DOT DMP Worksheet Generic 20210728 **Creating Data Management Plans for Intramural Data Creators** Getting DMP Help at U.S. DOT U.S. DOT researchers and offices are encouraged to follow data management best practices in order to ensure the long-term preservation of, and access to, research, statistical and other data created by the U.S. DOT. Further, good data management practices will help you comply with White House and DOT requirements for transparency and public access. The National Transportation Library is happy to consult with DOT researchers and offices which need help implementing robust data management. Please contact us at public.access@dot.gov to set up an appointment. Data Management Plans (DMPs) Content Overview A data management plan (DMP) describes how you will handle digital data both during and after a project. DMPs will describe how you will comply with DOT policy on the dissemination and sharing of research results and data. Each plan should include a brief (2 to 4) page narrative description covering: • The final research or statistical data to be produced in the course of the project; • The standards to be used for data and metadata format and content; • Policies for access and sharing the final datasets, including provisions for appropriate protection of privacy, confidentiality, security, intellectual property, and other rights or requirements; • Policies and provisions for re-use, re-distribution, and the production of derivatives; and • Plans for archiving final data, publications, and other products, and for preservation of access to them. If you answer each of the sections prompts, that apply, below with a complete sentence (or more as required), you will have no problem authoring a good draft DMP. You may not be able to answer each prompt yourself and may need to seek an answer from another member of your team. DOT research and statistical projects will benefit if conducted pursuant to a robust DMP. A DMP may evolve as the project evolves and should be reviewed for possible revision whenever a data management procedure is changed. **Basic Information 0. Basic Information 0.01 Lead researcher, or lead staff name: Click here to enter lead research, PI, or lead staff name. 0.02 Lead researcher, or lead staff ORCiD or other identifier: Click here to enter ORCID or other identifier. 0.03 Lead researcher contact information: Click here to enter contact information here. 0.04 Organization: Click here to enter the home organization of the lead listed above. 0.05 Other researchers: Click here to enter names and ORCiDs of other team members. Please separate individuals with semicolons. 0.06 Title of Research Proposal/Project: Click here to enter the title of proposal or project. 0.07 URL: Click here to enter URL. 0.08 This is an ? initial DMP or a ? revised DMP. 0.09 Today’s date (YYYY-MM-DD): **DMP Sections Guidelines 1. Data Description: Provide a description of the data that you will be gathering in the course of your project. You should address the nature, scope, and scale of the data that will be collected. Describe the characteristics of the data, their relationship to other data, and provide sufficient detail so that team members or reviewers will understand any disclosure risks that may apply. Discuss value of the data over the long-term. As general guidance you should address the following prompts, as they apply: 1.01) Name the data, data collection project, or data producing program. 1.02) Describe the purpose of the research or data collection. 1.03) Describe the data that will be generated in terms of nature and scale (e.g., numerical data, image data, text sequences, video, audio, database, modeling data, source code, etc.). 1.04) Describe methods for creating the data (e.g., simulated; observed; experimental; software; physical collections; sensors; satellite; enforcement activities; researcher-generated databases, tables, and/or spreadsheets; instrument generated digital data output such as images and video; etc.). 1.05) Discuss the period of time data will be collected and frequency of update. 1.06) If using existing data, describe the relationship between the data you are collecting and existing data. 1.07) List potential users of the data. 1.08) Discuss the potential value of the data have over the long-term for not only U.S. DOT, but also for the public. 1.09) If you request permission not to make data publicly accessible, explain rationale for lack of public access. 1.010) Indicate the party responsible for managing the data. 1.011) Describe how you will check for adherence to this data management plan. 2. Standards Employed: Your DMP should describe the anticipated formats that your data and related files will use. To the maximum extent practicable, and in accordance with generally accepted practices in your field, your DMP should address how you will use platform-independent and non-proprietary formats to ensure maximum utility of the data in the future. If you are unable to use platform-independent and non-proprietary formats, you should specify the standards and formats that will be used and the rationale for using those standards and formats. Identify the metadata standards you will use to describe the data. As general guidance you should address the following prompts, as they apply: 2.01) List in what format(s) the data will be collected. Indicate if they are open or proprietary. 2.02) If you are using proprietary data formats, discuss your rationale for using those standards and formats. 2.03) Describe how versions of data will be signified and/or controlled. 2.04) If the file format(s) you are using is (are) not standard to your field, describe how you will document the alternative you are using. 2.05) List what documentation you will be creating in order to make the data understandable by other researchers. 2.06) Indicate what metadata schema you are using to describe the data. If the metadata schema is not one standard for your field, discuss your rationale for using that scheme. 2.07) Describe how will the metadata be managed and stored. 2.08) Indicate what tools or software is required to read or view the data. 2.09) Describe your quality control measures. 3. Access Policies: Making U.S. DOT-created data publicly accessible is now standard. Each member of the data creation team will have a role to play in making data publicly accessible. Of course there are exceptions, such as data that contain personally identifiable information, confidential business information, or classified information. Protecting research participants and guarding against the disclosure of identities and/or confidential business information is an essential norm in scientific research. Your DMP should address these issues and outline the efforts you will take to provide informed consent statements to participants, the steps you will take the protect privacy and confidentiality prior to archiving your data, and any additional concerns (e.g., embargo periods for your data). If necessary, describe any division of responsibilities for stewarding and protecting the data among Principal Investigators or other project staff. If you will not be able to deidentify the data in a manner that protects privacy and confidentiality while maintaining the utility of the dataset, you should describe the necessary restrictions on access and use. In general, in matters of human subject research, your DMP should describe how your informed consent forms will permit sharing with the research community and whether additional steps, such as an Institutional Review Board (IRB), may be used to protect privacy and confidentiality. As general guidance you should address the following prompts, as they apply: 3.01) List the roles data creation team members have in data management, including any limitations on team member access due to the presence of personal or confidential information. 3.02) State whether the data can be shared with the public. 3.03) Describe what data will be shared, how data files will be shared, and how others will access them. 3.04) Indicate whether the data contain private or confidential information. If so: A) Discuss how will you guard against disclosure of identities and/or confidential business information. B) List what processes you will follow to provide informed consent to participants. C) State the party responsible for protecting the data. 3.05) Describe what, if any, privacy, ethical, or confidentiality concerns are raised due to data sharing. 3.06) If applicable, describe how you will deidentify your data before sharing. If not: A) Identify what restrictions on access and use you will place on the data. B) Discuss additional steps, if any you will use to protect privacy and confidentiality. 4. Re-Use, Redistribution, and Derivative Products Policies: Describe who will hold the intellectual property rights for the data created by your project. Describe whether you will transfer those rights to a data archive, if appropriate. Identify whether any copyrights apply to the data, as might be the case when using copyrighted instruments or using third-party data. Data created by the U.S. DOT is in the public domain. If you will be enforcing terms of use or a requirement for data citation through a license, indicate as much in your DMP. Describe any other legal requirements that might need to be addressed. As general guidance you should address the following prompts, as they apply: 4.01) Name who has the right to manage the data. 4.02) Indicate who holds the intellectual property rights to the data. 4.03) List any copyrights to the data. If so, indicate who owns them. 4.04) Discuss any rights be transferred to a data archive. 4.05) Describe how your data will be licensed for reuse, redistribution, and derivative products 5. Archiving and Preservation Plans: Describe how you intend to archive your data and why you have chosen that particular option. You may select from a variety of options including, but not limited to: • Use of an institutional repository • Use of an archive or other community-accepted data storage facility • Self-dissemination You must describe the dataset that is being archived with a minimum amount of metadata that ensures its discoverability. Whatever archive option you choose, that archive must support the capture and provision of the U.S. Federal Government Project Open Data Metadata Schema (known as DCAT-US Schema v1.1 as of 2020). In addition, the archive you choose must support the creation and maintenance of persistent identifiers (e.g., DOIs, handles, etc.) and must provide for maintenance of those identifiers throughout the preservation lifecycle of the data. Your plan should address how your archiving and preservation choices meet these requirements. As general guidance you should address the following prompts, as they apply: 5.01) Discuss how you intend to archive your data and where (include URL). 5.02) Indicate the approximate time period between data collection and submission to the archive. 5.03) Identify where data will be stored prior to being sent to an archive. You should also: 5.04) Describe how back-up, disaster recovery, off-site data storage, and other redundant storage strategies will be used to ensure the data's security and integrity. 5.05) Describe how data will be protected from accidental or malicious modification or deletion prior to receipt by the archive. 5.06) Discuss your chosen data archive's policies and practices for back-up, disaster recovery, off-site data storage, and other redundant storage strategies to ensure the data's security and integrity for the long-term. 5.07) Indicate how long the chosen archive will retain the data. 5.08) Indicate if the chosen archive employs, or allows for the recording of, persistent identifiers linked to the data. 5.09) Discuss how your chosen data repository meets the criteria outlined on the Guidelines for Evaluating Repositories for Conformance with the DOT Public Access Plan page . 6. Policies Affecting this Data Management Plan This data management plan was created to meet the requirements enumerated in the U.S. Department of Transportation's Plan to Increase Public Access to the Results of Federally-Funded Scientific Research Version 1.1 and guidelines suggested by the DOT Public Access website , in effect and current as of July 2021.