Guide to Ensuring Access to the Publications and Data of Federally Funded Transportation Research (2020)

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CHAPTER 1. What are We Trying to Accomplish? Policy Sources and Directives In February 2013, the White House Office of Science and Technology Policy (OSTP) released a memorandum titled “Increasing Access to the Results of Federally Funded Research (Holdren Memo),” which directed federal agencies to develop plans to make the publications resulting from federally funded research freely available to the public within 1 year of publication. The memorandum also required researchers to better account for and manage the digital data resulting from federally funded scientific research, with the goal of making these data publicly accessible, too. The memorandum directed the heads of executive departments and agencies with more than $100 million in annual extramural research and development (R&D) budgets to develop a public access plan for the results of research, both publications and digital scientific data, directly arising from their funds. In response to the OSTP Memorandum, the U.S. Department of Transportation (U.S. DOT) developed its Public Access Plan (http://ntl.bts.gov/public-access), which was published on December 15, 2015, and became effective as of January 1, 2016. In addition, “Executive Order 13642, Making Open and Machine Readable the New Default for Government Information”1 and “Office of Management and Budget Memorandum M-13-13, Open Data Policy — Managing Information as an Asset”2 were released in 2013. Individually and collectively, these directives established the mandates for the federal government to transform data and information into usable and accessible digital artifacts and promote and accelerate their release, subject to certain limitations imposed by privacy, confidentiality, and national security considerations. 1. W H A T A R E W E TR Y IN G TO A C C O M PLIS H ? In This Section » Policy Sources and Directives » The Guide’s Structure and Conventions » Essential Requirements — the Current State » Evolving Landscape — Going Beyond » Chapter Checklist ? ? ? U.S. DOT Public Access Plan: https://www. transportation. gov/mission/open/ official-dot-public- access-plan-v11 1

2 1. what are we trying to accomplish? The purpose of this Guide to Ensuring Access to the Results of Federally Funded Transportation Research (hereafter referred to as “the Guide”) is to help state DOTs, as well as other organizations that do transportation research, better understand and consider how they will comply with the U.S. DOT policy. Compliance is discussed in the context of the essential requirements that are mandated for organizations to continue to receive federal research funding in the future. It is also discussed in the broader context of going beyond to achieve the wider goal of Open Science. Policy becomes process and practice through interpretation and guidance. Historically, the U.S. DOT has provided access to intramural and extramural research in progress and technical reports as well as many final publications through partnerships with organizations such as the Transportation Research Board (TRB). The U.S. DOT’s intramural research programs also have a long history of making data available to the public (e.g., the Fatality Analysis Reporting System, or FARS database). On an incremental basis, the U.S. DOT’s extramural research programs are taking steps to increase data sharing. The purpose of the Public Access Plan is to scale and institutionalize those research and development access practices across the department. The U.S. DOT’s public access process and practice have continued to evolve during the course of this project. Essential requirements for compliance are now well documented on the U.S. DOT website. In addition to describing essential requirements and how to comply with them, this Guide provides background information and explanations pertinent to key questions and concerns of researchers, administrators, information service providers, and information technology managers. Understanding the context and challenges, as well as participating in the discourse surrounding public access and Open Science, is important for everyone who generates, funds, manages, or uses transportation research. While essential compliance with these new policies and requirements contributes to the goal of Open Science, the full vision will be realized when state DOTs and other organizations go beyond the minimum. The Guide explains both how to comply with the essential requirements and how to go beyond them to achieve the benefits of Open Science. Open Science is the movement to make scientific research, data, and dissemination accessible to all levels of an inquiring society — amateur or professional. In general, Open Science strives to make it easier to publish and communicate scientific knowledge. It is a long-range vision which goes beyond the requirements of the U.S. DOT’s Public Access Plan. However, ? ? ? Open Science is the practice of science in such a way that: (1) others can collaborate and contribute, and (2) research data, lab notes, and other research processes are freely available under terms that enable reuse, redistribution, and reproduction of the research and its underlying data and methods ? ? ? Essential requirements for compliance: https://ntl.bts.gov/ public-access/plan- executive-summary

3 1. what are we trying to accomplish? initiatives such as the Public Access Plan make the Open Science vision achievable. For more information on Open Science, see “What is Open Science Anyway?” on page 22. The primary audience for the Guide is staff in state departments of transportation (DOTs) who will be responsible for complying with the requirements for their own federally funded research and ensuring compliance when such funds are used internally or passed to contractors. Federally funded transportation-related research is often conducted by organizations beyond state DOTs, but state DOTs will be responsible for communicating requirements and ensuring compliance. In addition to state DOT staff, researchers and research staff at universities and other contract organizations should find this helpful in understanding their role in compliance with the new requirements. The Guide’s Structure and Conventions The Guide can be read in different ways. Administrators looking for task-oriented guidance may want to begin by reviewing the Open Science strives to make it easier to publish and communicate scientific knowledge. ? ? ? SURVEYING THE LANDSCAPE Chapter 3: Going Beyond the Minimum Chapter 2: Understanding Essential Requirements Chapter 1: What are We Trying to Accomplish? CREATING A ROADMAP Chapter 5: Roles and Responsibilities Chapter 4: Developing Strategies and Policies BEGINNING THE JOURNEY Chapter 8: Data Management Plans Chapter 7: Managing Research Data Chapter 6: Managing Research Publications Chapter 9: Building Blocks of the Solution STAYING THE COURSE Chapter 12: Assessing and Managing Progress Chapter 11: Estimating and Managing Costs Chapter 10: Learning and Training Chapter 13: Putting It All Together

4 1. what are we trying to accomplish? checklists in Chapter 13, and then referring back to earlier chapters for explanations. This is the first edition of the Guide. As practices at state DOTs and research institutions grow, so will the community’s understanding of how to adopt and adapt the practice and guidance to a particular context. Each chapter is structured to address: Main Ideas and Concepts Essential Requirements Going Beyond the Minimum Chapter Review and Checklists Within each chapter the Guide uses design elements for emphasis and identification, including: Key Websites Common Questions and Answers Definitions Tips, Tricks, and Good Ideas Essential Requirements — the Current State Compliance with essential requirements is mandated for organizations seeking federal funding for transportation-related research after December 16, 2015. The U.S. DOT will include assessments of compliance in the review of funding proposals. Proposals from noncompliant organizations will not be eligible for consideration. Since the issuance of the Public Access Plan, the National Transportation Library (NTL) and TRB have defined the practices that satisfy essential compliance, which are described and explained ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ?

5 1. what are we trying to accomplish? in detail in Chapter 2. While most of the essential requirements are straightforward and reflect current practice, the practices surrounding the requirement to preserve and provide access to research data supporting research results are evolving. The Guide helps navigate the requirements and explains good practices for developing an institutional strategy to satisfy the U.S. DOT requirements. Evolving Landscape — Going Beyond Essential requirements, now established, enable state DOTs and other transportation research organizations to receive federal research funds. However, the practice of preservation, access, and sharing of research products and data is progressing over time. The Guide also describes and explains evolving practices to enable organizations to go beyond the minimum and keep up with this evolution. In particular, going beyond allows organizations and researchers to take full advantage of the Open Science vision. Chapter Checklist From this chapter, you should be able to þ Identify and track the national and state DOT level policies and authorities. þ Understand the purpose and structure of the guide. þ Understand the concept of essential requirements. þ Understand the consequences of noncompliance. þ Understand the concept of “going beyond minimum.” Endnotes 1 Exec. Order No. 13642 of May 9, 2013. 78 FR 28111. https://www.govinfo.gov/content/pkg/CFR-2014-title3-vol1/pdf/ CFR-2014-title3-vol1-eo13642.pdf. 2 Sylvia M. Burwell, Steven VanRoekel, Todd Park, and Dominic J. Mancini. Open Data Policy—Managing Information as an Asset. M-13-13. Executive Office of the President, Office of Management and Budget, Washington, DC, May 9, 2013. https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/memoranda/2013/m-13-13.pdf.