Covers a few/some of the subject areas within the policy area - but in limited detail.
*** = A model for re-use, very applicable to ORD.
a. Double counting of documents occurs since some documents refer to more than one policy area and/or level.
Page 40

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9.2 Key Resources
As shown in Table 14, the greatest number of resources (99 when double counted) received a
two-star applicability rating, followed by 47 (double-counted) resources with a one-star rating,
and 43 (double-counted) resources with a three-star rating. These three-star resources represent a
total of 22 individual resources. Table 15 lists the three-star resources and shows the policy areas
that each resource addresses.
9.3 Information Gaps
Several gaps in the information compiled for this report are apparent, suggesting areas for
additional research. These gaps include:
~ Limited or no resources were foundfor certain policy areas. No resources were found for
Policy Area #7, ensure SDM integrates with KM. Consequently, if ORD decides to
consider policies and guidance related to KM, (e.g., ways to ensure that knowledge about
scientific projects and data is retained when ORD scientists retire or leave EPA), then
additional research will be required to identify KM best practices currently used by other
agencies or organizations. Limited resources (14 of the 189 references) were found for
Policy Area #1, manage scientific data as an enterprise asset or liability, and Policy
Area #5, maintain version and change control on data sets (21 of the 189 references).
~ Several of the resources are more than ten years old. For example, OSWER's Life Cycle
Management Guidance and System Life Cycle Management Guidance documents
provide a large amount of information directly related to Policy Area #1: manage
scientific data as an enterprise asset or liability, Policy Area #3: identify scientific data
with metadata to enable needed business operations, and Policy Area #4: manage
scientific data for appropriate control. However, these documents were written in 1989
and 1992, respectively, so the information may be outdated.
~ Many of the resources provide only general information or information that is otherwise
not explicitly relevant to ORD. As indicated by the applicability ratings, the majority of
references were rated as one-star or two-star documents, with only 22 individual
documents being identified as providing highly relevant information.
~ The resources were identifiedfrom secondary sources. The non-EPA documents and
resources gathered for this report were discovered based on Internet research. EPA
documents were found through searching both the Internet and the EPA Intranet.
Consequently, to obtain a larger universe of SDM materials, it will be important to
contact EPA and other federal agency representatives to identify documents that may
have missed and any on-going projects related to SDM.
Page 41

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Table 15. SDM documents and resources with three-star ratings by agency and policy area
Document/resource title and date
Policy
#1
Policy
#2
Policy
#3
Policy
#4
Policy
#5
Policy
#6
Policy
#7
EPA







EPA Enterprise Architecture Target Data Architecture. 2009.
•
•
•


•

Metadata Standards for the Enterprise Content Management Program. 2009.


•




OEI. National Geospatial Data Policy. CIO Policy Transmittal 05-002. 2005.
•
•

•

•

ORD. Scientific Data Management Strategy. 2007.
•
•


•
•

OSWER Life Cycle Management Guidance. 1989
•

•
•



OSWER System Life Cycle Management Guidance. Part 3 Practice Paper: Data Modeling.
1992.


•




DOE







ARM Data Sharing and Distribution Policy. 2006.



•



Guidelines for Archiving Data in the NARSTO Permanent Data Archive. 2006.





•

Developing Data Management Policy and Guidance Documents for your NARSTO Program
or Project. 2005
•






NASA







Guidelines for Development of a Project Data Management Plan (PDMP). 1993.
•



•


Heliophysics Science Data Management Policy. 2007.


•




White Paper on NASA Science Data Retention. 2007.




•


NIH







NIH Data Sharing Policy and Implementation Guidance. Undated.


•




Requirements for Data Management and Statistics for DAIDS Funded and/or Sponsored
Clinical Trials. 2007.




•


Guidelines for Developing a Manual of Operations and Procedures (MOP). 2007.




•


NO A A
Environmental Data Management at NOAA: Archiving, Stewardship, and Access. 2007.	•	•
Page 42

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Table 15. SDM documents and resources with three-star ratings by agency and policy area (cont.)
Document/resource title and date
Policy
#1
Policy
#2
Policy
#3
Policy
#4
Policy
#5
Policy
#6
Policy
#7
NSF







Division of Oceans: Data and Sample Policy. 2004.

•
•




Data Archiving Policy. Undated.

•

•



Other







Interagency Working Group on Digital Data to the Committee on Science of the National
Science and Technology Council. Harnessing the Power of Digital Data for Science and
Society. 2009.


•
•



Climate Change Science Program. Strategic Plan for Climate Change Science Final Report:
Chapter 13. Data Management and Information. 2003.


•


•

GAO. Climate Change Research: Agencies Have Data-Sharing Policies but Could Do More
to Enhance the Availability of Data from Federally Funded Research. 2007.



•



U.S. Climate Change Science Program. Strategic Plan for Climate Change Science Final
Report: Chapter 13. Data Management and Information. 2003.


•


•

Page 43

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9.4 Next Steps
The introduction to this report laid out a general, long-term approach for two broad goals:
(1) developing a SDM policy framework and (2) developing policies, guidance, and tools that fit
within this framework. Based on the findings of this report, the following steps are recommended
(which can be conducted in the order below, a different order, or in parallel) for accomplishing
the first goal of developing a SDM policy framework. It will be important to coordinate this
work with the ongoing Strategic Action Plan being developed by OSIM and with OSIM's 2007
SDM Strategy.
~ Identify SDM policy areas to pursue. This report presents resources related to seven
different types of SDM policies. ORD can review the information on each policy area
presented in this report to assess which are most relevant to its goals and objectives, and
develop a schedule - or prioritization - for pursuing additional information on some or all
of these policy areas.
~ Assess selected policy areas based on the resources compiledfor this report. Once ORD
decides which of the policy areas it wishes to include in its policy framework and the
relative schedule for assessing each area, the relevant documents and other resources
assembled in this report can be reviewed and short "issue outlines" developed for each
policy area. These outlines will focus on the two- and three-star resources identified in
this report and additional research will be conducted as needed to try to fill in some of the
gaps. The issue outlines could summarize, for example, examples of specific policies
included under each policy area, issues and concerns related to each policy, and sample
approaches for stating goals and principles and for developing guidance documents. This
information could provide input for further data gathering and a series of SDM
workshops, described below.
~ Conduct conversations with EPA staff Key ORD managers, scientists, and other
researchers will be identified to ascertain their needs related to managing their scientific
data and to obtain their input on key topics of discussion for the series of interagency
workshops (see below). It will also be important to coordinate with EPA offices that are
involved with scientific data issues (e.g., individual branches within OSIM) and
developing data tools, including, for example, the proposed data set registry, the Science
Inventory (SI), and the Registry for EPA Applications and Databases (READ).
~ Convene a series of workshops. EPA/ORD could jointly sponsor a series of workshops
with CENDI, the Interagency Working Group on Digital Data (IWGDD), and possibly
other entities such as the Committee on Data for Science and Technology (CODATA) to
bring EPA, other federal agency officials, and SDM experts together to discuss SDM
requirements and best practices. These workshops could be organized by policy area and
Page 44

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would provide a forum for sharing information on managing scientific data. Workshop
goals could also include (1) outlining a comprehensive framework of SDM policies and
guidance that meets the needs of researchers, science managers, policy makers, and that
general public, and conforms to current federal information and science policies, and
(2) laying the foundation for the development of EPA digital scientific data policy. It will
be important for the workshop agenda to include discussion of how to develop SDM
policies that are consistent with current federal mandates for scientific data (e.g., data.gov
and science.gov).
~ Develop SDM policy framework report(s). This report or series of policy-related reports
would be based on the findings and conclusions derived from the analysis of SDM
resources, workshops, and conversations with EPA staff. It would present an initial SDM
framework, based on best practices gleaned from EPA and the other science and
technology agencies that participate in the SDM workshops. This framework would
outline, by policy area, best practices related to defining goals and visions, principles,
specific policies, and types of guidance and tools needed to convey SDM policies to the
appropriate audiences. The report would also describe the issues that will require further
analysis and illustrate the complexity of SDM and its potential role in supporting
integrated, multidisciplinary, collaborative science.
The SDM policy framework report will suggest potential next steps for (1) future inter-agency
collaborations regarding SDM and (2) EPA's development of its own SDM policies, guidance,
and tools.
Page 45

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Summary of Findings by Office and
Policy Area - EPA

-------
U.S. Environmental Protection Agency (EPA)
Office
Policy Areas
Level
Document Title/Date
Description
Applicability3
Link
EPA Privacy Policy
Manage scientific data for appropriate control
Specific Guidance
Procedures for Preparing
Privacy Impact Assessments,
2009
These procedures provide instructions for determining if
Personally Identifiable Information is collected in systems and
ensuring adequate controls are put in place. The Privacy
Impact Assessment (PIA) is the tool required by the OMB for
addressing privacy issues with electronic systems. No specific
guidance is provided for completing the PIA, just the process
for submitting them and having them reviewed and accepted.
**
htt p: //i n tra net e oa. a ov/oe i/i m itoo I ic v/a i c/c i o do
icv/2151-D~04.odf
EPA Privacy Policy
Manage scientific data for appropriate control
Specific Guidance
Procedures for Preparing and
Publishing Privacy Act Systems
of Records Notices, 2009
These procedures provide the instructions for preparing a
System of Records Notice (SORN). These procedures apply
whenever information is retrieved by a name or personal
identifier from records under the control of the Agency,
regardless of format or location (i.e., systems, applications,
databases, Web sites, filing cabinets). These procedures
must be followed before collecting personal information on an
individual and retrieving it by one of those elements.
**
htt p: //i n tra net. e oa. a ov/oe i/i m itoo I ic v/a i c/c i o do
icv/2151-o-03.Ddf
EPA Records Schedule
Retain data commensurate with its value
Specific Guidance
EPA Records Schedule, Data
Standards and Registry
Service, 7/31/2009
This schedule authorizes the disposition of the record copy in
any media (media neutral), excluding any records already in
electronic form. Records designated for permanent retention
must be transferred to the National Archives in accordance
with National Archives and Records Administration (NARA)
standards at the time of transfer. (N1-412-08-15). This
document provides guidance on what type of disposition is
required for each type of media.
*
htt d: //www. e Da. a ov/reco rd s/do I i c v/sc h ed u le/s
ched/096.htm
EPA Region 9
Tribal Water Protection
Identify scientific data with metadata to
enable needed business operations
General Guidance
National Tribal WQX/STORET
Data Management, 11/18/2008
This is a presentation on how to apply metadata to data for
sharing purposes, emphasizing consistency. The examples
given are for the Water Quality Exchange (WQX) and
STORET and may not carry over to other projects.
*
htt d: //www. e Da. a ov/rea i o nO 9/wate r/triba l/sto r
et-train ina/Ddf/WQXT e m Dlate. Ddf
Great Lakes National Program
Office
Retain data commensurate with its value
Principles
Great Lakes Environmental
Database, 6/17/2008
The Great Lakes Environmental Database pages state: "Long
after the studies are completed, the data remain and must be
manaqed."
**
http: //www. e pa. g ov/g I n po/m o n ito ri n g/data_pr
oj/glenda/index.html
Great Lakes National Program
Office
Identify scientific data with metadata to
enable needed business operations
Specific Guidance
Lake Michigan Mass Balance
Metadata, 3/9/2006
The Metadata link offers some guidance on metadata
reportinq formats and sample naminq.
**
htt d: //www. e Da. a ov/a reatl a kes/l m m b/m eta dat
a.html
Great Lakes National Program
Office
Retain data commensurate with its value
General Guidance
Introduction to
Lake Michigan Mass Balance
Data, 3/9/2006
The database was developed under the following guidelines:
develop a system having cross-prog ram and -project utility,
document the quality of all data populating the system, ensure
that the resulting data base has long-term value, and avoid
duplicating effort with other data systems.
**
htt d: //www. e Da. a ov/a reatl a kes/l m m b/d ata bas
e.html
National Health and
Environmental Effects Research
Laboratory (NHEERL)
Scientific data are enterprise assets or
liabilities
Policies
NHEERL Data Management
Policy and Practices: Genomics
and Related High Throughput
Data.
The policy states that data collected from human subjects
presents a challenge in that sharing of data can only be done
if the confidentiality of the subjects has been assured.
Assurance must be obtained from the NHEERL Human
Subjects Research Official prior to the entry of such data into
a centralized data base.
**
EPA, Undated
National Health and
Environmental Effects Research
Laboratory (NHEERL)
Manage scientific data for appropriate control
Policies
NHEERL Data Management
Policy and Practices: Genomics
and Related High Throughput
Data.
The document provides data sharing guidelines. For example,
it states that data access to scientists not directly involved in
the original project team will be initially restricted. The data
available to outside investigators upon data upload will be
limited to a brief description of the experiment sufficient to
determine the utility of the underlying data for other purposes.
In addition, data should be available to all members of a
collaborative unit, irrespective of the composition of that unit,
as soon as it is generated and reviewed for accuracy.
**
EPA, Undated
Page A-l

-------
U.S. Environmental Protection Agency (EPA)
Office
Policy Areas
Level
Document Title/Date
Description
Applicability3
Link
National Health and
Environmental Effects Research
Laboratory (NHEERL)
Retain data commensurate with its value
Policies
NHEERL Data Management
Policy and Practices: Genomics
and Related High Throughput
Data.
The policy states that storage should be completed within 3
months after completion of primary data generation to allow
for sufficient quality assurance of the raw data. If additional
time is needed for quality assurance (QA) of the raw data, the
length should be determined following discussion with the
project lead and the appropriate administrator.
**
EPA, Undated
Office of Air and Radiation
Emission Inventory Improvement
Program (ElIP) Data
Management Committee
Identify scientific data with metadata to
enable needed business operations
General Guidance
El IP Phase 1 Data Model,
January 1999
This document describes four views of the El IP Data Model
that provide common formats so data can be shared. It also
provides a thorough data element dictionary, a list of entities
and their attributes, and data model codes.
*
htt d: //www. e pa. a ov/ttn/c h i ef/e i i o/te c h re do rt/v
olume07/vii01.pdf
Office of Air and Radiation
Emissions, Monitoring, and
Analysis Division
Identify scientific data with metadata to
enable needed business operations
General Guidance
Annual Air Quality Data
Certifications for PM and
Ozone Design Values,
6/12/2002
This memorandum requires states and Tribes to document
their annual air quality data sets so EPA can accurately
interpret the reported data. States and Tribes must certify that
prior year data are entered and the summary report is
accurate.
*
htt o: //www. e oa. a ov/ttn/a mtic/f i le s/a m bie nt/om
25/datamana/desianmem.Ddf
Office of Environmental
Information
Develop a scientific data management plan
that covers the full data life cycle
General Guidance
EPA Enterprise Architecture
Target Data Architecture,
6/23/2009
In the framework presented in Section 4.3.1, EPA Program
Offices that oversee Agency-wide business lines will ensure
that quality-related activities associated with each phase of
the EPA Data Lifecycle Framework (Figure 16) are
documented. See also Appendix A.
***
Email communication with Kevin Kirby.
7/14/09.
Office of Environmental
Information
Develop a scientific data management plan
that covers the full data life cycle
General Guidance
Guidance for Geospatial Data
Quality Assurance Project
Plans, March 2003
This guidance document describes the type of information
that would be included in a Quality Assurance (QA) Project
Plan by anyone developing a geospatial project or using
qeospatial data for EPA.
**
htt d: //www. e oa. a ov/a ua I itv/as-do cs/a 5a-
final.Ddf
Office of Environmental
Information
Develop a scientific data management plan
that covers the full data life cycle
Policies
Information Resources
Management (IRM) Policy,
Chapter 19 Information and
Data Management, 2001
Section 5, Policies, of this document lists EPA policies on
information and data management. Note that this document
has expired and has not yet been updated.
**
httd: //www. e Da. a ov/i rm do I i8/ex oi re d do I ic i es/
ChaDtr19.PDF
Office of Environmental
Information
Develop a scientific data management plan
that covers the full data life cycle
Specific Guidance
Guidance on Systematic
Planning Using the Data
Quality Objectives Process,
February 2006
EPA has established a policy that states that before
information or data are collected on Agency-funded or
regulated environmental programs and projects, a systematic
planning process must occur during which performance or
acceptance criteria are developed for the collection,
evaluation, or use of these data. This document provides
specific guidance at each step of using the data quality
objectives process.
**
htt d: //www. e Da. a ov/a ua I itv/as-do cs/a 4-
final.Ddf
Office of Environmental
Information
Identify scientific data with metadata to
enable needed business operations
General Guidance
EPA Enterprise Architecture
Target Data Architecture,
6/23/2009
Section 4 examines the various components of data
management that are critical at the enterprise level and must
be addressed for enterprise architecture. Topics in this
section address data quality, enterprise data security,
metadata and master data management and data
qovernance.
***
Email communication with Kevin Kirby.
7/14/09.
Office of Environmental
Information
Identify scientific data with metadata to
enable needed business operations
General Guidance
EPA Enterprise Architecture
Target Data Architecture,
6/23/2009
Enterprise Metadata Architecture, Section 4.6. The enterprise
metadata architecture proposed for EPA is a cross-cutting
framework of policy, standards, communication,
implementation, and continual evaluation required for
enabling a consistent metadata capability. This document
includes information on Metadata Standards and Policy
Development (Section 4.6.1), Governance for Data and
Metadata (Section 4.6.2), Communication and Outreach
(Section 4.6.3), Implementation Assistance (Section 4.6.4),
Lessons Learned and Performance Measures (Section 4.6.5).
See also Appendix C.
***
Email communication with Kevin Kirby.
7/14/09.
Page A-2

-------
U.S. Environmental Protection Agency (EPA)
Office
Policy Areas
Level
Document Title/Date
Description
Applicability3
Link
Office of Environmental
Information
Manage scientific data for appropriate control
Policies
Agency-wide Quality System
Documents, 12/30/2009
This site provides links to potentially helpful documents, such
as Overview of the EPA Quality System for Environmental
Data and Technology, Guidance for Developing Quality
Systems for Environmental Programs, Guidance on
Systematic Planning using the Data Quality Objectives
Process, Guidance for Preparing Standard Operating
Procedures, Guidance on Environmental Data Verification
and Data Validation, and Data Quality Assessment: A
Reviewer's Guide.
*
httd: //www. e pa. a ov/a ua I itv/aa do cs. htm I
Office of Environmental
Information
Manage scientific data for appropriate control
Policies
EPA Quality Manual for
Environmental Programs,
5/5/2000
This document discusses Requirements for Reporting
Environmental Data. Section 2.5 covers requirements for
reporting technical data; 2.6 covers QA and quality control
(QC) requirements and guidance (mandatory and advisory).
The document states: "The primary goal of the Agency-wide
Quality System is to ensure that environmental programs and
decisions are supported by data of the type and quality
needed and expected for their intended use, and that
decisions involving the design, construction, and operation of
environmental technology are supported by appropriate
quality assured engineering standards and practices. The
scope of this Manual includes applicable environmental
programs involving: the collection, evaluation, and use of
environmental data by and for the Agency, and the design,
construction, and operation of environmental technology by
the Agency."
**
httd: //www. e Da. a ov/i rm do I i8/c i o do I ic v/2 105-P-
01-0.Ddf
Office of Environmental
Information
Scientific data are enterprise assets or
liabilities
General Guidance
EPA Enterprise Architecture
Target Data Architecture,
6/23/2009
The successful management of information and data as an
enterprise asset is of critical importance. To achieve the vision
of maximizing the value of enterprise data assets, EPA will
establish an Enterprise Data Architecture (EDA) Program to
create a proactive, enterprise service organization focusing
specifically on critical data management issues and
challenges faced by EPA programs and their partners.
***
Email communication with Kevin Kirby.
7/14/09.
Office of Environmental
Information
Develop a scientific data management plan
that covers the full data life cycle
General Guidance
Data Standards Policy,
6/28/2007
This document states that: "All Agency information systems
that exchange information shall implement applicable data
standards in the most current version at the appropriate
phase in the development life cycle but no later than the
required implementation date specified in the standard unless
a waiver has been obtained. When a new version of a
standard is issued the old version is given a retirement date
and should not be used after that date. Implementation of
data standards or the appropriate waiver shall be described in
the lifecycle and solution architecture documentation for each
applicable EPA system and documented in the Registry of
EPA Applications and Databases (READ) in conformance
with the READ record maintenance schedule."
*
htt d: //www. e Da. a ov/i rm do I i8/c i o do I ic v/2133.0.
pdf
Office of Environmental
Information
Develop a scientific data management plan
that covers the full data life cycle
Policies
Records Management,
12/11/2009
This policy states: "The Records Management Policy
establishes principles, responsibilities, and requirements for
managing EPA's records to ensure that the agency is in
compliance with federal laws and regulations, EPA policies,
and best practices for managing records. This Agency-wide
policy provides the framework for specific guidance and
detailed operating procedures governing records
management organization and implementation."
*
htt d: //www. e Da. a ov/reco rd s/do I i c v/i ndex. htm
Page A-3

-------
U.S. Environmental Protection Agency (EPA)
Office
Policy Areas
Level
Document Title/Date
Description
Applicability3
Link
Office of Environmental
Information
Identify scientific data with metadata to
enable needed business operations
General Guidance
Metadata Standards for the
Enterprise Content
Management Program, last
updated 7/2/09
The purpose of these standards is to define a consistent set
of required metadata elements for all applications participating
in the enterprise content management program. These
standards cover unstructured information, which includes but
is not limited to documents and records, and applies to all
EPA Programs, Regions, Labs and Offices. Specifically, these
standards underscore the importance of a consistent, yet
somewhat flexible, set of metadata elements for the effective
and accurate classification, retrieval, management and use of
unstructured information. This document provides examples
of baseline metadata standards and some associated roles
and responsibilities.
***
Email communication with Lynne Petterson.
6/10/09.
Office of Environmental
Information
Identify scientific data with metadata to
enable needed business operations
Policies
Data Standards Policy,
6/28/2007
This Data Standards Policy establishes principles,
responsibilities, and requirements for the development,
maintenance, and implementation of data standards within the
jurisdiction of EPA. This policy discusses the use of common
terminology and data elements for consistency and data
sharing; the use of centralized registries of data elements,
XML schema and code sets, based on approved data
standards, and related roles and responsibilities.
**
httd: //www. e oa. a ov/i rm do I i8/c i o do I icv/2133.0.
pdf
Office of Environmental
Information
Identify scientific data with metadata to
enable needed business operations
Specific Guidance
Data Standards
Implementation, 6/28/2007
This document contains procedures establishing the key
steps to follow for implementation of EPA data standards. It
discusses procedures for the following areas: development of
implementation guidance for a data standard, review/approval
of implementation guidance for a data standard, conformance
assistance, and conformance measurement.
**
htt d: //www. e Da. a ov/i rm do I i8/c i o do I ic v/2 1 33-d-
3.pdf
Office of Environmental
Information
Identify scientific data with metadata to
enable needed business operations
Specific Guidance
Data Standards Maintenance,
6/28/2007
This document contains procedures establishing the key
steps to follow for maintenance and revision of EPA data
standards and implementation guidance. It discusses
procedures for the following areas: proposal for data standard
and/or implementation guidance revision, development of
minor and major data standard revisions, data standards
review and approval procedures for major revisions.
**
htt d: //www. e Da. a ov/i rm do I i8/c i o do I ic v/2 1 33-d-
2.pdf
Office of Environmental
Information
Identify scientific data with metadata to
enable needed business operations
Specific Guidance
Requesting Data Standards
Conformance Waiver 6/28/
2007
This document contains procedures establishing the key
steps to follow for requesting a data standard conformance
waiver from EPA data standards. It discusses procedures for
the following areas: types of waivers; determination of need;
and submission, disposition and posting of a waiver.
**
htt d: //www. e Da. a ov/i rm do I i8/c i o do I ic v/2 1 33-d-
4.pdf
Office of Environmental
Information
Identify scientific data with metadata to
enable needed business operations
Specific Guidance
Data Standards Development,
6/28/2007
These procedures establish the key steps to follow for
development and approval of EPA data standards. This
document provides procedures for the following: Data
standard proposal, development, and approval and draft data
standards review.
*
htt d: //www. e pa. a ov/i rm do I i8/c i o do I ic v/21 33-d-
1.pdf
Office of Environmental
Information
Retain data commensurate with its value
Policies
Enterprise Content
Management Policy, 6/10/2009
This policy establishes the EPA Enterprise Content
Management Program. The Program advises EPA staff on
how best to store data, how to apply established data and
metadata resources and how to manage records in
accordance with all federal and Agency records management
statues, regulations, policies, procedures and standards.
***
Email communication with Lynne Petterson.
6/10/09.
Office of Environmental
Information
Develop a scientific data management plan
that covers the full data life cycle
Other
IT Policy Mega-Matrix
The IT Policy Mega-Matrix is a master list of all the EPA IT
policy documents (e.g., Policies, Procedures, Standards, and
Guidance) that the Office of Technology Operations and
Planning (OTOP) maintains. Page 12 contains SLC
documents.
*
htt p:H\ntra net epa.aov/otoo/itooIicv/lT PoI icv
Meaa-Matrix Feb2009 external.Ddf
Office of Environmental
Information
Retain data commensurate with its value
Other
IT Policy Meg a-Matrix
The IT Policy Mega-Matrix is a master list of the IT policy
documents (e.g., Policies, Procedures, Standards, and
Guidance) that OTOP maintains. Pages 22 -25 contain
archived documents.
*
htt d: //i n tra net. e Da. a ov/oto D/itoo I i c v/l T Po I ic v
Meaa-Matrix Feb2009 external.Ddf
Page A-4

-------
U.S. Environmental Protection Agency (EPA)
Office
Policy Areas
Level
Document Title/Date
Description
Applicability3
Link
Office of Environmental
Information
Scientific data are enterprise assets or
liabilities
Policies
National Geo spatial Data
Policy. CIO Policy Transmittal
05-002. 8/24/2005.
The policy requires that all EPA investment in geospatial data
should be leveraged for enterprise use and managed through
enterprise architecture guidance.
***
http://www.eoa.aov/esd/aac/Ddf/eDa natl ae
o data Dolicy.pdf

Office of Environmental
Information
Develop a scientific data management plan
that covers the full data life cycle
Policies
National Geo spatial Data
Policy. CIO Policy Transmittal
05-002. 8/24/2005.
The policy establishes specific requirements under which all
EPA program offices and labs will adhere in the planning,
collecting, acquiring, processing, documenting, storing,
accessing, maintaining, and retiring of geospatial data.
***
httD://www.eDa.aov/esd/aac/Ddf/eDa natl ae
o data Dolicy.pdf

Office of Environmental
Information
Identify scientific data with metadata to
enable needed business operations
Specific Guidance
National Geo spatial Data
Policy. Procedure for
Geospatial Metadata
Management. 10/25/2007.
According to the policy, Geospatial Data Stewards must
create or update the metadata record for each acquired data
set so that it meets the minimum requirements of the EPA
Metadata Technical Specification. During the data storage
and access phase, stewards must refer to the technical
specification for data storage and access requirements.
Maintenance responsibility for geospatial and metadata falls
to the data owner or data steward of the program office or
division.
**
htt d: //www. e oa. a ov/aeo s oatia l/do cs/2131. odf

Office of Environmental
Information
Manage scientific data for appropriate control
Policies
National Geospatial Data
Policy. CIO Policy Transmittal
05-002. 8/24/2005.
The policy states that geospatial data that is acquired by EPA
(including contractors, grantees and vendors) must comply
with all procedures and standards applicable to those data as
if they were collected by EPA.
***
httD://www.eDa.aov/esd/aac/Ddf/eDa natl ae
o data Dolicy.pdf

Office of Environmental
Information
Retain data commensurate with its value
Policies
National Geospatial Data
Policy. CIO Policy Transmittal
05-002. 8/24/2005.
The program office or project sponsoring the original
collection effort is responsible for spatial data maintenance
and decisions regarding ultimate retention and disposal. Data
disposition for archiving must also comply with the records
retention requirements of the program under which the data
was collected.
***
httD://www.eDa.aov/esd/aac/Ddf/eDa natl ae
o data Dolicy.pdf

Office of Environmental
Information
Maintain version and change control on data
sets
Recommendations for
Policies
QIC Steering Committee - CIO
Policy Consolidated Comments
Form, 6/10/2009
This is a steering committee form with reviewer comments
regarding possible changes/clarifications to the following
documents: Enterprise Content Management Policy,
Metadata Standards for the Enterprise Content Management
Program, and E-mail Records Procedures.
*
Email communication with Lynne Petterson.
6/10/09.
Office of Environmental
Information
Manage scientific data for appropriate control
Specific Guidance
Procedures for Preparing
Privacy Act Statements, 2009
These procedures provide instructions for developing Privacy
Act Statements (PAS) that must be provided to individuals
when a federal agency requests personal information about
them that is to be maintained in a system of records retrieved
by name or personal identifier (5 U.S.C. 552a (e)(3)). These
procedures list what to put in the PAS and provides a sample.
This document lists the process the PAS goes through.
**
htt d: //i n tra n et. e Da. a ov/oe i/i m itoo I ic v/a i c/c i o do
icv/2151-D-05.Ddf

Office of Environmental
Information
Retain data commensurate with its value
Specific Guidance
E-mail Records Procedures,
9/25/2009
These procedures state: "E-mail is a significant means of
conducting Agency business. As such, some e-mail
messages qualify as Agency records and must be managed
appropriately to successfully carry out the mission of EPA.
Proper e-mail records management enables the Agency to
meet its business needs and legal obligations, including
responding to Freedom of Information Act (FOIA), litigation
and other production requests. This document provides
specific steps to maintain email records via EC MS or a paper
recordkeeping system."
*
Email Communication.
Office of Research and
Development (ORD)
Identify scientific data with metadata to
enable needed business operations
General Guidance
Implementing the National
Geospatial Data Policy:
Lessons Learned
This document provides valuable lessons learned on data
management policy implementation. Weaknesses noted
include: metadata, infrastructure (e.g., network and systems
interoperability re: metadata and data load), data
management ("...apparent that WED needs to develop a
process through which project data will be cataloged and
disseminated through Environmental Information
Management System (EIMS) (which has now been integrated
with the Science Inventory). This issue is probably not unique
to WED, and processes will need to be refined for
implementation across ORD..."
**
htt d: //i n tra n et. e Da. a ov/os d i ntra/Sc ie nce% 20
Council/Related%20Docs/ORDNGDPPILOT
S.pdf
Page A-5

-------
U.S. Environmental Protection Agency (EPA)
Office
Policy Areas
Level
Document Title/Date
Description
Applicability3
Link
Office of Research and
Development (ORD)
Scientific data are enterprise assets or
liabilities
Recommendations for
Policies
Scientific Data Management
Strategy. 2007.
This strategy states an objective to identify and prioritize SDM
projects by determining where there are "hidden" data
management projects, some of which add significant value to
the agency. It identifies others as "pet projects" which add no
valued.
***
EPA, 2007
Office of Research and
Development (ORD)
Develop a scientific data management plan
that covers the full data life cycle
Recommendations for
Policies
Scientific Data Management
Strategy. 2007.
The strategy states an objective to define an SDM
organizational structure. The structure needs to be "tuned" to
the specific needs of each L/C/O.
***
EPA, 2007
Office of Research and
Development (ORD)
Maintain version and change control on data
sets
Recommendations for
Policies
Scientific Data Management
Strategy. 2007.
The strategy suggests that EPA should establish standards,
policies, and procedures for scientific data quality cleanup,
change control, and audits. For example, if problems or
issues arise with the quality of scientific data, there must be a
defined set of guidelines to determine what actions to take.
***
EPA, 2007
Office of Research and
Development (ORD)
Retain data commensurate with its value
Recommendations for
Policies
Scientific Data Management
Strategy. 2007.
The paper states that it is necessary to maintain scientific
records for historical research and regulatory purposes. It
notes that there are many conflicting data formats, making it
difficult to retrieve and re-use the information they contain.
Therefore, a policy should develop overall standards and
guidelines for acceptable formats for long-term retention. The
paper also suggests a records retention schedule to ensure
that records are kept only as long as legally and operationally
required and that obsolete records are retired or disposed of
in a controlled manner. This strategy paper also discusses the
need for a disaster recovery plan.
***
EPA, 2007
Office of Science Advisor
Identify scientific data with metadata to
enable needed business operations
Principles
Assessment Factors, June
2003
Section 2.2.3 e of this document asks: Is the complete data
set accessible, including metadata, data-dictionaries and
embedded definitions (e.g., codes for missing values, data
quality flags and questionnaire responses)? Are there
confidentiality issues that may limit accessibility to the
complete data set?
*
htt p: //www. e pa. a ov/OSA/s oc/odfs/a ssess2. o
df
Office of Solid Waste and
Emergency Response
Develop a scientific data management plan
that covers the full data life cycle
General Guidance
OSWER Life Cycle
Management Guide, 1989
This document provides suggestions for both the Initiation and
Concept phase of information management by discussing
Initiation Phase objectives, Concept Phase objects, decisions,
activities, roles/responsibilities and the decision paper.
Pages 22 and 23 discuss the creation of a data management
plan and what should be included. Page 26 discusses the
data management plan and what should be included in the
definition stage. Chapter 4 discusses the expansion of the
data dictionary and data management plan. Chapter 10
details how all life cycle stages work together and/or overlap.
***
htt p: //www. e pa. a ov/oswe r/o swe rl c m. htm

Office of Solid Waste and
Emergency Response
Develop a scientific data management plan
that covers the full data life cycle
General Guidance
System Life Cycle Management
Guidance Part 3 Practice
Paper: Data Management
During the Life Cycle, January
1989
In the data management paper, Chapter 3 provides a high
level review of the recommended approach for each step of
the SLC.
***
htt p: //www. e pa. a ov/oswe r/o swe rl c m. htm

Office of Solid Waste and
Emergency Response
Develop a scientific data management plan
that covers the full data life cycle
Specific Guidance
System Life Cycle Management
Guidance Part 3 Practice
Paper: Data Management
During the Life Cycle, 1989
This paper describes data management during the SLC and
provides guidance concerning major topics that should be
addressed by project teams. Data management begins during
the concept phase, proceeds as requirements are defined
and software is implemented, and continues until the
application system is terminated or replaced. The chapters
include the following: Selecting a data management
approach, overview of data management topics, data
modeling activities, data design activities, data stewardship,
data documentation activities, and terms/reference manual.
This document provides a useful synopsis of much of the SLC
Chapters 1-10.
**
htt p: //www. e pa. a ov/oswe r/o swe rl c m. htm

Office of Solid Waste and
Emergency Response
Develop a scientific data management plan
that covers the full data life cycle
Specific Guidance
System Life Cycle Reviews and
Approvals, January 1989
This document provides all the steps and information
necessary to review and approve all stages of the SLC.
**
htt p: //www. e pa. a ov/oswe r/d ocs/oswe rlc m/00
000018.pdf
Page A-6

-------
U.S. Environmental Protection Agency (EPA)
Office
Policy Areas
Level
Document Title/Date
Description
Applicability3
Link
Office of Solid Waste and
Emergency Response
Identify scientific data with metadata to
enable needed business operations
General Guidance
OSWER Life Cycle
Management Guide, 1989
In Chapter 3 of the OSWER Life Cycle Management Guide,
Page 21, Exhibit 3-10 discusses the Requirements Data
Dictionary and how it serves as a repository for metadata.
In Chapter 4, it is discussed that in the design phase, you
should enter metadata in the design data dictionary
documenting the physical design of each data base or data
file.
***
htt d: //www. e pa. a ov/oswe r/o swe rl c m. htm
Office of Solid Waste and
Emergency Response
Identify scientific data with metadata to
enable needed business operations
Principles
System Life Cycle Management
Guidance Part 3 Practice
Paper: Data Management
During the Life Cycle, 1989
Accurate information about data is essential. Effective
management of data collected by OSWER requires that
accurate information about data (i.e., metadata) be kept.
***
htt o://www. e pa. a ov/oswe r/docs/oswe rlcm/00
000021.pdf
Office of Solid Waste and
Emergency Response
Identify scientific data with metadata to
enable needed business operations
Specific Guidance
System Life Cycle Management
Guidance Part 3 Practice
Paper: Data Modeling, May
1992
This is a detailed document that includes topics such as:
What are data models, creating data entities, data
relationships and creating relationships between data entities,
creating data elements, and changing the model. "This paper
(1) introduces data modeling techniques; (2) defines specific
data standards for logical data modeling to follow during the
SLC; and (3) offers some "how to" guidance throughout the
data modeling process."
***
http://www. e pa .aov/oswe r/docs/oswe rlcm/00
000022.pdf
Office of Solid Waste and
Emergency Response
Maintain version and change control on data
sets
General Guidance
System Life Cycle Management
Guidance Part 3 Practice
Paper: Configuration
Management, January 1989
This document provides guidance regarding the
implementation of CM, defined as systematically identifying
the characteristics of a system and formally controlling any
changes or additions to these items. The guidance describes
specific activities associated with CM; describes project
organization structures to accomplish CM; describes the
documentation of project-specific CM activities in a CM plan.
**
http://www. e pa .aov/oswe r/docs/oswe rlcm/00
000019.pdf
Office of Solid Waste and
Emergency Response
Maintain version and change control on data
sets
General Guidance
System Life Cycle Management
Guidance Part 3 Practice
Paper: Configuration
Management, January 1990
Chapter 2 of this paper discusses the establishment of
configuration item identification, which acts as "labels" for the
characteristics described in the documentation. This chapter
also discusses change request impact analysis.
**
http://www. e pa .aov/oswe r/docs/oswe rlcm/00
000019.pdf
Office of Solid Waste and
Emergency Response
Maintain version and change control on data
sets
Specific Guidance
System Life Cycle Management
Guidance Part 3 Practice
Paper: Configuration
Management, January 1991
Chapter 3 of this paper provides steps to implementing CM
into an organization.
**
http://www. e pa .aov/oswe r/docs/oswe rlcm/00
000019.pdf
Office of Solid Waste and
Emergency Response
Manage scientific data for appropriate control
General Guidance
OSWER Life Cycle
Management Guide Chapter 2,
1989
Chapters 2-9 of the Life Cycle Management Guide provide
suggestions as to how to properly manage information
through the following phases: Definition, Design,
Development, Implementation, Production, Evaluation and
Archive.
***
htt p: //www. e pa. a ov/oswe r/o swe rl c m. htm
Office of Solid Waste and
Emergency Response
Manage scientific data for appropriate control
General Guidance
System Life Cycle Management
Guidance Part 3 Practice
Paper: Data Management
During the Life Cycle, 1989
Chapter 2 discusses how to select the right data model based
on the level of impact it will have in relation to data sharing,
organizational impact and cost.
**
htt p: //www. e pa. a ov/oswe r/o swe rl c m. htm
Office of Solid Waste and
Emergency Response
Scientific data are enterprise assets or
liabilities
General Guidance
System Life Cycle Management
Guidance Part 3 Practice
Paper: Data Management
During the Life Cycle, 1989
This document states: "If you choose an approach that
doesn't address data dictionary issues as part of a large, high
impact project, you will increase the risk of time and cost
overruns for your project."
***
htt p: //www. e pa. a ov/oswe r/o swe rl c m. htm
Page A-7

-------
U.S. Environmental Protection Agency (EPA)
Office
Policy Areas
Level
Document Title/Date
Description
Applicability3
Link
Office of Solid Waste and
Emergency Response
Scientific data are enterprise assets or
liabilities
Principles
System Life Cycle Management
Guidance Part 3 Practice
Paper: Data Management
During the Life Cycle, 1989
This document states: "Data is a valuable resource. Data is
collected, stored, and used to support critical OSWER
program activities and decisions, making accurate and timely
data an important OSWER resource." OSWER data "is used
to make decisions affecting public health and safety,
environmental quality, and the use of public funds. Without
this information OSWER could not perform its mission. The
data collected, stored, processed and disseminated by
OSWER systems are used to create the information OSWER
needs to operate."
***
htt d: //www. e pa. a ov/oswe r/o swe rl c m. htm
Office of Solid Waste and
Emergency Response
Scientific data are enterprise assets or
liabilities
Principles
System Life Cycle Management
Guidance Part 3 Practice
Paper: Data Management
During the Life Cycle, 1989
Page 4 lists several benefits for increasing the focus on data
management.
***
htt d: //www. e oa. a ov/oswe r/o swe rl c m. htm
Office of Solid Waste and
Emergency Response (OSWER)
Develop a scientific data management plan
that covers the full data life cycle
General Guidance
System Life Cycle Management
Guidance Part 3 Practice
Paper: Configuration
Management, January 1989
Exhibit 2-1 provides an overview of configuration
management (CM) throughout a system life cycle (SLC). This
is more for a "system" life cycle than "documentation" life
cycle, but might still have some relevance.
**
htto://www. e oa. a ov/oswe r/docs/oswe rlcm/00
000019. Ddf
Office of Solid Waste and
Emergency
Brownfields and Land
Revitalization Technology
Support Center
Develop a scientific data management plan
that covers the full data life cycle
General Guidance
Management and Interpretation
of Data Under a Triad
Approach - Technology
Bulletin, May 2007
The triad approach produces flexible, but rigorous project
plans; DM is key to rapid collection and analysis of data
gathered. "A successful data management strategy depends
on input not only from data management specialists but also
from those who will be generating and using the data,
including vendors, geoscientists, chemists, and other
technical specialists. The data management plan must
address how data from different sources will be integrated to
support decisions."
*
htt d: //www. brow nf ie I dstsc. o ra/odf s/M a na ae m
ent and Interpretation of Data.Ddf
Office of Water
Office of Wetlands, Oceans and
Watersheds
Retain data commensurate with its value
General Guidance
Volunteer Stream Monitoring: A
Methods Manual
Chapter 6 Managing and
Presenting Monitoring Data,
11/30/2006
This document stresses checking with data users to ascertain
both how the data will be used, and processes/presentation
formats. References STORET as best repository for data
sharing.
**
htt d: //www. e oa. a ov/vo I u ntee r/strea m/v m s6 0.
html
Office of Water
Office of Wetlands, Oceans and
Watersheds
Manage scientific data for appropriate control
Specific Guidance
Volunteer Stream Monitoring: A
Methods Manual
Chapter 6 Managing and
Presenting Monitoring Data,
11/30/2006
This chapter emphasizes the need to establish a method for
data management and handling. It doesn't offer much
guidance, however.
*
htt d: //www. e oa. a ov/vo I u ntee r/strea m/v m s6 0.
html
Western Regional Air
Partnership (WRAP)
Develop a scientific data management plan
that covers the full data life cycle
General Guidance
Comprehensive Data
Management of WRAP
Emissions Data, 2009
This is a data management plan for emissions data that could
be used as guidance for the creation of an ORD data
management plan policy.
(Note: The Western Governors' Association and the National
Tribal Environmental Council receive funding from EPA to
administer and support the WRAP.)
*
htt d: //www. e Da. a ov/ttn/c h i ef/co nf e re nce/e i 18/
session 1/hoek. Ddf
a. The applicability rating is shown as one, two, or three stars (***). A one-star rating means that the information is related to ORD's scientific data management (SDM) policy framework, but is expected to be of limited value in developing its policies and guidance. A twc
star rating means that the information is somewhat relevant to ORD's policy framework and/or is presented in limited detail. A three-star rating means that the information provided is directly applicable to ORD's SDM policy/guidance goals and could serve as a model
forORD.
Page A-8

-------
Summary of Findings by Office and Policy Area -
Other Federal Agencies

-------
Department of Energy (DOE)
Office/project
Title
Description
Enterprise assets and liabilities
Scientific data management
plans (full life-cycle)
Identify scientific data with
metadata
Manage data for control
(Intellectual property)
Maintain version and change
control
Data retention and data
valuation
Knowledge
management
capture
Contacts
URL
ARM
ARM Data Sharing and
Distribution Policy
The policy sets expectations and
establishes procedures for sharing
data acquired in the course of the
Atmospheric Radiation Measurement
(ARM) Program.


From the USGCRP data policy:
Full and open sharing of the full
suite of global data sets for all
global change researchers.
All data sets acquired during an
IOP or campaign will be made
available to the ARM External
Data Center for dissemination to
users and forwarding to the ARM
Archive.
ARM data are available to all
participants on a free and open
basis and are publish able upon
receipt with acknowledgment of
ARM as the source.
The policy states that researchers
and participants may release their
own preliminary data to whomever
they wish and the preliminary data
of other investigators with consent
from the data's originator.
The automatic inclusion of a data
originator as a co-author is not
insisted upon in the ARM
Program, but the source of any
data should be clearly recognized
either as a co-author or through
an appropriate acknowledgment.
The ARM External Data Center
and Archive will track data
versions and ensure latest data
versions are made available to
data recipients.



h tt o :/fw ww .a rm .aov/data
/docs/oolicv
OSTI-LLNL
The State of Data
Management in the DOE
Research and Development
Complex, 7/14-15/2004
The report suggests guidelines that
data-intensive programs and facilities
may adopt to assure that data
generated are effectively managed
and made available. It recommends
collecting and retaining data that
might otherwise be lost to future
scientists.
The report discusses issues such
as data ownership and DOE rights
of re-use compound the problem
of how to manage resulting data.
The report states that DOE needs
a department-wide policy that
recognizes life-cycle data
management. It recommends an
umbrella policy for data
generators, collectors, curators,
and users.
The report states that metadata
must be optimized for future
retrieval, assimilation and re-use
and professional staff of scientists
are needed to manage data.
According to the report, issues
such as data ownership and DOE
rights of re-use compound the
problem of how to manage
resulting data.

According to the report, a data
management plan (DMP) would
describe how data should be
preserved, documentation needed
to assure validation and future
use, and funding/infrastructure
needs to ensure longevity. It
states that turning over data files
is not mandatory by DOE (more
guidelines on page 7, also
recommends to look to DOE data
centers on retention policies).

Sharon
Jordan (865)
576-1194
jordans@osti.
gov
htt d://www. osti .aov/Dubli
cations/2007/datameetin
qreport.pdf
OSTI-LLNL
Management of OSTI-LLNL
Electronic Data
The document describes the controls
for managing electronic data
produced for OSTI-LLNL. It focuses
on meeting their quality assurance
plan (QAP) and covers (1) data
accuracy, completeness and
integrity, (2) data transfer, (3) data
storage and maintenance, (4)
equipment access and backup, (5)
data security, and (6) submittal of
data to technical data coordinator.




According to the document,
electronic files may be converted
from one software to another.
Staff should include entry in
scientific notebook indicating that
a verification of file conversion
has been conducted. It also
includes detailed steps on data
transfer.



https://eed.iini.aovA/mD/
od f/IM-317550-2.Ddf
ORNL
Developing Data
Management Policy and
Guidance Documents for
your NARSTO Program or
Project
The document provides guidance for
archiving data, data file format
template, and guidance for data
policies and plans. A compilation of
data management policy and
guidance documents for program and
project use in developing data
management plans are available at
h ttp ://cdiac .orn I .gov/programs/NARS
TO/about.html
The document states that at some
point there is a legal obligation for
data collected with government
funds to be freely available.
The guidelines provides a data
flow chart before, during, and
after, field campaign. It mentions
that a clear statement of the
importance of the data collection
and the ffow of the data in the
broadest possible context is
needed.
In addition, advanced planning for
archiving project data furthers
efforts to identify, collect, and
report consistent data and
metadata and to facilitate timely
data analysis, sharing, integration,
and synthesis.
The guidance states that there
must be a decision on whether
investigators have an obligation to
make data easy to use by others.
It also states that metadata
should clearly state source of
data, whether data are preliminary
and for use only among the
project or suitable for widespread
dissemination and citation
requirements.
ORNL uses a web-based
inventory of project data using the
existing ORNL metadata search
and data retrieval system called
Mercury.
The document states that
copyrights are a difficult issue.
Must allow instrument operator to
reap rewards of efforts, but
common good is served by
sharing.
A policy must address how project
will ensure IP rights are protected
and co-authorship or credit is
given to originators and
investigators.
The guidelines state that a policy
must provide standard names to
identify the project, data files and
data sets.
It mentions that data from
NARSTO projects are formatted in
the NARSTO Data Exchange
Standard (a spreadsheet-
compatible layout, which uses
standardized and consistent
metadata values)
The guidance recommends that
policies adopt, adapt or refine
model documents as appropriate
with input from managers,
investigators, modelers, and data
coordinators. They must also
addresses data validation and
assigning quality levels.
The guidance recommends that
managers ask about value of
data: short-term (3-5 years) mid-
term (10) or longer (20).
In addition, scientists are
encouraged to document their
data at a level sufficient to satisfy
the well-known "20-year test".
Someone 20 years from now, not
familiar with the data or how they
were obtained, should be able to
find data of interest and then fully
understand and use the data
solely with the aid of the
documentation archived with the
data (NRC).

Les Hook,
hookla@ornl.g
ov (865) 241-
4846
http://cdiac.orni.aov/pro
arams/NARSTO/DM de
velop auide.pdf
ORNL
NARSTO Quality Systems
Management Plan, 9/30/1999
The document identifies the NARSTO
program quality assurance and data
management requirements and
guidelines for ensuring NARSTO
product credibility, reliability,
accessibility and quality.

The document provides a project
plan and data archival process
flow chart.






http://cdiac.orni.aov/Dro
arams/NARSTO/odf/as
mp current version.PD
F

-------
Department of Energy (DOE)
Office/project
Title
Description
Enterprise assets and liabilities
Scientific data management
plans (full life-cycle)
Identify scientific data with
metadata
Manage data for control
(Intellectual property)
Maintain version and change
control
Data retention and data
valuation
Knowledge
management
capture
Contacts
URL
ORNL
Guidelines for Archiving Data
in the NARSTO Permanent
Data Archive, 5/2/2006
The document outlines how data are
selected for archiving; identifies ways
that Projects can foster archiving;
lists items to consider when
preparing data for archiving; and
describes the archiving process.

The document provides
characteristics of project DMP that
will result in successful data
archiving.



The document includes guidance
that stresses characteristics of
projects and data that are worthy
or able to be well-archived.
According to the document,
NARSTO encourages scientists to
document their data at a level
sufficient to satisfy the well-known
"20-year test."

Les Hook,
hookla@ornl.g
ov (865) 241-
4846
h tt d ://c di a c. or nl. aov/Dro
qra ms/N A RST O/Gui deli
nes for Archivina NAR
STO Data.odf
ORNL
The NARSTO Atmospheric
Measurements Template,
4/29/2005
The NARSTO Atmospheric
Measurements Template replaces the
former NARSTO Data Management
Handbook, which is no longer
available.


The Data Exchange Standard
(DES) template is designed to
help data originators create DES
files. The worksheet titled Detailed
metadata contains a possible
layout and content of a
companion detailed metadata
document.

Every regular measurement needs
to have an associated NARSTO
standard flag. "Dimensional"
variables (those that indicate the
setting for measurements, such
as site, date, time, altitude, etc.)
The NARSTO QSSC maintains a
list of standardized variable
names for non-chemical
variables, and lists of chemicals
that have or do not have CAS
numbers.



ftD://narsto.esd.ornl.aov/
oub/DES metadata/var
names web sources/NA
RSTO temolate atmosD
heric measurements.xls
Website link available at
httD://cdiac.ornl.aov/Dro
qrams/NARSTO/aadocu
mentation.html

-------
National Aeronautics and Space Administration (NASA)
Office/project
Title
Description
Enterprise assets and
liabilities
Scientific data management
plans (full life-cycle)
Identify scientific data with metadata
Manage data for control
(Intellectual property)
Maintain version and
change control
Data retention and data valuation
Knowledge
management
capture
Contacts
URL
NASA's Heliophysics
Data Environment
(HPDE): Data and
Services for the
Heliophysics Great
Observatory
NASA Heliophysics
Science Data
Management Policy,
6/25/2007
The policy provides an
overview of the
components of the HPDE
including: a timeline of
significant events in the
data lifecycle, guidelines for
the preparation of Project
Data Management Plans
(PDMP), guidelines for the
long-term serving and
archiving of data, and a
plan for keeping the Data
Policy updated in light of
changing technology and
community needs.
The policy states that NASA
observational data represent an
asset that must be retained in a
usable state into the indefinite
future.
This policy provides a blueprint
for the HPDE, tracing the data
lifecycle from measurements to
final archives.
Page 23 provides examples of
information that are appropriate
for each data provider to include
in a PDMP.
According to the policy, the HPDE will
benefit greatly from more conventional
standards, but experience has shown that
if these are imposed by bodies without
community input they tend to be ignored.


The policy states that the NSSDC
will ensure the maintenance of the
permanent archive; the physical
arrangements for such storage will
be made in whatever manner is most
economical, secure, and accessible.
In addition, NASA archives must
have user advisory committees to
advise on the likely future use and
value of datasets candidate for
resource-intensive renewal cycles.

http://nssdc.gsf
c.n asa.gov/arc
hive/pdmp/
htto://hDde.asfc.na
sa.aov/HelioDhvsic
s Data Policv 200
7June25.odf
Office of Space
Science and
Applications
Guidelines for
Development of a
Project Data
Management Plan
(PDMP), March 1993
The purpose of this
document is to provide
guidelines/template to
assist NASA Project
personnel in the
preparation of plans for
managing the data
associated with their
project. The document
addresses the management
of data from space science
investigations, from the
point of their reaching the
ground, to their entry into
permanent archives.
The document states that any
agreements regarding exclusive
rights to data for the Pis should
be stated, with summary
timelines for when the data will
be released to the public. All
data sets to be permanently
archived should be identified in
this section.
The document recommends that
the Project Data Flow should be
stated in the PDMP, including an
overall functional Data Flow
Diagram. This diagram should
identify those facilities
performing various functions as
the project progresses through
its various mission phases.
Example is provided.
Asection of the PDMP should identify and
describe all data sets expected to be
generated. This includes the science data
itself, associated ancillary data and
orbit/attitude data of the spacecraft.
Each PDMP should have a glossary of
terms relevant to that project.
Each PDMP should have an acronym list
of terms relevant to that project.

The PDMP should illustrate
the plans for modifications
and updates to this
document over time, and
how those changes will be
controlled.
Project data repositories are project
specific, providing temporary storage
for active data as it is being
processed and analyzed. This
section of the PDMP should address
the requirements placed on the
project data repositories.
The section should address how
data will transition from project to
permanent discipline archives. Table
8 provides a format for summarizing
storage requirements by data set.
Once archived, data sets and
supporting information shall be
periodically reviewed to assess their
value for continued retention by
NASA.


httD://nssdc.asfc.na
sa.aov/nssdc/Ddmo
quidelines march
93.rtf
National Space
Science Data Center
(NSSDC)
White Paper on
NASA Science Data
Retention, 8/6/2007
This brief note addresses
which NASA science data
should be retained
indefinitely, and the
conditions under which
certain data may and
should be released.

NASA archives must ensure the
continuing preservation,
accessibility, and usability of the
data in their care. Plans for doing
so should be spelled out in
Archives' Operating Plans.
Projects must create and certify optimally
standards-adherent definitive data sets,
and accompanying material
(documentation, ancillary data, software,
etc.) as needed to make the data
independently usable,

Ensuring continuing data
integrity and usability
requires periodic data
renewal cycles. Some such
cycles will involve only bit
migration from old to new
media.
Datasets leading up to the
production of the definitive dataset
should be retained only to a point six
months past the creation and
certification of the definitive dataset.
Derived datasets should be retained
as long as they remain scientifically
viable (i.e., algorithms or coefficients
used in their derivation remain
credible) and the cost of
regenerating them (for some
anticipated request level) outweighs
the cost of their retention and
maintenance.
NASA archives must have user
advisory committees to advise on
(among other things) the likely future
use and value of datasets candidate
for resource-intensive renewal
cycles.

Ed Grayzeck
Ed Bell
httD://nssdc.asfc.na
sa.aov/nssdc/data
retention.html
Consultative
Committee for Space
Data Systems
Reference Model for
an Open Archival
Information System,
January 2002
This is a technical
recommendation for use in
developing a broader
consensus on what is
required for an archive to
provide permanent, or
indefinite long-term,
preservation of digital
information.
In addition, it establishes a
common framework of
terms and concepts that
comprise an Open Archival
Information System (OAIS).

The purpose of this reference
model is to facilitate a much
wider understanding of what is
required to preserve and access
information for the long term.
It provides a data flow diagram
that represents the operational
OAIS archive external data flows.
This diagram concentrates on
the flow of information among
producers, consumers and the
OAIS and does not include flows
that involve Management.

If the word processing format is
proprietary, and it cant be
acquired even to the level of
simply viewing the document, it
may be necessary to migrate
the document to a non-
proprietary format to ensure its
long term preservation.
Some projects have one-year
proprietary periods before data
in released to the science
community. The Planetary Data
System (PDS) policy is to avoid
receipt of any proprietary data
sets during the proprietary
period.
It addresses the migration
of digital information to new
media and forms, the data
models used to represent
the information, the role of
software in information
preservation, and the
exchange of digital
information among
archives.
The information being maintained
has been deemed to need long term
preservation, even if the OAIS itself
is not permanent. Long term is long
enough to be concerned with the
impacts of changing technologies,
including support for new media and
data formats, or with a changing
user community.


httD://oublic.ccsds.
o ra/ou bl ication s/arc
hive/650x0b1 .pdf

-------
National Aeronautics and Space Administration (NASA)
Office/project
Title
Description
Enterprise assets and
liabilities
Scientific data management
plans (full life-cycle)
Identify scientific data with metadata
Manage data for control
(Intellectual property)
Maintain version and
change control
Data retention and data valuation
Knowledge
management
capture
Contacts
URL
Jet Propulsion
Laboratory
NARSTO Quality
Systems
Management Plan,
9/30/1999
The document describes
the Cassini /Huygens
Program plan for
generating, validating, and
delivering data products to
the PDS. Included are the
policies, guidelines, and
requirements that will be
followed by instrument
teams in the generation of
PDS compliant archives. It
provides a high-level
description of science and
SPICE data sets, data size
estimates, and a delivery
schedule that can be used
by the PDS for planning
purposes.
According to the document,
PDS archives will be accessible
to the public on-line. The PDS
on-line system will provide
search filters, such as time
range or target name, so that a
user can retrieve data that meet
specific search criteria.
NSSDC is responsible for filling
large delivery orders to the
science community, and
making data available to
foreign investigators,
educators, and the general
public.
Archive policies, guidelines and
requirements have been
developed to ensure data
products meet PDS standards
and support collaborative studies
among Cassini Orbiter and
Huygens Probe data.
PDS labels and index files provide
searchable keys and describe
characteristics of the products. Index files
are used to populate the PDS search
catalog.
There should be a consistent
representation of time used in filenames,
directory names, labels, and index files.
The document states that the PDS
Discipline Node (DN) assigned to an
instrument team coordinates and leads a
peer review of a sample volume.
Members of the PSG will be asked to
participate in peer reviews as well as
members of the science community
outside the PSG. The peer review is used
to ensure the archive contains all the
components needed to perform science
analysis, and is prepared as documented
in the Software Interface Specification
(SIS).

The document states that
filenames will adhere to ISO
9660 level 2 specifications
that allow the total filename
length of 31 characters.
There is no official
reference for the NASA
product level descriptions.
The source for the NASA
product level descriptions
found below was taken from
a Mars project archive plan.
The NSSDC ensures the long-term
preservation of data.

Other PDMP
information
found at
http://nssdc.gsf
c.n asa.gov/arc
hive/pdmp/
htto://trs-
new.iol.nasa.aov/d
space/bitstream/20
14/14261/1/00-
0674.pdf

-------
National Institutes of Health (NIH)
Office/project
Title
Brief description
Enterprise assets and liabilities
Scientific data management
plans
(full life-cycle)
Identify scientific
data with metadata
Manage data for control
(Intellectual property)
Maintain version and change
control
Data retention and data
valuation
Knowledge
management
capture
Contacts
URL
National Institute on
Aging
Guidelines for Developing
a Manual of Operations
and Procedures (MOP),
12/27/2007
Sets forth guidelines to providing
a MOP template for Principal
Investigators of multi-site clinical
trials. The role of the MOP is to
facilitate consistency in protocol
implementation and data
collection across participants
and study sites.

Guidelines for program
investigators of multi-site clinical
trials to follow when preparing
MOPs. MOPs are intended to
facilitate consistency in protocol
implementation and data
collection, and are prepared before
the study begins. The guidelines
most relevant to Office of Research
and Development (ORD) include
data flow (e.g., data ffow, data
entry, data correction), data
retention, data management, study
completion and closeout
procedures, confidentiality). The
guidelines ensure that all forms are
complete, intact, and transmitted to
the data manager in a single site
study or to the Coordinating
Center, as appropriate. More
recently, in some studies, data are
directly entered into an electronic
CRF (eCRF).
In addition, a Users Guide may
need to be developed as a
separate document to aid the study
staff with data management tasks.

The guidelines discuss the
safeguards which have been put in
place by the Steering Committee to
ensure participant confidentiality
and data security.
P 22: a list of study participant
confidentiality safeguards.
The guidelines mention updating
which is described as correcting
data and maintaining an audit trail
of all data changes.
The guidelines state that a MOP
must specify the length of time all
study files are to be maintained.
NIH policy requires that studies
conducted under a grant retain
participant forms for three years,
while studies conducted under
contract must retain participant
forms for seven years. Individual
Institutional Review Boards (IRBs),
institutions, states, and countries
may have different requirements
for record retention. The MOP
should also briefly outline the study
completion and close-out
procedures.


h tt p :/fw ww .n ia .n ih. aov/N
R/rdon lvres/AEC5CE46-
96 E1-43D9-BA77-
BAE8BF0D6CDC/0/Man
ualofProceduresMOPFin
all .doc
Webpaae link available
at:
http:/A«ww.nia.nih.aov/R
esea rc h 1 n formation/CTto
olbox/
Division of Acquired
Immune Deficiency
Syndrome (DAIDS)
Clinical Research
Policies and
Standard Procedures
Documents
Requirements for Data
Management and
Statistics for DAIDS
Funded and/or Sponsored
Clinical Trials, 2/5/2007
Provides several documents that
briefly discuss data management
requirements.

The requirements state that
following clinical trial data
management requirements must
be met in order to ensure the
authenticity and integrity of data.
It describes the processes and
methods that data collection sites
and central data management
facilities must develop to manage
their data, including: data
management operations, overall
data management system, data
storage, database closure and
archiving, and data audits.
According to the requirements, clinical trial
data need to be managed in such a way as
to ensure the authenticity and integrity of
the data elements collected and to comply
with applicable regulations and
International Conference on Harmonization
(ICH) Good Clinical Practice (GCP)
guidelines.

The requirements state that
policies must develop change
control procedures to ensure
quality control in changes made to
the data collection tools. Include
how changes are requested, how
the impact of changes is assessed,
who is responsible for authorizing
the changes, how the changes are
tested and released, and how the
changes are documented.
The requirements state that
policies must develop a plan for
record retention, both electronic
and hard copy. It must include
when record retention begins, the
length of time the records are
retained, where the records are
retained, the security of the storage
space, who has access to the
storage space, and who is
responsible for approving access.


htto:/A«ww3.niaid.nih.aov
/La bs And Resou rces/reso
urces/DAIDSCIinRsrch/P
DF/DataMat StatPolicv.h
tm
Webpaqe link available
at:
http://www3.niaid.nih.aov
/La bs And Resou rces/reso
urces/DAIDSCIinRsrch/D
ataManaaement.htm
National Heart,
Lung, and Blood
Institute (NHLBI)
Policy for Dataset
Preparation, 10/1/2005
This updated policy provides
information on data
management and responsibility
relating to data set requests and
procedures for protection of
privacy.
According to the policy, their full
value of data can only be realized if
they are made available, under
appropriate terms and conditions
consistent with the informed
consent provided by individual
participants, in a timely manner to
the largest possible number of
qualified investigators.
In addition, all investigators
seeking access to data from NHLBI
supported studies that are in the
possession of the Institute must
execute and submit with their
requests the appropriate standard
Distribution Agreement for each
study.

The policy states that documentation for
data sets must be comprehensive and
sufficiently clear to enable investigators
who are not familiar with a data set to use
it. The documentation must include data
collection forms, study procedures and
protocols, descriptions of all variable
recoding performed, and a list of major
study publications.





https://biolincc.nhlbi.nih.
qov/new data set oolicv
/
Office of Chief IT
NIH Enterprise
Conceptual Data Model
v1.0., January 2007
The documents provides a
specification of the key data
entities that support NIH's
business processes and provides
an overarching framework to
organize more detailed data
architecture efforts and provide a
common taxonomy for
describing data assets across
NIH.







John Sharp
Demetrios
Kostikopoulos:
kotsikod@mail.
nih.gov
htt p ://e nte rprisearchitect
ure .n ih .aov/NR/rdonIvres
/5D3017EA-22C1-4BCC-
8E0F-
79 EB7B5C797A/0/N RFC
0025.pdf
NIH Enterprise
Architecture
NARSTO Quality Systems
Management Plan,
9/30/1999
The document specifies NIH
architecture best practice for the
NIH community for AD Attribute
Data Content Management and
requests suggestions for
improvements.


Lists user attribute data content
management rules.





htt p ://e nte rprisearchitect
u re .n ih .aov/N R/rdon Ivres
/8B8AFA60-68A1-4155-
A08F-
03163B610E39/0/NIHRF
CO008Acti v e D i re ctor vAttr
ibuteDataContentandMa
naaement.pdf
Page B-5

-------
National Institutes of Health (NIH)
Office/project
Title
Brief description
Enterprise assets and liabilities
Scientific data management
plans
(full life-cycle)
Identify scientific
data with metadata
Manage data for control
(Intellectual property)
Maintain version and change
control
Data retention and data
valuation
Knowledge
management
capture
Contacts
URL
Office of Extramural
Research
NIH Data Sharing Policy
and Implementation
Guidance, 3/5/2003
The policy provides guidance on
data sharing and additional
information on the
implementation of the NIH data
policy.

According to the policy, the precise
content and level of detail to be
included in a data-sharing plan
depends on several factors, such
as whether or not the investigator
is planning to share data, and the
size and complexity of the data set.
The policy states that data sharing
promotes many goals of the NIH research
endeavor. It is particularly important for
unique data that cannot be readily
replicated.
It also mentions that final research data are
recorded, factual material that must be
commonly accepted in the scientific
community as necessary to document,
support, and validate research findings.
This does not mean summary statistics or
tables; rather, it means the data on which
summary statistics and tables are based.
Regardless of the mechanism used to
share data, each data set will require
documentation.
The rights and privacy of human
subjects who participate in NIH-
spon sored research must be
protected at all times. It is the
responsibility of the investigators,
their IRB, and their institution to
protect the rights of subjects and
the confidentiality of the data.
It is appropriate for scientific
authors to acknowledge the source
of data upon which their
manuscript is based. Many
investigators include this
information in the methods and/or
reference sections of their
manuscripts.
Investigators sharing data under
their own auspices should consider
using a data-sharing agreement to
impose appropriate limitations on
users.
Because the value of data often
depends on their timeliness, data
sharing should occur in a timely
fashion. NIH expects the timely
release and sharing of data to be
no later than the acceptance for
publication of the main findings
from the final data set.


httD://arants.nih.aov/aran
ts/oolicv/data sharina/da
ta sharina auidance.htm
National Cancer
Institute (NCI),
Division of Cancer
Prevention (DCP)
NCI, DCP
Data Management
Requirements, October
2003
A short guideline document
specific to cancer research.

The document states that a Data
Management Plan (DMP) is a
document prepared by the
Consortium Principal Investigator
and approved by the NCI, DCP.
The DMP should document the rules for
handling data ranges, data types and
coding of missing data.


According to the document, the
DMP should include a description
of the security plan and should
delineate responsibilities and
expected behavior of all individuals
who have access to study data and
systems.
Also indicates how long the records
will be retained and when the
process begins.


httD://oreventi on .cancer,
qov/files/clinical-
trials/DataMamt Ramts. d
oc
Webpaqe available at:
htto://Drevention .cancer,
qov/clinicaltrials/manaqe
me nt/c on sorti a/steo-
2/data
Page B-6

-------
National Oceanic and Atmospheric Administration (NOAA)
Office/project
Title
Description
Enterprise assets and
liabilities
Scientific data management
plans
(full life-cycle)
Identify scientific data
with metadata
Manage data for control
(intellectual property)
Maintain version and
change control
Data retention and data
valuation
Knowledge
management
capture
Contacts
URL
NOAA
NOAA Report to Congress on
Data and Information
Management, October 2005
This biannual report was sent to
Congress on the state of data
management in NOAA.
The report assembled 12 survey
questions focused on a holistic,
end-to end observation and data
management approach,
addressing five data
management, archive, and
distribution areas identified in
Section 106 of the Public Law
102-567, Data and Information
Systems.

According to the report, NOAA is
in the initial stages of developing
and implementing an integrated
data management system,
based on common IT
architecture and common
processes.
The report states that NOAA faces a major
challenge in enabling interoperability
between legacy systems and emerging data
systems. This lack of system
interoperability, across NOAA and across
agencies, hampers the collaborations
enabled by technological gains.
It adds that integration and interoperability
will be achieved through common protocols,
hardware, and software, as well as the use
of data and metadata standards. NOAA has
begun this process by adopting a common
enterprise-wide IT architecture.





http://www.nadc.noaa.
aov/noaa Dubs/Ddf/NO
AA Conaress2005.cdf
Administrative
Management and
Executive Secretariat
NOAA Administrative Order:
216-101. Ocean Data
Acquisitions, 7/9/1990
The order establishes policies
and procedures to ensure that
NOAA ocean data support
multiple uses of those data for
purposes other than those for
which they originally were
collected.
The order states that
retrospective access to data is
required by the research
community, climate/global
change activities, and
cartographic activities through
designated national data
management centers.
This order defines certain
responsibilities of and
procedures for all NOAA
activities, including reimbursable
programs for other agencies and
NOAA funded contracts and
grants, that involve the collection
and archiving of ocean data
from the open-ocean, Great
Lakes, coastal waters, and
estuaries.
The order states that NOAA managers of
programs that conduct ocean data collection
activities are responsible for assuring that
data and related information with high utility
for other users are available in a timely
manner at national processing centers and
national data centers and are documented
and archived in designated national data
management centers.
In addition, data submitted to the national
data management centers are to be
submitted via computer-compatible digital
media when possible rather than as printed
reports. Documentation must include
information sufficient to fully describe the
physical recording technique, data format,
recording mode, blocking factor, and other
pertinent items.
The order suggests that
managers should work with
their principal investigators
to assure that other data,
which may not be
appropriate for archival at
national centers, are
documented and archived
within the established period
of time at the principal
investigator's or an
associated institution so
these data will be available
for other uses upon request.

The order adds that data are
used weeks to decades after
the initial data acquisition.
These archived data sets
usually have more stringent
quality requirements than
real-time data.


htto://www.corporatese
rvices.noaa.aov/~ames
/NAOs/Chap 216/naos
216 101 .html
Administrative
Management and
Executive Secretariat
NOAA Administrative Order
212-15. Management of
Environmental and
Geospatial Data and
Information, 12/2/2008
The order establishes a policy for
acquiring, integrating, managing,
disseminating, and archiving
environmental and geospatial
data and information obtained
from worldwide sources to
support NOAA's mission.

The order states that NOAA data
management planning will
include end-to-end data
stewardship.
In addition, the NOAA Chief
Information Officer (CIO) must
develop a data management
plan in coordination with the
appropriate data center,
specifying the data life cycle and
disposition of data and
information for each program.

The order states that
managers should maintain a
list of applicable reference
materials and will provide
access to their electronic
editions on the define
website.
The order states that
managers need to be alert
to and mitigate the risks
caused by changes of
instruments, platforms,
locations, and methods for
observing or processing
data.



htto ://www.corporatese
rvices.noaa.aov/~ames
/NAOs/Chap 212/naos
212 15.html
NOAA/National
Research Council
Environmental Data
Management at NOAA:
Archiving, Stewardship, and
Access.
NOAA asked the National
Research Council to help
determine which observations,
model outputs, and other
environmental information
should be preserved in perpetuity
and made readily accessible and
which data have a limited
storage lifetime and easier
accessibility requirements. This
report suggests nine general
principles for the effective
management of environmental
data and specific guidelines and
examples illustrating how NOAA
could apply these principles.

Principle #7: Effective data
management requires a formal,
ongoing planning process.
NOAA should establish and
codify an enterprise-wide data
management plan (elements of
plan listed on p. 87-88).
Principle #2: Data-generating
activities should include
adequate resources to support
end-to-end data management.
Principle #6: Scientific data stewardship,
with assigned organizational responsibility,
should be applied to all environmental data
sets and their associated metadata to
ensure that this information is preserved,
remains continually accessible and can be
improved as future discoveries build
understanding and knowledge.
Guideline: Metadata that adequately
document and describe each archived data
set should be created and preserved to
ensure the enhancement of knowledge.
Guideline: NOAA and partners should
continue to expand use of standards and
reference models.

Guideline: establish and
maintain data and
metadata migration plans
for all current and future
long-tern archive systems
to adapt to information
techn ology evol uti on.
Guideline: develop and
maintain scalable and
reliable infrastructure that
ensures long-term access
and preservation of data
assets.
Principle #9: A formal,
ongoing process with broad
community input is needed
to decide what data to
archive and what to dispose.
Guideline: It may be cost-
effective to regenerate
certain kinds of
environmental data on
demand.


http://www.nae.edu/na
e/naepcms.nsf/weblink
s/MKEZ-
79CSA3?Open Docum
ent

-------
National Oceanic and Atmospheric Administration (NOAA)
Office/project
Title
Description
Enterprise assets and
liabilities
Scientific data management
plans
(full life-cycle)
Identify scientific data
with metadata
Manage data for control
(intellectual property)
Maintain version and
change control
Data retention and data
valuation
Knowledge
management
capture
Contacts
URL





Principle #5: Metadata are essential for data
management
Guideline: Stewardship requires systematic,
ongoing assessment and improvement of
data. Stewardship plans should be
consistent but flexible so improvements in
data and metadata are captured.
Guideline: data should be made available to
users in a timely manner and should be
accessible with as few barriers as possible
(administrative, technological, and
systematic barriers are described). A
distributed data access structure can
support improved data discovery and
seamless integration.


Principle #1: Environmental
data should be archived and
accessible.
Guideline: archiving and
access decisions are closely
related. When resources are
limited, access to older or
less commonly used data
should be scaled back,
rather than removing data
from archive.






Principle #8: And effective data archive
should provide for discovery, access and
integration.
Guidelines: environmental data should be
easily discoverable by a broad range of
users. Data discovery should not require
any specific knowledge about the data or
how they are managed.
Search tools and other discovery-enhancing
features could be improved at many
environmental data access points and by
the use of expanded metadata (detailed list
provided on p 75-76).






NOAA/National
Environmental
Satellite, Data, and
Information (NESDIS)
Data Management Systems
And Tools
A key recommendation of the
2000 Report of the President's
Panel on Ocean Exploration was
for NOAA to establish a broad-
based data management task
force to design and implement
an integrated and
comprehensive data
management system, which
would facilitate data sharing
across a broad, multidisciplinary
community. In October 2002,
NESDIS formed an Integrated
Product Team in partnership with
NOAA's Ocean Exploration staff
and other NOAA and non-NOAA
partners.

Office only offers tools for
accessing and managing data.
There are no guidelines for data
management.





Phone: 301-
713-3578
h tto ://www .exolore. noa
a.qov/data-
manaaement
NWS
Telecommun icati on
Operations Center
What Does Data
Management Provide to
You?, 3/24/2010
Website provides a variety of
tools and resources, such as:
Data Management Notices, Data
Management Customer
Relationship Management
System (CRM), and NWS
Communication Identifiers. No
guidelines.








h tto ://www .weath er .ao
v/datamamt/
Page B-8

-------
National Science Foundation (NSF)
Office/project
Title
Description
Enterprise assets and
liabilities
Scientific data management plans (full
life-cycle)
Identify scientific data with
metadata
Manage data for control
(intellectual property)
Maintain version and change
control
Data retention and data valuation
Knowledge
management
capture
Contacts
URL
National Science
Foundation
Long-Lived Digital Data
Collections: Enabling
Research and education
in the 21st Century,
2005
The report presents the findings
and recommendations from an
analysis ofthe policy issues
relevant to long-lived digital data
collections. This analysis included
a study of data management
practices across federal science
agencies (done in 2004), which is
summarized in this report.
It also provides summary of
current policies at NSF and other
agencies on data sharing and
archiving.

The reports describes in-house process
(NOAA and NASA) and collections
performed by external organizations (NSF
and NIH).
It states that the contents ofthe data
management plan should include: the types
of data to be authored; the standards that
would be applied for format, metadata
content, etc.; provisions for archiving and
preservation; access policies and
provisions; plans for eventual transition or
termination ofthe data collection in the
long term future.
The report identifies and describes the roles
of key actors in digital data collections, key
contents of a data management plan.
The report provides data
access/release guidelines.
The report states that NSF
expects significant findings from
research and education activities
it supports to be promptly
submitted for publication, with
authorship that accurately reflects
the contributions of those
involved.

According to the report, the vast majority of NSF
support carries with it no long-term commitment.
Principal investigator grants have a duration of
several years. Centers are typically funded for five
years with a potential for an additional five years
of funding. Long-lived digital data collections
raise a new issue. It is timely for NSF to consider
whether it should make very long-term
commitments to a digital collection.


h tt d :/fw ww .n sf.aov/DU
bs/2005/nsb0540/
Division of Ocean
Sciences
Division of Ocean
Sciences: Data and
Sample Policy,
11/3/2003
The Data and Sample Policy
highlights the General Data Policy
governing how principal
investigators submit and manage
their data.

In addition, focused programs supported by
NSF's Division of Ocean Sciences may
establish more stringent data submission
procedures to meet the needs of such
programs. Principal Investigators supported
by these programs are required to follow
these data submission procedures.
The policy states that annual
reports, required for all projects,
should address progress on data
and research product sharing.
The policy states that where no
data or sample repository exists for
the collected data or samples,
metadata must be prepared and
made available. The principal
investigator is required to address
alternative strategies for complying
with the general philosophy of
sharing research products and data
as described above.


According to the policy, principal investigators are
required to submit all environmental data
collected to the designated National Data Centers
as soon as possible, but no later than two years
after the data are collected.
The encouragement of digital preservation
programs explicitly aimed at facilitating sustained
access.


htt d :/fw ww .n sf.aov/DU
bs/2004/n sf04004/nsf
04004 1b.htm
Social, Behavioral
and Economic
Sciences (SES)
Data Archiving Policy,
11/8/2008
The web site highlights the Data
Archiving Policy, the purpose of
which is to advance science by
encouraging data sharing among
researchers. It provides
guidelines for archiving data for
several different categories of
data, including: quantitative social
and economic data, qualitative
information, experimental
research, and mathematical and
computer models.

This policy explicitly recognizes that many
complexities arise across the range of data
collection supported by SES programs, and
that unusual circumstances may require
modifications or even full exemptions. For
example, human subjects protection
requires removing identifiers, which may be
prohibitively expensive or render the data
meaningless in research that relies heavily
on extensive in-depth interviews.
The policy states that if it is
appropriate for other researchers to
have access to them, the
investigators should specify a time
at which they will be made
generally available, in an
appropriate form and at a
reasonable cost.
According to the policy,
intellectual property rights may be
at risk in some forms of data
collection. The policy is intended
to be flexible enough to
accommodate the variety of
scientific enterprises that
constitute SES programs. No
comprehensive set of rules is
possible.
The policy states that the kinds of
qualitative information collected in
research projects supported by
SES can range from microfilms
and other copies of very old
documents to oral interviews and
video tapes about historical
events in science or about
contemporary technological
controversies. They can consist of
hand written records of open-
ended interviews. Investigators
should consider whether and how
they can develop special
arrangements to keep or store
these materials so that others can
use them.



htt d :/fw ww. nsf.aov/sb
e/ses/common/archiv
e.isp
Division of Earth
Sciences (EAR)
Implementation ofthe
NSF Data Sharing
Policy, April 2002
The statement provides
guidelines for implementing
NSF's data sharing policy. The
purpose ofthe statement is to
ensure open access to quality
data for Earth Science research
and education.
According to the
document, it is the
responsibility of
researchers and
organizations to make
results, data, derived data
products, and collections
available to the research
community in a timely
manner and at a
reasonable cost. In the
interest of full and open
access, data should be
provided at the lowest
possible cost to
researchers and
educators.
The document states that within the
proposal review process, compliance with
data guidelines will be considered in the
Program Officer's overall evaluation of a
principal investigator's record of prior
support. Exceptions to these data
guidelines require agreement between the
principal investigator and the NSF Program
Officer.

The document states that data
may be made available for
secondary use through
submission to a national data
center, publication in a widely
available scientific journal, book
or website, through the
institutional archives that are
standard for a particular
discipline, or through other EAR-
specified repositories.
The document recommends that
data inventories are published or
entered into a public database
periodically and when there is a
significant change in type,
location or frequency of such
observations.
According to the document, preservation of all
data, samples, physical collections and other
supporting materials needed for long term earth
science research and education is required of all
EAR-supported researchers.
In addition, for those programs in which selected
principle investigators have initial periods of
exclusive data use, data should be made openly
available as soon as possible, but no later than
two (2) years after the data were collected. This
period may be extended under exceptional
circumstances, but only by agreement between
the principal investigator and the NSF. For
continuing observations or for long-term (multi-
year) projects, data are to be made public
annually.


htt d :/fw ww. nsf.aov/ae
o/ear/EAR data ooli
cv 204.Ddf
Office of Polar
Programs (OPP)
NARSTO Quality
Systems Management
Plan, 9/30/1999
NSF's policy "expects
investigators to share with other
researchers, at no more than
incremental cost and within a
reasonable time, the data, derived
data products, samples, physical
collections and other supported
materials gathered or created in
the course ofthe research
project."


According to the guidelines, OPP
considers the documentation of
data sets, known as metadata, as
vital to the exchange of information
on polar research and to a data
set's accessibility and longevity for
reuse.
In addition, data archives of OPP-
supported projects should include
easily accessible information about
the data holdings, including quality
assessments, supporting ancillary
information, and guidance for
locating and obtaining the data.
The guidelines state that principal
investigators should make their
data available to all reasonable
requests (as specified in the NSF
Grant Proposal Guide, Section VII
H) and where applicable the
principal investigators should
submit the data collected to
designated data centers as soon
as possible, but no later than two
years after the data are collected.




h tt d ://w ww .n sf.aov/DU
bs/1 999/odd991 /odd9
91 .doc
Website available at:
htt d://w ww.n sf.aov/DU
blications/oub summ
.isD?ods kev=0DD99
1

-------
Other Federal Agencies
Office/project
Title
Description
Enterprise assets and
liabilities
Scientific data management
plans (full life-cycle)
Identify scientific data with metadata
Manage data for control
(Intellectual property)
Maintain version and
change control
Data retention and data valuation
Knowledge
management
capture
Contacts
URL
Climate Change
Science Program
(CCSP)
Strategic Plan for the
Climate Change
Science Program
Final Report:
Chapter 13. Data
Management and
Information, July
2003
The chapter introduces the objectives for
data management to be addressed in the
coming decade based upon current
knowledge and infrastructure including:
collecting and managing data in multiple
locations; enabling users to discover and
access data and information via the
Internet; and preserve data.

The report states that data
managers must be able to
understand, communicate, and
work closely with scientists and
others to ensure proper
stewardship for the data archive
and its distribution.
The report states that the CCSP will
provide additional specific community-
based guidelines for scientific metadata
content where and as appropriate. One
approach will be to adopt the ISO 19115
/TC211 Geographic
Information/Geomatics standard, which
is built on the Federal Geospatial Data
Clearinghouse (FGDC) core standards.
The report states that full and
open sharing of the full suite of
global data sets for all global
change researchers is a
fundamental objective.
It recommends improved
access to data by expanding
the Global Change Master
Directory (GCMD) to facilitate
access to data.
In addition, the CCSP will
develop and implement
guidelines for when and under
what conditions data will be
made available to users other
than those who collected them.

The report states that procedures
and criteria for setting priorities for
data acquisition, retention, and
purging should be developed by
participating agencies, both
nationally and internationally. A
clearinghouse process should be
established to prevent the purging
and loss of important data sets.
It mentions that lessons learned
from NASA's pioneering efforts in
handling their current holdings (more
than 2,500 terabytes) must be used
by the community.
In addition, many important heritage
datasets face a growing risk of loss
due to deterioration of paper records,
obsolescence of electronic media
and associated hardware and
software, and the gradual loss of
experienced personnel.


http://www.ciimatesc
ience.aov/Librarv/str
atpl an2003/final/ccs
pstratplan2003-
chaol 3.htm
General
Accountability
Office (GAO)
Climate Change
Research: Agencies
Have Data-Sharing
Policies but Could
Do More to Enhance
the Availability of
Data from Federally
Funded Research,
September 2007
According to the report, agencies have
data-sharing policies but could do more to
enhance the availability of data from
federally funded research.


The report evaluates whether additional
strategies are warranted to facilitate the
permanent archiving of relevant data.
The strategies 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.
The report recommends NOAA
develop 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.




http://www.aao.aov/
new.items/d071172.
pdf
National Science
and Technology
Council (Office of
Science and
Technology
Policy)-
Networking and
Information
Technology
Research and
Development
(NITRD) Program
Harnessing the
Power of Digital Data
for Science and
Society, January
2009
The report lays out a strategic vision for a
digital scientific data universe in which
data creation, collection, documentation,
analysis, preservation, and dissemination
can be appropriately, reliably, and readily
managed, thereby enhancing the return on
our nation's research and development
investment by ensuring that digital data
realize their full potential as catalysts for
progress in our global information society.
The report provides
examples of
mechanisms, including
the integration of data
from various sources
and across projects
and disciplines.
The report describes the full data
life cycle, which includes
creation, ingestion or acquisition,
documentation, organization,
migration, protection, access,
and disposition and has two
important features. The cycle is
dynamic rather than static and
includes ongoing processes of
creation, disposition, and use.
The steps in the cycle are not
independent. Appendix B
provides a full description of the
data life cycle.
The report provides examples of data
rights mechanisms including: (1)
continued improvement in
interoperability across all layers (from
software to hardware to networks and
resources); (3) comprehensive, global,
and transparent search, query, and
retrieval capabilities; (4) development,
continuing evolution, broad adoption,
and regular use of appropriate,
community based, cost-effective
standards designed to allow efficient
information use in innovative ways and
in complex combinations; (5) promotion
of ready access to appropriate
documentation and metadata.
The report includes examples
of mechanisms including:
reliable protection of security,
privacy, confidentiality, and
intellectual property rights in
complex data environments.
The report discusses
importance of cooperation
among industry, academia,
NGOs and international
agencies (p. 19).

Examples of data retention
mechanisms include encouragement
of digital preservation programs
explicitly aimed at facilitating
sustained access.

Chris Greer, Director,
NCO; Jeannette Wing,
Assistant Director,
NSF/CISE; Co-chairs
http://www.nitrd.gov/subc
ommittee/agen cy-
con tacts.aspx
http://www.nitrd.aov/
about/harnessina p
ower web.pdf
USDA
Current Data
Management Plans.
Service Center Data
Management, 2010
This web site provides access to Data
Management Policy, standards,
procedures, guidance, and descriptive
documents developed by the Service
Center Modernization Initiative.

Contains over 40 separate data
management plans for USDA
related projects.






h ttp ://www .itc .n rcs.u
s da .aov/scdm/cu rre
nt dmo.htm




Current Standards,
Policies, and Guidelines
including; File Naming
Convention Change Control
Policy, Data Naming,
Change Control Process.



h ttp ://www.itc.n rcs.u
sda .aov/scdm/cu rre
nt soa.htm
National Agricultural
Library (NAL), 2010
The NAL manages the world's largest
agricultural information collections,
designated as a USDA heritage asset,
which include more than four million
physical items as well as extensive digital
information products including databases,
digital full-text journals, and digital full-text
books and maps.








http://www.ocio.usda
.aov/records/tools r
ecords.html
AGRICOLA (AGRICultural OnLine
Access), NAL's online catalog and index to
the agricultural literature, serves as the
finding tool for these collections and is
made available free of charge by NAL at
http://agricola.nal.usda.gov and by a
number of commercial companies.








http://www.nal.usda.
gov/
Page B 10

-------
Other Federal Agencies
NOAA/National
Environmental
Satellite, Data,
and Information
(NESDIS)
Records
Management. Maps,
Imagery, and
Publications,
10/15/2009
Presents a collection of geospatial data
derivatives obtained from many sources
including maps, aerial photographs, and
remote sensors. Included is a list of public-
domain software developed by USGS
scientists and partners to support a wide
variety of natural science research and
mappinq activities.







Kevin Gallagher:
Associate Director,
Geospatial Information
and CIO.
h tto ://www ,u sas.aov/
pubprod/data.html
Page B-11

-------
C. References
National Aeronautics and Space Administration (NASA)
NASA. 1993. Guidelines for Development of a Project Data Management Plan (PDMP). March
1993. NASA. Office of Space Science and Applications. Information Systems Branch.
Available: http://nssdc.gsfc.nasa.gov/nssdc/pdmp guidelines march93.rtf.
NASA. 2002. Reference Model for an Open Archival Information System (OAIS). CCSDS
Secretariat. Program Integration Division (Code M-3). National Aeronautics and Space
Administration. Washington, DC 20546, USA. Blue Book, Issue 1. January 2002. Available:
http://public.ccsds.org/publications/archive/650x0bl.pdf.
NASA. 2007. NASA Heliophysics Science Data Management Policy. June 25, 2007. Available:
http://hpde.gsfc.nasa.gov/Heliophvsics Data Policy 2007June25.pdf.
NASA. 2007. White Paper on NASA Science Data Retention. Available:
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NASA, Jet Propulsion Laboratory, and California Institute of Technology. 2004.
Cassini/Huygens Program Archive Plan for Science Data. Version 3. June 2004. California
Institute of Technology, Pasadena, CA. Available: http://trs-
nevv.ipl.nasa.gov/dspace/bitstream/2014/14261/1/00-0674.pdf.
National Institutes of Health (NIH)
NIH, Division of AIDS. 2007. Requirements for Data Management and Statistics for DAIDS
Funded and/or Sponsored Clinical Trials. DAIDS Bethesda, MD. DWD-POL-DM-01.00.
Effective Date: February 5, 2007 Available:
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olicv.htm.
NIH, National Cancer Institute (NCI). 2003. National Cancer Institute, Division of Cancer
Prevention (DCP), Data Management Requirements. October, 2003. Available:
http://prevention.cancer.gov/files/clinical-trials/DataMgmtRqmts.doc,
NIH, National Heart, Lung, and Blood Institute. Undated. Policy for Distribution of Data.
Available: http://vvvvvv.nhlbi.nih.gov/resources/deca/policv new.htm.

-------
Appendix C (4/30/2010)
NIH, National Institute on Aging. 2007. Guidelines for Developing a Manual of Operations and
Procedures (MOP). Version 1 - December 27, 2007. Available:
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B AE8BF 0D6CDC7 O/ManualofProceduresMOPFinal 1. doc.
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Sharp, D. Kotsikopoulos NRFC0025/ STD0012 Category: Standard OCIO January 2007.
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79EB7B5C797A/0/N RFC0025.pdf.
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NOAA. 2005. Report to Congress on Data and Information Management 2005. October 2005.
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NOAA. 2008. Administrative Management and Executive Secretariat. NOAA Administrative
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2, 2008. Available:
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NOAA. 2009. Data Management System and Tools. Ocean Exploration and Research. Available:
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Page C-2

-------
Appendix C (4/30/2010)
National Science Foundation (NSF)
National Science Board. 2005. Long-Lived Digital Data Collections Enabling Research and
Education in the 21st Century. September 2005. NSB-05-40. Available:
http://www.nsf.gov/pubs/2005/nsb0540/.
NSF, Division of Earth Sciences. 2002. Implementation of the NSF Data Sharing Policy. April
2002. Available: http://www.nsf.gov/geo/ear/EAR data policy 204.pdf.
NSF, Division of Ocean Sciences. 2003. Division of Ocean Sciences: Data and Sample Policy.
November 3, 2003. Available: http://www.nsf.gov/pubs/2004/nsf04004/nsf04004 lb.htm.
NSF, Office of Polar Programs. 1998. Guidelines and Award Conditions for Scientific Data.
December 3, 1998. Available: http://vvvvvv.nsf.gov/pubs/1999/opp99 l/opp991 .doc,
NSF, Social, Behavioral and Economic Sciences. 2008. Data Archiving Policy. July 8, 2008.
Available: http://vvvvvv.nsf.gov/sbe/ses/common/archive.isp.
Other
American National Standards Institute. 2009. ANSI/GEIA 859 Data Management.
http://vvebstore.ansi.org/FindStandards.aspx7SearchString = ANSI0 o2fGEl A+859-
2009&SearchQption = O&PageNum = 0& S ea rch T erm s A rra v = null0 o 7 c A N S10 o 2 fG E1A+8 5 9-
2009%7cnull.
General Accountability Office. 2007. 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. September 2007. Available:
http://www.gao.gov/new.items/d071172.pdf.
National Science and Technology Council (Office of Science and Technology Policy).
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Working Group on Digital Data to the Committee on Science of the National Science and
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U.S. Climate Change Science Program. 2003. Strategic Plan for Climate Change Science Final
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Page C-3

-------
Appendix C (4/30/2010)
USDA. 2010. Current Data Management Plans. Service Center Data Management. Available:
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http://agricola.nal.usda.gov/.
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U.S. Department of Energy (U.S. DOE)
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Department of Energy. Available: https://eed.llnl.gov/vmp/pdf/IM-317550-2.pdf.
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spheric measurements.xls.
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NARSTO Permanent Data Archive. May 2, 2006. Available:
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U.S. DOE. 2004. The State of Data Management in the DOE Research and Development
Complex. July 14-15, 2004. Available:
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U.S. DOE. 2006. ARM Data Sharing and Distribution Policy. Available:
http://www.arm.gov/data/policv.stm.
Page C-4

-------
Appendix C (4/30/2010)
U.S. Environmental Protection Agency (U.S. EPA)
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Program. U.S. Environmental Protection Agency, Washington, DC. January 1999. Available:
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2009. Comprehensive Data Management of WRAP Emissions Data. 18th Annual International
Emission Inventory Conference Comprehensive Inventories -Leveraging Technology and
Resources. Baltimore, MD. Available:
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http://www.epa.gov/oswer/oswerlcm.htm.
U.S. EPA. 1989. System Life Cycle Management Guidance Part 3 Practice Paper: Configuration
Management. Available: http://www.epa.gov/oswer/docs/oswerlcm/00000019.pdf.
U.S. EPA. 1989. System Life Cycle Management Guidance Part 3 Practice Paper: Data
Management During the Life Cycle. January 1989. Available:
http://vvvvvv.epa.gOv/osvver/docs/osvverlcm/00000021 .pdf.
U.S. EPA. 1989. System Life Cycle Reviews and Approvals. Available:
http://vvvvvv.epa.gOv/osvver/docs/osvverlcm/00000021 .pdf.
U.S. EPA. 1992. System Life Cycle Management Guidance Part 3 Practice
Paper: Data Modeling. May 1992. Available:
http://www.epa.gov/oswer/docs/oswerlcm/00000Q22.pdf.
U.S. EPA. 2000. EPA Quality Manual for Environmental Programs. May 5,
2000. Available: http://vvvvvv.epa.gov/irmpoli8/policies/2105P010.pdf.
U.S. EPA. 2001. Information Resources Management (IRM) Policy, Chapter
19 Information and Data Management. Available:
http://www.epa.gov/irmpoli8/expiredpolicies/Chaptrl9.PDF.
U.S. EPA. 2002. Annual Air Quality Data Certifications for PM and Ozone Design Values. June
12, 2002. Available:
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U.S. EPA. 2003. Assessment Factors. Science Policy Council. June 2003. Available:
http://vvvvvv.epa.gov/OSA/spc/pdfs/assess2.pdf.
Page C-5

-------
Appendix C (4/30/2010)
U.S. EPA. 2003. Guidance for Geospatial Data Quality Assurance Project Plans. March 2003.
Available: http://www.epa.gov/qualitv/qs-docs/g5g-final .pdf.
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February 2006. Available: http://www.epa.gov/qualitv/qs-docs/g4-final.pdf.
U.S. EPA. 2006. Introduction to Lake Michigan Mass Balance Data. Great Lakes Monitoring.
March 9, 2006. Available: http://www.epa.gov/greatlakes/lmmb/database.html.
U.S. EPA. 2006. Lake Michigan Mass Balance Metadata. Great Lakes Monitoring. March 9,
2006. Available: http://vvvvvv.epa.gov/greatlakes/hnmb/metadata.html.
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Presenting Monitoring Data. November 30, 2006. Available:
http://www.epa. gov/volunteer/stream/vms60. html.
U.S. EPA. 2007. Data Standards Development. June 28, 2007. Available:
http://www.epa.gov/irmpoli8/policies/2133pl.pdf.
U.S. EPA. 2007. Data Standards Implementation. June 28, 2007. Available:
http://www.epa.gov/irmpoli8/policies/2133p3.pdf.
U.S. EPA. 2007. Data Standards Maintenance. June 28, 2007. Available:
http://www.epa.gov/irmpoli8/policies/2133p2.pdf.
U.S. EPA. 2007. Data Standards Policy. June 28, 2007. Available:
http://www.epa.gov/oamhpodl/adm placement/lTS BISS/datastd.pdf.
U.S. EPA. 2007. Management and Interpretation of Data Under a Triad Approach - Technology
Bulletin. May 2007. Available:
http://www.brownfieldstsc.org/pdfs/Management and Interpretation of Data.pdf.
U.S. EPA. 2007. National Geospatial Data Policy Procedure for Geospatial Metadata
Management. October 25, 2007. Available: http://www.epa.gov/geospatial/docs/213 1 .pdf.
U.S. EPA. 2007. Requesting Data Standard Waiver Conformance. June 28, 2007. Available:
http ://vvvvvv. epa. gov/i rtn pol i 8/pol icies/213 3 p4 .pdf.
U.S. EPA. 2007. Scientific Data Management Strategy. November 2007 (Final Draft
Version 2.0).
Page C-6

-------
Appendix C (4/30/2010)
U.S. EPA. 2008. National Geospatial Data Policy. CIO Policy Transmittal 05-002. August 24,
2008. Available: http://www.epa.gov/esd/gqc/pdf/epa natl geo data policv.pdf.
U.S. EPA. 2009. Agency-wide Quality System Documents. December 30, 2009. Available:
http://www.epa.gov/qualitv/qa docs.html.
U.S. EPA. 2009. E-mail Records Procedures, September 25, 2009.
http://www.epa.gov/irmpoli8/expiredpolicies/cio2135p010.pdf.
U.S. EPA. 2009. EPA Enterprise Architecture Target Data Architecture (DRAFT). Received in
Email Correspondence with Kevin Kirby 7/14/09.
U.S. EPA. 2009. EPA Records Schedule: Data Standards and Registry Service. July 31, 2009.
Available: http://vvvvvv.epa.gov/records/policv/schedule/sched/096.htm.
U.S. EPA. 2009. Implementing the National Geospatial Data Policy: Lessons Learned.
Available: http://intranet.epa.gov/ospintra/Science Council/Related
Docs/ORDNGDPPlLOTS.pdf.
U.S. EPA. 2009. IT Policy Mega-Matrix, 2009. Available:
http://intranet.epa.gov/otop/itpolicv/IT Policy Mega-Matrix Feb2009 external.pdf.
U.S. EPA. 2009. Metadata Standards for the Enterprise Content Management Program. Received
in Email Correspondence with Lynne Petterson 6/10/09.
U.S. EPA. 2009. Procedures for Preparing and Publishing Privacy Act Systems of Records
Notices. Available: http://intranet.epa.gov/oei/imitpolicv/qic/ciopolicv/2151-p-03.pdf.
U.S. EPA. 2009. Procedures for Preparing Privacy Act Statements. EPA Document: CIO 2151-
P-05. Available: http://intranet.epa.gOv/oei/imitpolicv/qic/ciopolicv/215 1 -p-05.pdf.
U.S. EPA. 2009. Procedures for Preparing Privacy Impact Assessments. EPA Document: CIO
2151-P-04. Available: http://intranet.epa.gOv/oei/imitpolicv/qic/ciopolicv/215 1 -p-04.pdf.
U.S. EPA. 2009. QIC Steering Committee - CIO Policy Consolidated Comments Form.
Received in Email Correspondence with Lynne Petterson 6/10/09.
U.S. EPA. 2009. Records Management. December 11, 2009. Available:
http://www.epa.gov/records/policy/index.htm. U.S. EPA. 2009. STORET Homepage. November
2, 2009. Website available: http://www.epa.gov/storet/.
Page C-7

-------
Appendix C (4/30/2010)
U.S. EPA. Undated. NHEERL Data Management Policy and Practices: Genomics and Related
High Throughput Data. National Health and Environmental Effects Research Laboratory.
U.S. EPA Region 9. 2008. National Tribal WQX/STORET Data Management. November 18,
2008. Available: http://www.epa.gov/region09/water/tribal/storet-
training/pdf/W OXTemplate.pdf.
U.S. Geological Survey (USGS)
USGS. 2009. Maps, Imagery, and Information. October 15, 2009. Available:
http://www.usgs.gov/pubprod/data.html.
Page C-8

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Additional Resources

-------
Appendix D (4/30/2010)
Reference
Description
Federal Geographic Data Committee
Federal Geographic Data Committee. 1992. Policy Statements for
Federal Geographic Data Sharing (FGDC Steering Committee
Endorsement in 1992.)
httD://www.fadc.aov/DolicvandDlannina/data%20sharina.
Policy statements for federal geographic data sharing with the objective of
facilitating full and open access to federal geographic data by federal
users and the general public.
Federal Geographic Data Committee. 1998. FGDC Policy on Access to
Public Information and the Protection of Personal Information Privacy in
Federal Geospatial Databases. April 1998.
httD://www.fadc.aov/DolicvandDlannina/DrivacvDolicv.Ddf.
This policy articulates the Federal Geographic Data Committee's (FGDC)
endorsement of public access to information and appropriate protections
for the privacy and confidentiality of personal information in federal
geospatial databases.
Federal Geographic Data Committee. 2003. Managing Historical
Geospatial Data Records. April 2003.
httD://www.fadc.aov/librarv/factsheets/documents/histdata.Ddf.
This fact sheet explains the responsibilities of Federal geospatial data
producers for properly creating data, documenting data with appropriate
metadata, making data available through a clearinghouse, and arranging
for the appropriate disposition of the data.

Federal Geographic Data Committee. Undated. FGDC Policy Statement
Support for International Infrastructure Activities.
httD://www.fadc.aov/DolicvandDlannina/lnternational%20Policv.Ddf.
Policy statement in support of sharing experiences and resources locally,
nationally, and globally. Includes support in the areas of spatial data
standards and metadata standards.
International
Committee on Earth Observation Satellites. 1995. CEOS Data
Principles for Operational Environmental Data. CEOS Yearbook. 1995.
httD://ceos.cnes.fr:8100/cdrom-00/ceos1/Dolicv/Dolicv3.htm.
Data principles relate to the provision of satellite data in support of
operational environmental use for public benefit. These data principles
were developed at an April 18-19, 1994 meeting that was hosted by
NOAA and NASA.

Global Biodiversity Information Facility (GBIF). 2005. Global
Biodiversity: The GBIF 3rd-Year Review Report from the Review
Committee. February 28, 2005.
httD://www.abif.ora/fileadmin/TemD for New Web Site/3YR full.Ddf.
This report includes a section on data policy, which presents
recommendations on (1) making scientific biodiversity data freely and
openly available over the Internet, and (2) appropriate ways for dealing
with intellectual property rights, access, and benefit sharing.
Global Biodiversity Information Facility (GBIF). Undated. GBIF Data
Use Aareement. httD://data.abif.ora/tutorial/datauseaareement.
Data use and data sharing agreements for biodiversity data, developed by
the Global Biodiversity Information Facility.
Global Earth Observation System of Systems (GEOSS). 2008. -
Implementation Guidelines for the GEOSS Data Sharing Principles.
September 27, 2008. Draft, not for distribution.
Not available.
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Appendix D (4/30/2010)
Reference
Description
Organisation for Economic Cooperation and Development. 2007. OECD
Principles and Guidelines for Access to Research Data from Public
Fundina. 2007. httD://www.oecd.ora/dataoecd/9/61/38500813.Ddf.
Provides broad policy recommendations to the governmental science
policy and funding bodies of member countries on access to research
data from public funding. The recommendations promote data access and
sharing among researchers, research institutions, and national research
agencies.
NASA
NASA. 2003. NPR 1441.1D. NASA Records Retention Schedules
(NRRSs). NASA Procedural Requirements. Effective Date: February 24,
2003; Expiration Date: February 24, 2013.
httD://nodis3.asfc.nasa.aov/disDlavDir.cfm?t = NPR&c = 1441&S = 1D.
NASA records retention schedules. See Chapter NRRS 2, Legal and
Technical Records for data-related retention schedules.
NASA. 2009. NPD 2200.1 B. Management of NASA Scientific and
Technical Information (STI). November 19, 2009.
httD://nodis3.asfc.nasa.aov/disDlavDir.cfm?t = NPD&c = 2200&S = 1B.
Policy requiring the Chief Information Officer to conduct a Scientific and
Technical Information (STI) program. This program includes collection,
management, dissemination, safeguarding, and archiving NASA STI for
use by NASA and NASA contractors and grantees, and where
appropriate, the public.
httD://nodis3.asfc.nasa.aov/nDd ima/N PD 2200 001B /N PD 2200
001B main.odf.
NASA. 2010. Earth Science Data System-RFC for ECHO Metadata
Standards. January 2010.
This memo specifies a metadata standard for the Earth Science Data
System. It defines the metadata requirements for compiling metadata into
the Earth Observing System Clearinghouse (ECHO).
NASA. 2010. ECHO Data Partner User's Guide. January 2010.
This guide outlines tasks that will be performed by data partners, requisite
skills, data types, metadata models, compiling data, and data
management.
National Archives and Records Administration
National Archives and Records Administration. 2009. Title 36, Code of
Federal Regulations, Subchapter B - Records Management. Effective
November 2, 2009.
htto://www.arch ives.aov/about/reaulations/subchaoter/b.html.
This subchapter provides NARA regulations affecting Federal agencies
and their records management programs. Includes records disposition
and transfer.
National Archives and Records Administration. Undated. Title 36, Code
of Federal Regulations, Subchapter C - Public Availability and Use
(Parts 1250-1258'). httD://www.archives.aov/about/reaulations/.
This subchapter highlights NARA FOIA regulations and regulations on the
use of archival records and donated historical materials.
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Appendix D (4/30/2010)
Reference
Description
National Institutes of Health
National Institute of Health. Undated. NIH Manual Chapter 1743-
Keeping and Destroying Records.
htto://www1 .od.nih.aov/oma/manualchaDters/manaaement/1743/.
NIH requirements on retaining and destroying records.
National Oceanic and Atmospheric Administration
NOAA. 2006. NOAA Information Quality Guidelines. November 6, 2006.
httD://www.cio.noaa.aov/Policv Proarams/IQ Guidelines 110606.html.
Guidelines for ensuring and maximizing the quality, objectivity, utility, and
integrity of disseminated information.
NOAA. 2008. NOAA Procedure for Scientific Records Appraisal and
Archive Approval: A Guide for Data Managers. September August 15,
2008.
htto://www.ioss.ucar.edu/daarwa/feb09/NOAA Procedure document fi
Defines the procedure for NOAA to identify, appraise, and decide what
scientific records are preserved in a NOAA archive. The procedure
applies to accepting or rejecting newly acquired scientific records for a
NOAA archive and also to retaining or disposing of existing records
already held in a NOAA archive.
nal 12-16-1 .Ddf.
NOAA. 2008. NOAA Procedure for Scientific Records - Appraisal and
Archive Approval: A Guide for Data Users and Producers. September
2008.
httD://www.ioss.ucar.edu/daarwa/feb09/NOAA Records Brochure 4 d
Brochure describes a four-step process that NOAA data managers use to
determine what scientific records are preserved in a NOAA archive.
aaes Dec 9.Ddf.
NOAA. 2010. Coral Reef Information System Web Site. December
2009. httD://coris.noaa.aov/data/suDDortinadocs.html#sensitive.
Web site provides a series of documents to assist contributors in
providing data and metadata for the Coral Reef Information System
(CoRIS). Includes policy for limiting access to sensitive data and technical
guidelines for developing metadata.
NOAA. Undated. NOAA Records Disposition Handbook.
httD://www.corDorateservices.noaa.aov/~ames/Records Manaaement/d
This document lists NOAA records disposition schedules. Separate
schedules, which include schedules for scientific data, are provided for
NOAA offices.
isoosition handbook.html.
National Park Service
National Park Service. 2008. Information Management and Archiving
Plan Southeast Coast Inventory and Monitoring Network, Natural
Resource Report. NPS/SECN/NRR - 2008/062. September 2008.
httDs://science1.nature. nDs.aov/naturebib/biodiversitv/2008-10-
This Information Management and Archiving Plan is part of the National
Park Service's effort to "improve park management through greater
reliance on scientific knowledge." It covers issues such as data
documentation, data dissemination, data storage and archiving, and
records management.
23/SECN Data Manaaement Plan.Ddf.
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Appendix D (4/30/2010)
Reference
Description
National Science Foundation
National Science Foundation. 2006. National Science, Technology,
Engineering, and Mathematics Education Digital Library (NSDL)
Solicitation - Metadata Requirements of the NSDL. November 7, 2006.
httD://www.nsf.aov/Dubs/2008/nsf08554/nsf08554.htm#Dam desc txt.
This is a request for proposals that contains a description of metadata
requirements for NSDL and numerous related sources.
Other
Baker, Mary and R. Cummings. 2008. Retaining Information for
100 Years. Storage Networking Industry.
httD://www.snia.ora/imaaes/tutorial docs/DataProt Mna/Baker-
PowerPoint presentation that discusses the issues of long-term digital
storage. Describes problems and best practices.
Cumminas-Retainina Information 100 Years%282%29.Ddf.
Indiana University. 2010. University Information Policy Office. Data
Management Policies and Guidelines.
htto://info rmationDolicv.iu.edu/data/Dolicies/.
Contains policies, standards, and guidelines for managing institutional
data.
Long Term Ecological Research (LTER). 2005. Network Data Access
Policy, Data Access Requirements, and General Data Use Agreement.
ADril 6. 2005. httD://www.lternet.edu/data/netDolicv.html.
This LTER data policy covers the release of LTER data products, user
registration for accessing data, and licensing agreements specifying the
conditions for data use.
Long Term Ecological Research (LTER). 2005. Review Criteria for
LTER Information Management Systems. Version 1.0. April 12, 2005.
httD://harvardforest.fas.harvard.edu/data/doc/LTER IM Review Criteria
Criteria for reviewing the success of the LTER Information Management
System to ensure it supports site and network science by (1) facilitating
access to data and metadata by LTER scientists, the scientific
community, and the public, and (2) ensuring the integrity, security, and
usability of those data and metadata for future generations.
VI.O.Ddf.
The National Academies Press. 1995. Preserving Scientific Data on Our
Physical Universe: A New Strategy for Archiving the Nation's Scientific
Information Resources. 1995.
httD://www.naD.edu/cataloa.DhD?record id = 4871.
This book advises the National Archives and Records Administration and
federal R&D agencies on the long-term retention of scientific and
technical data, particularly in electronic formats. It provides criteria for
retention assessment and states "all observational data that are non-
redundant, reliable and usable by most primary users should be
permanently maintained."

The National Academies Press. 1995. Study on the Long-term
Retention of Selected Scientific and Technical Records of the Federal
Government: Working Papers. 1995.
httD://www.naD.edu/cataloa.DhD?record id = 9478.
This report discusses the long-term retention of scientific data generated
or held by the federal government. It addresses issues on what data
should be preserved, who should save these data, and the roles and
modes of operation that are appropriate for the National Archives and
Records Administration (NARA) in the preservation of data.

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Appendix D (4/30/2010)
Reference
Description
National Ecological Observatory Network (NEON). 2009. NEON Data
Product Concept and Production Plan. March 2009.
httD://www.neoninc.ora/sites/default/files/NEON Data Product ConceDt
Data policy covering data use, availability, metadata, and other issues.
and Production Plan.Mar2009 O.odf.
North American Regional Climate Change Assessment Program. 2007.
NARCCAP Operational Data Management Plan. Version 1.5.
September 28, 2007. httD://www.narccaD.ucar.edu/about/data-mamt-
plan.html.
Data management plan for NARCCAP data. The plan addresses
collecting data along with archiving and publishing processes.
Northern Illinois University. Undated. Responsible Conduct of Research
(RCR): Data Ownership Web site.
httD://ori.dhhs.aov/education/Droducts/n illinois u/datamanaaement/dot
Describes the different participants in the data management process.
Includes information on the data ownership challenges between academic
institutions and industry, academic institutions and researcher staff,
collaboration among research colleagues, and collaboration between
authors and journals. Includes training in the form of quizzes, games, and
case studies.
ooic.html.
Pryor, Graham and M. Donnelly. 2009. Skilling Up to Do Data: Whose
Role, Whose Responsibility, Whose Career? International Journal of
Digital Curation, Vol. 4, No. 2. 2009.
httD://www.iidc.net/index.DhD/iidc/article/viewFile/126/133.
This paper addresses the roles that are necessary to ensure effective
data management while highlighting the specific kinds of expertise that
are needed.
United States Global Change Research Program, Office of Science and
Technology Policy. 1991. Policy Statements on Data Management for
Global Change Research. July 2, 1991.
httD://www.acrio.ora/USGCRP/DataPolicv.html.
Data management policy to facilitate full and open access to quality data
for global change research.
University of Maryland. 2003. Consolidated USMH and UM Policies and
Procedures Manual. February 7, 2003.
htto://www.president. umd.edu/Dolicies/vi2200a.html.
University of Maryland's policy for the management and protection of the
University's institutional data. The policy also highlights responsibilities for
the protection of those data.
University of Pittsburgh. 2009. University of Pittsburgh Guidelines on
Research Data Management. November 25, 2009.
htto://www.provost.oitt.edu/documents/RDM Guidelines.odf.
This memo describes the rights and responsibilities related to scientific
data generated by university research, including data produced from
federally sponsored research. It covers data retention, data ownership,
access to data, and data sharing.

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Appendix D (4/30/2010)
Reference
Description
Smithsonian Institution
Smithsonian Institution. 1998. AXAF Project Data Management Plan for
AXAF Science Center. Prepared for NASA. June 22, 1998.
htto://iwa.cfa.harvard.edu/twiki4/Dub/IWGDD/lwaddAaencvPolicvDataPI
Data management plan that describes gathering, processing,
dissemination, access, and long-term preservation of AXAF data.
ans/Data Mamt Plan from Sl.odf.
Smithsonian Institution. 2007. Digitization: The Increase and Diffusion of
Knowledge. Digitization Steering Committee report, Smithsonian
Institution. Draft. March 2007.
httD://www.si.edu/ocio/PDFs/Diaiti2007.Ddf.
Discussion of bringing digitization to the Smithsonian Institution. Includes
recommendations on funding digitization, developing a digitization
strategic plan, developing and implementing standards, and improving
accessibility to digitized information.
U.S. Department of Commerce
Department of Commerce. 1968. Public Law 90-396. Standard Data
Reference Act. July 11, 1968.
httD://www.nist.aov/cfo/leaislation/Standard%20Reference%20Data%20
This Act states:"... reliable standardized scientific and technical reference
data are of vital importance to the progress of the Nation's science and
technology. It is therefore the policy of the Congress to make critically
evaluated reference data readily available to scientists, engineers, and
the general public."
Act.odf.
U.S. Department of Defense
U.S. DOD. 1987. 5230.24. Distribution Statements on Technical
Documents. March 18, 1987.
htto://www.darDa.mil/Drc/DARPA%20Directives%5CDoD Dir 5230.24.d
This DOD directive updates policies and procedures for marking technical
documents, including production, engineering, and logistics information,
to denote the extent to which they are available for distribution, release,
and dissemination without additional approvals or authorizations.
df.
U.S. DOD. 1995. 5230.25. Withholding of Unclassified Technical Data
from Public Disclosure. August 18, 1995.
httD://iitc.fhu.disa.mil/iitc dri/Ddfs/d523025D.Ddf.
This directive establishes policy, prescribes procedures, and assigns
responsibilities for the dissemination and withholding of technical data.
U.S. DOD. 1998. Directive Number 3200.12. DOD Scientific and
Technical Information Program (STIP). February 11, 1998.
httD://www.dtic.mil/whs/directives/corres/Ddf/320012D.Ddf.
This policy/directive establishes the Science and Technical Information
Program (STIP) to provide maximum contribution to the advancement of
science and technology. The STIP serves to record, disseminate, and
preserve, as a critical asset, the investment in, and results of, DOD
research programs.

U.S. DOD. 2001. Instruction Number 3200.14. Principles and
Operational Parameters of the DOD Scientific and Technical Information
Program. June 28, 2001.
httD://www.dtic.mil/whs/directives/corres/Ddf/320014D.Ddf.
This DOD instruction lays out the principles and operational parameters to
govern the STIP.
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Appendix D (4/30/2010)
Reference
Description
U.S. DOD. 2007. Information Sharing Strategy. White paper distributed
as Memorandum for Secretaries of the Military Departments, Chairman
of the Joint Chiefs of Staff, Undersecretaries of Defense, et al. May 4,
2007. httD://www.defenselink.mil/cio-nii/docs/lnfoSharinaStrateav.Ddf.
This paper describes the Department of Defense Information Sharing
Strategy. Information sharing is defined as "making information available
to participants (people, processes, or systems)."
U.S. DOD. 2010. Authoritative Source of Data for Use in Modeling and
Simulation: Review of Policy and Some Thoughts on Establishing
Sources. January 2010.
This paper presents preliminary findings of research efforts to refine
policies, identify best practices, and develop plans to establish
authoritative sources of data for DOD modeling and simulation.
U.S. DOD. 2010. Information Assurance for Modeling and Simulation in
a Net-Centric Environment: Review of Policy and Some Thoughts on
Implementation Options. January 2010.
This paper reviews current policies relating to information assurance and
examines current and emerging information assurance solutions. The
paper then explores DOD M&S and key M&S-enabled business
processes. The paper concludes by considering ways to provide
information assurance to meet M&S requirements.
U.S. DOD. 2010. Providing Modeling and Simulation Data and Tools as
Services in a Net-Centric Environment: Review of Policy and Some
Thoughts on Implementation Options. January 2010.
This paper reviews current guidance and policies relating to services in
the DOD net-centric environment and examines current and emerging
services. The paper also "explores the dimensions of DOD M&S and key
M&S-enabled business processes, then derives requirements for
distribution, interoperability, and integration of M&S data and tools to
support these processes."
U.S. Department of Health and Human Services
U.S. Department of Health and Human Services. Office of Research
Integrity. Undated. Guidelines for Responsible Data Management in
Scientific Research.
httD://ori.dhhs.aov/education/Droducts/clinicaltools/data.Ddf.
This training course is intended to educate new investigators about
conducting responsible data management in scientific research. It covers
the following topics: data ownership, collection, storage, protection,
retention, analysis, sharing, and reporting.
U.S. Environmental Protection Agency
U.S. EPA. 1990. 2180.3 Facility Identification Data Standard [PDF],
April 9,1990.
htto://iwa.cfa.harvard.edu/twiki4/Dub/IWGDD/lwaddAaencvPolicvDataPI
Establishes a data standard for unique facility identification codes to be
maintained in all EPA data collections that contain information on facilities
regulated by EPA under authority of federal environmental legislation.
(Note: policy has expired.)
ans/EPA Facilitv ID Data Standard 2180 3.pdf.
U.S. EPA. 1993. 2180 Locational Data: Policy Implementation Guidance
[PDF], April 30, 1993.
httD://www.eDa.aov/irmDoli8/exDiredDolicies/2180.Ddf.
Policy to ensure the collection and documentation of accurate,
consistently formatted, fully documented, latitude/longitude coordinates as
part of all spatially relevant data gathering activities. (Note: policy has
expired.)

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Appendix D (4/30/2010)
Reference
Description
U.S. EPA. 2002. Employee Separation Checkout List. November 20,
2002.
Document provides a check list of items that must be completed before
the following actions: Retirement, Resignation/Termination, Move within
EPA, Transfer to Another Agency.
U.S. EPA. 2006. Clearance Routing Slip. July 24, 2006.
Document provides a check list of items that must be completed before
the following actions: Retirement, Resignation/Termination, Move within
EPA, Transfer to Another Agency.
U.S. EPA. 2007. Records Management Manual. February 2007.
httD://www.eDa.aov/records/Dolicv/manual/index.htm.
This manual prescribes the requirements and responsibilities for
conducting EPA's records management program to ensure that the
Agency is in compliance with federal laws and regulations, EPA policies,
and best practices.
U.S. EPA. 2008. 240-R-09-001. Information Access Strategy. January
2008. httDV/www.eoa.aov/nationaldialoaue/FinalAccessStrateav.Ddf.
Office of Environmental Information's strategy to enhance access to high
quality environmental information for all EPA stakeholders.
U.S. EPA. 2008. ORD Quality Assurance Review Form (QARF). July
15, 2008.
The QARF document is meant to ensure quality assurance and includes
instructions for properly completing the form.
U.S. EPA. 2008. Quality Assurance Training for New and Short-Term
Employees in NHEERL's Research Program. November 12, 2008.
Training presentation on use of EPA Records Schedules 501, 503, and
507.
U.S. EPA. 2008. Records Schedule 507: Criteria and Health
Assessment Documents and Risk Assessment Guidelines. August 31,
2008. httD://www.eDa.aov/records/Dolicv/schedule/sched/507.htm.
Records schedules for ORD documentation related to the development of
health, risk, and exposure assessments; risk assessment guidelines; and
air and water quality criteria documents used in assessing the risk of
exposure to hazardous pollutants.
U.S. EPA. 2009. Records Management Policy. June 2009.
httD://www.eDa.aov/records/looD/2009-06.htm#d12-JUN-2009.
This policy notes that officials are responsible for "ensuring records and
other types of required documentary materials are not unlawfully removed
from EPA by current or departing officials, employees, or agents."
U.S. EPA. 2009. Records Schedule 501: Applied and Directed Scientific
Research. December 31, 2009.
httD://www.eDa.aov/records/Dolicv/schedule/sched/501 .htm.
Records schedules for ORD projects supporting rulemaking, enforcement,
regulatory, or policy decisions, and research of significant national
interest.
U.S. EPA. 2009. Records Schedule 503: Scientific Research Project
Files Related to Basic, Exploratory Research. December 31, 2009.
httD://www.eDa.aov/records/Dolicv/schedule/sched/503.htm.
Records schedules for ORD scientific research project supporting the
demonstration or proof of concepts such as method validation studies,
and basic, exploratory, or conceptual research.
U.S. EPA. 2009. Standard Operating Procedure for the Development
and Review of Policies, Procedures, Standards, and Guidance. May 15,
2009.
Describes the operating procedure for members of OSIM in "developing
and gaining approval for new policy, procedures, standards, or guidance."
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Appendix D (4/30/2010)
Reference
Description
U.S. EPA. 2010. Research Cores Transfer of Records Memorandum.
January 15, 2010.
Memorandum authorizes the transfer of records from an individual leaving
the Research Cores, NHEERL, ORD, U.S. EPA, RTP, and NC.
U.S. EPA. Undated. EPA Records: Tools Web page.
httDV/www.eoa.aov/records/tools/index.htm.
Provides information about records management relevant to all EPA
staffers including definitions, quick references, technical briefs, detailed
guides, and pertinent forms.
U.S. EPA. Undated. Form 1340-8. Senior Agency Officials and Political
Appointees Separation or Transfer Records Checklist.
httD://www.docstoc.com/docs/7868522/Senior-Aaencv-Officials-
Required form for departing EPA senior officials and political appointees
to report on the transfer of their records.
SeDaration-or-Transfer-Records-Checklist-%28PDF%29.
U.S. EPA. Undated. Identify and Transfer: What to Do with the Records
of Deoartina Employees. httDV/www.eoa.aov/records/tools/identifv.htm.
Describes procedures related to the records of employees who are
separating or transferring from EPA.
U.S. EPA. Undated. Instructions for Completing EPA Form 3110-1,
Employee Separation Checklist.
Document provides instructions to individuals completing the EPA
Separation Checklist.
U.S. Geological Services

USGS. 2008. Information Policies and Notices. October 12, 2008.
httD://www.usas.aov/laws/Dolicies notices.html.
Provides information that describes the principal policies and other
notices that govern information posted on USGS Web sites, including the
Agency's data quality policy.
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&EPA
U.S. Environmental Protection Agency
Office of Research and Development (ORD)
Office of Science Information Management (OSIM)
April 30, 2010
EPA-600-R-10-047

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