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

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2020 N A T I O N A L C O O P E R A T I V E H I G H W A Y R E S E A R C H P R O G R A M NCHRP RESEARCH REPORT 936 Guide to Ensuring Access to the Publications and Data of Federally Funded Transportation Research Carol A. Flannagan Jared Lyle Jacob Carlson University of Michigan Ann Arbor, MI Denise Bedford georgetown University Washington, DC Subscriber Categories Administration and Management • Data and Information Technology • Research Research sponsored by the American Association of State Highway and Transportation Officials in cooperation with the Federal Highway Administration

NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM Systematic, well-designed, and implementable research is the most effective way to solve many problems facing state departments of transportation (DOTs) administrators and engineers. Often, highway problems are of local or regional interest and can best be studied by state DOTs individually or in cooperation with their state universities and others. However, the accelerating growth of highway transporta- tion results in increasingly complex problems of wide interest to high- way authorities. These problems are best studied through a coordinated program of cooperative research. Recognizing this need, the leadership of the American Association of State Highway and Transportation Officials (AASHTO) in 1962 ini- tiated an objective national highway research program using modern scientific techniques—the National Cooperative Highway Research Program (NCHRP). NCHRP is supported on a continuing basis by funds from participating member states of AASHTO and receives the full cooperation and support of the Federal Highway Administration (FHWA), United States Department of Transportation, under Agree- ment No. 693JJ31950003. The Transportation Research Board (TRB) of the National Academies of Sciences, Engineering, and Medicine was requested by AASHTO to administer the research program because of TRB’s recognized objectivity and understanding of modern research practices. TRB is uniquely suited for this purpose for many reasons: TRB maintains an extensive com- mittee structure from which authorities on any highway transportation subject may be drawn; TRB possesses avenues of communications and cooperation with federal, state, and local governmental agencies, univer- sities, and industry; TRB’s relationship to the National Academies is an insurance of objectivity; and TRB maintains a full-time staff of special- ists in highway transportation matters to bring the findings of research directly to those in a position to use them. The program is developed on the basis of research needs iden- tified by chief administrators and other staff of the highway and transportation departments, by committees of AASHTO, and by the FHWA. Topics of the highest merit are selected by the AASHTO Special Committee on Research and Innovation (R&I), and each year R&I’s recommendations are proposed to the AASHTO Board of Direc- tors and the National Academies. Research projects to address these topics are defined by NCHRP, and qualified research agencies are selected from submitted proposals. Administration and surveillance of research contracts are the responsibilities of the National Academies and TRB. The needs for highway research are many, and NCHRP can make significant contributions to solving highway transportation problems of mutual concern to many responsible groups. The program, however, is intended to complement, rather than to substitute for or duplicate, other highway research programs. Published research reports of the NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM are available from Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet by going to https://www.nationalacademies.org and then searching for TRB Printed in the United States of America NCHRP RESEARCH REPORT 936 Project 20-110 ISSN 2572-3766 (Print) ISSN 2572-3774 (Online) ISBN 978-0-309-48158-8 Library of Congress Control Number 2020938326 © 2020 National Academy of Sciences. All rights reserved. COPYRIGHT INFORMATION Authors herein are responsible for the authenticity of their materials and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce material in this publication for classroom and not-for-profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA, FTA, GHSA, NHTSA, or TDC endorsement of a particular product, method, or practice. It is expected that those reproducing the material in this document for educational and not-for-profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission from CRP. NOTICE The research report was reviewed by the technical panel and accepted for publication according to procedures established and overseen by the Transportation Research Board and approved by the National Academies of Sciences, Engineering, and Medicine. The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research and are not necessarily those of the Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; the FHWA; or the program sponsors. The Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; and the sponsors of the National Cooperative Highway Research Program do not endorse products or manufacturers. Trade or manufacturers’ names appear herein solely because they are considered essential to the object of the report.

The National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, non- governmental institution to advise the nation on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Marcia McNutt is president. The National Academy of Engineering was established in 1964 under the charter of the National Academy of Sciences to bring the practices of engineering to advising the nation. Members are elected by their peers for extraordinary contributions to engineering. Dr. John L. Anderson is president. The National Academy of Medicine (formerly the Institute of Medicine) was established in 1970 under the charter of the National Academy of Sciences to advise the nation on medical and health issues. Members are elected by their peers for distinguished contributions to medicine and health. Dr. Victor J. Dzau is president. The three Academies work together as the National Academies of Sciences, Engineering, and Medicine to provide independent, objective analysis and advice to the nation and conduct other activities to solve complex problems and inform public policy decisions. The National Academies also encourage education and research, recognize outstanding contributions to knowledge, and increase public understanding in matters of science, engineering, and medicine. Learn more about the National Academies of Sciences, Engineering, and Medicine at www.nationalacademies.org. The Transportation Research Board is one of seven major programs of the National Academies of Sciences, Engineering, and Medicine. The mission of the Transportation Research Board is to provide leadership in transportation improvements and innovation through trusted, timely, impartial, and evidence-based information exchange, research, and advice regarding all modes of transportation. The Board’s varied activities annually engage about 8,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. Learn more about the Transportation Research Board at www.TRB.org.

CRP STAFF FOR NCHRP RESEARCH REPORT 936 Christopher J. Hedges, Director, Cooperative Research Programs Lori L. Sundstrom, Deputy Director, Cooperative Research Programs Stephan A. Parker, Senior Program Officer Stephanie Campbell, Senior Program Assistant Eileen P. Delaney, Director of Publications Natalie Barnes, Associate Director of Publications Janet M. McNaughton, Senior Editor NCHRP PROJECT 20-110 PANEL Area Twenty: Special Projects John M. Mason, Pennsylvania State University–Harrisburg, Middletown, PA (Chair) Cynthia L. Jones, Ohio DOT, Columbus, OH Majed N. Al-Ghandour, North Carolina DOT, Raleigh, NC Leighton L. Christiansen, U.S. DOT, Washington, DC Karen G. Kasuba, California DOT, Sacramento, CA Robert “Bob” Meade, University of California, Richmond, CA Ivan Mutis, Illinois Institute of Technology, Chicago, IL Ellen M. “Leni” Oman, Washington State DOT, Olympia, WA Richard Y. Woo, Maryland State Highway Administration, Baltimore, MD Tim Schmidt, FHWA Liaison Johanna Levene, National Renewable Energy Laboratory Liaison James W. Bryant, Jr., TRB Liaison Lisa Loyo, TRB Liaison C O O P E R A T I V E R E S E A R C H P R O G R A M S

NCHRP Research Report 936: Guide to Ensuring Access to the Publications and Data of Federally Funded Transportation Research is a guide to help state departments of transpor- tation (DOTs) and other organizations that receive transportation-related federal funds to comply with recent U.S. DOT requirements for the publication and communication of scientific knowledge. Centered on issues of data management and open data access, the report will be of immediate use to research program managers. The transportation sector has only recently begun to look at issues of long-term preser- vation of research data and open access to that data, although there are a number of trans- portation agencies and organizations that have experience with quite large research data sets. Some federal agencies and organizations that receive federal funding have had data management requirements in place for several years and have created a pool of knowledge and experience from which the transportation research community can draw. Under NCHRP Project 20-110, the University of Michigan was asked to develop guidance and activities to assist state DOTs, other public agencies, and transportation research organiza- tions to efficiently and effectively ensure access to the results of federally funded transportation- related research. Led by principal investigator Carol A. Flannagan and co-principal investigators Denise Bedford, Jared Lyle, and Jacob Carlson, the research team assembled a thorough litera- ture review; identified stakeholder information requirements and needs; reviewed data management plans; and reviewed available training materials. While the research was in progress, the National Transportation Library published a set of essential requirements related to data management and data access with which the recipients of federal research funding from the U.S. DOT must comply. These requirements and the associated infra- structure substantially influenced the framework for the guidance that resulted from this project. The research team framed the guide around meeting essential requirements and provided a framework to keep state DOTs or other research organizations in compliance with the U.S. DOT policy. In addition, the team provided optional guidance for “going beyond the minimum” for organizations that desire to implement policies and processes that support the larger, more long-term vision of Open Science. The report has 13 chapters that cover four strategic areas: surveying the landscape, creating a roadmap, beginning the journey, and staying the course. Chapter 13 combines the elements from all of the chapters and provides a series of practical steps and activities to create an implementable system of research product preservation. Each of the steps corresponds to chapters in the Guide, and the activities are provided in a checklist format. By Stephan A. Parker Staff Officer Transportation Research Board F O R E W O R D

NCHRP Research Report 936 is available on the TRB website at www.trb.org, along with a project report, NCHRP Web-Only Document 270: Developing a Guide to Ensuring Access to the Publications and Data of Federally Funded Transportation Research, which describes the information-gathering process of the project as a whole as well as how that information informed the guidance for state DOTs.

Contents Chapter 1. What are We Trying to Accomplish? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 Policy Sources and Directives The Guide’s Structure and Conventions Essential Requirements — the Current State Evolving Landscape — Going Beyond Chapter Checklist Chapter 2. Understanding Essential Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 Introduction The National Transportation Library’s Role The Research Project Life Cycle and Compliance Essential Requirements Public Access Plan Effective Date Sources of Research Funding Finding Your Submitted Research Products and Data Chapter Checklist Chapter 3. Going Beyond the Minimum in an Evolving Landscape . . . . . . . . . . . . . . . . . . 17 Principles of Accessibility and Availability Curation: Definition, Landscape, and Solutions Going Beyond the Minimum — Creating an Open Science Culture Chapter Checklist Chapter 4. Developing Strategies and Policies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 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 Chapter 5. Roles and Responsibilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35 Key Roles for Essential Requirements Going Beyond: Expanding Stakeholders and Roles and Responsibilities Aligning Stakeholders with Roles and Responsibilities Building a Research Preservation–Conscious Culture Chapter Checklist

Chapter 6. Managing Research Publications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43 Determining Essential Requirements Eligibility Tracking and Identifying Eligible Research Products U.S. DOT Registries and Repositories Going Beyond Essential Compliance: Including All Research Products Understanding Publication Preservation Basics Understanding Metadata Standards and Practices Understanding Legal and Copyright Strategies Chapter Checklist Chapter 7. Managing Research Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53 Definition of Research Data Explaining Essential Requirements for Research Data Going Beyond: Research Data Management and Access Understanding Data Preservation Deciding What to Preserve: Data Scope and Coverage Deciding Which Formats to Preserve Managing Quality of Research Data Understanding Metadata Standards and Metadata for Transportation Data Deciding Where to Preserve Data Understanding How Long to Preserve Data Chapter Checklist Chapter 8. Data Management Plans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67 Developing and Maintaining Data Management Plans Essential Requirements for Developing Sections of Data Management Plans Going Beyond the Minimum for Data Management Plans Chapter Checklist Chapter 9. Building Blocks of the Solution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75 The Big Picture — U.S. DOT and State DOTs U.S. DOT Systems and Services Today Data Repository and Management Solutions Non-U.S. DOT Registries and Repositories for Written Research Products Chapter Checklist Chapter 10. Learning and Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81 Learning Strategies for the Research Organization Training Design and Delivery Baseline Awareness Training for Everyone Training for Researchers Training for Executive and Management Roles Training for Research Support Roles Chapter Checklist

Chapter 11. Estimating and Managing Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91 Balancing Costs and Benefits Cost Factors: Essential Requirements for the Research Organization Cost Factors: Essential Requirements for Individual Researchers Cost Factors: Going Beyond in Repository Management Chapter Checklist Chapter 12. Assessing and Managing Progress . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103 Assessment of Essential Requirements Assessment of Process and Support for Essential Requirements Assessment for Going Beyond Chapter Checklist Chapter 13. Putting It All Together . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111 How to Use the Checklists Foundational Steps Steps for Meeting Essential Requirements

CARDIO Collaborative Assessment of Research Data Infrastructure and Objectives DMP data management plan DOT department of transportation FAIR findable, accessible, interoperable, and reusable ICPSR Inter-university Consortium for Political and Social Research IRB institutional review board ISO International Organization for Standardization NTL National Transportation Library OAIS Open Archival Information System ORCID Open Researcher and Contributor ID OSTP Office of Science and Technology Policy R&D research and development RASCI responsible, accountable, supported, consulted, informed RH Research Hub RiP Research in Progress ROSA P Repository and Open Science Access Portal SP&R State Planning and Research TRID Transport Research International Documentation U.S. DOT U.S. Department of Transportation USGS U.S. Geological Survey Acronyms