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

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6 1 INTRODUCTION 1.1 Project Statement and Goals This is the final report covering the NCHRP 20-110 project entitled “A Guide to Ensure Access to the Publications and Data of Federally Funded Transportation-Related Research.” The goal of the project was to develop guidance for state DOTs to help them meet the requirements of the U.S. DOT Public Access Plan requiring preservation of the products of all federally funded transportation research. The overall project was structured into two phases. Phase I included three tasks: Task 1: Preparation of a Technical Memorandum Task 2: Development of a Conceptual Framework and Outline for Phase II Activities Task 3: Project Interim Report, including Stand-Alone Technical Memorandum and Phase II Plan. The Phase I technical memorandum (Task 1) was developed through a set of subtasks, each aimed at gathering one facet of the information needed to develop the memorandum. These subtasks were: Subtask 1a: Literature review Subtask 1b: Identification of stakeholder information requirements and needs Subtask 1c: Review of data management plans Subtask 1d: Review of availability and usability of training materials Subtask 1e: Technical memorandum preparation The primary goal of Phase II was to develop guidance for state DOTs that would help them understand and comply with the requirements of the U.S. DOT Public Access Plan. Phase II included two tasks: Task 4: Implementation of an approved Phase II work plan to carry out and test implementation guidance provided in Phase I deliverables Task 5: Developing stand-alone guidance for State DOT’s, public agencies and transportation research organizations to follow in implementing the OSTP directive This final report describes the information-gathering process of the project as a whole, as well as how that information informed the guidance for state DOTs. The guidance itself is provided under separate cover as it is meant to be a stand-alone document. This report describes the project. 1.2 Project Methodology and Sources 1.2.1 Methodology The project statement above describes the research goals and expectations. It also specified the type of research the panel and funding community expected the research team to conduct. The team translated the project statement and goals into the four information-gathering subtasks (Subtasks 1a-1d). However, making use of the information gathered from these sources involved additional processes. The methodology

7 for turning information into guidance included: (1) validating and grounding the research team’s theoretical knowledge and practical experience in the broader literature; (2) developing a deep understanding of current good practices and lessons learned from other peer organizations; (3) understanding the challenges of transportation researchers and research organizations; and (4) translating and interpreting that knowledge to the field of transportation. 1.2.1.1 Validating the Team’s Theoretical Knowledge and Practical Experience The research team brought substantial knowledge and experience to the project. Two of the members of the research team, Dr. Jacob Carlson and Jared Lyle are recognized international experts in the topic. Dr. Denise Bedford brought a deep knowledge of transportation research data, gray literature, metadata and the federal community, and Dr. Carol Flanagan, an active national and international transportation researcher, provided context and advice throughout the project. The literature review was enriched by the team’s knowledge of the key thought leaders, researchers and practitioners in the field. Additionally, the team’s knowledge of transportation information and data was important to the review of transportation gray literature, at the local, state and national levels. Additionally, knowledge of transportation data management practices ensured that the team discovered and referenced existing good practices. The challenge of the literature review was the extent of the literature found and the general lack of direct relevance to the needs of the state DOTs. 1.2.1.2 Developing a Deep Understanding of Current Practices in Peer Organizations Because the Public Access Plan is a relatively new initiative, the research team realized that not all of the good practices or lessons learned by peer organizations would be publicly available. To ensure the team drew upon relevant good practices wherever they might exist, an extensive round of interviews was conducted with peer organizations. The peer organization interviews generated a conceptual model of key issues and cautions that supplemented the literature review. The value of the peer organization interviews was the experience shared by practitioners. This was an important counterpoint to the theoretical research that surfaced in the literature review. The practical guidance available on the U.S. DOT’s well-articulated web pages accessible on the National Transportation Library’s website proved to be among the best practices in the federal community. 1.2.1.3 Understanding the Challenges of Transportation Researchers and Research Organizations Since the primary audience for the guidance was state DOTs, along with other transportation research organizations, interviews with these stakeholders was important to understanding the range of contexts and needs. This stage of the research project was challenging because of the lack of current and reliable contact information for state DOT stakeholders. Additionally, it was challenging for state DOTs to describe their needs without practical experience. The research team developed and distributed a feedback form, participated in speed dating interviews at the TRB Annual Meeting and conducted focused interviews. Both state DOT representatives and researchers from other organizations doing research were included.