Leadership Guide for Strategic Information Management for State Departments of Transportation (2016)

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4 C H A P T E R 1 DOT Information: A Rapidly Changing Picture The demand for information at DOTs is shifting as technologies for collecting, sharing, and delivering information are evolving. A variety of collaboration and social media platforms have emerged for sharing content of different types. Smartphones have been a disruptive technology for transportation, opening up opportunities for crowdsourcing of maintenance issues and deliv- ery of live information about travel options. The increasing availability of “big data,” including data streams from travelers and maintenance vehicles and imagery from light detection and radar (LiDAR) and other sensing technologies, provides new options for gathering information. With continued development in the connected vehicles arena, the volume and variety of avail- able operational data will increase. The capacity of DOTs to evaluate and adopt new technologies for data collection and information management is not keeping pace with the changes that are occurring. New, more agile approaches are required. Changes Impacting Information Management at State DOTs • Expectations for availability of actionable information anytime, anywhere • Emphasis on performance management and transparency of programming decisions • Increased demand for real-time information • Increased use of mobile devices • Increased outsourcing of data collection • Workflow automation–electronic forms and e-signatures • Demand for self-service information access Source: (AASHTO, 2015) DOT Information: Opportunities to Create Value DOTs are by nature information-intensive organizations and have well-established records retention, data collection, and reporting practices. However, growth in data availability and changes in technology have created new opportunities for improved management and use of information. These opportunities can be tapped to help DOTs • Optimize use of limited funds to improve safety, operational efficiency, and accessibility. • Identify, develop, and prioritize transportation improvements that promote economic growth and development. Introduction

Introduction 5 • Manage system operations in real time to improve safety and minimize disruption and delay. • Respond quickly and efficiently to winter storms and other major events. • Provide travelers with accurate and timely information about how to get to their destinations faster and more reliably. • Monitor program delivery and provide early warning of issues that may cause project delays and cost increases. • Improve efficiency of internal business processes. • Demonstrate and communicate what the agency is accomplishing. While most DOTs are making progress in these areas, much more can be accomplished. A coordinated agency-wide strategy for managing information can enable DOTs to make faster progress than would be possible from tackling each of these opportunities separately. DOT Information: Challenges to Improving Efficiency Managing DOT information is an increasingly complex endeavor. The scope of information that DOTs touch is vast—covering travel patterns, freight supply chain data, multimodal trans- portation network characteristics, infrastructure assets, operational performance, projects and funding, detailed engineering, construction and maintenance activities, and more. The goal is to collect, manage, and deliver this information cost-effectively and efficiently. However, there are several challenges in doing this: • Fragmented information storage. Most DOTs have many different systems for storing digital data and content. While some degree of compartmentalization is necessary to meet special- ized requirements, there are inherent inefficiencies in maintaining a large number of informa- tion repositories. Fragmented information storage also creates challenges for both discovery and integration of information across repositories. • Fragmented or ambiguous information management responsibilities. In addition to frag- mented information storage, there are often multiple, disconnected, organizational functions for managing different varieties of information—such as databases, real-time traffic and inci- dent feeds, Internet and intranet content, engineering plans and documents, and official agency records. Lack of coordination across these functions can result in duplication of effort; inconsis- tencies in data structures, software tools, and management practices; lack of clarity about where to store and find information; and an unsatisfactory experience for people seeking information. In some cases, there is no clear ownership for cross-cutting information management functions such as enterprise search or terminology management. • Lack of information governance and process standardization. Many DOTs have not estab- lished standard information management policies and practices. As a result, there are incon- sistencies across the agency in how and where different types of data and content are stored, backed up, integrated, delivered, reviewed, and purged. Lack of standard management prac- tices can lead to wasted staff time searching for information, a buildup of redundant and out- of-date content on servers, and loss of valuable information as employees leave the agency. Lack of standard information management practices can also increase the risk that sensitive information will not be adequately protected. • Human factors. An increasingly technology-savvy, born-digital workforce brings expectations that the information they need will be readily available from their desktops or mobile devices. However, the back end processes to make that happen have not kept up with these expecta- tions. In addition, the competencies required to organize, manage, and use available infor- mation haven’t been explicitly recognized or integrated into position descriptions or hiring processes. • Older systems. Many agencies have older, legacy information systems serving critical busi- ness functions that would require major investments to replace. Mature tools are available for

6 Leadership Guide for Strategic Information Management for State Departments of Transportation information management but require investments, not only in technology but in people with the skills necessary to oversee and manage them. • Security and privacy concerns. There is a need to protect sensitive information and guard against cybersecurity threats. DOTs are challenged by the need to maintain security while also meeting a growing business need to share information with external partners and stakeholders. This situation can necessitate creation of duplicate information storage for external access and inefficient information-sharing practices. Given the complexities involved, it is clearly necessary to tackle information management in smaller components in order to make progress on improvements. However, a fragmented and reactive approach to information management is all too common and can result in missed opportunities to innovate and improve delivery on the DOT’s core functions. Roadmap to Strategic Information Management Figure 1 shows a roadmap that DOTs can use to strengthen their information management capabilities. This roadmap can be used to navigate to different sections of this guide. The roadmap is organized as follows: • Strategic Information Management—introduces key elements of strategic information management (see Chapters 2 and 3). • Charting a Course—covers activities for understanding the strengths and weaknesses in how an agency is currently managing information and developing a plan for improvement (see Chapter 4). • Equipping the Organization—covers activities for putting in place policies and processes for information management and building the awareness and skills needed within the organization for effective information management (see Chapter 5). • Implementing and Sustaining Change—covers several types of initiatives for improving information management and tracking and improving information management processes over time (see Chapter 6). The remainder of this chapter provides a high-level summary of the nine steps included in the strategic information management roadmap. Charting a Course Step 1: Establish a Vision for Information Management Description. Develop and adopt a vision for information management that communicates how the agency wants to use and manage information. Review existing models from peer agencies and develop a vision statement through a process of facilitated stakeholder input and management review. Expected Outcomes. The process of developing a vision will build awareness of the impor- tance of information management within the agency. Communicating the completed statement to employees will demonstrate the agency’s commitment to information management improvement and will also drive the identification and evaluation of strategies for improvement. Step 2: Assess the Current State of Information Management Description. Conduct an assessment to understand current agency practices, assess strengths and weaknesses, and identify areas for improvement. This assessment may involve document review, focus groups, employee surveys, and interviews. Different approaches may be taken, including a “quick” assessment that can be completed in a week or less to a more compre-

Introduction 7 Figure 1. Roadmap for DOT strategic information management. hensive, multi-month effort. Ideally, the assessment is something that is conducted periodically, e.g., annually or bi-annually to track progress and make course corrections. Expected Outcomes. The assessment should produce a clear understanding of how the orga- nization would benefit from improvements to information management practices and provide a basis for establishment of goals for information management improvement. Step 3: Create a Coordinated Agency Plan for Information Management Description. Create a plan for taking near-term (1 to 2 years), medium-term (3 to 5 years), and longer term (6 to 10 years) actions to improve information management in a coordinated fashion across the agency. The plan should take into consideration changes to governance, policy, processes, and responsibilities, as well as implementation of enabling technologies and support services.

8 Leadership Guide for Strategic Information Management for State Departments of Transportation Expected Outcomes. The expected outcome is a plan and roadmap that chart a course to meet the established goals for information management improvement. Equipping the Organization Step 4: Establish Leadership and Governance Structures Description. Establish or designate an information governance body that reports to executive leadership and includes management representation from both field and central office divisions responsible for core agency business functions. Establish a charter for this body that includes responsibility for setting policies and allocating resources to improve the collection, management, and utilization of data and information in support of the agency’s mission. Expected Outcomes. A governance body provides a focal point for implementation of information management improvements that benefit the agency as a whole. Establishing a governance body ensures that changes to existing responsibilities and processes in the orga- nization have the necessary management support. An information governance body ensures that resources for information management are allocated appropriately based on benefit to the agency and that there is accountability in place to assess the effectiveness of actions taken. Step 5: Establish Information Management Policies Description. Review, create, and align information management policies that define how the organization will collect, classify, organize, protect, share, preserve, and archive data and information. Policies may also establish specific roles and responsibilities and accountabilities with respect to information management. Expected Outcomes. If properly communicated, supported, and enforced, information management policies provide the foundation for achieving reliable, repeatable, and efficient processes to maximize the value of information to the organization. Step 6: Establish a Process for Evaluating and Prioritizing New Information Initiatives Description. Establish evaluation criteria and a review process to ensure that new initia- tives related to collecting, managing, and sharing information are consistent with the agency’s established goals, strategies, and priorities for information management. A standard process for evaluating new information initiatives is analogous to the construction project program- ming process in that it seeks to maximize agency-wide value of information investments. The focus should be on making tradeoffs and choices across alternative investments from a business perspective. This process for evaluating new information initiatives should be coordinated with existing processes that are in place to evaluate new initiatives for content management, records management, information architecture, and library collection management. The process for evaluating new information initiatives should also be coordinated or integrated with existing information technology review processes. The process for evaluating new information initiatives should be designed so that it does not impede the progress of individual business units making information improvements that do not require agency-wide review. Expected Outcomes. Optimized use of available resources for information acquisition and management to maximize value to the agency. Coordinated investments across different infor- mation management functions. Reduced duplication, improved information integration, and efficiency gains from leveraging new technologies and commercial data sources. Maximized data value due to a disciplined approach that ensures adequate provisions to manage data over time, convert that data to information, and use the information to improve decisions or actions.

Introduction 9 Implementing and Sustaining Change Step 7: Implement Information Management Services and Enabling Technologies Description. Establish standards and processes to implement and maintain a consistent, agency-wide structure for classifying, defining, describing, integrating, and finding data and infor- mation. This structure should encompass activities related to data and information architecture that may currently be carried out by libraries, records managers, content managers, data managers, and information technology groups. Deploy tools and technologies that enable and support information management including content and records, enterprise search tools, meta- data repositories, data warehouses and data integration tools, business intelligence tools, and data analytics platforms. Expected Outcomes. Implementing information management services and enabling tech- nologies puts an agency in a position to integrate available data and information in various forms (structured and unstructured) and make sure that they are findable and usable for differ- ent users and uses. Implementation of information management services improves efficiency of information management by reducing the effort required to update and maintain code tables that are used within multiple data sets, and it facilitates processes for identifying sensitive infor- mation and keeping it secure. Deployment of enabling technologies enables and automates pro- cesses for managing information across its life cycle. Systems and tools—when carefully selected and accompanied by appropriate configuration, governance, training, and change management processes—can serve as an important focal point for implementation of information management improvements. Step 8: Foster Culture Change and Build Workforce Capabilities Description. Diagnose and address barriers to information management improvements that are related to workforce capabilities or resistance to change. Recognize and strengthen spe- cialized skills required for effective information management. Specific actions may include con- ducting an assessment of organizational culture; making strategic hires; clarifying or updating roles and responsibilities in descriptions of employee positions; conducting information literacy and data management training; creating guidance documents; and making modifications to performance reviews, employee recognition, and awards. Expected Outcomes. Fostering culture change and building workforce capabilities can reduce resistance to changing entrenched ways of operating that are not in the agency’s best interest, such as information hoarding, failure to provide adequate documentation or metadata, and reluctance to collaborate on data collection or reporting initiatives. The activities involved in this step can improve the workforce skills, capabilities, and motivations that are needed to operationalize and adhere to established information management policies and productively utilize available technologies. Step 9: Monitor Progress and Adjust Strategies Description. Institute regular tracking of progress, accomplishments and outcomes, and updates to information management strategies based on results and changing agency priorities. Draw upon techniques from available management frameworks for monitoring and improvement. Expected Outcomes. The expected outcome of monitoring progress and adjusting strat- egies is making sustained progress toward established goals and objectives for information management improvement and reinforcement of desired behaviors.