USDOT Public Access Policy and Compliance The United States Department of Transportation Implementation of Public Access to Federally Funded Research USDOT Public Access Policy and Compliance RAC Summer Meeting Providence RI 25 July 2016 Mary Moulton US DOT National Transportation Library

NTL Services Consultation Reference Services Taxonomy and Ontology development Digitization services Networking and Outreach Activities Transportation Knowledge Networks Transportation Librarians Roundtable Transportation Research Thesaurus Science.gov Reference Services Ask-A-Librarian FAQs User training sessions Traditional reference and research services Collections and Resources 50,000-item digital repository BTS Data archive and Data portal Our stakeholders for these services are the Department transportation libraries and librarians, transportation researchers, policy-makers, students, academicians, and practitioners. Some examples include Congress, media, local governments, students, and the general public. In thinking about the community, transportation presents some unique opportunities. Transportation professionals are primarily engineers. As we know from the work of Carol Tenopir, Jose-Marie Griffiths, and Don W. King, communication patterns of this group is highly personal and social. As information professionals, we have a challenge of raising awareness of our value and skills to this community. The Information Age has helped our cause. So, why a discovery tool now?

WH OSTP Memo on Public Access Increasing Access to the Results of Federally Funded Scientific Research: The direct results of federally funded science, including peer-reviewed publications and digital data, will be made freely accessible to the public to the greatest extent possible, consistent with law and other objectives, including the continued availability of peer review. Each Federal agency with over $100M in annual research expenditures will develop a plan for public access, after consultation with stakeholders including researchers, universities, libraries, publishers, and representatives of other potential users.  NTL’s role NTL Digital Repository identified as the solution for long-term access to publications and compliance

Scope and When to Comply USDOT plan is ONLY prospective in nature. It covers all scientific research funded through: - New funding agreements established after 12/31/2015 - Existing funding agreements adding additional funding after 12/31/2015 Small Business Innovation Research (SBIR) program research results are expressly exempt. USDOT plan does not “chase the color of money.” Research conducted under formerly federal funds directed to alternative sources (i.e., state DOT funds, pooled funds, SP&R, and all TRB cooperative research programs) prior to their apportionment to a specific research program/project are not required to comply with the USDOT plan.

Summary of Researcher Requirements Plan for, report, and perform data management activities Obtain an ORCID for all project authors (one-time step) Report your research project progress to TRB’s Research in Progress database Include ORCIDs and funding agreement numbers on publication and dataset submissions Ensure terms and conditions of peer-reviewed journals do not impair authors’ obligations under DOT public access plan (non-exclusive rights under copyright are retained by DOT) Email public access deliverables and associated metadata to to USDOT Research Hub, NTL, and TRB.

ORCID: Open Researcher and Contributor ID To Create an ORCID: 1.Visit https://orcid.org/register  2. Complete basic profile information (only name and email address are required) 3. Specify default level for future research What does ORCID do? ORCID provides a registry of persistent unique identifiers for researchers and scholars and automating linkages to research objects such as publications, grants, and patents. Where can I find more information about ORCID? http://support.orcid.org/knowledgebase What kind of organization is ORCID? ORCID is an international not-for-profit organization created in 2010 to benefit research organizations and funders, publishers, and researchers.

Required Elements: Data Management Plans (DMPs) Description of the Data Standards to be Used Policies for Access Policies for Re-Use, Re-Distribution, and Derivative Products Plans for Archiving and Preservation For more Information: http://ntl.bts.gov/publicaccess/creatingaDMP.html

Research Results: How are Publications and Data Defined? any scientific research project written deliverable funded, fully or partially, through a DOT-managed contract, grant, or other funding agreement; any intramural technical or final reports; and all final peer-reviewed manuscripts accepted for publication Data all scientific data collected through research projects funded, either fully or partially, by federal funds awarded through a DOT contract, grant or other agreement or collected by DOT employees; “data” is, for example, numeric or qualitative data, image or video data, text sequences, samples, physical collections, software, algorithms, and models. This data can be Instrument-generated digital data output, researcher-generated databases, data transformations, data linkages, tables, and/or spreadsheets, observational data, etc.

Terms and Conditions for Publications As of 1 January 2016, DOT receives a comprehensive non-exclusive, non-transferrable, paid-up, royalty-free copyright license as a term and condition of funding agreements Right to copy; Right to distribute; Right to prepare derivative works; Right to display; and Right to perform in public DOT asserts these rights on the all final peer reviewed manuscripts accepted for publication (will be embargoed for one year after publication date) Researchers are responsible for ensuring that any agreements with publishers or other outlets does not conflict with these terms

Final Submission Package Submitted to USDOT Research Hub, NTL, and TRB  Include: URLs to or attached files of final written deliverables URLs to datasets with associated descriptive metadata USDOT Research Hub Display ID Funding agreement number ORCIDs for all author(s) FHWA Research Library could be a resource to support compliance activities

DOT Public Access website http://ntl.bts.gov/publicaccess/index.html Overview of research process and public access Links to US DOT Public Access Plan and executive summary Information for researchers How to comply Creating a data management plan Evaluating repositories Managing rights Requesting an embargo Links to US DOT Research Hub and NTL Digital Repository If you work for the transportation sector, the DOT Public Access website is the best place for current information about Public Access. The site features … detailed on the slide.

DOT Public Access website Public Access Plan FAQs Printable webpage http://ntl.bts.gov/publicaccess/FAQs.html General information and specific topics including publications, data, and compliance Continuously updated in response to public feedback Contact information Ask-a-Librarian NTL Reference 800-853-1351

Training and Outreach Transportation Librarians Roundtable USDOT Public Access Plan: What Librarians Need to Know http://ntl.bts.gov/networking/tlrarchive/201512/index.html Disambiguating Transportation Authors with Unique ORCID Identifiers http://ntl.bts.gov/networking/tlrarchive/201501/index.html Trusted Repository Certification and the National Transportation Library http://ntl.bts.gov/networking/tlrarchive/201412/index.html The Transportation Librarians Roundtable is a great place to stay informed on a variety of topics. The TLR is a monthly web conference hosted by NTL in collaboration with AASHTO, TRB and SLA Transportation Division. Participation in the live discussion is open to all. NTL archives the webinars which are then available for replay. Recent topics related to Public Access have included those listed on the slide. NTL, in partnership with other organizations, will continue to provide updates on Public Access at the National AASHTO RAC TRB State Representatives Meeting and the TRB Annual Meeting. It is also worth exploring other government websites (NIH, USGS) for related tutorials and help. Bear in mind that each agency’s Public Access Plan has features specific to the discipline they fund.

Find Help Near You! Transportation Knowledge Networks Ask a librarian ETKN, MTKN, WTKN Ask a librarian Department administrators and research managers University administration office for sponsored research projects

Thank you! Questions or comments? Mary E. Moulton 202-366-0303 mary.moulton@dot.gov http://ntl.bts.gov/ @NatTransLib