Slide Title: U.S. DOT Public Access Update

Speaker notes: I am Leighton Christiansen, the National Transportation Library, U.S. DOT, and one of the DOT leads for the US DOT Public Access Plan, since joining DOT in May 2016.

I would like to thank to the AASHTO RAC Chairs for inviting me to address you today.

Today I will give a number of updates on Public Access both at the DOT and the Federal level. I will also introduce you to the National Transportation Data Preservation Network. As usual, I have more to say than time on the agenda. Therefore, I have included more slides than I can get to, but have also included complete text in the slides “Notes” fields, so that you may review these later, once they are shared with you.

I am of course available to answer questions. Please email me at: leighton.christiansen@dot.gov

Slide Title: Contents

Speaker notes: Federal Public Access Efforts & Updates● NTL’s Mandates ● U.S. DOT Public Access Policy Update ● Repository & Open Science Access Portal (ROSA P) ● Public Access and the Foundations of Evidence-Based Policymaking Act ● Report GAO-20-81● US DOT Public Access Implementation Working Group (PAIWG) ● OSTP Subcommittee on Open Science Workplan 2020 ● NIH Draft Data Management & Sharing Plan ● OSTP RFC: Desirable Repository Characteristics ● Useful Guidance ● NCHRP 936: A Guide to Ensure Access to the Results of Federally Funded

Transportation Research Introducing the NTDPN● National Transportation Data Preservation Network (NTDPN)

Slide Title: Federal Public Access Efforts & Updates

Speaker notes: Over the next few minutes I am going to give a brief update on a number of federal public access efforts.

Slide Title: About the National Transportation Library

Speaker notes: The National Transportation Library was established in 1998 as 1 of the 5 U.S. national libraries, along with:● Library of Congress● National Library of Education

● National Library of Medicine ● National Agricultural Library

NTL provides access to:● Digital collections● Data services ● Reference and research services ● Networking We are an open access digital repository. All items are in the public domain and available for reuse without restriction.

NTL Operates under the following mandates:● Transportation Equity Act for the 21st Century (1998)

○ “establish and maintain a National Transportation Library, which shall contain a collection of statistical and other information needed for

transportation decision making at the Federal, State, and local levels.” ● Moving Ahead for Progress in the 21st Century Act (MAP-21) (2012)

○ Acquire, preserve and manage transportation information and information products and services for use by DOT, other Federal agencies, and the public;

○ Serve as the central repository for DOT research results and technical publications; and,

○ Serve as the central clearinghouse for transportation data and information of the Federal Government

● White House Office of Science and Technology Policy memo requiring all Executive Departments and Agencies spending more than $100 million/year on R&D to ensure public access to peer-reviewed publications and digital datasets arising from federally-funded scientific research (2013)

● Foundations for Evidence-Based Policymaking Act of 2018, Title II: The Open, Public, Electronic, and Necessary Government Data Act (or OPEN Government Data Act)

Slide Title: U.S. DOT Public Access Policy Update

Speaker notes: Let’s start with our US DOT Public Access Policy.

More formally known as the “Plan to Increase Public Access to the Results of Federally-Funded Scientific Research,” defines Public Access as: “Public Access” to Publications and Digital Data Sets, for the purpose of this plan, will mean:● The Public is aware of the Digital Data Set holdings and/or the Digital Data

Sets generated, fully or partially, through federally funded Scientific Research; ● The Public is able to download and analyze unclassified Publications and/or

Digital Data Sets unless specifically precluded by privacy, confidentiality or National/Homeland security concerns; wherein

○ Public Access may be restricted to subsets of the Public based on the sensitivity of the Publication and/or Digital Data Set; and United States Department of Transportation;

○ Public Access may be controlled by Institutional Review Boards or other means or terms as necessary.

None of the above precludes the inventorying of Scientific Research Digital Data Sets and the display of their descriptions and terms of access, to the extent

required by M-13-13 and the applicable Data Management Plan.

Why are we updating?● First Published December 15, 2015: Time for a review

● New Policy and Laws have gone into affect in the last 4 years.

● Review and update will Include Lessons Learned

● Lead by Charles Ducker, OGC; and Dan Morgan, Chief Data Officer

● Small updates expected

● June 2020 start; December 2020 finish

● Still not completely socialized inside and outside DOT

● Will include update of DOT Public Access Plan Guidance Website: https://ntl.bts.gov/public-access

● Please contact Leighton if you have questions or suggestions.

Slide Title: Repository & Open Science Access Portal (ROSA P)

Speaker notes: ROSA P: https://rosap.ntl.bts.gov/welcome

U.S. DOT Public Access Plan, Section 4.0 Requirements, Subsection 4.1 Publications This plan requires that authors and/or Operating Administrations submit to the DOT National Transportation Library (NTL) digital repository all Publications that meet the Scope criteria above, unless specifically precluded by privacy, confidentiality, or National/Homeland security concerns. As the Department’s solution for Public Access to Publications, NTL’s systems, which are built on international standards and protocols for interoperability, information exchange, federated searching, and metadata sharing, maximize the potential for creative reuse to enhance value to all stakeholders. NTL’s mandate to work with other federal, state, local and industry organizations to facilitate access to and use of transportation information and partnerships with other federal scientific and technical information agencies both maximize the impact of the Federal research investment in transportation and encourage private-public collaboration. : https://rosap.ntl.bts.gov/submitContent

Reports submitted to NTL must be 508 compliant: NTL LibGuide on Accessibility_508 : https://transportation.libguides.com/accessibility

Slide Title: Public Access and the Foundations of Evidence-Based Policymaking Act

Speaker notes: The DOT’s update of our Public Access plan will be informed by new federal laws and policy that have come into effect since December 2015. One of these is the Open, Public, Electronic, and Necessary Government Data Act (or OPEN Government Data Act) is Title II of Foundations for Evidence-Based Policymaking Act of 2018, which you can read at: https://www.congress.gov/115/bills/hr4174/BILLS-115hr4174enr.xml This act became law on 2019-01-14.

The OPEN Government Data Act, in brief, makes amendments to 44 USC Public Printing and Documents; Chapter 35 Coordination of Federal Information Policy; Subchapter I – Federal Information Policy << http://uscode.house.gov/browse/prelim@title44/chapter35/subchapter1&edition=preli m >>; Sections 3502, 3504, 3506, and 3511; as well as creating new Sections 3520, 3520A.

Important highlights include:● These sections describe the roles of directors and agencies in making

information and data public. ● The language added in 2019 places special emphasis on the Federal Data

Catalog (data.gov) and agency data inventories (like data.transportation.gov).

● All of the amended language is consistent with current DOT policies and public access plan.

● New emphasis is added on capturing metrics of usage. ○ However this burden is placed on the agency director and the CDO, not

individual offices. ● Section 3520 creates the official position of Chief Data Officer in each federal

agency.● Section 3520A calls for the creation of federal-wide CDO Council. ● All changes in the amendments are to be enacted by 2020-01-14.

Slide Title: Report GAO-20-81

Speaker notes: Also impacting US DOT Public Access is the Government Accountability Office (GAO) report: FEDERAL RESEARCH: Additional Actions Needed to Improve Public Access to Research Results, which was published in November 2019. You can download this report from: https://www.gao.gov/products/GAO-20-81

The report, which surveyed all federal agencies, included one recommendation to the U.S. DOT: “The Secretary of Transportation should fully develop and implement a mechanism to ensure researcher compliance with the public access plan and associated requirements.”

US DOT is working on compliance measurement policies and mechanisms. You may see updates to grant and contract language in the coming years.

Slide Title: Public Access Implementation Working Group (PAIWG)

Speaker notes:● May 2020: The Public Access Implementation Working Group (PAIWG) is

chartered as a Topical Research Working Group under the leadership of the Research, Development, and Technology (RD&T) Planning Team.

● Mission: Enable cross-modal collaboration to ensure the best possible public access to USDOT scientific research through implementation of the DOT Public Access Plan, common best practices, and shared resources.

● Scope The Public Access Implementation Working Group (PAIWG): ● ꞏ Owns USDOT Public Access Plan development, implementation, and

compliance monitoring across all categories of public access outputs, including consistent-facing communications and inputs to implementation support resources;

● ꞏ Charters time-limited implementation task forces with modal and OST experts;

● ꞏ Reports Public Access Plan progress and obstacles to the RD&T Planning Team, including Operating Administration compliance monitoring once the revised plan is implemented; and

● ꞏ Coordinates U.S. DOT participation in U.S. Federal, domestic and international Public Access, Open Science, and Data Strategy efforts and

activities, and enables knowledge sharing of these activities with the Department.

● Leadership: Leighton Christiansen (NTL) Chair; Ariel Gold (ITSJPO) Vice-Chair

Slide Title: OSTP Subcommittee on Open Science Workplan 2020

Speaker notes: Another federal-wide effort is the White House Office of Science and Technology Policy (OSTP) Subcommittee on Open Science (SOS), which has been in operation for many years now. The group has updated its objectives and working groups for 2020.

The 2020 SOS Strategic Objectives are: ● Increase the impact and benefit from federally funded scientific

research products by making them more accessible to the public, machine-readable, and aligned with FAIR (findable, accessible, interoperable, and reusable) principles.

● Assess opportunities to increase access to scientific research products while managing associated risks.

● Collaborate with academia, research communities, and industry to achieve open science objectives in ways that are efficient, effective, and advance national science and

engineering priorities. Engage international partners to strengthen open science objectives.

To achieve these objectives, the SOS Working Groups for 2020 are: ● Data Management & Repositories ● Data Dictionary ● Persistent Identifiers ● Publications ● Access Risks ● Collaboration

DOT representatives serve on most of these working groups. DOT actions and policy reviews are informed by this effort to standardize federally-funded research.

Slide Title: NIH Draft Data Management & Sharing Plan

Speaker notes: One upcoming standardization may be in the section required in Data Management and Sharing Plans (DMPs). In late 2019/early 2020, the National Institutes of Health put our a request for comment on their Draft Data Management and Sharing Plan. Their draft included the sections: 1. Data Types2. Related Tools, Software, & Code 3. Standards 4. Data Preservation 5. Data Sharing Agreements, Licenses, and Other Use Limitations 6. Oversight of Data Management

Please note, the new section on Tools, Software, and Code. This is not currently one of the DOT DMP suggested sections, but we were already looking at adding it in the current policy review.

Likely Impacts on DOT & Researchers: 1. Similar to existing

2. OSTP SOS discussion on using NIH as template to harmonize DMPs across Federal organizations

3. Help us prep for US DOT PA Update

If you want to read the draft and comments please visit the Federal Register at: https://www.federalregister.gov/documents/2019/11/08/2019-24529/request-for-public-comments-on-a-draft-nih-policy-for-data-management-and-sharing-and-supplemental

Slide Title: OSTP RFC: Desirable Repository Characteristics

Speaker notes: Another upcoming standardization may be around recommended characteristics of repositories for federally-funded research.

In early 2020, the OSTP posted a Request for Comment on “Desirable Repository Characteristics” which came out of the SOS Repositories working group.

From OSTP Subcommittee on Open Science, Working Group 2● DOT alerted transportation research community, academic and other

transportation data repository managers, and data research stakeholders ● Comment period ran from January 13 to March 13.

Likely Impacts on DOT & Researchers: 1. Similar to existing recommendations 2. OSTP SOS action to harmonize repository characteristics across Federal

organizations3. Small impact on US DOT PA Update

If you would like to read the RRFC and the comment submitted, please visit the Federal Register at https://www.federalregister.gov/documents/2019/11/08/2019-24529/request-for-public-comments-on-a-draft-nih-policy-for-data-management-and-sharing-and-supplemental

The SOS Data Management and Repositories Working Group is still reviewing and analyzing the comments submitted.

Slide Title: Useful Guidance

Speaker notes: Next I would like to remind you all about some useful Public Access guidance resources.

Slide Title: NCHRP Report 936

Speaker notes: We at US DOT have been creating, updating, and supporting Public Access Guidance and tools since before the DOT plan went public in 2015. One of the latest is NCHRP Report 936. In late January, the Transportation Research Board (TRB) published the pre-print version of National Cooperative Highway Research Program (NCHRP) Report 936: A Guide to Ensure Access to the Results of Federally Funded Transportation Research.

I was one of the original authors of the research needs statement in 2014, and I and other NTL staff served on the research project panel, and helped to review and edit the report as it became finalized.

You can access the Report Pre-Print at http://www.trb.org/Main/Blurbs/180230.aspx● This report is the final output of NCHRP Project NCHRP 20-110:

https://apps.trb.org/cmsfeed/TRBNetProjectDisplay.asp?ProjectID=4062 ● The Guide is designed to help DOT-funded researchers improve data

management and data sharing

● The Guide, which experienced some publication delays, is already a little out

of date because of things like Federal Data Strategy that came about while report in publication limbo

● The National Transportation Library planning series of video trainings

Slide Title: Public Access Website

Speaker notes: Be sure to bookmark the DOT Public Access Plan Guidance Website: https://ntl.bts.gov/public-access

There you can read:

● The Plan! (Read and enjoy often)

● Tips on How to Comply

● Tips on Creating DMPs

● Tips on Picking a Repository

● Tips on Managing Rights

● Tips on Requesting Embargoes

● FAQs

Slide Title: Repository & Open Science Access Portal (ROSA P)

Speaker notes: Just a Reminder!! ROSA P: https://rosap.ntl.bts.gov/welcome

U.S. DOT Public Access Plan, Section 4.0 Requirements, Subsection 4.1 Publications This plan requires that authors and/or Operating Administrations submit to the DOT National Transportation Library (NTL) digital repository all Publications that meet the Scope criteria above, unless specifically precluded by privacy, confidentiality, or National/Homeland security concerns. As the Department’s solution for Public Access to Publications, NTL’s systems, which are built on international standards and protocols for interoperability, information exchange, federated searching, and metadata sharing, maximize the potential for creative reuse to enhance value to all stakeholders. NTL’s mandate to work with other federal, state, local and industry organizations to facilitate access to and use of transportation information and partnerships with other federal scientific and technical information agencies both maximize the impact of the Federal research investment in transportation and encourage private-public collaboration. : https://rosap.ntl.bts.gov/submitContent

Reports submitted to NTL must be 508 compliant: NTL LibGuide on Accessibility_508 : https://transportation.libguides.com/accessibility

Slide Title: Introducing the NTDPN

Speaker notes: Next I will take a few minutes introducing the National Transportation Data Preservation Network, which you are invited to join.

Slide Title: The Challenges and The Goals

Speaker notes: The transportation research community faces a number of challenges. These include: ● There is no domain-specific data repository in the U.S.

○ And we are NOT trying to build one!! ● U.S. DOT-funded transportation research data already exists in scores of

academic repositories● These repositories operate under a variety of policies and practices ● Researcher may not know which repository to use

Our goals include:● Improve discovery, sharing, and preservation of U.S. DOT-funded data ● Without building one repository to rule them all

What might the solution to these challenges look like?

Slide Title: National Transportation Data Preservation Network (NTDPN)

Speaker notes: Next I want to introduce you to the National Transportation Data Preservation Network (NTDPN) In April 2019, BTS sponsored, and NTL, with help from the team at the Volpe center, organized a first of its kind workshop, to investigate the possibility of building a National Transportation Data Preservation Network.

A National Transportation Data Preservation Network would provide unified access and discovery for transportation research data, where data are clearly described and defined. As a result, researchers would be able to combine and reuse data, opening up new paths of inquiries that leverage (rather than duplicate) earlier efforts.

Goals: ● help searchers find transportation-related data in the numerous organizational

and institutional repositories and archives where it now resides ● help researchers find reliable homes for the digital data if their organization

does not have a repository of its own.

Slide Title: Network Vision

Speaker notes: The Network Vision includes the following focus areas: ● Data Access & Preservation

○ The network will connect transportation data from across the U.S. to be easily discovered across various repositories and institutions.

○ Network participants will encourage adherence to the FAIR Principles << https://www.force11.org/group/fairgroup/fairprinciples >> ensuring data will be uniformly described and identified to allow researchers to easily find useful and related data, with an understanding of the quality and utility of the data.

○ Long-term preservation and access can be guaranteed through CORETRUSTSEAL, or other, repository certification.

● Networking Infrastructure○ A network action group is currently exploring which network model to

adopt.○ One potential model is a hub-and-spoke architecture (like the NSF

model), where member nodes feed into the discovery and access points. ○ This model extends existing repositories and efforts, allowing for

participation by researchers regardless of their institutional affiliation. The network will also feed into other established discovery tools for data

and transportation.

● Community of Practice (CoP)○ The network will support a CoP for transportation research, with

collaboration through data management, shared governance, education, compliance, and reuse.

Slide Title: Benefits to the Research Community

Speaker notes: We the creation of such a network as providing a large number of benefits to the transportation research community.

Today, transportation data in the U.S. is stored and managed in disparate ways across numerous platforms. This can make finding data a challenge. Further, as best practices for data preparation, documentation, and preservation are well established, these practices are unevenly implemented across the transportation research domain. This can have a negative impact on long-term data accessibility. Making data findable, accessible, interoperable, and reusable (FAIR), produces many benefits: researchers creating data receive credit through data citation; greater ease in identifying data gaps; and improved findability of previously collected data for reuse.

Why a Data Preservation Network is Important and Key Benefits of a NTDPN: 1. Improve tracking and coordination of data as there currently is no central repository for U.S. transportation research data; 2. Identify partners willing to help archive and preserve collected data even without access to an institutional repository; and, 3. Encourage adoption of repository standards which makes data easier to find, for people and computers, through the use of robust metadata among

other benefits. Benefits of Joining a Data Preservation Network, include:

--Help establish repository standards for transportation data preservation; --Contribute to developing research norms for accessing and citing data; --Improve data availability for the widest possible use; and, --Meet like-minded individuals who care about transportation data preservation.

Slide Title: Your Formal Invitation – We need you!

Speaker notes: Your Formal Invitation – We need you!

Even with discussions on benefits of “big data,” the transportation research community and industry are still in their infancy of using data to drive informed decision making and setting better policy. Simultaneously, we are on the cusp of a transportation revolution with new technologies and concepts for alternative modes of transportation. From geospatial maps and transit routes, to safety data collected about pedestrians and bicyclists along a particular route, transportation-related data can be used for multiple purposes.

With the guidance of the National Transportation Library of the U.S. Department of Transportation, several academic and public institutions are working to design and establish a data preservation network capable of providing all the benefits and services the transportation field needs, such as curating, preserving, and sharing transportation- related data generated during federal, state, industry, and academic research.

So, what do we need to make this happen? You! This is our invitation to you to join us in creating – from the ground up – the data preservation network transportation needs as we move into a more data-centric era.

Please join us in this effort and help us to make transportation data curation, preservation, and access best practices our common practice!

Slide Title: Find Out More

Speaker notes: IF you would like to read more about out activities so far, please see the meeting summaries and our poster listed on this slide.

Building a National Transportation Data Preservation Network Workshop https://doi.org/10.21949/1506118

Building a National Transportation Data Preservation Network Workshop [poster] https://doi.org/10.21949/1506103

Slide Title: Key Contacts

Speaker notes: If you would like to get involved or have questions, please send an email to the Outreach team:

○ Leighton Christiansen - Leighton.christiansen@dot.gov ; ○ Kristine (Kris) Stacy-Bates - kksb@iastate.edu ; ○ Daniel Lichtenstein – Daniel.Lichtenstein@inodeink.com ; and, ○ Angela Berthaume - Angela.Berthaume@dot.gov

Slide Title: Thank you!

Speaker notes: If you have question about anything in this presentation, please contact me:

Leighton L Christiansen https://orcid.org/0000-0002-0543-4268 Data Curator, National Transportation Library, U.S. DOT leighton.christiansen@dot.gov