Guidance for Development and Management of Sustainable Enterprise Information Portals (2018)

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70 The previous sections presented recommendations for IT practices that could transform the equipment, facilities, staff, processes, and procedures used by DOTs to implement EIPs. Given the transformative potential of these recommendations, feedback was solicited from a sample of DOTs in the United States. In the fall of 2016, a workshop was held with 11 representatives of U.S. transportation agencies to discuss the ways in which their organizations develop and maintain EIPs and their perspectives on emerging issues in technology and transportation. The workshop was used to understand challenges to implementing prescribed IT practices and to identify mechanisms to overcome these challenges. These are described in subsequent sections. It is important to note that states and DOT agencies vary considerably in their program area priorities, organizational structure, institutional culture in general, and IT culture specifically. Thus, the recommended IT approaches may vary in applicability to various aspects of a particu- lar DOT’s mission. Not all agencies will have the same challenges regarding change. Each DOT should consider its own characteristics in implementing recommendations. The following sections describe the core challenges, lessons learned, and opportunities for success that were identified during the research: 1. Develop Awareness, Understanding, and Acceptance of New Concepts 2. Establish Consistent but Flexible Governance Principles 3. Develop the Workforce 4. Consider Procurement 5. Recognize and Address Complex Legal Considerations These sections contain information that should be shared with DOT staff, including execu- tives, IT managers and staff, functional-area specialists, human resources specialists, procure- ment specialists, and other stakeholders (e.g., legislatures and state employees in other domains). 7.1 Develop Awareness, Understanding, and Acceptance of New Concepts A fundamental element to adopting new EIP practices is obtaining buy-in from various levels of the DOT organization. This means finding ways to share information between technologists and those in other domains and across different levels of management. This sharing of informa- tion can be accomplished by developing messages that resonate with different audiences and identifying strategies for overcoming resistance to change. The following are approaches for improving awareness and comprehension of new IT practices: • Engage an executive-level sponsor • Define a business case for modernization Toward Successful Adoption of New IT Concepts S E C T I O N 7

Toward Successful Adoption of New IT Concepts 71 • Elevate IT and plan for continuing outreach • Develop concise talking points Each of these approaches is described in more detail below. 7.1.1 Engage an Executive-Level Sponsor Implementation of new and dynamic technology solutions will benefit from having a passionate executive-level sponsor. Establishing this champion for change is tied to understanding the context in which the executive operates and the right messages to spark conversation and engagement. Depending on the specific DOT and its unique political, social, and economic conditions, differ- ent issues are more likely to evoke a positive response and action that filters across the agency and mitigates barriers to implementation. Specific methods for engagement are considered in more detail below. 7.1.2 Define a Business Case for Modernization There must be a clear business need that the executive-level sponsor understands and cham- pions. This includes clearly communicating more than just what needs to be done; executives need to see the value that a change will bring to the organization. The how may be left to the IT department; once the change has a champion who understands its importance and how the change will positively impact the agency, IT managers can be the implementers. Executives are likely to ask the following questions: • Why are we doing this? How will it benefit us? • What is the resource commitment? • What are the risks? What are the benefits? • What is the scope? How will change be controlled to avoid overbuilding or underbuilding? • What is the cost over the near- to mid-term? What proportion of the benefit will be obtained over the same timeframe? • How can we pay for this? 7.1.3 Elevate IT and Plan for Continuing Outreach One approach to gaining support for IT change is to elevate the presence of IT at the executive level and improve awareness of IT across the organization. This might involve creating new IT positions, including C-level IT positions (such as Chief Information Officer) or creating new reporting chains so that IT leaders have access to C-level executives. Further, planning for ongoing implementation is important. Engagement with organizational leadership is not a one-time activity. Instead, it requires continual maintenance of the relation- ship with executives and other key decision-makers (e.g., politicians). 7.1.4 Develop Concise Talking Points Discussions with DOT executives need to be efficient, clear, and focused on how change will solve a problem. Discussions should emphasize value, should minimize technical details and jargon related to implementation, and should not feel like marketing pitches. There are differ- ent ways to deliver these messages depending on what programs and issues are prioritized in the organization. Message delivery might include face-to-face meetings, development of written proposals, and executive briefings. Sample talking points are contained in a PowerPoint pre- sentation developed for NCHRP Project 20-103. This PowerPoint presentation is available as

72 Guidance for Development and Management of Sustainable Enterprise Information Portals an appendix to this report and can be found online at www.trb.org by searching on NCHRP Research Report 865. One of the most important elements of making a case to leadership is conveying value. Value has different meanings to different people and different organizations. The following are some messages that are likely to be successful in conveying the value of implementing new IT practices: • Problem solving. DOT executives are sensitive to specific and high-interest problems within their jurisdiction. Examples might include congestion relief, safety, and transparency. Mes- sages that clearly show how a change will have a positive impact on the ability of the DOT to respond to these issues or solve a very specific problem will be effective. • Case studies. Value can be conveyed through examples, such as case studies of other DOTs or other organizations in different domains. Presenting cases where new IT practices have been useful, positively received, and/or brought cost savings can be a powerful mechanism to convince executives. Section 6 offers three such case studies. • Modernization. Modernization is a core tenet for many agencies. Many organizations thrive on maintaining a progressive if not cutting-edge reputation. A DOT that adopts new IT solutions can be viewed as a leader among peers. • Compliance with standards. Endorsement from respected membership organizations (e.g., AASHTO, IEEE, and the Association for Computing Machinery) adds credibility to new con- cepts and can be used to convince others. • Public satisfaction. Value can be obtained through improving the experience of the DOT’s customers and thereby elevating its reputation. If the public (or their legislative representatives) believe that the organization is providing increased value to its users, then the organization’s credibility and reputation grow. 7.2 Establish Consistent but Flexible Governance Principles The establishment and management of IT policies and processes is an important concern within DOTs. With the evolution of a service-based infrastructure, the underlying data and services are independent and redundant. Thus, the focus of governance shifts away from man- aging hardware and software resources; for instance, in this new environment, nothing sits on the same server. Instead, the new focus is on managing user access to data and protecting data from unauthorized access. There is frustration when governing principles are not consistently implemented and enforced throughout an organization. However, there is also a need for governance to be responsive to the varied functions and data that exist within a DOT. Governance must be established in such a way that it is not perceived as rigidly and arbitrarily enforcing rules. Ideally, governance will be per- ceived to be adding value and establishing expectations about the quality of functions and data across an organization so that services are transparent and well integrated. 7.3 Develop the Workforce People are the backbone of any DOT and understanding of their knowledge, skills, abilities, roles, and responsibilities is critical to understanding how changes might be adopted over time. The following are approaches for positively engaging the workforce in the implementation of recommended IT practices: • Identify new approaches to data management • Adopt a proactive approach to recruiting, developing, and retaining staff

Toward Successful Adoption of New IT Concepts 73 • Encourage human resources collaboration • Understand the effects of outsourcing Each of these approaches is described in more detail below. 7.3.1 Identify New Approaches to Data Management Traditionally, DOTs have not been in the business of generating data for public consumption. Instead, DOTs generate data for their own program area functions in safety or operations, and these data are accessible to taxpayers. However, providing information to road users, such as providing 511 and travel time information, has blurred this distinction in how DOTs handle data, and expectations of DOTs as information providers have expanded. Data management is often a complex issue in DOTs. Who owns the data? Who is responsible for establishing data definitions and developing a data dictionary? Who is responsible for ensur- ing these processes are applied consistently across the agency? Often, the programs in which data are collected and/or used assume that IT staff are responsible for tasks such as making data discoverable. In fact, IT staff often lack the technical knowledge to effectively manage this aspect of data so that data are useful to internal agency users and the public over time. At an agency-wide level, attention must be given to the identification of data-related tasks, and responsibility must be assigned to divisions and individuals. In some cases, it may make sense to create leadership roles related to standardizing data processes and ensuring quality in data management. 7.3.2 Adopt a Proactive Approach to Recruiting, Developing, and Retaining Staff Some of the recommended IT practices reflect an utterly new way of thinking about data and information access. Some DOT staff may bring decades of experience in transportation IT and have amassed extensive knowledge and expertise to support their agency. A changing IT environment will require staff to integrate new knowledge and skills that will be needed to adopt and maintain new technology while not impairing operational efficiency, security, or quality. Many DOT IT departments have a well-established and firmly grounded approach to man- aging IT resources and supporting technical program areas. These traditional approaches are effective but often very different than the practices of the private sector. This basic dichotomy means that staff may have limited access to new IT solutions and even less hands-on experience configuring and calibrating systems and troubleshooting. DOTs often employ an established and mature workforce with long agency careers. These workers hold substantial institutional knowledge, but may have lacked opportunities for education on emerging solutions and new skills. Resistance to training can stem from cultural issues such as an entrenched belief in “doing it the way it’s always been done” and from concerns over costs and resource availability. Sometimes, civil service rules that restrict staff time and behavior can create a barrier to positive attitudes about training (e.g., not paying for lunch during a training event). Poten- tial new hires often perceive these factors as silly when comparing them with private-sector standards. In a dynamic IT environment, DOTs need to establish new cultural expectations that see training as a value-added investment that benefits the organization in the long run. However, top-down instructions from management can often backfire. Finding peers to champion these new attitudes about learning can be helpful if the source is a respected and experienced colleague.

74 Guidance for Development and Management of Sustainable Enterprise Information Portals Focus on training and skill development also benefits teamwork and ensures more flexibility and efficiency among IT staff. Within an IT division, staff may exhibit silo behaviors based on their knowledge and skill sets. Moreover, work assignments may lack flexibility. For example, in a programming project it can be difficult to swap staff in and out as needed because of lack of shared knowledge or skills (e.g., shared code documentation standards). Ideally, staff would be cross-trained in ways that ensure the entire team is efficient, and work flows and standards would enable people to collaborate frequently. 7.3.3 Encourage Human Resources Collaboration Identifying new staff capabilities means that new jobs or job classifications may need to be created. In some agencies, both IT managers and human resources personnel may not have insight into the evolving IT culture and may lack an informed vision about what will be required in 5, 10, or 15 years. Thus, some agencies may be unprepared to react to new technological demands. This could have significant impacts on tasks such as recruiting new staff or retaining existing staff who are adequately prepared for the evolving IT environment. These workforce challenges may be exacerbated by some of the bureaucratic requirements associated with hiring staff. For instance, public agencies frequently rely on highly standardized job descriptions that require a specific degree or a minimum number of years of experience. If these are rigidly enforced, they can be a limiting factor on innovation and restrict recruiting of desirable employees. In an elastic environment, such as IT, this may handicap hiring managers who need to fill jobs with people who have expertise at the cutting edge of technology. There needs to be more transparency across functional divisions of the DOT; IT managers and human resource managers need to develop a more collaborative approach that lets them think critically about emerging needs. 7.3.4 Understand the Effects of Outsourcing Outsourcing of IT resources occurs in many environments. The disadvantage of this approach is that staff with strong institutional knowledge and transportation IT proficiency are lost. While outsourcing is perceived to provide cost savings, the nimbleness of experienced staff who have both IT and program area knowledge can be lost. However, if outsourcing of IT occurs, then the remaining staff must consider ways to utilize new procurement processes to ensure that the most knowledgeable and effective vendors are utilized. Within state DOTs, procurement policies are typically developed with traditional procure- ment of goods and services in mind. These are often tangible products like hardware and soft- ware or the typical services of a consultant. However, introducing cloud-based services and other technologies necessary to the implementation of EIPs typically brings new complexities to procurement that will require foresight and negotiation. The procurement of cloud-based services, maintenance components, and other types of service-oriented architecture requires flexibility in the procurement process. However, in most DOTs, procurement procedures have not kept up with trends in the IT market and technolo- gies. Procurement often follows a legalistic and inflexible model that might not fit well with IT procurement needs and timeframes, making the procurement of needed services take too long. In addition, procurement staff often do not have a good understanding of the technical specifications and needs related to the procurement of IT-related services, and therefore it becomes difficult to efficiently procure the technologies necessary to the implementation of a successful EIP.

Toward Successful Adoption of New IT Concepts 75 High turnover in procurement staff leads to another challenge faced by DOTs. At the federal level, procurement is known to have the highest burnout rate of any job, with similar stress found at the state level. Even if procurement staff are trained to understand the pro- curement process necessary to acquire IT, the high turnover rate requires constantly training new staff. The following are approaches for better facilitating procurement strategies so that they reflect the complex nature of new IT practices: • Collaborate with procurement staff • Engage procurement staff early • Establish flexible contract vehicles Each of these approaches is described in more detail below. 7.3.5 Collaborate with Procurement Staff The first step in overcoming procurement challenges is ensuring that all staff involved with the procurement process—including procurement, human resources, legal, financial, and IT— work together to understand IT needs and how processes must be changed to efficiently handle these needs. This collaboration must be ongoing, rather than solely when a procurement is required. It is important that the IT department establish a dialogue with the procurement department to bring about a common understanding of needs. Similarly, it may help to embed IT specialists in business teams so that they understand potential purchasing issues. Having a champion in the agency who facilitates this collaboration and ensures that it continues over time will ensure that the DOT begins to accept that there is a new way of doing business when it comes to technology and will lead to the development of new policies to facilitate the procure- ment of technologies. For all personnel involved, education and outreach regarding technologies, procurement needs surrounding the technologies, and explanations of why the technologies are important to the success of the DOT are important to overcoming procurement-related challenges. Developing messaging that targets the concerns of procurement is essential. For example, IT is the backbone of all projects that are undertaken within the department, and therefore procuring IT in an effec- tive manner is necessary to ensuring the success of all DOT projects. Creating an independent procurement office specifically for IT procurement of cloud services may be an option for some DOTs. TxDOT did this successfully and shares the procurement office with other agencies, such as the Turnpike Commission, thereby making it more cost- effective. This kind of arrangement may not be possible for all agencies. An alternative is to facili- tate changes to procurement law to bring about more flexibility and develop separate policies for IT procurement that accommodate the need for flexibility. 7.3.5.1 Engage Procurement Staff Early It is recommended that DOTs bring procurement into the process of writing a specifica- tion or request for proposals related to technology early on. If IT can describe to procure- ment what they are trying to do and what needs to be procured, this will enable procurement to understand from the beginning of the process that it does not involve purchasing “wid- gets,” and, therefore, the purchasing process may need to be a little different from what is typical. This early collaboration between IT and procurement may also allow IT to structure contracts in a way that is more digestible for procurement, such as deliverable-based con- tracts, indefinite delivery/indefinite quantity (IDIQ) contracts, and incentive/disincentive contracts.

76 Guidance for Development and Management of Sustainable Enterprise Information Portals 7.3.5.2 Establish Flexible Contract Vehicles Creating an IDIQ contract specifically for IT procurement may also help overcome procure- ment challenges. It makes more sense to have a separate IT contract that meets the specific needs of IT procurement than to try to embed IT procurement in other contracts, such as a construc- tion contract. 7.4 Recognize and Address Complex Legal Considerations Legal issues are among the most challenging and complex barriers to IT implementation, as these issues require the input of stakeholders from outside a DOT. In addition, as each state has their own data retention, public record, and intellectual property laws, it is difficult to come up with a blanket approach to mitigating the challenges. However, it is important that within each state, the DOT gain a better understanding of its own legal precedents and challenges. Legal considerations are likely to include data sharing, data storage, intellectual property, and backup format requirements. There is still a perception in DOTs that they are not in the business of publishing data, and therefore many DOTs have not focused on the legal issues surrounding data sharing. However, with the public more frequently requesting data related to traffic, safety, construction projects, spending, etc., DOTs must begin to recognize that data sharing is becoming a key part of their business. Along with data come legal issues related to the storage of data. In many states, there are pub- lic record storage laws that require data to remain within the state. Consequently, use of cloud services is essentially illegal. In other states, there are laws that require that data cannot leave the continental United States. However, cloud services, such as Google, typically cannot disclose where data are located. State laws are often not in synch with how technology is currently being deployed. Data sharing typically occurs through open source software, which brings about another legal issue. Some states have a policy that states that any software that is developed from scratch is the intellectual property of the state. However, in most cases, the software isn’t completely devel- oped from scratch, and some off-the-shelf component is used. Other laws state that if a private company takes public data and then derives a benefit from it, the state owns the intellectual rights to that benefit. However, if the data are publicly available, then there is no way to tell whether a private company has used it for its own benefit. There are also legal issues surrounding the format of data. There are some states that have laws that require backups of data to store the data in the same format as they were originally gener- ated. Failure to reproduce a record can lead to legal findings against the state. However, data- bases and storage tools don’t always store data in the same format in which they were generated. To respond to complex legal issues, agencies can begin by collaborating at the state level with peer agencies, working collaboratively to develop common contractual approaches and language that adhere to legal requirements. Each of these is described in more detail below: • Collaboration at the state level. IT management, particularly at the executive level, should facilitate the exchange of knowledge about IT practices. For instance, an IT Director could monitor statewide policies and establish ongoing contact with the State Chief Information Officer, perhaps engaging the Secretary of Transportation as needed. In this way, there would be situational awareness about legal impediments among leaders who have the most potential to act for change.

Toward Successful Adoption of New IT Concepts 77 • Develop contractual approaches and language that adhere to legal requirements. Contrac- tual language and approaches should facilitate the ability of out-of-state organizations, such as universities or contractors, to work with DOT data remotely. Some states, such as California, require that their data remain within the state or even on the premises of state buildings. In the contemporary computing environment where the practice is to share data and co-develop tools, these laws greatly restrict the ability of state DOTs to share their findings with other state DOTs and leverage the findings of other DOTs. The addition of rider clauses in contracts has often been used to help state organizations allow other states to access and use their data. These clauses, however, do add an extra step and complexity that often greatly delay the pro- cess. States or state DOTs should develop contractual methods more in line with the sharing of cloud data and cloud applications with other states or organizations while still protecting their ownership and liability.