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2018 N A T I O N A L C O O P E R A T I V E H I G H W A Y R E S E A R C H P R O G R A M NCHRP RESEARCH REPORT 865 Guidance for Development and Management of Sustainable Enterprise Information Portals Applied Engineering Management Corporation Herndon, VA i n c o o p e r a t i o n w i t h toXcel, LLC Gainesville, VA Subscriber Categories Administration and Management â¢ Data and Information Technology â¢ Education and Training Research sponsored by the American Association of State Highway and Transportation Officials in cooperation with the Federal Highway Administration
NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM Systematic, well-designed research is the most effective way to solve many problems facing highway administrators and engineers. Often, highway problems are of local interest and can best be studied by highway departments individually or in cooperation with their state universities and others. However, the accelerating growth of highway transportation results in increasingly complex problems of wide inter- est to highway authorities. These problems are best studied through a coordinated program of cooperative research. Recognizing this need, the leadership of the American Association of State Highway and Transportation Officials (AASHTO) in 1962 ini- tiated an objective national highway research program using modern scientific techniquesâthe National Cooperative Highway Research Program (NCHRP). NCHRP is supported on a continuing basis by funds from participating member states of AASHTO and receives the full cooperation and support of the Federal Highway Administration, United States Department of Transportation. The Transportation Research Board (TRB) of the National Academies of Sciences, Engineering, and Medicine was requested by AASHTO to administer the research program because of TRBâs recognized objectivity and understanding of modern research practices. TRB is uniquely suited for this purpose for many reasons: TRB maintains an extensive com- mittee structure from which authorities on any highway transportation subject may be drawn; TRB possesses avenues of communications and cooperation with federal, state, and local governmental agencies, univer- sities, and industry; TRBâs relationship to the National Academies is an insurance of objectivity; and TRB maintains a full-time staff of special- ists in highway transportation matters to bring the findings of research directly to those in a position to use them. The program is developed on the basis of research needs identified by chief administrators and other staff of the highway and transportation departments, by committees of AASHTO, and by the Federal Highway Administration. Topics of the highest merit are selected by the AASHTO Special Committee on Research and Innovation (R&I), and each year R&Iâs recommendations are proposed to the AASHTO Board of Direc- tors and the National Academies. Research projects to address these topics are defined by NCHRP, and qualified research agencies are selected from submitted proposals. Administration and surveillance of research contracts are the responsibilities of the National Academies and TRB. The needs for highway research are many, and NCHRP can make significant contributions to solving highway transportation problems of mutual concern to many responsible groups. The program, however, is intended to complement, rather than to substitute for or duplicate, other highway research programs. Published research reports of the NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM are available from Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet by going to http://www.national-academies.org and then searching for TRB Printed in the United States of America NCHRP RESEARCH REPORT 865 Project 20-103 ISSN 2572-3766 (Print) ISSN 2572-3774 (Online) ISBN 978-0-309-44674-7 Library of Congress Control Number 2017963210 Â© 2018 National Academy of Sciences. All rights reserved. COPYRIGHT INFORMATION Authors herein are responsible for the authenticity of their materials and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce material in this publication for classroom and not-for-profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA, FMCSA, FRA, FTA, Office of the Assistant Secretary for Research and Technology, PHMSA, or TDC endorsement of a particular product, method, or practice. It is expected that those reproducing the material in this document for educational and not-for-profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission from CRP. NOTICE The research report was reviewed by the technical panel and accepted for publication according to procedures established and overseen by the Transportation Research Board and approved by the National Academies of Sciences, Engineering, and Medicine. The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research and are not necessarily those of the Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; or the program sponsors. The Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; and the sponsors of the National Cooperative Highway Research Program do not endorse products or manufacturers. Trade or manufacturersâ names appear herein solely because they are considered essential to the object of the report.
The National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, non- governmental institution to advise the nation on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Marcia McNutt is president. The National Academy of Engineering was established in 1964 under the charter of the National Academy of Sciences to bring the practices of engineering to advising the nation. Members are elected by their peers for extraordinary contributions to engineering. Dr. C. D. Mote, Jr., is president. The National Academy of Medicine (formerly the Institute of Medicine) was established in 1970 under the charter of the National Academy of Sciences to advise the nation on medical and health issues. Members are elected by their peers for distinguished contributions to medicine and health. Dr. Victor J. Dzau is president. The three Academies work together as the National Academies of Sciences, Engineering, and Medicine to provide independent, objective analysis and advice to the nation and conduct other activities to solve complex problems and inform public policy decisions. The National Academies also encourage education and research, recognize outstanding contributions to knowledge, and increase public understanding in matters of science, engineering, and medicine. Learn more about the National Academies of Sciences, Engineering, and Medicine at www.national-academies.org. The Transportation Research Board is one of seven major programs of the National Academies of Sciences, Engineering, and Medicine. The mission of the Transportation Research Board is to increase the benefits that transportation contributes to society by providing leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisciplinary, and multimodal. The Boardâs varied committees, task forces, and panels annually engage about 7,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. Learn more about the Transportation Research Board at www.TRB.org.
C O O P E R A T I V E R E S E A R C H P R O G R A M S CRP STAFF FOR NCHRP RESEARCH REPORT 865 Christopher J. Hedges, Director, Cooperative Research Programs Lori L. Sundstrom, Deputy Director, Cooperative Research Programs Andrew C. Lemer, Senior Program Officer Sheila A. Moore, Program Associate Eileen P. Delaney, Director of Publications Ellen M. Chafee, Senior Editor NCHRP PROJECT 20-103 PANEL Area of Special Projects Michelle M. Morgan, Washington State DOT, Olympia, WA Marc Hoit, North Carolina State University, Raleigh, NC Loren L. Turner, California DOT, Sacramento, CA Cain Williamson, Atlanta Regional Commission, Atlanta, GA Asregedew K. Woldesenbet, University of Nebraska-Lincoln, Omaha, NE Hua Xiang, Maryland State Highway Administration, Baltimore, MD Karen Nightengale, FHWA Liaison Thomas Palmerlee, TRB Liaison Jennifer L. Weeks, TRB Liaison
AUTHOR ACKNOWLEDGMENTS This guidance was developed under NCHRP Project 20-103, âGuidance for Development and Manage- ment of Sustainable Information Portals.â The research team consisted of Benjamin Pecheux (principal investigator), Cara OâDonnell, and Vaishali Shah at Applied Engineering Management Corporation (AEM) (prime contractor) and Sheryl Miller and Jennifer Symoun at toXcel. Tarryn Lemmer of AEM Corporation was instrumental in the development of the web-based version of the guidance. The project team is grateful to the following individuals who provided their valuable time and experience to the development of the guidance: Contributor Agency/Organization In te rv ie w s Paul Allen, Jennifer Burnett, Nick Compin, Keith Farnsworth, Mike Jenkinson, Tom Shantz, Roger Westrup California Department of Transportation Brian Hoeft RTC of Southern Nevada, Freeway & Arterial Systems Leni Oman, Robert Fossett Washington State Department of Transportation Janelle Thomas Nevada Department of Transportation David Ulmer Formerly of North Carolina Department of Transportation Su rv ey Tracy Compton FMP Consulting Clifford Eby WSP | Parsons Brinckerhoff Clark Gaylord Virginia Tech Wing Kuang Booz Allen Hamilton Janaki Ram SemanticBits Amir Sahib Fifth Tribe W or ks h op Mike Bousliman Montana Department of Transportation Jose Colon DC Department of Transportation Ivan Hartle Utah Department of Transportation Ken Juengling, Rod Snyder Pennsylvania Turnpike Gordon Kennedy Washington State Department of Transportation Peggi Knight Iowa Department of Transportation Bill Knowles Texas Department of Transportation James Mitchell Louisiana Department of Transportation Mary Moulton United States Department of Transportation Murali Rao Virginia Department of Transportation
NCHRP Research Report 865: Guidance for Development and Management of Sustainable Enterprise Information Portals presents guidance for state departments of transportation (DOTs) and other agencies on developing and managing effective DOT enterprise informa- tion portals (EIPs). The report is intended to enhance agency personnelâs understanding of the value, uses, design, and maintenance of EIPs and the design principles, management practices, and performance characteristics that will ensure that a DOTâs EIPs effectively and sustainably serve its users and the agencyâs mission. Both agency business-management personnel and information technology managers may find the document useful. DOTs and other transportation agencies produce and use a variety of data and infor- mation to make decisions about development, operation, and upkeep of the systems for which they are responsible. The DOTâs personnel, contractors and consultants, and the transportation systemâs users and other stakeholders seek access to this information for a variety of purposes, motivated by open-government initiatives, the increasingly inter- disciplinary nature of work within agencies, and greater collaboration with external partners. These motivations, as well as growing volumes of data and information to be managed, are driving increasing demand for access to DOT data and information. (In this context, the terms data and information are essentially interchangeable; data and information are used in various applications to conduct analyses and provide results of value to decision makers and interested observers.) In recent years, web access has become a primary means for enabling users to get the infor- mation they want in a timely and cost-effective manner. EIPs, in particular, have become key tools that a DOT can use to make available information about the transportation system and the agencyâs activities. Such EIPs must be curated; that is, there are people responsible for establishing the portal architecture, ensuring the quality of information and data, and main- taining the reliability of access. Access to an EIP may be provided in various ways, but a web interface is increasingly standard and demanded by potential users. Many DOTs that have already implemented one or more EIPs face the need to evolve these portals or create new ones to meet both internal and external usersâ demands for information. The objective of NCHRP Project 20-103, âGuidance for Development and Management of Sustainable Information Portals,â was to produce a guide for the development and management of effective DOT EIPs that would help both agency business-management and information-system personnel to understand the issues to be addressed in EIP design and operation, the responsibilities and costs associated with portal development and main- tenance, and strategies for evolving existing EIPs and creating new ones to effectively and sustainably deliver information of value to users. F O R E W O R D By Andrew C. Lemer Staff Officer Transportation Research Board
The research was conducted by a team led by Applied Engineering Management Cor- poration. The research team reviewed the literature and interviewed practitioners to char- acterize current and leading practices of EIP design and management at DOTs and similar organizations. The team developed a framework to structure guidance in terms of proto- typical EIP users and uses of agency information and data. Within this framework, the team then assembled guidance on appropriate architectures and other system design principles for DOT EIPs, criteria for judging data and information quality, curator responsibilities, and portal-management performance measures. The framework and preliminary guidance were refined in a workshop with selected practitioners. The primary product of this research is NCHRP Research Report 865: Guidance for Devel- opment and Management of Sustainable Enterprise Information Portals. The report is intended to help enhance stakeholder understanding of the value, uses, design, and maintenance of EIPs and the design principles, management practices, and performance characteristics that will ensure that a DOTâs EIPs effectively and sustainably meet usersâ demands and support the agencyâs mission. NCHRP Research Report 865 is supplemented by several companion products: â¢ A PowerPoint presentation on EIPs for transportation agencies (available on www.trb.org by searching on NCHRP Research Report 865). â¢ Use case diagrams in Microsoft Visio format (also available on www.trb.org by searching on NCHRP Research Report 865). â¢ The contractorâs final report for NCHRP Project 20-103 (available on www.trb.org as NCHRP Web-Only Document 241: Development and Management of Sustainable Enterprise Information Portals). â¢ A web-based version of the guidance that can be accessed through the NCHRP Project 20-103 web page: apps.trb.org/cmsfeed/TRBNet+Display.asp?ProjectID=3882.
1 Summary 7 Section 1 Introduction 8 1.1 Who Should Use This Guidance 9 1.2 Document Organization 10 Section 2 EIPs for State DOTs 10 2.1 Services Offered by DOT EIPs 26 2.2 DOT EIP Users 29 2.3 EIP Areas of Interest to DOTs 31 Section 3 Industry Practices for Sustainable EIPs 31 3.1 Use Cloud and On-Premise IT Infrastructure 33 3.2 Use Distributed Software Architecture 35 3.3 Use Layered System Design 35 3.4 Use an Event-Driven System 36 3.5 Leverage Open Source and Existing Software as a Service 36 3.6 Maintain a Looser Governance 38 Section 4 Next Generation EIP: Microservices Architecture 39 4.1 Characteristics of Microservices Architecture 41 4.2 Considerations When Adopting a Microservices Architecture 46 4.3 Evolutionary Design 47 Section 5 Design and Implementation for Sustainable DOT EIPs 47 5.1 Requirements 49 5.2 Operating Environment 50 5.3 Technology Recommendations for Sustainable DOT EIPs 50 5.4 Implementation Examples 61 5.5 Migration Strategy 64 Section 6 DOT Portal Use Cases 64 6.1 Texas DOT Statewide Traffic Analysis and Reporting System 66 6.2 Data Management and Storage Strategy for the Utah DOT 68 6.3 Virginia DOT Real-Time Snowplow Tracking Tool 70 Section 7 Toward Successful Adoption of New IT Concepts 70 7.1 Develop Awareness, Understanding, and Acceptance of New Concepts 72 7.2 Establish Consistent but Flexible Governance Principles 72 7.3 Develop the Workforce 76 7.4 Recognize and Address Complex Legal Considerations C O N T E N T S
78 Section 8 Strategies for Promoting Sustainable DOT EIPs 78 8.1 Continually Educate DOT Staff on Emerging IT Capabilities 78 8.2 Identify Stakeholders and Champions 79 8.3 Always Lead with the Business Need for IT Change 79 8.4 Recognize and Respond to Institutional Factors That Need to Be Overcome 79 8.5 Design and Convey Persuasive Messages 80 8.6 Establish and Maintain Policies and Processes 81 8.7 Define and Implement Changes to IT Practices 81 8.8 Evaluate Performance 81 8.9 Share Outcomes 82 8.10 Conclusion 83 Bibliography 84 Glossary 90 Acronyms, Abbreviations, and Initialisms 92 Appendix PowerPoint Presentation on Development and Management of Sustainable Enterprise Information Portals Note: Photographs, figures, and tables in this report may have been converted from color to grayscale for printing. The electronic version of the report (posted on the web at www.trb.org) retains the color versions.