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I-65 areas, prior to designing and implementing those changes, to how well their roadway system compares with other states of alleviate potential problems in the future. This is the approach similar size and population. used at the PANYNJ where any department-initiated request Depending upon the size of the organization it is possible for changes to an existing system must be coordinated through to purchase off-the-shelf software to handle the tracking the IT Department and must involve a review by other line and management of data, as is the case in the city of Coral departments to ensure that all impacts are discussed ahead Springs, Florida. The city uses a web-based system known as of time. Active Strategy to handle the functions for managing their While determining what type of documentation to maintain performance data. and what standards are to be used is important, it is equally Just as implementing data governance does not follow a important to ensure that the documentation is archived in a one-size-fits-all approach, each agency should determine their repository that is sharable across the enterprise. This is where needs for managing their data systems and their documenta- the use of a KM system, as described in Section 3.4, can provide tion and reporting requirements, and invest in systems that great benefit to the organization. best suit their business needs. The use of an enterprise data warehouse also can provide widespread access to data and information to the organization. 4.6 Technology A data warehouse using Extract Transform Load (ETL) tools mines data from source databases and loads the data into data The role of information technology in an organization, such marts. The data marts can serve not only as a repository for as a DOT, is generally a centralized function, with technical sup- standard reports but also provide query capabilities to allow for port provided by a distributed network of IT professionals analysis of data as needed. throughout the organization. Sometimes, additional techni- It is imperative, in this age of technology, that reports are cal support is provided through the use of external outsourced easily accessible and available in multiple formats such as MS services from the vendor community. If it becomes necessary to Word, Excel, and PDF and can easily integrate digital images outsource IT support, strengthening the internal flow of data and GIS maps into the reports. The MTC demonstrates this and communication of information is even more critical. This type of flexibility in their StreetSaver program which allows for is where the use of Business Intelligence (BI) tools is most effec- integration of GIS maps from various external sources through tive. Several of the available tools are discussed in this section. on-line portals. Smaller agencies can use this data to present A part of the institutional arrangement for supporting data information on maps to their local city councils in order to management, governance and stewardship also includes estab- request funding for critical projects. lishing policies and standards for collection and use of data While many of the agencies interviewed recognized the within the organization. This is usually a function of the IT importance of having easy mechanisms for executives to run office, as well. There are benefits as well as disadvantages or reports on-demand, some private sector companies simply challenges that can occur based on centralizing this responsi- compile books of operational performance metrics and bility with the IT office. Some of the issues are related to the distribute these within their organizations for critique and organization and access of data and may include the following: self-improvement. If agencies and companies do not already have systems sim- Flow of data--The flow of data and information needs to ilar to COGNOS for displaying performance data in a dash- be coordinated but not controlled in such a manner that it board format, many are actively seeking ways to develop such limits or impedes access to the data by those needing it to systems. One example of this is from the Maryland Trans- support daily business operations. portation Authority (MDTA), which is working to develop an Ability for different divisions and individuals to query on-line on-demand access for executives to run reports simi- data--Query capabilities for data applications and systems lar to their Finance at a Glance report, which already is in use should be allowed from different divisions and individuals by MDTA staff. in order to enhance their ability to support core business Using a public report card, as demonstrated by the KSDE, functions across the agency. also is a powerful motivator for schools to continue striving Flexibility--There also needs to be as much flexibility as for excellence in education in Kansas. This allows for a com- possible designed into the application so that there is poten- parison among school districts and assessments of perfor- tial for future integration of new technology for data collec- mance relative to national standards. Similarly, the "Status of tion, processing, and access and reporting from the system. the Nation's Highways, Bridges, and Transit: Conditions and Stovepiping--The historical approach to developing appli- Performance Report to Congress" issued by the Federal High- cations in silos where an application only meets the needs way Administration gives a state-by-state comparison of the of a particular area of the organization has led to "stove- condition of public roads in each state. States can then assess piping." This inhibits the integration of data from various

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I-66 applications and limits the ability to provide consistent, Knowledge Management Systems high-quality data from a single source to support decision- making. KM systems are used to support the internal sharing of data Security--Determining what level of security to assign to and information within the organization. Knowledge manage- data systems should be done in consultation with the IT ment systems are beneficial because they generally accommo- office and the business owners and stewards for the data date a wide variety of formats for storing data and information. systems. It is the responsibility of both users and providers Reports as well as digital images can be archived and retrieved of data to ensure that the data systems are protected from through the search and retrieval functions of the KM system. unauthorized use or misuse by others internal or external A KM system also can be used to store lessons learned which is to the organization. very valuable in reducing the learning curve for new staff. Efficiency--Utilizing the best available technology tools Some organizations, such as the Virginia DOT have even helps to ensure efficiency in the collection, processing, and established an office to oversee knowledge management reporting of data for various systems. processes within their agency. VDOT is joined by Alaska, Response to individual user needs--Ultimately the data which is now investigating the use of knowledge management programs and systems need to be available to respond to at the Program Development Division as part of their Data individual user needs, whether the user is the front-line Business Plan development for the Division. The U.S. Army employee responding to requests from the public or inter- also is very actively engaged in the use of a KM system at the nal and external offices or agencies, or the user is a senior- U.S. ARDEC as discussed in Section 4.4 of this report. level executive needing the most accurate information within a short timeframe. Archive Management Systems There are many BI tools available which can help benefit One of the biggest challenges faced at many of DOTs is the organization in addressing these challenges. Some of these managing archived data. Some agencies have invested in the tools and their benefits are described in the following section. development of archive management systems and others have outsourced the archiving function to other agencies or the pri- vate sector. This is the case with the OOCEA, where most of the Business Use Case Models data maintenance work that is outsourced is predominantly Business Use Case models are not only used to help identify devoted to managing the archive data. The decision on how to what data are shared within an organization and external to an approach archiving of data should be properly scoped to meet organization, but also to identify who is involved in the shar- the needs of the organization and should take into considera- ing of data. RCG Information Technology Company found tion the amount of data to be archived, for what period, and that many times business executives were not aware of the the costs associated with archiving data. relationship of which data systems were used to support key business functions. Developing data business models helps to Risk Management identify this for executives who also have authority over fund- ing for those data programs. Risk management has traditionally been used with Asset The use of data modeling tools helps the agency to develop Management systems and is becoming more prominent in the enterprise data systems, which best meet the business needs of use with data systems in DOTs as well. The benefits of estab- the organization. These tools are used to develop the data lishing a risk management program include early detection of architecture for application systems. The Data Architecture potential problems, which provides enough time to develop a describes the activities required to obtain and maintain data strategy to avoid risk. The following are the five basic steps in that supports the information needed by the Corporation's developing a risk management plan: major business areas. Data and information are different. Data is the foundation of information. Data is the raw material that 1. Identify the risks; is processed and refined to generate information. Information 2. Assess/Analyze the risks; consists of a collection of related data that has been processed 3. Develop a plan to mitigate (avoid) the risks; into a form that is meaningful to the recipient.8 4. Assign resources to handle the risks; and 5. Monitor ongoing and potential risks. There also are tools available to help an agency develop a 8 Implementation of E-Government Principles, AUDIT REPORT, Report No. 05-018, risk management plan. Some of the tools are briefly described May 2005. in the following paragraphs.

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I-67 Table 4.1. ADOT&PF risk register example. Identification Qualitative Analysis Date Risk Functional Priority Status ID# Identified Assignment Threat Risk Details Risk Trigger Type Probability Impact 1 Active TDS- 5/01/2008 TDS-HPMS Need to revise All internal data files FHWA mandate Schedule H H 001H HPMS report to and programs will for new HPMS Available comply with 2010 need to be reviewed 2010 Resources requirements. and revised as requirements. needed to provide Cost HPMS 2010 report. 2 Pending TDS- 1/01/2009 TDS-Traffic Need to comply Need Real-Time SAFETEA- Schedule H H 001T with Section 1201 Traffic Mgmt. Plan LU Available SAFETEA-LU within 2 yrs. of final requirements. Resources requirements. rule on Sect. 1201. Cost 3 Pending TDS- 9/01/2008 TDS-GIS Need to meet Will need to provide FHWA mandate Schedule H H 001G HPMS 2010 GIS HPMS 2010 report in for new HPMS Available requirements. GIS format. 2010 Resources requirements. Cost A Risk Register can be used to record information about (2) consequence of service interruption or impact to the Divi- the risk. This includes a risk identification number assigned to sion or Department due to the interruption of access to needed the risk, the threat that may precipitate the risk, the event that data over the same 12-month period. will trigger the risk, and the qualitative analysis to be per- This matrix was produced using the Lloyd's Register's formed related to the risk. This analysis can include the prob- Arivu platform. In the Arivu matrix both the probability and ability of the risk occurring (low, medium, high); the impact consequence dimensions specifically use an order of magni- to the organization if the risk occurs (low, medium, high); and tude difference moving from one cell to the next. the development of a risk matrix which measures the proba- bility of the risk occurring versus the impact if the risk occurs. Geographic Information Systems Table 4.1 provides an example of what a Risk Register might look like, regarding HPMS 2010 and Real-Time Traffic Report- The advantages of using GIS tools for data integration can- ing (SAFETEA-LU, Section 1201) requirements, which will not be overemphasized. Many DOTs have GIS maps for their impact all DOTs within the near future. This example was on-state system but do not have data available at the DOT for developed for the Alaska Department of Transportation and the local road networks. GIS tools can be used to integrate the Public Facilities Program Development Division to support needed off-state system roads from local sources, which facili- their Data Business Plan Development. tate the agency's ability to meet Federal reporting requirements In addition to the Risk Register, a Risk Impact matrix (Fig- particularly in the safety area. Agencies also may require systems ure 4.4) also can be defined for the data systems.9 A Risk Impact to be designed with Service Oriented Architecture and Open Matrix is a tool which defines a two-dimensional risk universe. Database Connectivity, which provides for a much more flexi- In this example, the risk universe describes potential risks asso- ble system to integrate with future systems with minimal effort. ciated with asset management where the asset is bridges. Risk There also are tools available to assist DOTs in the development management programs for asset management also are very of risk management plans. applicable to data programs, since data are a type of asset. The two dimensions in the risk universe are the (1) proba- Enterprise Database Platforms bility of service interruption or, in the case of data systems, the probability of lack of access to the system during a 12-month Twenty years ago, most companies operated a variety of period for instance from the time the risk is identified, and legacy systems that contained various databases that did not relate to one other. For example, customer service had a database of customers and orders, logistics had a database of shipments, production had a database of lots produced, and 9Transportation Risk Management presentation, Steve Pickrell, Cambridge engineering had a database of specifications. Today, most com- Systematics, Inc., July, 2009. panies have migrated to an ERP platform, where most of this

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I-68 100% HIGH Probability of Service Interruption MEDIUM 10% HIGH 1% MEDIUM 0.1% LOW 0.01% 1 10 100 1,000 10,000 Consequence of Service Interruption Figure 4.4. Example risk matrix. data are stored in a way that it can be accessed from anywhere customer order based on the customer's importance to the and related to other data in the central repository. For example, company; the capacity management system determines the if a quality problem is detected, companies can identify which shift schedule depending on the workload; and the purchas- orders, production lots, shipments, and customers are affected ing system regulates expenses based on authorization thresh- from one database, and possibly with one query. olds specific to certain organizational levels and even specific Today, the same companies typically operate a distributed individuals. network around a central (or enterprise) database. ERP sys- Enterprise applications are used in the execution of ship- tems and the utilities and middleware that are associated with ments and dispatching of fleet and equipment. them include LAN workstations, servers, data centers, main- Electronic funds transfer is used in the clearing of funds frames, and direct access storage devices. The corresponding flows. advancements in the use of hardware may include a variety of peripheral devices that enable communication and execution The supply chain has practically become the information in field operations, such as wireless devices, including PDAs, chain, with incorporation of information technology in vari- printers and scanners, and communications devices such as ous stages of the chain. Table 4.2 illustrates the sequential order microphones and headsets. of the use of technology in the private sector from the planning Based on these preliminary case studies, private sector through execution stages. companies are increasingly using technology to support their resource allocation and their target-setting in the fol- Global Positioning System lowing ways: There are many similar opportunities for the use of technol- Software is used to generate optimal solutions in the plan- ogy at a state DOT to reduce the costs associated with collecting ning phase. Software applications (usually customized) and distributing data. The implementation of hardware and contain embedded decision rules about capacity, expendi- software in specific cases may help to improve data quality by ture, and priority. For example, customer relationship man- reducing duplicate data collection and QA/QC procedures, as agement (CRM) applications determine the priority of a is illustrated in the case of WSDOT. WSDOT was able to reduce

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I-69 Table 4.2. Common applications of information technology to private sector transportation performance management and measurement. Area Technology 1. Supply Chain Planning Inspection Network design and site location Network optimization Specification of order types, terms, and conditions Trading partner collaboration 2. Transportation Planning Mode selection Routing and scheduling Transportation Management Systems (TMS) implementation 3. Procurement Auctions Contract negotiation e-Auctions Purchasing Cards Request for Quotation (RFx) Supplier management Supplier selection 4. Manufacturing Advanced Planning and Scheduling (APS) Manufacturing Execution Materials management Production scheduling Quality management 5. Order Fulfillment Customer Relationship Management Demand forecasting Enterprise Resource Planning Systems (ERP) implementation 6. Inbound and Outbound Transportation Dispatching Radio Frequency Identification (RFID) Track and Trace, e.g., Global Positioning Systems (GPS) Traffic management 7. Warehousing Inventory management Packaging Packing Picking Receiving, Put-Away, Loading Warehouse Management Systems (WMS) implementation 8. Maintenance Equipment repair and maintenance Facilities maintenance 9. Funds Flows Auditing Billing Claims processing Collections Source: Boston Strategies International, Inc. the cost of roadway data collection by using GPS technology to a type of application software designed to report, analyze, and enhance back data collection activities on routine maintenance present data. The tools generally read data that have been pre- activities. The data also was edited at the point of collection, viously stored, often, though not necessarily, in a data ware- eliminating extensive postprocessing time and costs. This was house or data mart." an efficient way to gather the data needed to update the GIS The effectiveness of the use of BI tools is best illustrated in the basemap, which, in turn, is used for many projects and purposes description of ARDEC's use of business intelligence tools: throughout the agency. "These systems provide the power we need to capture, man- Many public and private sector agencies also have invested age, and make available workforce knowledge, best practices, in the use of various types of BI tools to meet their data col- processes and procedures, templates and other information lection, analysis, reporting and archiving needs. "BI tools are to the entire workforce."