Research Data:Data Management Internal Communication Procedures

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Summary

This page outlines the internal procedures required to efficiently complete data management plan transactions within the Office of Research, departmental IT, the Office of Information Security, and Principal Investigators.


For projects with export controls, publication restrictions, and/or foreign national restrictions, follow process A.


For projects that must adhere to NIST 800-171 compliance, follow process B.


For all other projects requiring a DMP follow process C.

Glossary

OSP: Office of Sponsored Projects

ECO: Export Controls Office

DMT: Data Management Team

PI: Principal Investigator

TCP: Technology Control Plan

DMP: Data Management Plan

DFARS: Defense Federal Acquisition Regulation Supplement

NIST 800-171: National Institute of Standards and Technology Special Publication 800-171

CUI: Controlled Unclassified Information

SSP: System Security Plan

POA&M: Plan of Action and Milestones 

A. TCP

Export Control Triggers: DFARS 252.227-7013, 252.227-7014, ITAR

  1. The Export Control Office (ECO) notifies Principal Investigator (PI) that a TCP is required and CC’s the Data Management Team (DTM) via datamanagement@utdallas.edu.
    • Somewhere in this ‘hand off’ transaction, the ECO will send DMT all relevant contract material.
    • ECO typically includes the export controls which triggered the need for a TCP.
    • Determine which DMT member will take lead of the project.

  2. In response to the notification, DMT lead of project reaches out to PI with an offer of assistance.
    • Use the email template ‘INSERT NAME’ to provide a standard response and edit details per project basis.
    • Because datamanagement@utdallas.edu is a shared email, all DMT members must include their signature for identification in all communications.
    • If a DMT member reads an unread email and does not take action to update Wrike, then they must mark it as “Unread”.

  3. DMT manually creates new task in Wrike to begin documenting project.
    • Name a task using the following convention:
      First Last: Plan Type – Project Number – Description
      E.g. Jane Doe – TCP – 12345 – NATO Subaward
    • Use Wrike template which outlines necessary project info.
    • Task is assigned to DMT lead of project.

  4. DMT assignee reviews contract and makes note of clauses/policies containing data management concerns in Wrike ticket.
    • Place all contract materials in relevant Box file path:
      ORIS>Documents>Data Management> Plans>Plan Type>PI First Last Name>Project Number
      E.g. (Insert example)

  5. Once PI submits TCP for review, the DMT lead provides PI with feedback via datamanagement@utdallas.edu to address data management concerns.
    • If feedback is requested through the DMPTool, still provide feedback as an email, and copy feedback into the relevant comment sections in the DMPTool.
    • Document all feedback and progress in Wrike task.
    • If a PI has not created a plan, or has not responded to any inquiries, follow up 5 days after initial contact, then 10 days, then 5 days, and continue as necessary.

  6. Repeat feedback reviews until all concerns have been addressed by PI.
    • TCP must be completed before a project can move forward.

  7. Once DMT lead reviews final changes made by PI, notify approval to PI and ECO.
    • At this stage, we ‘hand off’ further transactions to ECO.
    • PI is responsible for attaching pdf of TCP and sending to ECO.

  8. DMT lead will close out ticket in Wrike and move Outlook thread to researcher’s respective folder in Outlook.
    • Tasks that are not complete are kept open in Wrike and in the datamanagement@utdallas.edu Outlook inbox.

B. NIST 800-171

Deliverables: System Security Plan (SSP) & Plan of Action and Milestones (POA&M)

Triggers: NIST 800-171, Controlled Unclassified Information (CUI), DFARS 252.204-7012

  1. The Export Control Office (ECO) and/or OSP notifies Principal Investigator (PI) that NIST 800-171 protocols are required and CC’s the Data Management Team (DTM) via datamanagement@utdallas.edu.
    • Somewhere in this ‘hand off’ transaction, the ECO and/or OSP will send DMT all relevant contract material.
    • ECO and/or OSP typically include the controls which triggered the need for NIST 800-171 protocols.
    • Determine which DMT member will take lead of the project.

  2. In response to the notification, DMT lead of project reaches out to PI to schedule a meeting.
    • Use the email template ‘INSERT NAME’ to provide a standard response and edit details per project basis.
    • Because datamanagement@utdallas.edu is a shared email, all DMT members must include their signature for identification in all communications.
    • If a DMT member reads an unread email and does not take action or update Wrike, then they must mark it as “Unread”.
    • If a PI does not respond to any inquiries, follow up 5 days after initial contact, then 10 days, then 5 days, and continue as necessary.

  3. DMT manually creates new task in Wrike to begin documenting project.
    • Name a task using the following convention:
      First Last: Plan Type – Project Number – Description
      E.g. Jane Doe – NIST 800-171 – 12345 – NATO Subaward
    • Use Wrike template which outlines necessary project info.
    • Task is assigned to DMT lead of project.

  4. DMT assigned member reviews contract and makes note of clauses/policies containing data management concerns in Wrike ticket.
    • Place all contract materials in relevant Box file path:
      ORIS>Documents>Data Management>Plans>Plan Type>Researcher First Last Name>Project Number
      E.g.(Insert example)

  5. Send follow up email via datamanagement@utdallas.edu to PI with a summary of meeting and attach NIST 800-171 commitment agreement for PI to sign.

  6. Once PI signs NIST 800-171 commitment agreement, the DMT lead drafts SSP & POA&M documents.

  7. DMT lead sends SSP & POA&M documents for review to CISO, distributed IT, and PI.

  8. DMT lead repeats feedback reviews until approval signatures are obtained from CISO and PI.

  9. Set up meeting to train project staff and personnel to NIST 800-171 standards.
    • Training must be completed before project can begin.

  10. DMT will schedule a 1-year review in the datamanagement@utdallas.edu Outlook calendar.

  11. DMT lead will close out ticket in Wrike and move Outlook thread to researcher’s respective folder in Outlook.
    • Tasks that are not complete are kept open in Wrike and in the datamanagement@utdallas.edu Outlook inbox.

C. DMP

Triggers: As explicitly required or recommended.

  1. The Office of Sponsored Projects (OSP) notifies Principal Investigator (PI) that a DMP is required and CC’s the Data Management Team (DTM) via datamanagement@utdallas.edu.
    • Somewhere in this ‘hand off’ transaction, the OSP will send DMT all relevant contract material.
    • OSP typically includes the export controls which triggered the need for a DMP.
    • Determine which DMT member will take lead of the project.

  2. In response to the notification, DMT lead of project reaches out to PI with an offer of assistance.
    • Use the email template ‘INSERT NAME’ to provide a standard response and edit details per project basis.
    • Because datamanagement@utdallas.edu is a shared email, all DMT members must include their signature for identification in all communications.
    • If a DMT member reads an unread email does not take action or update Wrike, then they must mark it as “Unread”.

  3. DMT manually creates new task in Wrike to begin documenting project.
    • Name a task using the following convention:
      First Last: Plan Type – Project Number – Description
      E.g. Jane Doe – DMP – 12345 – NATO Subaward
    • Use Wrike template which outlines necessary project info.
    • Task is assigned to DMT lead of project.

  4. DMT assigned member reviews contract and makes note of clauses/policies containing data management concerns in Wrike ticket.
    • Place all contract materials in relevant Box file path:
      ORIS>Documents>Data Management> Plans> Plan Type>Researcher First Last Name>Project Number

  5. Once PI submits DMP for review, the DMT lead provides PI with feedback via datamanagement@utdallas.edu to address data management concerns.
    • If feedback is requested through the DMPTool, still provide feedback as an email, and copy feedback into the relevant comment sections in the DMPTool.
    • Document all feedback and progress in Wrike task.
    • If a PI has not created a plan, or has not responded to any inquiries, follow up 5 days after initial contact, then 10 days, then 5 days, and then close out.

  6. Repeat feedback reviews until all concerns have been addressed by PI.
    • DMP’s are not required for a project to move forward unless otherwise stipulated.

  7. Once DMT lead reviews final changes made by PI, notify approval to PI and OSP.
    • At this stage, we ‘hand off’ further transactions to OSP.
    • PI is responsible for attaching pdf of DMP and sending to OSP.

  8. DMT lead will close out ticket in Wrike and move Outlook thread to researcher’s respective folder in Outlook.
    • Tasks that are not complete are kept open in Wrike and in the datamanagement@utdallas.edu Outlook inbox.