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I-56 particular projects and financial data for projections of avail- It is this link of performance measurement data which sup- able funding. ports planning, operations, and all areas of a DOT that is the The similarities and differences of the types and needs for subject of the remainder of this chapter. This report will exam- data are best managed within a data management framework, ine the ways in which data systems are linked to performance which includes data standards, definitions, policies, and pro- measures in order to support stronger incentives for agency cedures for how data are to be collected, processed, and used leaders to invest in their data programs as strategic assets and within the organization. to allocate resources using a performance-based management More recently, data and performance measurement pro- approach. grams that support operations and the link between operations The material in this chapter of the report is organized in the and planning in state DOTs are becoming more prevalent. This same order as the survey instrument used for the case studies. need is driven by several factors, including increases in conges- The sections are in the following order: tion nationwide, an increasing emphasis on safety and envi- ronmental factors along with a reduction in resources, and the · 4.2 Elements of Effective Data Stewardship and Management, inherent need to keep the transportation system operating effi- · 4.3 Organization and Governance, ciently. In addition, technology to generate, archive, and ana- · 4.4 Data Sharing, lyze transportation data along with the increasing number of · 4.5 Documentation and Reporting, private data sources suggests a need to harness and leverage the · 4.6 Technology, information. · 4.7 Relationships to Target-Setting and Resource Allocation, Also recent legislation from the Federal government and and state legislatures places an increasing emphasis and respon- · 4.8 Summary of Success Factors and Obstacles. sibility on states to be accountable to the citizens for their expenditures. Performance management is one of the ways in The discussions in each section refer to the case studies found which DOTs are responding to this need. A lot of the data and in Volume III. information needed for performance management is available through the planning division of a DOT. This includes data on 4.2 Elements of Effective Data the extent, condition, and performance of the transportation Stewardship and Management network in the state. A strong performance-based manage- ment program, such as the one adopted at the Mn/DOT, helps This section examines the institutional impact of imple- that agency to align its strategic goals with its business and menting data stewardship and governance in an organization. supporting data programs in order to best meet the needs of Figure 4.1 illustrates the hierarchical relationship between the citizens of Minnesota. data management, data governance, and data stewardship. Data Management Data Governance (DG Board, Stakeholders, DG Maturity Model) Data Stewardship (Stewards, Owners, Custodians) Source: Modified from Figure 1 Data Governance Team, The Data Governance Maturity Model. White Paper, RCG Information Technology, 2008. Figure 4.1. Data management, data governance, and data stewardship.
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I-57 The examples in this section illustrate how some DOTs and steward who has the responsibility and authority to make deci- other public or private sector organizations have defined sions about data for a given system and the other is the issues/ these terms. practices stewards who are usually the supervisors or opera- The data governance role primarily represents the individ- tional technicians responsible for securing the data or using uals responsible for establishing overall policies, standards, the data for high-level decision-making. and procedures that are to be followed by the organization. WSDOT has defined roles for Business Stewards and Tech- The data stewardship role represents the team of individu- nical Stewards, as well as other steward roles who ensure that als throughout the organization who are responsible for standardization is used in the collection, storage, integration, enacting these policies and procedures on a daily basis. The and reporting of data in order to meet business needs. Using data management program can be considered the umbrella defined roles for business and technical stewards, WSDOT overseeing all activities related to the management of core recognizes the importance of building a partnership between data systems. the business and information technology segments of the Data management can be defined as the development, exe- department, which helps to sustain a robust data governance cution and oversight of architectures, policies, practices, and framework beyond changes in administration. procedures to manage the information lifecycle needs of an In addition to data stewards, there also are Data Work enterprise in an effective manner as it pertains to data collec- Groups and Communities of Interest groups (COI) associated tion, storage, security, data inventory, analysis, quality control, with the support and/or use of data in an organization. The reporting, and visualization. Alaska Department of Transportation and Public Facilities Data governance can be defined as the execution and (ADOT&PF) Program Development Division defines these enforcement of authority over the management of data assets two groups in the following way: and the performance of data functions. The management of data assets for an organization or state DOT is usually accom- · Data Work Groups (DWG) includes the association of peo- plished through a data governance board or council. This role ple who collect and provide data for specific data programs is critical in successfully managing data programs that meet and who establish business process rules for a specific sys- business needs and in supporting a comprehensive data busi- tem. The DWG make recommendations to the data gover- ness plan for the organization. More information on data nance council on the development or enhancements to data governance is included in Section 4.3. programs which support business operations of the agency Data stewardship can be defined as the formalization of and/or the Program Development Division. accountability for the management of data resources. Data · Each Community of Interest represents an association of Stewardship is a role performed by individuals within an organi- people with a common interest as users of a specific data zation known as data stewards. For example, the Data Stewards system. In the case of Alaska, the COIs include representa- as defined by the Kansas State Department of Education tives from internal business areas and external entities and (KSDE) are the individuals who manage the definition, produc- provide input through outreach and communication with tion, accountability, and usage of data. Some of the duties of the data stewards at KSDE include the Program Development Division on the data and infor- the following: mation needs regarding specific data programs. · Provide data analysis related to individual specific program The role of data ownership also is an important part of the area; data governance framework. Data owners are somewhat dif- · Regularly evaluate the quality of the data; ferent from the data stewards. While data stewards tradition- · Identify opportunities to share and re-use data; ally have day-to-day responsibility for ensuring quality data · Enforce data quality standards; is available from a particular system and for managing the · Communicate business needs for data security; and definition, production, and usage of the data, data owners · Communicate criteria for archiving data. have a higher-level of responsibility to ensure the protection of the data and authorize access to various data applications In addition to Data Stewards for individual data programs, in their business area. such as traffic, roadway inventory, safety, and pavement data, In a public agency such as a DOT, the divisions or offices DOT also may have enterprise Data Stewards who are respon- of the DOT may serve as data owners for specific applica- sible for maintaining the enterprise data warehouse. Their roles tions supporting their business area, such as planning, traf- and responsibilities are similar to those just described, but, on fic operations, and engineering. For example, FDOT has an a much larger scale. established policy that clearly delineates the responsibilities The RCG Information Technology Company further iden- of the IT division versus the office data owners. Custodians tifies two categories of data stewards. One is the day-to-day and owners outside of the IT department are responsible for