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

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START CHAPTER 4. Developing Strategies and Policies Getting Started Starting a completely new program of sharing and preserving research products can seem daunting, but it can be done in small steps over time. In order to successfully navigate the small steps, it is essential to begin with a vision. The starting point for a state DOT research preservation program must be the policies and essential requirements established by the U.S. DOT Public Access Plan and supplemented by the guidance web pages hosted by the National Transportation Library (NTL). These essential requirements, described in more detail in Chapter 2, include the following: • Create a data management plan (DMP) for every project covered under the U.S. DOT Public Access Plan and follow, revise, and update DMPs as needed throughout the projects. • Have an Open Researcher and Contributor ID (ORCID) identifier for each researcher and research contributor on every research project covered under the Public Access Plan. • Report research projects to TRB’s Research in Progress (RiP) database and update the record over the duration of the project; in particular, ensure that every project’s status is changed from “active” to “completed” within 2 months of completion. • Package and archive data as outlined in the DMP. • Submit research reports and peer-reviewed publications to the NTL’s ROSA P repository and Research Hub with all appropriate documentation. 4. D E V E LO P IN G S T R A T E G IE S & P O LIC IE S In This Section » Getting Started » Planning for Essential Requirements » Implementing a Short-Term Strategy » Going Beyond: Creating a Holistic Plan and Long-Term Goals » Implementing a Long-Term Vision » Developing Practical Policies and Strategies » Measuring Progress » Chapter Checklist U.S. DOT Public Access Plan ? ? ? RiP database: http://rip.trb.org 25

26 4. Developing StrategieS anD policieS While the goals and purview of the U.S. DOT Public Access Plan are specified, the way state DOT programs might get there is not. Moreover, by “Going Beyond the Minimum” on page 17(Chapter 3), state DOTs can envision policies that not only are more comprehensive or inclusive than the minimum, but that also help the state DOT and its researchers move toward the Open Science vision. The state DOT’s vision for research preservation will need to include the following elements: • Governance and oversight. • Reach of program — will it include only what is required by the U.S. DOT or will it extend to state-funded programs? • Policy and provision for training. • A process for reevaluating goals and progress. Planning for Essential Requirements While the steps that lead to compliance have been clearly laid out by the U.S. DOT (Chapter 2), each state DOT must interpret and institutionalize a process to ensure compliance. The impacts of noncompliance are felt by the whole organization, not just individual researchers. For this reason, it is important to have a short-term plan that will ensure that the state DOT is in good standing on all of its research projects funded after January 2016. Short-Term Objectives Focusing on Essential Requirements Short-term goals should focus on the U.S. DOT’s essential requirements. As Chapter 2 indicates, achieving compliance means taking specific actions before, during, and after a research project is completed. While researchers are critical to achieving compliance, it is the organization’s (e.g., the state DOT’s) responsibility to make sure all of its researchers are in compliance. This means that people other than researchers need to be involved in planning and carrying out the plan. Who these people are will vary by state DOT. The Guide describes functional roles that you can use to map to your organization in Chapter 5. Table 1, “Whose Responsibility Is It?” on page 27), identifies which aspects of the plan the U.S. DOT is currently responsible for and which aspects the local organization is responsible for. As the table suggests, organizations must develop plans to translate and track ? ? ? Staying abreast of changes to essential requirements Essential compliance requirements are consistently being updated and can be found at http://ntl.bts.gov/publicaccess/.

27 4. Developing StrategieS anD policieS eligible research, explain how the plan will be translated to a process, determine who will be responsible for implementing the plan, and determine where research data will be managed and stored. Programs that meet and support these goals will also facilitate transition to the longer-term goals of Open Science, as described in the section on going beyond on page 31. Successful programs will communicate clearly with researchers and detail what falls under the policy, why it should be followed, and how. Key Questions to Ask When Developing Strategies A set of key questions to consider when strategies and policies are being developed is provided below. In answering these questions, it will become clear what structures are missing and what structures are already in place. Data Management Plans þ Is there a strategy for creating a DMP? þ Do researchers have experience developing DMPs? þ Is there a need for additional short-term training, or is the U.S. DOT guidance on DMPs sufficient for the immediate future? ORCID Identifiers þ Is there an institutional policy for recording the ORCID identifier of each researcher and contributor? þ How many researchers currently have an ORCID identifier? þ Is there a need to raise awareness about ORCID identifiers across the organization? Issue Responsible for Essential Compliance Responsible for Going Forward Why? Goals U.S. DOT U.S. DOT & State DOT What? Eligible Research & Data U.S. DOT & State DOT U.S. DOT & State DOT When? Timelines U.S. DOT U.S. DOT & State DOT How? Defining a Process U.S. DOT & State DOT U.S. DOT & State DOT Who? Functional Roles State DOT State DOT Where? Registries & Repositories U.S. DOT & State DOT U.S. DOT & State DOT Table 1. Whose Responsibility Is It? U.S. DOT vs. Local Research Organizations (e.g., State DOT) ? ? ? Questions to Ask DMPs ? ? ? Questions to Ask ORCIDs

28 4. Developing StrategieS anD policieS Registering & Depositing Eligible Research Publications and Reports þ Research funding proposals: þ Who creates research funding proposals at the state DOT? þ Are those who manage research funds and proposals familiar with TRB’s RiP database and with Form 1700.17? þ If individual researchers are responsible, are they aware of the new requirements? þ Is there a template for funding proposals? If yes, do researchers know how to add new information to the template? þ Project updates: Are research fund managers routinely informed of project updates during the project life cycle? Are all updates registered in the TRB RiP database? þ Project closeout: Who is responsible for closing out the research project? þ Final reports and publications: þ Are final project reports, final technical reports, or any other research publications generated by research projects routinely submitted to the NTL, the TRB RiP, and the U.S. DOT’s Research Hub? If so, how can this role be leveraged in the future? þ How often does the state DOT submit research products to these sources? If the current practice is maintained, will the state DOT be in compliance with the new requirement 1 year after project closeout? If not, what needs to be changed? Eligible Research Data þ Are research data currently submitted along with research publications and reports to any sources? Is this a process that can be leveraged? þ Do researchers have a clear understanding of what constitutes eligible research data? If not, who is the best person to provide this clarification? þ Data packages (data and metadata packaged for deposit): þ Are researchers familiar with data packages? þ Is there someone at your state DOT who understands how to create a data package? þ Repositories: þ Are the repository choices recommended by the U.S. DOT acceptable and affordable for the state DOT? þ Is there a preferred repository for the state DOT to manage the preservation of research data? ? ? ? Questions to Ask Registering and depositing research publications and reports ? ? ? Questions to Ask Registering and depositing research data

29 4. Developing StrategieS anD policieS þ Will the repository of choice be approved by the U.S. DOT if it is included in the DMP? þ If the repository choices are not affordable, what other options are available? Who is the best person at your state DOT to assess and select a repository solution if one has not yet been identified? þ What is the strategy for adding data management cost factors into the DMP? þ Who is the best person in the state DOT to advise on cost estimates? Implementing a Short-Term Strategy Communicating the short-term strategy to the research institution is important for ensuring compliance. Research institutions might consider memos to staff, extended memos to research funds and proposal managers, and targeted communications to researchers. Research institutions that also have institutional review boards (IRBs) or sponsored program/research offices might want to consider including explanations and process changes in their procedures documentation and websites. Implementation is most effective, though, when the requirements have been translated directly to functional roles and responsibilities. This means explaining requirements to • Researchers about ORCID identifiers, research tracking, DMPs, and research products registration and deposit; • Research fund and IRB managers about new DMP requirements and costs for research proposals; • Research program managers for proposal tracking in TRB RiP and noncompliance; • Technologists about data repository requirements and assessments; • Contracts managers about data management support agreements where new arrangements need to be made; and • Librarians and internal publishing offices for publication tracking and the provisioning of advice on institutional repositories. Implementing a short-term policy gives research institutions time to gain a better understanding of the issues, to make and learn from incremental progress, and to engage in conversation with these emerging and evolving fields. See Table 2 for examples of short-term policy objectives. It is highly recommended that research institutions focusing only on essential requirements identify individuals who can serve as liaisons to the communities of practice engaged in research product and data management. ? ? ? Questions to Ask (continued) Registering and depositing research data

30 4. Developing StrategieS anD policieS Policy Short-Term Objective Preservation Requirement Projects: Start with the U.S. DOT essential requirements for which funding types require compliance with the requirement. They are specified on the Public Access Plan website: https://ntl.bts.gov/public-access/plan-executive-summary. Tracking Start with internal systems that track submission of funding proposals and see if they can be adapted to track elements of compliance. Focus on tracking of DMPs, ORCID identifiers, and submission of reports and data to NTL at project completion. Also leverage information in the TRB RIP record. Storage Start with one or more of the suggested repositories listed by NTL at https:// ntl.bts.gov/public-access/data-repositories-conformant-dot-public-access-plan. Confidentiality Data that could endanger research subjects’ confidentiality, including those containing direct identifiers and/or indirect identifiers, will be considered confidential and for restricted use. These should be shared only through the following methods (requiring approval from the data archive): secure online analysis, restricted-use data agreement, physical data enclave, anonymization, and/or virtual data enclave. Oversight Identify an oversight committee that includes at least one high-level manager and stakeholders from among researchers, research administrators, and data managers as participants. At least one person should be assigned to be up-to-date on essential requirements and on any changes to the U.S. DOT requirements and/or available support for compliance. Training Start by requiring training for regular research and anyone responsible for compliance in the state DOT or other transportation research institution. These are people who need to implement in practice early on. For state DOTs, any other principal investigators (PIs) outside the state DOT who have projects with relevant funding (covered by the Public Access Plan) should be required to complete training before funds can be allocated. Going beyond, all staff involved in research should have exposure to the preservation process and policy for longer-term culture change. DMP Start with developing templates for creating DMPs in your research organization. See the U.S. DOT Public Access Plan guidance page “Creating Data Management Plans” (https://ntl.bts.gov/public-access/creating-data- management-plans) for the expected DMP sections and suggested points to cover. Additionally, a DOT DMP template is available at: http://guides.lib.umich. edu/c.php?g=283277&p=2138498. Costs The U.S. DOT has explicitly stated that costs of preservation can be included in research budgets. Thus, a policy that will enable essential compliance is to require researchers to incorporate some costs related to preservation in their budgets. The cost of general infrastructure such as training, tracking, and oversight will likely need to come from nonproject budgets, so early planning for these costs (especially initial setup costs) will be important. Table 2. Examples of Short-Term Policy Objectives ? ? ?

31 4. Developing StrategieS anD policieS Going Beyond: Creating a Holistic Plan and Long-Term Goals This section is for organizations that already have an institutional policy in place or are interested in creating an institutional policy that goes beyond the minimum. In going beyond essential requirements, state DOTs and research institutions will determine their goals (why), the scope and coverage of the plans (what), internal timelines (when), organization-wide processes (how), organizational roles (who), and organizational registries, repositories, and tracking systems. Establishing Long-Term Goals for Preservation The long-term vision is grounded on the research institution’s own goals for Open Science, which would then be translated into a set of concrete strategies that should include the following: • Assess the current state of goals, strategies, roles, and resources. • Define specific goals for a 3- to 5-year plan, including strategies, roles, and resources specific to accomplishing each goal. • Plan how to fill gaps or define new action items for each goal. • Assess methods and metrics to measure progress against goals. Implementing a Long-Term Vision Assess the Current Situation Once the long-term vision is established, the next step involves assessing where the research institution is with respect to research preservation. Many institutions have no program in place, so it is fine to start at the beginning, asking questions such as these: þ Policy: What is the policy on scope and coverage of research projects and data to be preserved? þ People: Are there defined roles and responsibilities that align with the full research life cycle? þ Process: What is the process for tracking and managing research projects? Will it scale to the long-term goals of scope and coverage? þ Systems: What are the institutional registries and repositories? If there are none, are there arrangements in place with external registries and repositories? ? ? ? Beyond minimum Holistic plans & long-term goals Early planning to cover nonproject infrastructure costs is important. ? ? ?

32 4. Developing StrategieS anD policieS Developing Practical Policies and Strategies A research preservation system cannot be built overnight. Practical policies must be understandable to the people implementing them and manageable with the available resources (staff, time, budget, etc.). Concrete policies and strategies must address the items listed below. These topics, as they relate to going beyond, are covered in detail in later chapters of the Guide, as indicated. • Preservation Requirements • Projects: What research projects are included in the U.S. DOT’s preservation requirement? (Chapter 6) • Data: What data must be preserved? (Chapter 7) • Storage: Where may/must data be stored and for how long? (Chapter 7) • Confidentiality: Which data are considered confidential and how will confidential data be preserved and shared? (Chapter 7) • Oversight: Who will provide oversight to ensure that the requirements are being met? (Chapter 5) • Tracking: How will applicable research projects and compliance be tracked? (Chapter 6) • Training: What training will be required and for whom? (Chapter 10) • Data Management Plan: Does the DMP contain the elements needed to successfully enable researchers to plan for the eventual sharing and preservation of the data? (Chapter 8) • Costs: How will preservation costs be handled? (Chapter 11) Measuring Progress Measuring progress is an essential component of being able to move from a short-term focus of compliance to a long-term focus of developing policies that are fully aligned and embedded within the state DOT’s culture and work practices. Although progress may be slow in the beginning, developing and putting these policies into place will pick up over time as researchers and staff become more acclimated to what they are being asked to do. As a part of facilitating this transition from the old way of doing things to the new, careful monitoring of the state DOT’s progress will be needed to determine what elements of the policies might need more attention or adjustment. Building in measurements of the policies is also important to determine cost- effectiveness and the rate and extent of culture change that is (or is not) taking place. If measurements reveal that the policies and supports are not achieving the desired results or that compliance is leveling off, it may be that adjustments in time, resources, and attention need to be made.

33 4. Developing StrategieS anD policieS Chapter 12 contains a more detailed set of suggested ways to measure progress, including periodic surveys, tracking compliance, and so forth. However, the following set of basic measures can be tied to policies: • Count projects that fall under the new public access policy and where actions have been taken to address this policy. • Count projects with active DMPs. • Count projects that have preserved reports. • Count projects that have preserved data. • Count people involved in research and what percentage have ORCID identifiers. • Count the number of people who have gone through training. • Measure and account for the costs of complying with the Public Access Plan, including DMP oversight, training, and preserving research products. • Survey stakeholders on their knowledge, actions, expectations, and needs over time. Chapter Checklist From this chapter, you should be able to þ Understand the U.S. DOT’s and the research organization’s roles and responsibilities. þ Develop a strategy to comply with essential requirements. þ Understand the differences between short- and long-term strategies. þ Understand how to grow short-term into long-term strategies. þ Consider a research organization’s long-term interest in Open Science. þ Understand the importance of making incremental progress. þ Understand the importance of monitoring the work of communities of practice. Measure and account for costs of compliance with the Public Access Plan. ? ? ?