Open Access and Open Data Requirements

AASHTO RAC/TRB State Representatives 2014 Annual
Madison, July 23
Open Access and Open
Data Requirements
Outlook and Implications
Kenda K. Levine, UC Berkeley
Mary Moulton, National Transportation Library
Who We Are
Leighton Christiansen, Iowa DOT
Kenda K. Levine, UC Berkeley
Mary Moulton, National Transportation Library
Amanda J. Wilson, National Transportation Library
Who Are We?
all images used under
claim of educational fair use
What Is Open Data?
“Open data is data that can be freely used,
reused and redistributed by anyone - subject
only, at most, to the requirement to attribute
and sharealike.”
Open Data Handbook
What Is Open Data?
Availability and Access
● no barriers to use, APIs
● no need to ask/sign up to use data
● usable and convenient formats (not PDF)
What Is Open Data?
Reuse and Redistribution
● TOS permits reuse and products to be made
using the data
● License does not restrict usage
● No proprietary formats, conform to standards
What Is Open Data?
Universal Participation
● Everyone has access (no firewalls)
● No industry based caveats
● Think of it as potential Public-PrivatePartnership
What Is Open Data?
● Ability to mix multiple sources
● Crosswalks
● APIs
● No barriers - format or license
What Is Open Access?
“Open Access is the free, immediate, online
availability of research articles, coupled with the
rights to use these articles fully in the digital
What Is Open Access?
Free Access
● No cost barriers for users
● Creative Commons for attribution
● Enables data-mining and text-mining
● Embargo periods
What Is Open Access?
Different Colors of Open Access
● Green: Author self-archives at the time of
● Gold: Author/Institution pays a fee to
publisher to publisher access “free”
White House OSTP Memo
•February 22, 2013 – Office of Science & Technology Policy issues
memorandum entitled “Increasing Access to the Results of Federally Funded
Scientific Research.”
•Memorandum addresses new requirements for both intramural and extramural
publications and digital data sets resulting from federally-funded scientific
•Expand on, Open Government requirements already in place
•RITA assigned responsibility for preparing response.
USDOT Draft Implementation Plan
“DOT-managed” = DOT contracts/grants/cooperative agreements and DOT-funded (independent of
Federal funding source, “R&D” label).
Excludes funding flowed to states from Federal Aid programs (SP&R, NCHRP).
Includes shared funded where Feds manage: pooled fund, etc.
USDOT Draft Implementation Plan
1. Ensure publications and technical reports are deposited in the National Transportation Library – MAP21 requires NTL to “serve as a central depository for research results and technical publications of the
2. Ensure metadata describing research digital data sets and the terms of access and use are made
accessible via the DOT Public Data Listing required under OMB Circular M-13-13.
3. Propose a simple Research Project Record process using a persistent identifier or similar method for
identifying and connecting publications and data sets, enabling NTL to:
a. Locate data related to publication to refer requestors/researchers.
b. Serve as compliance and reporting mechanism
USDOT Draft Implementation Plan
1. Deliver accepted, final manuscript to NTL under non-exclusive license agreement.
2. All manuscripts will be embargoed for a period of 18 months post-publication.
a. OSTP requires that embargoes may be challenged.
b. Will create “open docket” for challenges, and ongoing public feedback on Plan.
3. All publications, data sets and authors will have unique permanent identifiers for correlation of articles
with authors and relevant underlying data.
USDOT Draft Implementation Plan
1. Plan excludes data which has confidentiality, privacy, proprietary, IP, security, and other exemptions
and protections
2. Extramural research will require submission and DOT approval of data management plan from all
awardees [blanket, with flow-down to PIs for compliance]:
Is the data worth keeping?
For how long?
In what format(s)?
How is cost recovery allowed? [DOT generally not take ownership; may charge]
Awardees will determine repository for depositing data; must be accessible by NTL.
Metadata will be included in DOT Enterprise Data Inventory.
Data Available from USDOT
NTL Data Catalog
● Statistical data sets
● Geospatial data
● Sensor data
● Administrative (e.g. bridge inventories)
● Naturalistic study data
● Simulations and models
Administrative Issues
● Many funding sources = many headaches
● Many funding sources = many terms of
● Lack of coordination for tracking compliance
Legal Issues
● Privacy and NDA issues
Human subject testing
Industry secrets
● Rights and ownership
● Ability to license, re-use, and buy/sell
Open Data Issues
● Interoperability
● Data formats
● Metadata schema
● Data sets are scattered by funder (if at all)
● When is “final” dataset made available?
Open Access Issues
● Competing copyright
● Academics need to “publish or perish”
● Which repository?
● Limited only to research from specific
Funding Issues
● Unfunded Mandates
● Long-term vs.Short-term funding
● Recharge model and pricing
● Cost of infrastructure and overhead