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

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CHAPTER 13. Putting It All Together Checklists can serve as a foundation for more advanced management of people, processes, and resources. This chapter presents 12 checklists to help state DOTs and other transportation research institutions track their progress against essential requirements. The first three checklists cover foundational steps, and the remaining nine checklists track the steps necessary to meet essential requirements. Each of these nine checklists is accompanied by additional tasks to undertake to go beyond the minimum. The 12 checklists together constitute a synopsis of the tasks and issues that have been discussed throughout the Guide. Transportation research organizations can begin their journey by using the checklists as a roadmap and learn more about each task by referring back to the individual chapter. The checklists can be used over time — as needed — to ensure your organization and researchers are in compliance with U.S. DOT policy and processes. How to Use the Checklists Chapter by chapter, the Guide has walked you through the key issues and tasks. Some of these were tied to essential requirements and some were tied to going beyond the essential requirements in the future. Because the Guide will be used by organizations that are at different stages of compliance, you may want to work with all 12 checklists or focus only on specific checklists. The checklists can provide a guide to assessing where your organization is now in complying with essential requirements. Organizations can use the checklists as a working tool to do the following: • Assess and assign responsibility for determining the current state of the organization in complying with essential requirements; • Formulate a strategy for current future implementation of compliance; and • Involve all stakeholders, both current and future, in the practicalities of planning and accomplishing compliance. 13. P U T T IN G IT A LL T O G E T H E R In This Section » How to Use the Checklists » Foundational Checklists » Using the Checklists to Go Beyond Essential Requirements » Foundational Steps » Steps for Meeting Essential Requirements ? ? ? A checklist is a simple aid for managing a complex set of tasks. 111

112 13. Putting it all together The Guide suggests that organizations use the checklists to assess the status of each requirement by noting whether it is (1) complete, (2) in progress, or (3) not yet started. The checklists can then be used to assign and track responsibility for each requirement. To assign responsibilities, organizations might find it helpful to use the RASCI approach. Assigning a task to those who are likely responsible or accountable (R, A) will prove the most effective as a starting point. Organizations might also use the checklists to identify stakeholders who might be expected to support (S) the requirement or who should be consulted or informed (C, I). Foundational Checklists The first three checklists cover one-time steps that establish a foundation for both short- and long-term strategies. The remaining checklists pertain to meeting essential requirements. The checklists for Steps 4 through 12 cover specific steps in the overall research preservation process and correspond to the chapters in the Guide. Using the Checklists to Go Beyond Essential Requirements Assuming the state DOT has developed a strategy for meeting essential requirements, there should be a good understanding of the U.S. DOT policy and requirements, a deep understanding across the state DOT of essential requirements, and a sense of the state DOT’s expectations for engaging in Open Science. Those state DOTs that want to go beyond the essential requirements should focus on the checklists for Steps 4 through 12. For each of these steps, activities that address going beyond the minimum are identified. The long-term strategy should be a continuation of, rather than a radical departure from, the short-term strategy. However, going beyond the minimum is a significant step for a state DOT. A formal project plan would be a better tool to use to realize that long-term vision. Foundational Steps Step 1. Raise Awareness of Federal Policies Step 2. Raise Awareness of Essential Requirements Step 3. Raise Awareness of Open Science Vision & Going Beyond the Minimum

113 13. Putting it all together STEP 1. FOUNDATIONAL — Raise Awareness of Federal Policies Identify and Track the National- and U.S. DOT–Level Policies and Authorities Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted: Understand the Purpose and Structure of the Guide Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted: Understand Essential Requirements Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted: Understand the Consequences of Noncompliance Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted:

114 13. Putting it all together Step 1 (continued) STEP 2. FOUNDATIONAL — Raise Awareness of Essential Requirements Understand What Research Is Eligible Under the Policy Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted: Know How to Track and Identify Your Funded Research Projects Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted: Understand What to Do When in the Research Project Life Cycle Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted: Understand the Concept of Going Beyond the Minimum Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted:

115 13. Putting it all together Provide Guidance to Researchers in Registering ORCID Identifiers Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted: Know When and How to Submit a DMP Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted: Know Where to Submit Your Eligible Research Reports & Research Publications Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted: Know Where and How to Preserve Your Eligible Research Data Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted: Step 2 (continued)

116 13. Putting it all together Know How to Provide a Persistent Identifier to Preserved Research Data Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted: Step 2 (continued) STEP 3. FOUNDATIONAL — Raise Awareness of Open Science Vision & Going Beyond the Minimum Understand the U.S. DOT’s and the Local Research Organization’s Roles and Responsibilities Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted: Develop a Strategy to Achieve Essential Requirements Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted:

117 13. Putting it all together Steps for Meeting Essential Requirements Step 4. Develop Short- and Long-Term Strategies To go beyond the minimum, include the following tasks: • Consider a research institution’s long-term interest in Open Science. • Recognize the importance of making incremental progress. • Monitor the work of communities of practice. STEP 4. Develop Short- and Long-Term Strategies Develop a Strategy to Achieve Essential Requirements Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted: Design a Short-Term Strategy That Can Grow into a Long-Term Strategy Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted: Define the Organization’s Long-Term Interest in Open Science Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted:

118 13. Putting it all together Develop a Plan for Incremental Progress Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted: Define a Method for Monitoring the Progress of External Communities Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted: STEP 5. Identify and Support Stakeholders and Assign Roles and Responsibilities Identify Roles and Responsibilities for Meeting Essential Requirements Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted: Step 5. Identify and Support Stakeholders and Assign Roles and Responsibilities To go beyond the minimum, include the following tasks: • Define an expanded stakeholder model for going forward. • Define expanded roles and responsibilities for going forward. • Anticipate impacts to the organizational culture. • Anticipate new communication patterns. • Design and implement new governance models and methods. Step 4 (continued)

119 13. Putting it all together Map Roles to Organization’s Job Titles Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted: Review Current Responsibilities Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted: Step 5 (continued) Step 6. Manage Research Text Products To go beyond, augment the Step 6 checklist by including tasks that pertain to a broader scope and coverage of research publications and reports at the local organizational level. This may lead to a new project description pertaining to information and archives management across the organization. In this case, the checklist may expand to include the development of local content registries and repositories. STEP 6. Manage Research Text Products Identify Eligible Written Research Products Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted:

120 13. Putting it all together Understand What Information to Provide to NTL, TRB, and RH Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted: Understand When to Submit to NTL, TRB, and RH Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted: Step 6 (continued) Distinguish Formal Publications and Manuscripts and Final Project and Technical Reports Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted: Understand How to Submit Written Research Products to NTL, TRB, and RH Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted:

121 13. Putting it all together Step 7. Manage Research Data The Guide assumes that most research institutions will not have a local solution for managing research data in place. The Guide also acknowledges that the design and implementation of a local solution is a significant undertaking. Those organizations that do opt for a local solution over the longer term should consider a full project plan with full cost models. STEP 7. Manage Research Data Define Essential Requirements for Research Data as Described by the U.S. DOT Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted: Interpret Essential Requirements for Your Organization’s Transportation Research Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted: Understand the Metadata Services Provided by NTL, TRB, and RH Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted: Step 6 (continued)

122 13. Putting it all together Step 8. Develop and Use Data Management Plans Going beyond in this step means expanding the role of DMPs for planning across the organization and building on their short-term strategy. Extended use for planning, though, should be designed to suit each organization’s unique environment. STEP 8. Develop and Use Data Management Plans Understand the Purpose of a DMP Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted: Understand the Basic Components of a DMP Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted: Understand the Organization’s Roles and Responsibilities for Data Management and Preservation Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted: Step 7 (continued)

123 13. Putting it all together Comply with Essential Requirements for Intramural Research DMPs Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted: Comply with Essential Requirements for Extramural Research DMPs Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted: Step 8 (continued) Step 9. Understand the Big Picture for Transportation Research Management This step does not change when moving beyond essential requirements. The bigger picture remains the same, though the organization’s choices may change. Having established essential compliance, an organization now has a framework for assessing the state of progress in an evolving field. STEP 9. Understand the Big Picture for Transportation Research Management Describe the U.S. DOT and TRB Systems and Services that Support Essential Requirements Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted:

124 13. Putting it all together Step 10. Learning and Training This step does not change very much for organizations that want to go beyond the essential requirements. The bigger picture remains the same, but the details of training materials may change somewhat. Stakeholders need to understand the broadened scope of the effort and a possibly narrowed set of choices for data deposit (e.g., eliminating those that provide less-effective long-term preservation). In addition, training for going beyond needs to focus especially on culture change and why stakeholders should embrace the Open Science vision. STEP 10. Learning and Training Identify Stakeholder Groups and Training Needs Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted: Understand Local Practices for Managing Written Research Products and Research Data Assets Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted: Describe the Organization’s Choices for Research Data Repositories and Registries to Meet Essential Requirements Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted: Step 9 (continued)

125 13. Putting it all together Identify Resources Available from Which to Develop Targeted Training Materials Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted: Developing a Training Program Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted: Step 11. Determine Costs, Budgets, and Economic Value Many costs come from compliance with essential requirements, and the cost to an individual project is unlikely to change substantially. However, the cost to an organization that wants to go beyond will change in the following ways: • Increasing the total scope of preservation will increase the total cost and • Increasing the level of services provided by a repository or internal support staff (e.g., bibliographic search, long-term data preservation and hosting) will increase the cost. Step 10 (continued) STEP 11. Determine Costs, Budgets, and Economic Value Identify Cost Factors Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted:

126 13. Putting it all together Step 12. Assess Progress Against Essential Compliance For going beyond, the most important change in assessment is to add a focus on metrics to assess impact. All other metrics and assessment structures should remain in place and be consulted regularly to check how well the system is operating. STEP 12. Assess Progress Against Essential Compliance Identify Metrics to Track Each Element of the Essential Requirements Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted: Calculate Essential Compliance Costs at the Organizational Level Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted: Calculate Essential Compliance Costs at the Project/Proposal Level Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted: Step 11 (continued)

127 13. Putting it all together Set Up a System That Tracks Eligible Projects from the Start to Support Assessment Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted: Develop Questions for a User Survey That Will Address Policy and Process from the User Point of View Status of Activity: ❏ Complete ❏ In Progress ❏ Not Yet Started Action Required (if any): Individual Responsible: Individual(s) to be Consulted: Step 12 (continued)

Abbreviations and acronyms used without definitions in TRB publications: A4A Airlines for America AAAE American Association of Airport Executives AASHO American Association of State Highway Officials AASHTO American Association of State Highway and Transportation Officials ACI–NA Airports Council International–North America ACRP Airport Cooperative Research Program ADA Americans with Disabilities Act APTA American Public Transportation Association ASCE American Society of Civil Engineers ASME American Society of Mechanical Engineers ASTM American Society for Testing and Materials ATA American Trucking Associations CTAA Community Transportation Association of America CTBSSP Commercial Truck and Bus Safety Synthesis Program DHS Department of Homeland Security DOE Department of Energy EPA Environmental Protection Agency FAA Federal Aviation Administration FAST Fixing America’s Surface Transportation Act (2015) FHWA Federal Highway Administration FMCSA Federal Motor Carrier Safety Administration FRA Federal Railroad Administration FTA Federal Transit Administration HMCRP Hazardous Materials Cooperative Research Program IEEE Institute of Electrical and Electronics Engineers ISTEA Intermodal Surface Transportation Efficiency Act of 1991 ITE Institute of Transportation Engineers MAP-21 Moving Ahead for Progress in the 21st Century Act (2012) NASA National Aeronautics and Space Administration NASAO National Association of State Aviation Officials NCFRP National Cooperative Freight Research Program NCHRP National Cooperative Highway Research Program NHTSA National Highway Traffic Safety Administration NTSB National Transportation Safety Board PHMSA Pipeline and Hazardous Materials Safety Administration RITA Research and Innovative Technology Administration SAE Society of Automotive Engineers SAFETEA-LU Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (2005) TCRP Transit Cooperative Research Program TDC Transit Development Corporation TEA-21 Transportation Equity Act for the 21st Century (1998) TRB Transportation Research Board TSA Transportation Security Administration U.S. DOT United States Department of Transportation

TRA N SPO RTATIO N RESEA RCH BO A RD 500 Fifth Street, N W W ashington, D C 20001 A D D RESS SERV ICE REQ U ESTED N O N -PR O FIT O R G . U .S. PO STA G E PA ID C O LU M B IA , M D PER M IT N O . 88 N CH R P Research Report 936 TR B ISBN 978-0-309-48158-8 9 7 8 0 3 0 9 4 8 1 5 8 8 9 0 0 0 0