Improving Management of Transportation Information (2013)

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39 Part 2 describes the survey approach and summarizes the major research findings from the survey; (2) provides case studies and examples and discusses good practices related to policy, practices, tools, and outreach; and (3) summarizes cloud computing and states’ activities in adopting cloud computing policies and installations. The research entailed a review of current transportation information management practices. The review included a survey and personal interviews. The research team gave particular attention to cloud-based storage because that is an emerging trend that the team believes will have important consequences for practitioners. Survey The objective of the project’s information management survey was to identify and understand the technical, institutional, and governance challenges faced by a sample of DOT information managers—including information management and the data business planning functions—in managing transportation information. The primary tools for identifying and understanding these challenges were an online survey, supplemented by in-person and/or telephone-based follow-up interviews as appropriate. The survey was designed to do the following: • Evaluate the current state of practice among DOTs and their information management professionals. • Assess the practices each DOT uses to store, organize, and retrieve transportation information. • Identify factors that enhance or impede the user acceptance of the current tools and methods for accessing and using information. • Collect information to permit classification of the information governance structure of the DOTs. • Examine the technical and institutional challenges and the extent of coordination between DOT information management and data business planning functions. • Investigate funding, institutional, governance, and other factors that drive overall effective- ness in information management. The survey was distributed electronically to 197 individuals representing DOTs, commonwealths/territories, national agencies, academia, local agencies, and the private sec- tor. Responses were received from 144 individuals (73% response rate). Of these, 117 individu- als completed the survey fully, while 27 completed the survey partially. Fifty-three individuals opted out or did not respond. P A R T 2 Studies of Leading Practices

40 Improving Management of Transportation Information Follow-Up Interviews with Survey Participants Follow-up interviews were conducted with select survey participants in March 2012. The list of participants for the follow-up survey was divided into three categories: (1) those who responded to the survey and indicated that they would like to be contacted for further infor- mation (42 respondents); (2) those who responded to the survey but did not indicate they were willing to be contacted (15 respondents); and (3) those who did not answer the survey (6 respondents). Emails were sent to all of them thanking them for their participation, describ- ing the purpose of the study, and requesting information on what their state is doing relative to information/data management in the areas of (a) governance, (b) capture, (c) preservation, (d) search, (e) retrieval, and (f) making the information usable. Participants were also asked how guidance in these areas would help them. The combination of survey results with telephone interviews resulted in a thorough under- standing of the overall status of information management at DOTs, detailed examples of good practices in many areas, and insight regarding desired guidance. Analysis of the survey and interview results is provided in the following sections. Assessment of DOT Practices Based on the results of the online survey and follow-up interviews with DOT professionals responsible for managing transportation information, an assessment was conducted to identify the current state of DOT policies and practices regarding the following: • How governance and technology support sharing of transportation information, includ- ing some of the technical, institutional, and governance challenges faced by a represen- tative sample of DOT information managers responsible for managing transportation information; • Methods/tools used for capture, preservation, search, and retrieval of such information; and • Making transportation information findable and accessible to information users, including identifying factors that drive overall effectiveness in information management. The following research was conducted to complete the assessment of DOT practices: 1. In-depth analysis of the survey 2. Use of results of interviews with panel members 3. Follow-up interviews conducted with survey respondents Governance and Technology State of the Practice. Only 26% of DOT respondents reported that their agency has a formal governance structure that clearly defines responsibility for information management and shar- ing, while 40% reported they do not. (Q16c) Less than half of respondents from DOTs (40%) believe departments within their agency have clearly defined roles for ownership, quality assurance, and maintenance of data and information, while 37% disagreed. Respondents whose primary role is in GIS and information technology/systems reported that departments do not have clearly defined roles for data gover- nance (50% and 60%, respectively). (Q12a) Most respondents from DOTs believe their organization is effective at information manage- ment (61%) and information sharing (56%). (Q6, Q8) Institutional issues were cited by respondents as the biggest challenge to information man- agement, particularly in the areas of governance (31%) and resources (29%). Both technical

Part 2—Studies of Leading Practices 41 and institutional issues were cited as the biggest challenge to information sharing, particularly in the areas of standards (36%) and institutional resources (26%). (Q7, Q9) Departmental responsibility for information sharing appears to be less clearly defined across DOTs than that for information management. (Q12b, Q12c) Financial support for information management and sharing appears to be a significant issue for many DOTs. Respondents whose primary role is in information technology/systems reported the greatest confidence in the financial support for their department, while respon- dents in library services reported the least. (Q12d) Respondents whose primary role is in information technology/systems reported having the most use to bring about improvements in information management and sharing, while respon- dents in library services reported the least. (Q12e) Only 36% of DOT respondents believed their library, data management, and GIS groups work effectively together, while 48% believe they do not. Respondents whose primary role is in information technology/systems reported the greatest confidence in these groups working effectively together (60% agreed and 40% disagreed), while respondents whose primary role is in library services reported the least confidence (8% agreed and 84% disagreed). (Q12f) Assessment. Although some DOTs have implemented formal data governance programs, many are still struggling in this area. According to participants, executive management often lacks understanding of the importance of information management, not only the collection of information (e.g., research results, technical reports, and publications), but (1) the management and stewardship of the information, (i.e., making it findable and usable—arranging, indexing, cataloging—storing and retaining), and (2) a recognition of the value of historical research, versions, and editions of materials. Many DOTs continue to operate legacy systems that are not interoperable with other sys- tems, essentially creating data silos that require redundancy in data storage and data entry. Middleware and modernization are providing some relief from this issue, but without a fully interoperable system, data is not being governed as effectively as it could be. For some, different sections of the organization are creating/maintaining their own information resources but not necessarily coordinating or sharing the information with others. Organizational changes are presenting additional challenges to governance. When an orga- nization is constantly changing and being reorganized, the organization charts are never cur- rent or complete (i.e., they do not cover all units, bureaus, and people); hence, it can be difficult for staff to know who is responsible for what. Data business planning is another area for improvement. This process helps DOTs develop a clear plan for information management by defining current business processes, information products, and user needs related to information management and sharing. Many agencies are having challenges with their IT department being an obstacle to prog- ress and innovation. In the online survey, only 29% of DOT respondents believed their IT department could be perceived as a positive partner in promoting information management and sharing, while 43% responded that they are not. Further investigation uncovered a senti- ment that the IT department, whose existence relates to supporting the business units, instead is perceived as requiring groups to adopt business work flows which may be contrary to GIS good practices. One respondent noted that, too often, information technology management is being confused with information content management. Or, if this is understood, the end user or creator of information is tasked with guiding information content management, but they, too, often lack real understanding of how to effectively find management information for long-term retrievability. Until there is some fundamental understanding of the need for better

42 Improving Management of Transportation Information information practices and acknowledgment that competencies are needed to do this well, DOTs will lack resources and have limited improvements. Methods/Tools for Capture, Preservation, Search, and Retrieval State of the Practice. Types of information managed and shared most effectively at DOTs are traffic data (90% of respondents), GIS data (84% of respondents), and research reports (83% of respondents). Types of information managed and shared least effectively are asset inventory databases (23% of respondents) and performance reports (13% of respondents). (Q10) Nineteen percent of DOT respondents reported having a structured data management pro- gram in place, and 19% have one in development. Most existing programs tend to be formal bodies that establish policies and procedures, while most programs in development are com- mittees that coordinate data collection and dissemination practices. (Q17, Q18) Only 2% of DOT respondents reported having a formal policy on digital preservation based on the Open Archival Information System (OAIS), while 17% have a policy not based on OAIS. Most respondents indicated that they have limited resources (technical, manpower, financial) to fully implement this policy. (Q25, Q26) The three most common technical standards in place at DOTs appear to be: (1) a document management system (88%); (2) an image management system (49%); and (3) effective publica- tion standards and templates (43%). Clear metadata requirements and technical standards for keywords used on Internet pages are not as common, but are still used by roughly one-third of all respondents. (Q28) Most DOT respondents (52%) reported their agency effectively inventories and controls access to information available only in print form, while 21% reported they do not. Most respondents (77%) reported that additional funding is critically needed for digital conversion and preservation. (Q29) Assessment. Success in data capture appears to vary across DOTs. States using enterprise class technology reported having good success in capturing data and reducing the number of silo databases/applications within separate offices. For other states (e.g., California), it is often a challenge to obtain and collect information from other offices. The Caltrans Library and History Center is working with the Deputy Director for Administration to develop a communication plan for the library. They are trying to come up with a directive from the Chief Deputy Director that says that the various offices shall provide information to the library, via email, if a particular office publishes a document. At a minimum, that office should send an email or information about a web link to published documents, so that this information can be made available at the library. Other DOTs struggle with data not being updated in a timely fashion and with bad data being loaded. These issues prevent DOTs from providing executive-level reporting. Another challenge is locating and keeping track of where information is housed, particularly in terms of historical information that has been updated or otherwise revised over time. Many states appear to have effective methods/tools for preserving data/information. Oracle databases, Microsoft SharePoint, and Microstation Project Wise appear to be most commonly used as document management tools for storing and preserving electronic documents. These tools provide for change control on documents and engineering diagrams, security controls, and attaching metadata to documents so that they can be queried and easily searched. For Minnesota, the use of Project Wise was one of the first real successes in the area of data gov- ernance, in that it helped to implement CAD standards in which users were required to put data in a specified CAD file layer. Some states (e.g., Mississippi) noted that, although Share- Point has been an effective document management system, there were problems associated with implementation because the entire system was implemented at one time. It would have

Part 2—Studies of Leading Practices 43 been preferable to prioritize implementation of the system, by implementing higher priority components first and other components later. The survey results indicate that many DOTs are seeking guidelines on organization of data and standardized data formats to facilitate search and retrieval. Several states (e.g., Virginia and Maryland) reported that while sharing data within their own group is effective, users in other groups have to know who is responsible for the data to find it. Some states (e.g., Minne- sota) noted that they have challenges in providing ways for staff or others to search for data or other information. There is no single portal or method to do this now. They have information available through their website, but most users do not know how to access or get information from their data warehouse. Access requires assistance from MnDOT staff responsible for the various databases. For states using SharePoint, Microsoft Search and Microsoft FAST search are often used for searching SharePoint archives. Searches are also done using ApplicationXtender. Searches on an agency’s intranet site can also be done within SharePoint if that is where the intranet site resides. Making Information Findable and Accessible State of the Practice. Most DOT respondents reported that their agencies work actively to ensure digital publications are available through the Transport Research International Docu- mentation (TRID) Database (63%); work actively to ensure online information resources are findable via the TRID Database (53%); make information submitted through the TRID Data- base also available through the National Transportation Library (NTL) (61%); and make regular use of the TRID Database to conduct research and find reports (69%). (Q4) More than one-half of DOT respondents reported that they have some degree of knowledge and expertise in the following: the TRT (52%); TKNs (58%); and the TRID Database (61%). Fewer respondents reported that they have knowledge and expertise in the National Informa- tion Exchange Model (NIEM) (19%) and Information Exchange Package Documents (IEPD) (15%). (Q22) Only 5% of DOT respondents reported that their agencies routinely register map services, images, or geographic data sets with Geospatial One-Stop, while 35% reported that they do not. (Q27) Assessment. One of the biggest challenges in managing information is making resources findable and accessible to users. This task is often assigned to the library services division of an agency. Although some states are effective at collecting and distributing information in a con- sistent, organized, and useful manner, many others reported that they lack the procedures, stan- dards, and tools to do this. Other agencies have effective tools in place, but lack of user training on their information systems hinders discovery and simple data retrieval. For many, a lack of resources (e.g., staff, time, funding) is the problem. Often, there is only one librarian or information manager who has to catalog, shelve, and provide reference for the entire agency. There are an overwhelming number of sources of information—particularly online—and it is impossible to read everything and decide which ones are the most relevant and valuable and should be shared with colleagues and customers. However, if agencies simply forward all information apparently related to a key individual’s role, much of it will not be use- ful. Eventually that individual will not value what is sent. Some states (e.g., Utah) have resolved this by implementing a new template to differentiate between “general” versus “specific” infor- mation when pushing information to recipients. Organization of information also appears to be a major challenge for many DOTs. Several agencies reported that they have a collection of information (e.g., books and reports) that is

44 Improving Management of Transportation Information not organized in any way, although they are cataloging this information to have better access. Many reported that they are uncertain about the new Resource Description and Access (RDA) cataloging rules. Based on the research, a taxonomy and recommendations for organization structure of information are needed. States also cited a need for a roadmap on how to better use library science resources to organize information. Outward sharing of information is often made difficult by the findability of reports/ publications on an agency’s website. States cited a need for guidelines on how to better orga- nize their websites and better key words for tagging information to ensure findability. However, responsibility for an agency’s website often falls outside the library science realm, so librarians are limited in providing input or making significant improvements. There is also a lack of direc- tion from executive management on how to treat information or manage it as the asset it is. Outward sharing of information is also challenging when ineffective data management prac- tices are in place. Agencies are seeking guidance in the form of a tool kit or checklist format to know where to post research documents regularly. One agency representative noted that, given the many silos of information created within his agency, it is challenging to ensure that information is captured and submitted to the TRID Database and NTL. The agency representative has to seek out the information, which is time consuming, and he receives the information through mecha- nisms such as newsletters and email distribution, which is inconsistent and not comprehensive. Case Studies and Other Examples The case studies presented herein illustrate recommended good practices in managing trans- portation information at DOTs. Good practices are defined as those that incorporate some or all of the information management process (i.e., capture, administer, and retrieve) to manage transportation information. The case studies reflect interviews with the states. The terminology used to describe the information management processes in the states is consistent with use of the terms in the indi- vidual states and may not be consistent with those used in other parts of this report. For quick reference, Exhibit 2-1 summarizes lessons learned from the case studies and examples. Exhibit 2-1. Case study agencies. Agency/ Contact Person/ Focus Area-Key Themes Lessons Learned ADOT & PF Jack Stickel DBP Use of a DBP helps an agency to • Establish goals for data programs • Assess agency data programs • Establish a data governance framework • Ensure proper use of technology/tools to support data management Once implemented, a DBP needs to be reviewed regularly (at least annually) and updated to reflect changes in policies, standards, business processes, technology/tools, or organizational realignments that may affect management of data programs and information at the DOT. Establishing Communities of Interest (COIs) (for transportation data programs) and continuing outreach to the COIs helps the DOT to make appropriate decisions on developing/implementing new hardware/software solutions to support data programs relied on by the user community. Use of a DBP helps everyone in the DOT to understand their roles in providing high-quality data and information in a timely and efficient manner for all stakeholders.

Part 2—Studies of Leading Practices 45 Exhibit 2-1. (Continued). Agency/ Contact Person/ Focus Area-Key Themes Lessons Learned Use of BI tools also helps to ensure that critical documents are secured and properly stored in systems such as SharePoint and Project Wise, with metadata and tags to identify the purpose of the documents. This helps ensure that the correct information can be located to respond to requests. IDOT Karen Perrin Participate in knowledge sharing groups where resources and information are shared among many, and the overall collective intelligence of the group is higher than any individual on his/her own. Always have an elevator speech ready and find someone in upper-level management to understand the work and become a champion of information management. Convincing someone to work toward an information management governance policy is a huge step for the agency. The issue of funding is also important. Designation of some funds to address electronic file management issues is an important step toward meeting information management needs of the future. AZDOT Dale Steele Digital Collection and Arizona Records Retention schedule Market the type of information available from the source agency to the widest audience possible, using newsletters, fliers, meetings, and the Internet. Maintain a central location or web portal as a shared space to store multiple types of information provided from many sources. A single portal with easy access enables quick search and retrieval of information by the user community. Use WCM software to document statistics on the usage of the website (daily, weekly, monthly, annually). This enables the sponsoring agency to adjust the content displayed on the website as needed. In the case of transportation information, this is particularly useful for supporting emergency management operations by providing additional information on evacuation routes or road closures during times of emergencies. Policies regarding preservation of records in paper or electronic format should be instituted by law and/or supplemented with department policies at the DOT. Such laws or department regulations for the proper retention and/or disposal of records is critical in defending the agency against charges of spoliation or tampering with evidence in the case of litigation. Policies and laws regarding retention/disposal of records should be made available to all DOT employees who may have responsibility for managing records such as reports, documents, photos, digital images, and videos that may contain information that can be used in litigation or other types of inquiries. As federal or state laws or department policies governing such procedures change, the records retention/disposition procedures used at the DOT should be updated as needed and re-distributed to the appropriate department personnel. Caltrans Coco Briseno Janet Coles Harold Feinberg DBP; GIS Understand the business process and prepare systems based on data-driven decision making; Embrace IT processes and procedures and work in collaboration with IT; and Develop information management systems that are as user friendly as possible. CDOT William Johnson Data Governance Following a multi-step approach for implementing governance similar to the approach at CDOT ensures that assessments of existing programs are completed and needs and gaps are identified which can be addressed as part of a DBP using data governance. As part of the data governance framework, CDOT also identified good practices in the use of technology/tools used to display data and information pertaining to performance measures. Data governance at CDOT provided a way to coordinate with a large number of stakeholders through the use of stakeholder groups organized around specific data programs used to support performance measures. GDOT Jane Smith Teague Buchanan Data Governance and MS SharePoint Implementing data governance has helped GDOT establish policies, roles, and responsibilities, which can be clearly communicated to all staff responsible for managing data and information at the department. GDOT is benefiting from the partnering of business units with the IT office through the Data Resource Management Steering Group. This group is empowered to make decisions about changes in information systems at the DOT. This helps ensure that business needs are considered as part of any enhancements to application systems. Software development time has been drastically reduced because of the use of BI tools within a GIS environment. (continued on next page)

46 Improving Management of Transportation Information Exhibit 2-1. (Continued). Agency/ Contact Person/ Focus Area-Key Themes Lessons Learned Establishing governance takes time, but, it is worth the effort. One does not always need more data, just better access, better tools, better understanding. MDOT Imad A. Aleithawe Denise Jones Ray Barksdale SharePoint Information management will be ongoing and may never be fully complete. Using a more agile project management method is more beneficial than the standard project management method. One must be able to adapt and produce solutions that best fit the agency. It is also important to work at a manageable pace when working with the agency’s end users and business owners. Iowa DOT Hank Zeletal data collection guide Image indexing and historical images - SharePoint Automated indexing software for cataloging digital photos, images, or videos, such as that used at Iowa DOT, can be implemented at other DOTs to eliminate time-consuming, error- prone manual processes associated with indexing. Enhancements can also be made to the indexing software as business needs dictate. These include the need to distinguish between images and objects which appear to be trucks or cars or pedestrians. Automated indexing software can also be used to provide easier access to a larger user base seeking photo and video information. The indexing information about photos and videos can be transmitted to other enterprise records management systems to facilitate retrieval of the photos and videos from their original repositories. KDOT KTOC – Facebook, Videostreaming, etc. DOTs can use social media venues such as Twitter, YouTube, Facebook, Flickr, and blogs to provide information to a wider audience interested in transportation-related information. This audience may include the general public or stakeholders who use the data and information in their daily business operations. LaDOTD Jim Mitchell Enterprise GIS system Using BI tools such as GIS applications can provide multiple types of integrated transportation data in a map-based visual format, to a wide audience (using a central database repository for geospatial data). Use of GIS applications requires that the user community have access to the technology tools (such as ArcView or ArcGIS Explorer) needed to query, retrieve, and analyze the data. For more experienced users, an enterprise GIS system can be used to integrate data layers from other areas in a DOT to support typical DOT operations, including asset management, emergency management, travel monitoring, and safety. Use of GIS also offers the capability to perform a visual QA/QC on data and correct any errors as needed. Maine DOT Nate Kane GIS is primary tool used to manage and access location info Gaining buy-in from external GIS data providers is essential for maintaining an up-to-date geospatial database at the DOT. Allowing access to the enterprise GIS to all providers of the data layers helps to ensure continued support of the GIS for all users. The persons/offices responsible for developing and maintaining GIS systems at the DOT need to continue to market the benefits of this technology to internal and external customers, including the legislature. Identifying champions at the Executive level and in business units to support the continued enhancement and use of GIS technology within the organization is critical for sustaining an agency’s ability to integrate multiple types of data. MnDOT Cassandra Isackson Use governance with flexibility. Integrate governance with other initiatives. This helps the business offices/units realize how exercise of good data and information management practices can safeguard the agency against potential risks, not just those identified by a particular business area. Use a balanced approach for governance with a bottom-up and top-down approach to help convince business areas of governance needs in support of overall agency strategic needs. Business offices/units must lead; business must put resources toward good data management practices and they should also hold other business areas accountable; data management is not IT’s responsibility. Focus on data for decisions at all levels; ensure that data is useful and usable; remember the purpose of data and for what it is used. Establish standards that are nimble. Establish policies that allow for transparency and innovation in information management. Data management is not the end, it is the means to other ends (e.g., providing information needed by the public, policy makers, and snowplow drivers).

Part 2—Studies of Leading Practices 47 Exhibit 2-1. (Continued). Agency/ Contact Person/ Focus Area-Key Themes Lessons Learned UPlan Library functions lower costs by eliminating redundant data collection processes and saving time in data analysis by using GIS tools for geospatial analysis. Use of integrated data helps facilitate cooperative working relationships among departments and improves understanding of issues and needs regarding data across the department. UPlan provides a mechanism for one office to demonstrate a particular need or issue to the other departments by displaying a particular type of data using the uPlan GIS tools. NDOT Sena Loyd EOS.Web Express Select an information management technology solution the right fit for the agency or organization. In the case of the Nevada DOT library management system, an enterprisewide solution was not needed. The DOT was able to implement a cost-effective solution using EOS.Web that provided the functionality needed for managing the library’s collection of transportation materials. Use other repositories and archives (outside the sponsoring agency) as available for retention of historically significant or otherwise important documents, reports, maps, photos, digital images to supplement the collections maintained at the DOT’s library and/or business units. NYSDOT Governance process specific to their IT department Establishing a well-defined governance structure for IT empowers an agency to make appropriate decisions regarding current and future technology investments in support of agency goals and objectives. Documenting the governance policies in a format such as a Strategic Plan (e.g., IT Strategic Plan) provides a platform to educate all persons/offices on the expectations and goals and objectives for use of governance within the agency. Establishing mission and vision statements for governance at the agency helps to set forth the direction for current and future policies, practices, and standards to be used in managing data programs to support business needs. Mission and vision statements for data programs are separate from agency mission and vision statements. NCDOT Dr. Mrinmay Biswas Use all sources available for adding to the collection of transportation-related materials (reports, documents, maps, photos, digital images, videos, etc.) maintained and managed by the DOT. This includes providing links to external sources of information or purchasing additional collections of materials as needed. The sources of additional information and materials may be provided and/or used by the DOT’s divisions, offices, and user communities, such as MPOs, transit authorities, law enforcement, and other state and local transportation agencies. Enter into sharing and exchange of information agreements or arrangements with state and national organizations to obtain copies of transportation-related publications, which will enhance the collection of materials maintained at the DOT. DOTs should consider the use of newer available technologies for cataloging and indexing of transportation information maintained by the libraries at the DOTs. EDM systems such as SharePoint are an option that can be considered for establishing a central repository of information, including documents related to transportation information. Several DOTs, including North Carolina (future) and Virginia (now) are using or plan to use SharePoint to facilitate management of documents and information. Electronic Document Management Systems (EDMS) facilitate easy querying and access to information through categorization and taxonomy schemes within the EDMS. ODOT Dave Gardner IT Governance Council Implementing a Governance Council or Board helps the organization designate the persons/offices responsible for establishing policies, procedures, and standards for the collection and use of data and information within the organization. The Governance Council is a high-ranking authority with responsibility to oversee any initiatives to develop or enhance existing application systems, to meet the needs of the organization, with consideration of the overall goals and objectives of the agency. Establishing clear roles and responsibilities for data governance within the organization helps everyone to understand how their job contributes to the efficient management of data and information. Responsibilities for governance should be shared between the IT office and the business units. The business units should retain responsibility for management of specific data and information needed to support their business needs and the IT office should ensure that hardware and software infrastructure is in place to support the business application systems. UDOT Providing access to integrated datasets through a single portal shortens the time to evolve data into information and ultimately into knowledge for use in decision making. Integration of data in a similar manner illustrated in uPlan can result in higher benefits/ John Thomas Cameron Kergaye UPlan Library functions (continued on next page)

48 Improving Management of Transportation Information Exhibit 2-1. (Continued). Case Study: California DOT (Caltrans) Primary Sources: Caltrans staff in the GIS Services Branch, Office of Data Analysis and Geospatial Information Systems (ODAGIS), Division of Transportation System Information; Library and History Center, Office of Business Services and Security; and Office of CADD and Engineering GIS Support, Document Retrieval System (DRS) Administration. The case study discussions focus on functional units such as the Caltrans Transportation Library and History Center, GIS, and the Document Retrieval System (DRS). Agency/ Contact Person/ Focus Area-Key Themes Lessons Learned Libraries in DOTs can use various methods to market their services to the internal and external user community and promote the types of collections/information available through the library. The methods used for marketing services can include newsletters, Internet advertisements, and social media options including YouTube, Twitter, Facebook, etc. VDOT Ken Winters Maureen Hammer Capture lessons learned from previous (project) experiences. Document information from previous projects and make it available across the agency (such as through the use of a KM system). Use consistent indexing terms for quickly locating and accessing the repository of lessons learned. Do not try to do everything at once. Focus on what services can be provided by each specific office responsible for information management whether it is the library at the DOT, the KM office, or perhaps the Administrative Services Office. WSDOT Leni Oman Gordon Kennedy Kathy Szolomayer Andy Everett Understand the organization’s business needs for data and information. Have the messy conversations to bridge gaps in awareness and understanding amongst managers of information resource types and between business units and information management professionals. Understand that content is different from the technology system that it resides in. The information content may be used by business units other than the primary creators/users. The content may also be needed again decades later. Managing content so that it can address this business need requires attention. Library science has demonstrated successful strategies for managing content across diverse user groups and extended time periods. We all create and use information daily. We are all responsible for managing our portion of information responsibly. Having clear principles and intent and strategy to carry them out is critical to success. It is beneficial to have staff resources and knowledge that considers the big picture for information management. It is also valuable to have staff who can investigate experiences, guidance, and standards associated with information management to determine usefulness and usability. It will only get worse if we wait. WisDOT John Cherney Developing similar data management tools and allowing shared access to these tools helps the DOT and the local governments to analyze and validate road inventory data needed to meet federal and state reporting requirements. A shared data management application such as WISLR allows flexibility and local control of data reported back to WisDOT from the local governments. An application such as WISLR provides a single portal for query, analysis, and update of road inventory data, making it easier for all users of the system.

Part 2—Studies of Leading Practices 49 Background Caltrans Transportation Library and History Center. In the 1960s, the U.S. Bureau of Public Roads Highway Planning Program Manual was widely used as a guide for state highway agency policy and procedure development. The manual’s section on reference libraries recom- mended the establishment of a centralized reference library at state highway agency headquarters so that basic reference materials in subject areas related to project planning and delivery would be readily available and accessible. As a result of this and to eliminate redundancy and provide broader professional library reference and research services, Caltrans’ current Transportation Library and History Center was established in 1971. The original goals for the Transportation Library included development of departmentwide library standards; development of departmentwide uniformity in administration, policy, and procedure; integration of the computerized information library services; maintenance of the selective distribution list of publications; increased use of the thesaurus terms for data stor- age retrieval; expanded library services; central control over publications and other printed materials; and improved level of service.21 In 1984, a formal program to preserve the department’s important historical materials was established (Policy and Procedure 84-5, now Deputy Directive 5822) thus significantly expand- ing the scope of the library through the addition of a special collection of research materials covering the history of Caltrans and the development of the state highway system. The Caltrans library is well connected to the NTL community and participates in national efforts to develop better transportation information systems and tools. The Caltrans library provides many services, designed to meet departmental research needs, to its patrons. An online library catalog and digital library system are maintained in addition to an intranet site with information and links to many transportation systems. Caltrans GIS. Caltrans’ Division of Transportation System Information is considered the “Pathway to Information”23 and includes the offices of Data Analysis and GIS (ODAGIS), Office of Highway System Information and Performance (OHSIP), and Office of Travel Forecasting and Analysis (OTFA). From the GIS perspective, information management became a priority in the early 1990s. This has evolved over time to the GIS web services available on line today. Deputy Directive 72 established a vision for GIS within Caltrans to fully support GIS develop- ment and application and promote its integration into business processes, analysis, and infor- mation flows. Directive 72 also contains responsibilities for the various stakeholders, including upper levels of management (e.g., Deputy Directors, Chiefs, a GIS Management Committee (GMC), and District Directors). Caltrans DRS. The Office of CADD and Engineering GIS Support uses state-of-the-art computers and software to share information across functional units and is responsible for the DRS. The DRS is used to archive and access selected records that serve as evidence of the orga- nization, functions, policies, decisions, procedures, operations, or other activities of the depart- ment, including project reports, as-built plans, and survey maps. General Policies and Practices Caltrans has several policies and practices related to information management—Deputy Directive DD-58-R1, Preservation of Department’s Historical Materials; Archiving As-Built 21Coles, Janet. Library History. California Department of Transportation. 22California Department of Transportation. Deputy Directive DD-58-R1, Presentation of Department’s Historical Materials. February 8, 2010. 23Division of Transportation System Information (TSI), http://www.dot.ca.gov/hq/tsip/faqs.php, accessed October 18. 2011.

50 Improving Management of Transportation Information Plans Memorandum, April 2006; Deputy Directive 101, Records Management; Deputy Direc- tive DD-55-R2, Management of Caltrans Information Assets and Records; and Deputy Directive DD-72, Geographic Information System (GIS) Implementation. The policies generally include Deputy Directives and contain the policy, background, responsibilities, and applicability. Several policies and practices are also in the form of memoranda or incorporated into Caltrans manuals. Good Practices Capture. Good practices for this phase of the information management process are broken down by operational unit within Caltrans. Caltrans Transportation Library and History Center. The Library and History Center fre- quently reviews internal and external web links to look for major publications and reports that would be useful for the various divisions/offices within the department. The Caltrans Library and History Center has well developed relationships with other departmental offices including Planning, Environment, and Cultural Resources, to gather information from them for distribu- tion through the library. It is often a challenge to obtain and collect information from the various offices because the library relies on informal relationships. The library is working with the administration to try to come up with a directive stating that the various offices shall provide information to the library, via email, if a particular office issues a publication. Caltrans GIS. Caltrans performs a significant amount of geospatial information collection and capture, with much of the data capture being project based. Linear referencing is mostly manual at this point. Staff are beginning to use mobile terrestrial laser scanning Light Detection and Ranging (LiDAR) for surveys, in combination with video, for operations and for extracting asset information. On the back end of Caltrans Earth, their implementation of Google Earth Enterprise (GEE), Caltrans developed some automated data collection/capture processes that harvest transpor- tation assets and other data from standard databases, convert the data to GIS formats, and publish the data to Caltrans Earth via GIS web services, and make the same data available to the GIS Data Library. Administer. Good practices for this phase of the information management process are bro- ken down by operational unit within Caltrans. Caltrans Transportation Library and History Center. The Caltrans Library uses an inte- grated library system—SydneyPlus—to manage information and serve as a repository (store pub- lications and photographs). Historical digital photo collections are managed via CONTENTdm®. A data management plan—the Collection Development Plan—is available related to the library. Caltrans Transportation Library and History Center and U.C. Berkeley’s Institute of Trans- portation Studies Library form an integrated library system that can store information, includ- ing agency publications. The NTL is used for storage and TRID for indexing. The Institute of Transportation Studies Library at the University of California, Berkeley, is responsible for submitting records of Caltrans reports to TRID, including indexing reports with the TRT. The Berkeley library also deposits electronic copies of reports in institutional repositories. Although some reports have been sent to the NTL, electronic copies of all reports have been submitted to the University of California’s institutional repository, Merritt, for the past 2 years. Historical digital photo collections for the Caltrans districts are stored and managed via a Digital Collec- tions Management System (DCMS), CONTENTdm®. The Caltrans library provides reference and research services and preserves important current and historical departmental information (e.g., publications, documents, maps, photographs,

Part 2—Studies of Leading Practices 51 and artifacts). This is critical to several functions and departmental staff, including project planning and delivery, the legal division, and public affairs. The History Preservation group has a policy that they have the opportunity to review any documents that staff wants to destroy, particularly because Caltrans is still strongly paper focused. In the future, the group wants to scan and archive project documents, photos, and change records, using the capabilities of new technologies. This will result in a paradigm shift. The Caltrans website and internal intranet site include links to various tools, standards, and publications. A wealth of information, with intuitive web interfaces, is available to Caltrans staff and the public. The library catalog is not available on the web because some of the infor- mation is sensitive. Intellectual property protection is also a consideration. Caltrans GIS. Much of Caltrans’ data has a spatial component (e.g., post-mile, coordinate) so staff are working on a GIS interface to the DRS, as well as GIS improvements to other depart- mental data management systems. Specifically, management plans would be an outcome of the spatial data infrastructure project. For 10 to 15 years, much of the GIS information has been maintained in a central GIS library in Oracle/ArcSDE. Information can be accessed and viewed via GIS software. Caltrans Earth provides access for the public and internal use. Linear referenc- ing data is stored in a FileMaker Pro database. FME records change based on linear referencing information updates. Caltrans’ recent program review reports that information management was an element ranked high for needed improvements. Moving forward, Caltrans is looking at web services, development of standard formats, and use of the cloud for GIS information. A focus on the use of the cloud is expected to help enforce consistency and data standards. The core GIS Data Library is maintained and backed up regularly. Preservation of data in central databases supported and maintained with the other departmental information assets is a sig- nificant challenge given the diffuse nature of GIS usage in Caltrans. Preservation of temporal transportation data is being addressed on the back end in databases, but a full selection of tools for easy retrieval of temporal data has yet to be implemented. Caltrans has begun using more web server and visualization-based tools with open stan- dards for data, replacing existing file-based data distribution and vendor-specific server GIS platforms. The data and imagery collected and presented in Caltrans Earth can be retrieved for use in both traditional GIS analysis and for geo-visualization (e.g., Google Earth & Maps or ESRI platforms) and reference. Caltrans implemented Caltrans Earth as a place to display data in a format easy to use and understandable by non-GIS trained staff. Furthermore, this tool is available both internally and externally to Caltrans partners and the public. The goal is to get access to GIS information users directly to meet their needs. There is limited security on GIS data because most GIS data is not sensitive. Caltrans is starting to work with the State’s Geospatial Information Officer (GIO) to build a GeoPortal to help discover data better and Caltrans is providing the metadata to support it; however, it just lists data; it cannot be searched or downloaded. Caltrans DRS. The tool used for DRS is called Falcon/DMS. There is a collaborative effort between the IT Office and the Office of Business Services to manage this information. The districts provide documents for the DRS, including as-built plans, survey maps, and permits, although, according to current policy set by the Chief Engineer, only as-built plans must be archived in the DRS. There are also several other types of records (e.g., permits, surveys, deeds, hydraulics information, and photographs). Most of what is contained in the DRS now relates to capital outlay services (COS). There has been recent interest for DRS to include other types of documents (e.g., traffic safety reports handled by the Division of Transportation System Infor- mation that is not part of COS). To aid in managing information, the DRS uses naming con- ventions for each category, usually based on a unique number (e.g., project number). Project

52 Improving Management of Transportation Information information is stored in the DRS. Microfilm copies are also made as a backup. The archival format used for most Caltrans documents is TIFF files. This is the preferred format because of the higher image quality. The TIFF format includes digital information about the information in the image. Other file types (including PDF and JPEG) are accepted if TIFF is not available. A records management unit works with the state archives and designated staff from each division and district. Records centers are located at the regional and district levels; there is also a state records center for all of state government, not only Caltrans. Metadata. The Caltrans library uses the MARC 21 metadata standard. CONTENTdm® uses the Dublin Core ANSI standard metadata from ISO 19115 Geographic Information. Exhibit 2-2 presents the sample metadata for Park and Ride data. The DRS requires some metadata and is system dependent. Each has core elements, then some specific to a category. The metadata for the DRS is established by the Data Administrator and the DRS Steering Committee, usually for search and retrieval purposes. Data Governance and DBP. Each division/office generally has governance responsibility for data and information in its area because much of Caltrans’ information is stored in silo Source: GIS Data Library, http://www.dot.ca.gov/hq/tsip/gis/datalibrary/gisdatalibrary.html#dataindex, http://www.dot.ca.gov/hq/tsip/gis/datalibrary/metadata/ff_prk_rde.shp.xml, accessed September 10, 2012. Exhibit 2-2. Sample metadata for park and ride.

Part 2—Studies of Leading Practices 53 systems and built for specific use within a particular division or office. There are many differ- ent business owners (i.e., managers of the business units that own data) and data custodians (i.e., Caltrans staff who are recognized data experts for their functional division/office). A few years ago, Caltrans realized there were too many reconciliation efforts and too much duplica- tion of data. As a result, a Transportation System Data Governance Board was formed with representation from various divisions and districts. The mission of the board is to ensure that Caltrans creates and maintains reliable transportation system data accessible to Caltrans and its partners.24 In 2011, Caltrans developed a Transportation System DBP. The DBP (1)contains a structure for the Transportation System Data Governance Board (Board) to address depart- mental transportation system data issues and problems, (2) defines roles and responsibilities, (3) develops the data-related processes and architecture, and (4) provides a timeline and an approach for implementing data governance. Exhibit 2-3 presents the data governance goals and objectives. Categorization Schemes—Caltrans Transportation Library and History Center. The Caltrans library adheres to standard national descriptive cataloging policies and practices as developed by the American Library Association and the Library of Congress. # Goal Title Goal Description Objectives 1 Leadership Champion data solutions to ensure accountability and increase the value of data assets Promote data governance within Caltrans Communicate data-related changes to all COIs Monitor progress and ensure accountability of data governance tasks and projects 2 Quality Oversee efforts to provide high-quality data that is accurate, clear, and easy to access Establish a data quality assurance program Increase the accuracy and clarity of data Improve accessibility of data 3 Prioritization Prioritize efforts to address data gaps and needs Establish clear priorities to address data gaps and needs Communicate priorities to Caltrans business units 4 Cooperation Facilitate cross-organizational collaboration, data sharing, and integration (break down barriers between business units, reduce data silos) Increase opportunities for data sharing Eliminate data silos and other barriers Ensure business units know the identities of business owners and data custodians Ensure business owners know the identities of the COIs 5 Flexibility Encourage creative and innovative solutions to data needs Identify innovative data solutions throughout Caltrans Communicate innovative solutions to business owners and COIs Source: State of California Department of Transportation. Transportation System DBP. September 29, 2011. Exhibit 2-3. Data governance goals and objectives. 24State of California Department of Transportation. Transportation System Data Business Plan. RFO# TSI DPA-0003. September 29, 2011.

54 Improving Management of Transportation Information Exhibit 2-4. GIS data library data index. Source: GIS Data Library, http://www.dot.ca.gov/hq/tsip/gis/datalibrary/gisdatalibrary.html#dataindex, accessed September 10, 2012. Exhibit 2-5. Sample list of objectives and performance measures. # Objective Performance Measure 1 Ensure business units know the identities of Business Owners and Data Custodians Increase # and/or % of data elements with identi�ied owners/custodians that are available to business units 2 Increase the accuracy and clarity of the data Reduction in # and/or % of inaccurate data elements and data elements without clear de�initions 3 Communicate data-related changes to all COI Development and implementation of a data communication plan approved by the Board 4 Eliminate data silos and other barriers # of data silos identi�ied, and # of solutions implemented to address data silos Source: State of California Department of Transportation. Transportation System DBP. September 29, 2011. Categorization Schemes—Caltrans GIS. There are two GIS data libraries, one for the recently implemented Caltrans Earth and the other for the GIS Data Library. Both are generally mode-based with subcategories. Exhibit 2-4 presents the GIS Data Library Index as an example. Performance Measures—Caltrans Transportation Library and History Center. Perfor- mance measures are also a key aspect of managing the Caltrans Transportation Library. Using a standard tool to calculate library cost benefit, the library estimated a positive ROI. This was based on average user salary and use of library materials, versus library salary and materials costs, and factoring in the time it would take the user to obtain the materials elsewhere. Performance Measures—Data Governance Plan. Sample performance measures are also included for consideration in the data governance plan. The Data Governance Board will be responsible for developing performance measures related to each objective. Exhibit 2-5 lists objectives and sample performance measures contained in the data governance plan.

Part 2—Studies of Leading Practices 55 Much of Caltrans’ information is stored in silo-type systems, built for the specific use of a particular division, office, or district. A committee is working toward a more enterprisewide approach to the storage and management of Caltrans data. Caltrans DRS and Other Information Systems. The DRS allows the user to retrieve informa- tion by county, route, and post-mile. There is a similar but separate system to store and retrieve information for bridges. Caltrans also maintains a Commercial Wholesale Web Portal that enables commercial and media Information Service Providers (ISPs) to request and receive traveler infor- mation generated by the department. Information available to ISPs includes vehicle speed and volume traffic data, closed-circuit television (CCTV) video images, changeable message sign (CMS) traffic messages posted on electronic variable message signs, lane closure system (LCS) data, and roadside weather information systems (RWIS) weather and fog information. Much of this information is disseminated via Caltrans’ QuickMap website at http://quickmap.dot.ca.gov/ Some of this information is also stored, disseminated, and/or archived in the Caltrans Performance Measurement System (PeMS). Exhibit 2-6 presents the opening screen for PeMS, which includes up to 10 years of data for historical analysis and includes traffic detector data, incidents, lane closures, toll tags, census traffic counts, vehicle classification, Weigh-In-Motion (WIM), and roadway inventory. Challenges • Caltrans is a large department with numerous offices and districts, each with their own siloed data, information, and systems. • Technology is not the challenge; issues are typically institutional or administrative. • Getting agreement on policies, procedures, standards, priorities, and consistent resources. • Getting top-level support for long-term storage, management, and access to information is critical to success. It is often a matter of education on the benefits. • Trying to get GIS to fit within IT policies and standards. Exhibit 2-6. Caltrans PeMS. Source: Caltrans PeMS Website, http://pems.dot.ca.gov/?redirect=%2F%3Fdnode%3DState, accessed September 30, 2012.

56 Improving Management of Transportation Information • Institutional differences between GIS and other offices/divisions – different approaches to information management and business processes. • Usability problems exist with the some existing data management systems, because of lack of metadata and digital image standards. The metadata and the way the data is organized affect the ability to easily retrieve and use information. • The need to share and integrate data has reached a critical point. As such, Caltrans is explor- ing options to manage information at an enterprise level. Next Steps • Caltrans staff are investigating a tool called ArchiveIT and crawling tools to better manage and store web-based information resources. • Continuous improvements to linear referencing and crowd sourcing for collecting and com- piling data. • Continue to explore cloud opportunities. • Implement enterprisewide information management for DRS. • Improve system design – focus on project rather than document type. • Continue to expand Data/Information Management (Governance and Plans). Lessons Learned • Understanding of the business process and prepare systems based on data-driven decision making. • Embrace IT processes and procedures and work in collaboration with IT. • Develop information management systems that are as user friendly as possible. Sources 1. Coles, Janet. Caltrans. 2. Feinberg, Harold. Caltrans. 3. Briseno, Coco. Caltrans. 4. Downey, Tremain. Caltrans. 5. Appleton, Jim. Caltrans. 6. Caltrans. Deputy Directive DD-58-R1, Preservation of Department’s Historical Materials. February 8, 2010. http://www.dot.ca.gov/hq/esc/CHPC/documents/DD-58-R1.pdf (accessed 9-10-12). 7. Caltrans. Deputy Directive DD-72, Geographic Information System (GIS) Implementation. July 25, 2002. 8. Land, Richard. Archiving As-Built Plans Memorandum. State of California Department of Transportation. April 7, 2006. http://www.dot.ca.gov/hq/oppd/design/m040706.pdf (accessed 9-10-12). 9. State of California Department of Transportation. Transportation System Data Business Plan. RFO# TSI DPA-0003. September 29, 2011. http://www.dot.ca.gov/hq/tsip/datagover nance.php (accessed 9-10-12). 10. State of California Department of Transportation. Project Development Procedures Manual, Chapter 15 – Final Project Development Procedures. March 4, 2010. http://www.dot.ca.gov/ hq/oppd/pdpm/chap_pdf/chapt15.pdf (accessed 9-10-12). 11. State of California Department of Transportation. GIS DATA LIBRARY. http://www.dot. ca.gov/hq/tsip/gis/datalibrary/gisdatalibrary.html (accessed 9-10-12). 12. State of California Department of Transportation. Caltrans QuickMap Website, http:// quickmap.dot.ca.gov/ (accessed September 30, 2012). 13. State of California Department of Transportation. Caltrans Performance Measurement Sys- tem (PeMS) Website, http://pems.dot.ca.gov/?redirect=%2F%3Fdnode%3DState (accessed September 30, 2012).

Part 2—Studies of Leading Practices 57 Case Study: Illinois DOT (IDOT) Primary Sources: the Policy and Research Center (PRC) Library at the Illinois DOT (IDOT), supported by input from the Information Technology Division, the Research Unit, and the Records Management Unit at IDOT. Background Information management at IDOT is shared among many functional units within the agency, including, but not limited to, information technology (IT), library, research, and records man- agement units as well as various producers of raw data (e.g., GIS and traffic safety). The IDOT PRC Library supports the overall mission of the department by providing IDOT employees with information needed to perform daily business functions, including providing assistance with customized professional research. The PRC Library manages transportation infor- mation in the form of publications produced by the DOT, including storage and dissemination of transportation information to IDOT employees, other state employees, the public, and consultants. Managing transportation information at IDOT is governed by policies, including the direc- tive requiring that all IDOT-produced reports must be provided to the PRC Library as the cen- tral clearinghouse for IDOT publications. The PRC Library also deposits IDOT publications (in electronic format) to the Illinois State Library (ISL) in compliance with the State Library Act (15 ILCS 320) and the General Assembly Organization Act (25 ILCS 5/3.1). To promote the effi- cient and timely delivery of information, the PRC Library also participates in TKNs at the regional level (Midwest TKN) and the national level, resource sharing, and use of current technologies. Good Practices IDOT demonstrates good overall experience in each of the framework processes, with par- ticular expertise in the capture and administration of transportation information. Capture. The capture of IDOT research reports is coordinated by the IDOT research unit (Bureau of Materials and Physical Research) working closely with the University of Illinois at Urbana-Champaign, Illinois Center for Transportation (ICT). The ICT publishes IDOT- sponsored research reports and provides links via their website to full-text versions. The IDOT website also provides an interface for these reports through the research unit’s web page, along with any internally produced publications (e.g., physical research reports). The ICT also submits electronic versions of these research reports to the TRID Database and checks the submittal option, thereby authorizing the NTL to store the documents long term electronically. The PRC Library participates in the capture of IDOT publications through the IDOT Document Deposit Program as mandated by Illinois law. Additionally the IDOT library keeps one hard copy of all IDOT publications for easy access by employees and archival purposes. Administer. The PRC Library uses various technology tools to manage IDOT’s collection. The PRC Library manages its collection through the use of an online card catalog, accessible to

58 Improving Management of Transportation Information both internal and external patrons searching for a particular publication. Searches may be con- ducted by employees at their own computers, and resources are sent to employees statewide in all nine district offices as well as the central office. In addition, many IDOT publications, including most research reports, are submitted to TRB’s TRID Database. The database is searchable by keyword, title, person, organization, conference, identifier, or index term. The IDOT PRC Library collection includes information in the following categories: Civil engineering and design (including exam prep resources); materials and physical research; environment and sustainability; traffic safety and engineering; legal, policy, and procedural; records and Knowledge Management; management and strategic planning; and general office skills and IT training. For records management, a retention schedule stating what the record is, its earliest date, and volume information, is kept to cover each record series. Recommendations for retention period are included with each record. In addition to library cataloging and records retention, a data dictionary is used to maintain standards across databases for naming conventions. IT ensures that all data is standardized and documented. There is no enterprise data management plan in place. Data management is partially addressed with datamarts. For datamarts to be constructed, data standardization is required. IDOT is working toward data management objectives by standardizing disparate sources of data. For example, data is being gathered from project management and financial systems, and contract identifiers are being standardized to link the information. SharePoint is used as a document management and collaboration system. For example, MS Word documents have metadata elements attached to them. SharePoint is a metadata-based system. There is a metadata working group working to define metadata for Electronic Records Management (ERM). The PRC Library serves as a central clearinghouse for all IDOT-produced publications, specifically for publications used across departments or provided externally to the public or consultants/contractors. Hard copies are archived in the physical library collection and elec- tronic versions are provided to the ISL, where they are archived and maintained permanently by the staff at the state library. The link to the public interface for the archive system is http:// ediillinois.org/ppa/index.html. Additionally, specific IDOT publications, primarily research reports, are submitted to TRB’s TRID Database where the links are provided and the information is stored, although not the actual electronic file. The records management unit is still primarily focused on storing paper copies. The state archives require paper storage, unless a document is to be kept more than 10 years. At that point, it is put on microfiche. Plans are also put on microfiche and a statement of their impor- tance and value. Once a record is microfiched, it becomes a legal record. The reel of microfiche, a legal document, is then sent to the state archives. In IT, digital storage occurs on four primary platforms: electronic database (on premises); electronic file system (on premises); SharePoint (on premises); and externally hosted data sys- tems (off premises). Long-term storage (and archiving) of IDOT publications is handled by transmitting elec- tronic copies of the material to the ISL for storage. Standards used for archiving information include the requirement to deposit each department publication with the PRC Library. This is in support of the ISL Act (15 ILCS 320) and the General Assembly Organization Act (25 ILCS 5)

Part 2—Studies of Leading Practices 59 and in support of providing employees with easy access to documents as needed. Additional long-term storage electronically is provided through the submission of electronic documents to the NTL. The PRC Library has begun to identify and digitally preserve (digital imaging) historically significant hardcopy publications and documents in the collection. Once imaging is completed, these digital documents will be submitted to the ISL’s electronic digital archives http://www. idaillinois.org/cdm/ Distribution of IDOT research reports is coordinated by the IDOT Research unit (Bureau of Materials and Physical Research), working closely with the ICT to ensure capture and access of IDOT-produced research reports for all requestors. The widespread access to these reports is provided through the TRID Database. The TRID Database does not store docu- ments but provides links to documents, which are typically stored elsewhere, in this case, electronically on the ICT website and in hard copy at the PRC Library and the research unit and NTL. Multiple methods are available for distributing/disseminating publications in the PRC Library. Two examples of how the library uses tools to share information and make it usable include the internal intranet site hosted by the PRC Library on a SharePoint platform and the monthly e-newsletter, which the library disseminates to all IDOT employees directly via email. The e-newsletter includes a list of recent library acquisitions, features information on available transportation-related webinars, offers explanations of available vendor databases and agen- cywide membership benefits, and describes services and resources available through the ISL to IDOT employees. The IDOT PRC Library provides enterprisewide access to various electronic databases and sub- scriptions, including AASHTO standards, ACI Manual of Concrete Practice, AISC Steel Solutions Center, AREMA Manual, ASCE Research Library and Civil Engineering Database, ASCE Online Journals (all ASCE journal titles online – 33 titles plus Proceedings), ASTM Standards, Chicago Manual of Style, and Illinois Land Sales Bulletin. The library also allows patrons to sign up for table of contents alerts (provided electronically via email) for journals or subscriptions of interest. This facilitates dissemination of very digest- ible briefs, allowing for further investigation if interested. For IT, datamart is a preferred means of data dissemination because it allows users to specify what they want. Data is diverse and information is delivered in a wide variety of forms. Challenges For IDOT, certain challenges are associated with managing information within an organi- zation, including (1) lack of standard business processes for collection/storage/dissemination of data and information across the organization, (2) lack of resources or technology tools to facilitate better information management, and (3) the existence of disparate sources of data/ information, which may reside in silo information systems. Often these systems were developed to address a particular need in a specific business area, without concern that the system may duplicate data collection of specific types of data to support the system. At IDOT, one challenge is the absence of an overarching information management policy. Without an agencywide strategy tying together all the elements of information management, individual approaches to information and/or data by various functional groups in the organi- zation tend to exist. Specific challenges for the PRC Library include failure by the producers of IDOT publications to submit documents to the library per the required document deposit program as governed

60 Improving Management of Transportation Information by the State Library Act and General Assembly Organization Act. Compliance stands at less than an estimated 50% of total publications. An additional challenge is the posting of agency policies and procedures on the intranet site only, which is not accessible outside of IDOT. Often other DOTs will ask to view IDOT policy when they are revising or creating policy for their own agencies. These policies must be accessed, saved, and provided individually by request—a time-consuming process. If these policies were available publicly, or in a secured, shared site for all DOTs, searching and using this information would be easier and less onerous for the requestor and the provider. Constrained resources also pose challenges. The research unit does not have a records retention policy because of staffing constraints. No employees on site have the background and skill to manage photographs and graphics. Each photograph needs to be scanned, which is time consuming. A steering committee is in the final phases of setting digital imaging policy. Given these constraints, the research unit hired the University of Illinois to administer the research program. Prior to 2006, most records were kept in email files. More recently, an intern created an access database and populated it with pieces of information basics about the research, which was an improvement. Now, the University of Illinois is developing a web-based database of projects and everything associated with projects is tied to a record. Another challenge, particularly for IT, is the rapid pace of technology change. Some IT stra- tegic initiatives are to modernize systems and remain current. This challenge also arises when trying to bridge the gap between IT (electronic data management) and records management (typically paper copies). The challenge is compounded when considered in light of identifying correct pieces of data relevant to decision makers. Next Steps Ongoing IDOT initiatives to address these challenges and advance the state of the practice for information management include • A metadata working group; • A pilot project to test docuware, using letting and as-built plans; • A business process mapping standards working group to define who has to see information, what approval points are needed, when information is declared a record, and so forth. Lessons Learned • Participate in knowledge sharing groups where resources and information are shared among many. The IDOT Library participates in various Library and Information Man- agement professional groups, including the Midwest Transportation Knowledge Network (MTKN) and the Special Libraries Association (SLA), Transportation Division (which provides access to TRANLIB, an active listserv of transportation libraries nationally and internationally). The IDOT Library is a member of the Transportation Library Connec- tivity and Development Pooled Fund Study TPF 5-237—a group of DOT libraries pool- ing federal research funds to collaborate on group projects and share good practices and research. • Always have an elevator speech ready and ensure that upper-level management understands the work and champions information management. Convincing someone to work toward an information management governance policy is a huge step for the agency. • Funding is important—maintaining paper records is expensive. Designation of funds to address electronic file management issues is important in meeting future information man- agement needs.

Part 2—Studies of Leading Practices 61 Case Study: Minnesota DOT (MnDOT) Primary Sources: the Office of Transportation Data and Analysis, Office of Administration, and the Office of Enterprise Technology, commonly referred to as MN.IT Services at MnDOT. Background Starting in 2000, information management became a priority at the agency with MN.IT Services at MnDOT having primary responsibility for this function. To improve management of information and data, MnDOT developed and implemented a DBP in 2011. As part of the DBP development, MnDOT defined a vision and mission for their data and information programs (see Exhibit 2-7) Seven key principles were identified for managing all future MnDOT data and information systems investments: 1. Data will be managed as state assets. 2. Data quality will fit its purpose. 3. Data will be accessible and shared as permitted. 4. Data will include standard metadata. 5. Data definitions will be consistently used. 6. Data management is everybody’s responsibility. 7. Data shall not be duplicated. Additional policies and standards for managing data and information at MnDOT are being developed or revised from existing standards to mature data governance at MnDOT, in accor- dance with these seven guiding principles. The plan focuses on (1) data governance, (2) GIS, and (3) data gaps and needs. The data governance framework used at MnDOT includes oversight by a data governance council (composed of MnDOT’s senior leadership—the division directors). The data gover- nance council provides leadership and strategic direction. Domain stewards provide manage- ment decision making and ensure that strategic directions are implemented. The data subject area stewards are the front-line decisionmakers for data. The ultimate goal is to create a culture where the business understands roles and respon- sibilities for data stewardship, management, accountability, and governance. A business data MnDOT Vision for managing data and information All MnDOT business decisions are supported by reliable data. MnDOT Mission for managing data and information To provide reliable, timely data and information easily accessed, shared for analysis and integrated into MnDOT’s decision-making process. Exhibit 2-7. MnDOT’s vision and mission.

62 Improving Management of Transportation Information catalog, published in September 2012, serves as the system of record for data subject area stew- ardship roles. Specific information regarding strengthening GIS business support and defining a strategic plan for GIS are also provided in the DBP, because MnDOT has identified provision for strategic direction for GIS so as to address business needs for geospatial data as a high priority. Because of the importance of GIS data in department operations, MnDOT has designated a GIS steer- ing team, composed of managers, who have decision-making authority over GIS at MnDOT. This group is responsible for prioritizing investments in GIS technology, establishing an enter- prise framework for GIS, identifying how GIS could and should fit into business processes, and advancing the state of the practice. Good Practices Capture. Data capture at MnDOT occurs through many sources, including the following: 1. Traditional Business Applications (Mobile and Desktop) 2. Remote Sensing (Aerial and Satellite) 3. Global Positioning System (GPS) 4. Mobile Scanning (Light Detection and Ranging (LiDAR)) 5. Automated Vehicle Location (AVL) 6. Sensor (e.g., AADT/RWIS) Each of these sources involves unique technology and processes for the collection and Qual- ity Control (QC) of data. Together, these methods enhance MnDOT’s ability to capture the data necessary to support business needs. The management of data and information at MnDOT was strengthened by the adoption of their DBP in 2011. The DBP and data governance at MnDOT help to establish the principles, standards, policies, procedures, and technology for collecting, processing, and disseminating data and information. Standards for metadata elements were established by the Data Governance Work Team, prior to implementation of Data Governance in 2011. The metadata standards were formally adopted by the Business Information Council in November 2009. The mandatory metadata elements and definitions, identified in Exhibit 2-8 are based on the Dublin Core Metadata Element Set and the Minnesota Recordkeeping Metadata Standard. These elements should be applied at the table level, at a minimum. Ideally, they should be applied at the column level, based on the customer or business need. MnDOT’s approach to enterprise architecture addresses three major business challenges: (1) managing the increasing complexity of information technology systems; (2) delivering busi- ness value from those systems; and (3) planning new IT solutions to meet business needs. To deliver maximum business value, IT must plan and focus its investments on projects and initia- tives aligned with the strategic direction of the business. One of the most critical types of data used to support all business at MnDOT is location data. The department is beginning to develop and implement a new Linear Referencing System (LRS) to support managing location data. The new LRS will identify a few methods by which someone can spatially locate their data. Everyone will then be required to use the defined set of options for locating data. This will streamline and increase the efficiency in the capture and use of this type of data. MnDOT is using business process improvement (e.g., LEAN-Kaizen) in conjunction with technology improvements to ensure sustainable data management practices. LEAN-Kaizen focuses on two components: (1) the LEAN refers to a method that eliminates

Part 2—Studies of Leading Practices 63 waste and (2) Kaizen is a Japanese word that means continuous improvement. LEAN-Kaizen helps organizations get rid of waste and continuously implement good practices.25 MnDOT is moving to SharePoint (and may use parts of the Electronic Document Management (EDM) for their document management system) to manage information by creating internal project and team websites, sharing and managing information, publishing reports for better deci- sion making, collaborating on projects, and applying retention and disposition rules to content. MnDOT incorporates both a data approach and a content approach for managing informa- tion, by using metadata and a business data catalog. The categorization of transportation data supports the organized, methodical management of data systems to assist decision making at MnDOT. The categorization scheme for transporta- tion data used by MnDOT uses the following data domains: finance; human resources; plan- ning, programming and projects; recorded events; spatial; supporting assets; infrastructure; regulatory; business stakeholders and customers. These domains support MnDOT’s strategic objectives of safety, mobility, leadership, innovation, and transparence. The repositories, libraries, and technology tools used at MnDOT provide information across the department to support all business areas. MnDOT stores data and information in the EDMS for standard documents (e.g., Word, PDFs, images), and in Project Wise for Microstation CADD files, to ensure that the data and information can be found. Business records are stored in accor- dance with an approved retention and disposal schedule. MnDOT is revising its records retention 25http://asq.org/training/lean-kaizen-a-simplified-approach-to-process-improvement_KAIZEN.html. Exhibit 2-8. Metadata element schedule. Element De�inition Table Level Column Level Title The name given to the entity. X X Point of Contact The organizational unit that can be contacted with questions regarding the entity or accessing the entity. X Subject The subject or topic of the entity, which is selected from a standard subject list. X Description A written account of the content or purpose of the entity. Accuracy or quality descriptions may also be included. X X Update Frequency A description of how often the record is updated or refreshed. X Date Updated The point or period of time, when the entity was updated. X Format The �ile format or physical form of the entity. X Source The primary source of record from which the described resource originated. X Lineage The history of the entity; how it was created and revised. X Dependencies Other entities, systems, and tables dependent on the entity. X

64 Improving Management of Transportation Information schedule. The principle behind the new approach to records retention is similar to the principle behind domain stewards: organize the understanding of data into logical bundles. Long-term storage (and archiving) of data and information are needed for data, such as travel data. Historical travel data is used for travel demand modeling and for forecasting future trans- portation needs, which guides MnDOT in decision making about investments in the transpor- tation system. The primary standard for archival of information is to keep only what is needed to support analysis functions. Data and information having permanent historical value are transferred to the Minnesota State Archives when business use is complete, in accordance with the retention schedule. One of the most important functions of information management is to ensure that the right information gets to the intended audience on the appropriate device and under the right cir- cumstances. The components of successful dissemination of information include layout/design of the information, how and where the information is published, what types of transformation technologies are used to provide the information in multiple formats, what type of security technology is used to protect critical information or private information from being distrib- uted, and methods and procedures used to distribute the information. These components are discussed further as follows: • Layout/Design. MnDOT is committed to presenting information to users by providing a consistent presentation layer for information products. Common formats are used for infor- mation presented over the web, for reports, and, to a lesser extent, for applications. • Publishing. MnDOT publishes information to users through various technologies with an emphasis on using the web. The information is often consolidated in data warehouses and presented to users as products. The publishing environment can include other applications and published reports. • Transformation Technologies. The primary transformation technologies often include Extract Transform and Load (ETL) processes to change data to information. Recently, some ETL processes have been replaced with web services to present the data in a more interactive and flexible format to meet the needs of applications and individual use. • Security Technology. MnDOT security policies and procedures were implemented and have been evolving since the mid-1990s with the implementation of enterprise anti-virus, firewall- ing private and semi-public networks from publicly accessible networks, web content filtering, and securing physical infrastructure. More recent industry standard technologies have pro- vided automated operating system patching and vulnerability scanning and threat analysis. MnDOT has conducted a study to classify its data, based on the state’s Data Practices Act, and uses secure technologies to protect that data in transit. In addition, MnDOT requires secure authentication to non-public systems, implementing server minimum-security standards, the use of firewalling, and monitoring for compliance to security standards and policies. MnDOT distributes much information through the website; however, searching for infor- mation on this website is not intuitive and additional assistance may be needed from MnDOT staff for locating specific types of data and information. MnDOT also maintains a GIS base map and a spatial data warehouse for purposes of finding/ retrieving location information when needed. Staff are working on a modification to the data warehouse to make it easier to provide data in various formats (e.g., publishing spreadsheets for traffic volume data as well as producing maps). Staff are noticing a significant increase in the number of hits on the website for people using spreadsheets. Staff are also working to develop better marketing tools to tell how data is used within MnDOT. An example would be to explain how planning data is used in the community or to

Part 2—Studies of Leading Practices 65 support a corridor planning story. The story could include information about pavement type, number of crashes, and so forth within a corridor. This will help the DOT and local community determine the best use of funds for improvements in a given corridor. MnDOT is piloting the use of business intelligence (BI) tools from Oracle to facilitate searches for data and information and would like to do a pilot project for locating data on snow and ice operations, bridge, human resources, financial data, and materials used in the Maintenance areas. MnDOT also established an ArcGIS web service for individual business areas to manage their data and has established a Minnesota Duluth flooding emergency preparedness website to provide critical information to the public and first responders during times of flooding. Challenges At MnDOT, there is no single portal method to search for data. The existing website is help- ful for users familiar with what is available on the website and how to navigate it; however, the website is challenging for the casual user to find specific data or information. The costs to collect, manage, and store data versus the business value the data provides is increasingly difficult to quantify. Next Steps Next steps include establishing measureable goals, strengthening the alignment with other initiatives (e.g., Safeguarding MnDOT, and risk management), enterprise architecture, part- nership with others stakeholders (e.g., counties, DNR), and improving staff ’s analytical skills. In addition, implementing recommendations documented in the MnDOT DBP will help support the commitment to manage data and information as department assets: The infrastructure preservation recommendations set the stage for implementing an organi- zational approach to asset management and for addressing critical transportation infrastruc- ture data gaps and needs. Recommendations to improve asset management include developing an asset management framework for MnDOT consistent with FHWA and AASHTO good prac- tices (so as to promote asset management good practices in capital investment, maintenance, and system design); and determining which assets are high-priority candidates for being part of a department asset management system. For transportation assets not currently inventoried or tracked, a way to assess the benefit and ROI for establishing inventories to track age, condition, and other attributes is needed. Traveler safety recommendations cite the need for better data on local road characteristics and more enhanced safety data analysis tools. MnDOT identified enhancing the completeness and accuracy of roadway centerline data as the highest priority for enhancing data for traveler safety. The mobility recommendations identify the need for research and resources to collect potentially new data to address increasing interest in multimodal accessibility, reliability, and person-throughput questions. Recommendations for improving delivery of mobility data include increasing the data and information available on traveler behavior and mode choice and determining the performance metrics, data, and information needed to implement a program- matic multimodal approach for addressing mobility, travel time reliability, and accessibility for all system users. The financial data recommendations address the need for enhanced information on lifecycle costs, ROIs, and data for evaluating service delivery options. Recommendations for improve- ments in delivery of information on financial data include initiating an agencywide effort to define business needs for financial data beyond that being tracked to meet internal financial con- trol obligations, continuing to support the implementation of the Statewide Integrated Financial Tools project, and continuing efforts to improve project cost-estimating practices and processes.

66 Improving Management of Transportation Information BI recommendations highlight the value of departmentwide solutions for improving data availability, integration, and analytical capabilities. Recommendations include establishing a BI Program, establishing a BI Steering Committee, establishing a scorecard with criteria for determining if business data is ready for BI, and rolling out the use of BI in three to four busi- ness areas that have varying complexity of data reporting/analysis needs. Enterprise architecture recommendations provide an opportunity to look at how all informa- tion systems might fit together to reduce data redundancies and create operational efficiencies. Recommendations include completing a comprehensive assessment of MnDOT’s information system architecture, and using the results of the assessment to identify opportunities for improv- ing efficiencies and interoperability between existing and proposed information systems. The data governance recommendations lay out a comprehensive series of steps for clarify- ing data stewardship roles and responsibilities and for setting standards and policies to reduce redundancies and promote data quality and reliability. A recommendation is also made for developing a data catalog and a thorough assessment of departmentwide information system architecture to identify opportunities for integration to reduce redundancies and promote effi- ciencies. Other recommendations include establishing a Data Governance Board to formally adopt data governance principles on behalf of MnDOT and incorporate them into policies, standards and processes; revising existing policies (e.g., stewardship, development, data secu- rity, database recovery, and data retention); and developing additional policies needed to imple- ment data governance at MnDOT. The GIS recommendation sets the stage for business process, data governance, and organiza- tional changes to achieve desired objectives. Recommendations include undertaking a formal assessment of available GIS data and determining what is essential or core data, and where there are gaps and needs; establishing a GIS steering team to guide and direct the significant invest- ment the department has in GIS architecture to support a broader business decision-making purpose than the project-driven architecture currently in place; and creating a GIS Business Support Unit consisting of GIS professionals to help users with the production of maps and analytical needs beyond desktop business support tools. Lessons Learned • Use governance with flexibility. • Integrate governance with other initiatives. This helps the business offices/units to realize how the exercise of good data and information management practices can safeguard the agency against many potential risks, not just those identified by a particular business area. • Use a balanced approach for governance with a bottom-up and top-down approach to help convince business areas of governance needs in support of overall agency strategic needs. • Business offices/units must lead. Business must put resources toward good data management practices and should hold other business areas accountable—data management is not IT’s responsibility. • Focus on data for decisions at all levels. Ensure that data is useful and usable. Remember the purpose of data and for what it is used. • Establish standards that are nimble. • Establish policies that allow for transparency and innovation in information management. • Data management is not the end, it is the means to other ends (e.g., providing information needed by the public, policymakers, and snowplow drivers). • Establishing governance takes time, but, it is worth the effort. • One does not always need more data, just better access, better tools, and better understanding. Data and information are not valuable unless they contribute to quality of life. The data and information managed by the DOT should be used to identify the current and future investment needs for MnDOT’s transportation network. Future improvements to MnDOT’s

Part 2—Studies of Leading Practices 67 transportation system will help to improve the quality of life for citizens by providing a well- maintained, safe traveling environment for the public. Case Study: Mississippi DOT (MDOT) Primary Sources: MDOT staff and MDOT SharePoint documentation. Background Information management, as MDOT calls ECM, became a priority for the agency in 2008. MDOT began looking for a solution to scan, search, and retrieve its hundreds of documents. MDOT was selected to participate in the Microsoft Rapid Development Plan with the beta versions of SharePoint 2010, FAST, and other Microsoft software. The MDOT Chief Informa- tion Officer at that time was the leader of this massive effort. MDOT then decided to invest in the Microsoft Server platform including SharePoint server, Performance Point, and Micro- soft SQL Server to provide enterprise search, content management, and BI capabilities to its 3,500 employees and the public. MDOT does not have a formal group responsible for governance of data and information. However, the MDOT Information Systems Division has standard operating procedures (SOPs) that govern their security, procedures, and processes, as well as how application systems are devel- oped and how information and records are archived. There are state laws for archiving historical information and each office in the DOT has a set of rules/procedures for how long they retain data and documents and how long they are required to make it available on request. They fol- low several state and federal legislative mandates regarding open records requests for data and information. MDOT has a SharePoint Governance Plan that contains policies, roles and responsibilities, and processes to guide, direct, control, and support SharePoint. This governance plan supple- ments MDOT’s Information Systems SOPs with the SOPs being the source to use if there are conflicts. Governance is tightly controlled in areas of substantial public external or internal exposure or potential litigation issues. MDOT developed the MDOT Content Management Library Standards to establish a set of standards for implementing SharePoint Document Management. The standards must be followed by all divisions, District Offices, and Project Offices planning to store content in SharePoint and address the following elements: content types; document library; standard properties; custom properties; security; managed terms; and managed content types. Exception requests to the standards will be reviewed by the Information Systems Division (ISD), SharePoint Governance Team (SGT), and Managed Metadata Service Administrator (MMA). The categorization scheme for most MDOT documents is based on the assigned project number. The project number is the common metadata in most of the stored documents. MDOT uses SharePoint’s Content Type to categorize documents. Each document has its own set of

68 Improving Management of Transportation Information standard and custom properties and must be identified as a specific kind of document type, and, for each document type, a content type must be defined. Information Management is an evolving systematic process at MDOT. Good Practices Capture. MDOT began capturing documents using a product called KnowledgeLake but has since changed capturing tools to Kofax. MDOT captures financial and project data in the Financial Management System, Mainte- nance Management System, Construction Management System, and Equipment Management System. Data is then presented in SharePoint in a centralized project center. Documents are captured with Kofax and presented along with the data in the project center. MDOT follows FHWA-defined Federal rules and guidelines for collection of data. Data cap- ture requirements are generally defined on a project-by-project basis. MDOT is moving from keeping paper documents to electronic storage, with several offices migrating from paper to electronic documents. SharePoint is used as the primary document management system to capture and store certain documents in MDOT. However, other systems in specific offices are used to capture and store documents (e.g., roadway design documents and as-built plans). Administer. The SharePoint environments are managed by two teams, a strategy team and a tactical team. The strategy team provides strategic insight and direction for the portal and is made up of a balance between IT and business, and central versus district. The tactical team sup- ports the directives of the strategy team and consists of three sub-teams—operations, support, and development. MDOT uses a SharePoint Governance Plan to define the roles, responsibilities and tasks, permissions, and required skills for each team member. Initial project/team collaboration is done on a SharePoint collaboration site. As projects are completed, the data on the collaboration site is moved to a SharePoint document site. This is the repository for official content. Metalogix StoragePoint is the leading remote binary large object (BLOB) storage and archive solution for SharePoint. StoragePoint quickly installs natively into SharePoint Central Administration, enabling MDOT to manage SharePoint BLOBs transparently as well as capture and consolidate file share content from a single SharePoint interface. A SharePoint document library is a special list used to store documents and is based on a content type labeled as document. When a new document library is created, several columns are immediately available such as Title, Author, and Date. A document library can easily be configured to support multiple content types and allow storage of multiple types of documents in a single library. Within SharePoint, content can be classified as either structured (based on a specialized form or SOP often in the form of a report) or unstructured (e.g., generic content such as let- ters or email, typically does not conform to a specific format). Content contains metadata and is stored in a document library defined to support the metadata using list or library columns. The content of the document to be stored is reviewed and, where possible, categorized into distinct document types (note—it is easy to confuse a true document type from a document sub-type which can usually be handled by an additional Type field). Each defined document type should be determined and identify what metadata (properties) should be associated with each document type, being sure to include the standard properties. MDOT has a standard operating procedure for document retention. Based on the document retention guidelines, the data is managed accordingly.

Part 2—Studies of Leading Practices 69 MDOT is moving away from keeping paper documents and moving to electronic storage. SharePoint is used as the primary document management system to store certain documents in MDOT. However, other systems in specific offices are used to store documents (e.g., roadway design documents and as-built plans). In-house written document storage systems are used to store and retrieve documents. There is also a legacy system called ApplicationXtender that has 200+ applications written to index, store, and retrieve documents. Eventually, the plan is to merge all documents electronically into the SharePoint system. In SharePoint, content can be classified as Collaborative or Historical in nature.26 A collabora- tive document is one that has not been finalized or met final approval, or is being worked on by a group or team. A document that has met final approval and may not be further modified is classified as historical (e.g., legal documents). MDOT SharePoint has two major portals available for document management: (1) the Collaboration Portal (MDOTCOLLAB), and (2) the Docu- ment Center (MDOTDOCS). MDOTCOLLAB is used as the starting point for collaborative documents for MDOT organi- zations and teams. Sites have been provided for each division and the URL is based on a three- character representation of the division (e.g., the Collaboration Portal for information systems is http://mdotcollab/divisions/isd). MDOTDOCS is used to store historical documents. Each division is provided with a site and the URL is based on a three-character representation of the division according to the Organi- zational Structure of MDOT. This is a public area for storing documents or archival in place of paper documents. MDOT maintains three other SharePoint portals (web applications): • http://mdotportal – MDOT’s public intranet containing information useful to MDOT as a whole and typically read-only for employees. • http://mymdot – The MySite deployment and online directory contain employee informa- tion and space for an individual’s documents. • http://sp.gomdot.com – MDOT’s public Internet site. Exhibit 2-9 presents MDOT’s SharePoint Governance Model. Storage of information is also managed via quota plans, allowed file types, maximum file sizes, and deletion and backup/restore times. Exhibit 2-10 presents this information for col- laboration and WCM. State laws are in place for archiving historical information. In addition, each office in MDOT has a set of rules/procedures for how long they retain data and documents and how long they are required to make information available on request. Retention policies are enforced in the Document Center portal in SharePoint. MDOT’s data classification and retention policy is as follows: MDOT will establish and maintain systems and guidelines for the retention of electronic data and metadata, especially electronic correspondence that balance legal and operational requirements with the need for privacy. Data Classification. Data classification provides a high-level guideline for understanding and managing data and information in regard to their level of confidentiality and sensitivity. Classification of data is critical in defining and implementing the correct level of protection for MDOT information. Such classifications are established for the secure generation, collection, 26Phillip C. Warren. MDOT Content Management Library Standards – Requirements and Standards. Mississippi Department of Transportation, January 1, 2010.

70 Improving Management of Transportation Information access, storage, maintenance, transmission, archiving, and disposal of data. MDOT categories of data include financial, construction, contract, traffic, and email. This data is classified as follows: • Financial Data – Limited access which applies to conditions and limitations of its access • Construction Data – Public access which applies to no limitations of its access • Contract Data – Public access which applies to no limitations of its access • Traffic Data – Public access which applies to no limitations of its access Retained Electronic Data (hereafter, Electronic Data). Any and all information, in what- ever format, collected and/or stored by MDOT. This includes, but is not limited to, financial, construction, and MDOT user information. This could include database records, web pages, and Source: SharePoint Governance Plan. Mississippi DOT. July 26, 2010. Exhibit 2-9. Governance model. Exhibit 2-10. Storage management. Storage Type Quota Plans Allowed File Types Max File Size Sites Deleted Backup / Restore Collaboration 1GB, 5GB, 10GB PDF, Word, Excel, PowerPoint, SilverLight, Windows Media Video 500 MB On request by Owner, after 90 days of inactivity, unless otherwise agreed On request by Site Owner – any 15-minute interval in previous 10 days Web Content Management 1GB, 5GB, 10GB PDF, Word, Excel, PowerPoint, SilverLight, Windows Media Video 100 MB On request by Site Owner On request by Site Owner – any 15-minute interval in previous 10 days Source: Mississippi Department of Transportation, September 2012.

Part 2—Studies of Leading Practices 71 emails to name a few. It does not include information not stored, for example, live phone calls. Retained electronic data is sometimes referred to as Content. Metadata. This is information about content, not content itself. For example, records relat- ing to GIS information. That is, not the content of GIS, but only the information about GIS, such as coordinates. Another example, records relating to web site visits. That is, not the content of those web sites, but data related to the access, when it took place, what Internet addresses were involved, etc. Purpose. The Electronic Data Retention Policy is intended to help employees determine what information sent, received, or gathered and its associated metadata, if any, should be, or is being, retained and for how long. All users should familiarize themselves with the retention areas that follow this introduction. This policy is not intended to cover operational retention that occurs through backup and/ or mirroring of systems. That form of retention is an incidental byproduct of disaster prepared- ness and is not intended to function as a substitute, in any way, for required retention or data shredding. Information Systems will not attempt to recover data, files or other information from backups or mirrors unless required to do so by law or the MDOT administration. Likewise the purging of email put in electronic trash bins is an operational matter, not a retention issue. This policy is not intended to address retention of data in systems not operated directly by MDOT ISD and not under the control of MDOT ISD. This policy does apply to systems and services operated by MDOT divisions outside of ISD. It also applies to the retention of data where MDOT ISD has control in outsourced situations. The retention policies for data in the Financial Management Division are determined by the Financial Management Division. However, in no event shall the retention in those systems be less than this policy stipulates. Categories of Data and Corresponding Retention Periods. All of MDOT’s Electronic Data is categorized, each with distinct retention guidelines: • Email Correspondence (1 year) • Files saved on MDOT’s SAN (Storage Area Network) device (1 year) • Web sites visited (30 calendar days) • Quarantined Spam (10 calendar days) • Helpdesk tickets (2 years) • MDOT Executives, Division Directors, District Engineers (Hard Drives backed up weekly) • Financial Data (no expiration) • Construction Data (no expiration) • Contract Data (no expiration) • Traffic Data (not retained) MDOT started with a Google application for supporting searches and they now use Micro- soft Search and Microsoft FAST search for searching the SharePoint archive. Searches are also done using ApplicationXtender. MDOT is migrating documents from ApplicationXtender to SharePoint, using Knowledge Lake for the migration. Retrieval of most documents is done using SharePoint, which supports comprehensive searches. Keywords are required when contents are stored in SharePoint to ensure that trans- portation information is findable and accessible. Exhibit 2-11 presents a sample project search screen and Exhibit 2-12 shows a search page for environmental documents.

72 Improving Management of Transportation Information With respect to GIS information, MDOT is trying to move away from using static maps and instead present online interactive versions of their maps. They are using GPS coordinates from their databases to locate traffic counters and traffic segments and to display these items on Google maps. MDOT is experimenting with several options for developing interactive map functions (including Google apps, and ESRI ArcGIS server and Intergraph Web Map). MDOT primarily uses Intergraph for data development projects, but also uses ESRI tools for desktop applications to support hydraulic or soil analysis. Source: Mississippi Department of Transportation, September 2012. Exhibit 2-11. MDOT project center.

Part 2—Studies of Leading Practices 73 Given that one of MDOT’s goals is to enable enterprise search to allow easy access to infor- mation, it is important to ensure that only those results the current user is authorized to see are returned. The SharePoint security model provides security at many levels. SharePoint provides support for a lightweight directory access protocol (LDAP) allowing integration with Exchange Server and Active Directory (AD). During security assignment, the user may use the Global Address List to locate and select AD Users, AD Groups, or SharePoint Groups. Group permis- sions are based on the default permission levels: full control, design, contribute, read, limited access, and view only. To aid in security administration, the SharePoint security model provides Source: Mississippi Department of Transportation, September 2012. Exhibit 2-12. Environmental document center search screen.

74 Improving Management of Transportation Information inheritance by default. Current site-level security permissions are applied to the list when a new list is created. It can also be configured to no longer inherit from the parent. Security can be assigned at the site collection, site, list, and item levels. Challenges Challenges associated with the implementation of SharePoint included the requirement that the entire system implement at one time. It would have been preferable to prioritize implementation of the system, by implementing higher priority components first and others later. Other challenges included the agency’s adoption of digitizing and sharing their documents. Digital signatures are another hurdle that MDOT is trying to overcome so as to electronically sign and route documents. Next Steps MDOT will continue the current course and schedule to capture paper documents and pro- cesses and move to digital storage and retrieval of all MDOT documents. In the governance plan, Information Services identified the following three key areas for future development: extranet collaboration, mobile worker, and BI. It is the responsibility of the IS Project team to seek oppor- tunities to improve business processes, align activities with the goals of the business, identify possible synergies between divisions and departments, and reduce inefficiencies and duplication. Lessons Learned Information management will be ongoing and may never be fully complete. Using a more agile project management method is more beneficial than the standard project management method. One must be able to adapt and produce solutions that best fit the agency. It is also important to work at a manageable pace when working with the agency’s end users and business owners. Sources 1. Jones, Denise. Mississippi Department of Transportation. 2. SharePoint Architecture Guide. Mississippi Department of Transportation. September 21, 2009. 3. Ken Slay, Denise Jones, Mario Fulan, and Daniel Root. SharePoint Governance Plan. Missis- sippi Department of Transportation. July 26, 2010. 4. Warren, Phillip C. MDOT Content Management Library Standards – Requirements and Stan- dards. Mississippi Department of Transportation. January 1, 2010. Case Study: Virginia DOT (VDOT) Background Although various information services have been in existence and available to staff for decades, information management became a priority at the agency starting in 2003. The primary respon- sibility for this function resides with the KM office. To improve management of information and data, VDOT established a Business Governance Board in 2011 to provide policies and procedures for the use of the intranet. This governance board makes all decisions regarding training, SOP,

Part 2—Studies of Leading Practices 75 communications, requested functionality, and upgrades. The chair of the governance board (also the KM Officer) serves on the advisory board for SharePoint 2010 (the platform on which the intranet is built). Examples of decisions made by the governance board are as follows: 1. All current corporate documents (e.g., policies, procedures, manuals, and reports) will be stored in one place with required metadata. 2. Prior versions of corporate documents will be moved to an archive (read-only and search- able) when a new version is uploaded. 3. Reports are used to alert appropriate staff if the rule regarding linking to documents (in lieu of copying and reposting documents) is not being followed. The Corporate Document Metadata is available on VDOT’s intranet referred to as Inside VDOT. VDOT has also developed a taxonomy with descriptions for Construction Project Meta- data. This effort began in February 2010 as a pilot project with a team of stakeholders from the districts, including construction engineers, who helped to design the intranet site and helped to refine the metadata for construction projects. The success of the Construction Projects site has attracted other business areas, such as Maintenance and Operations, to develop similar sites for their areas. Performance measures are useful for tracking how well specific programs are performing with respect to pre-defined objectives, measured by a set of standards, known as metrics. One of the metrics used to track how well VDOT is doing with respect to information manage- ment pertains to an assessment of the ROI for implementation of information systems and/or improvements in business processes. For example, metrics indicate that the implementation of the Project Record Keeping System (PRKS) has a conservative ROI of about $500,000 (based on a 1 hour/week savings per inspector). In addition, resource sharing across districts in the right-of-way and utilities function eliminates the need to hire consultants with a conservative ROI of $1.4 million cost avoidance. Good Practices Capture. VDOT relies on the partnership between the district and division offices to cap- ture information about ongoing and proposed projects in those offices. This information is posted to the intranet by the various offices. A workspace is assigned to the offices (usable with permission only) to develop and post documents. All minor versions of the documents are kept in the workspace with major versions published to the corporate document center. The intranet is the primary tool used to aid in the capture of information and data. Administer. VDOT created a Knowledge Management Office in 2003 dedicated to shar- ing and retaining critical organizational knowledge and managing transportation informa- tion throughout the department. VDOT has also designated staff from each district to serve as content managers for maintaining information in SharePoint about specific programs in their districts. In support of sharing knowledge and information needed for transportation-related business functions, VDOT also uses what are referred to as communities of practice (COPs). The COPs are critical in creating networks and sharing knowledge, which often results in develop- ment of new tools and also changes and improvements in business and workflow processes. As an example, the Construction Quality Managers COP helps to address the critical need for well- trained experienced inspectors and for QC in the field. VDOT also uses a tool referred to as Knowledge Mapping to help identify areas of need for succession planning and to build networks to support succession planning. Indexing and categorization are also used by the VDOT research library in the online catalog and by the KM office to organize information on the intranet so that it is retrievable. The index

76 Improving Management of Transportation Information for the intranet is a metadata set developed by the business advisors for use in the corporate doc- ument center. One example of a specialized metadata set is for construction project team sites. The construction project team sites include the following metadata: Name – filename of document; Title; Construction Document Descriptor (Contract Administration, Contractor Survey, Roadway, Structure and Bridge, etc.); District; UPC # (the UPC number for the proj- ect); and Route # (the route number for the project). One of the successful tools used in other DOTs for managing information and data is the use of a DBP. DBPs traditionally provide guidance, policies, procedures, and standards for the collection, use, and dissemination of data and information for an organization. VDOT has implemented a DBP for the System Operations (SO) Directorate to provide a framework for making decisions about what data to acquire, how to get it, and how to make sure it is providing value commensurate with its cost (VDOT SO Data Business Plan, June 2008). Specific information addressed in a DBP often includes the standards for the use of metadata within the organization. Metadata is used to determine what data and information is needed to respond to inquiries and ad hoc requests for transportation data and information. At VDOT, a view of the metadata, which is usually stored in SharePoint, helps to ensure that the right infor- mation is provided to the right audience. The use of taxonomies (or classification/grouping of information) also contributes to more effective management of transportation information. VDOT has a taxonomy established in their KM system that helps in the effective access and distribution of information. VDOT uses Microsoft Office SharePoint 2010 as its primary storage medium and KM system to retain critical corporate knowledge and information and to make this information available to staff across the agency in support of daily business operations. Library collections and services are also used to provide information to patrons, both inter- nal and external to VDOT, although internal customers are the primary focus. The library hosts an online catalog accessible both within and outside of VDOT. In addition, the library provides access to several information resources for business and engineering functions with electronic full-text accessible across the agency; however, because of licensing restrictions, those resources can only be made accessible to VDOT employees. Several types of information management processes are used to retain and preserve critical corporate knowledge at VDOT, including collaboration, categorization, WCM, records man- agement, workflow/business process management, and document management. Each process is described in the paragraphs below. Collaboration. Managing transportation information at VDOT relies on collaborative efforts across several offices, including the Office of Knowledge Management, the VDOT research library, the Administrative Services Office, the Communications Department (previously Public Affairs), and all other business offices at VDOT (including the divisions and districts). Each office plays a vital role in providing data and information for assimilation and distribution of transportation information to support VDOT business operations and requests from external customers (e.g., the governor’s office, legislature, local governments, and the public). Categorization. The categorization scheme for transportation data used by VDOT is a result of the use of SharePoint 2010 as their KM system. VDOT considered using the TRT, which has a total of 9,425 terms and for which the primary purpose was as a common indexing language for transportation research for indexing records in the TRID Database, which covers all modes of transportation and all disciplines. However, considering its specificity, scope, and scale, the TRT is not a perfect fit for a DOT SharePoint portal and does not translate well for VDOT’s business

Part 2—Studies of Leading Practices 77 purposes. Therefore, VDOT developed a taxonomy for classifying and grouping information. Even though a taxonomy template is provided with SharePoint, VDOT developed a specific tax- onomy for use with the agency’s KM system. This taxonomy, described in the agency’s Corporate Document Metadata, includes the following types of information: Name (i.e., filename of docu- ment); Title; Document Descriptor (e.g., Contract, Budget, Facilities, and Form); Document Types (e.g., Vital Record); Document Owner; Date Approved; Date to be Reviewed; Division; District; Region; and Enterprise Keywords. (Keywords entered by the user enhance search and filtering and metadata consistency and reuse.) Web Content Management. Web content management is a vital component supporting the interface between VDOT and the general public. The web section of the Communications Department, which is responsible for the web, has a staff of three people (a web content manager, webmaster, and web-technician) who maintain the department’s website and content. In addi- tion, other staff in remote offices maintain the web pages for nine divisions. District staff may be granted limited access to handle their parts of the web content. The responsibilities of the web content manager include overseeing what is published on the Internet and determining who is the intended audience of the web content. The goal is to write the content in the Associated Press (AP) style and the style established by VDOT to make the content as easy to understand as possible. The intended audience includes the news media, the public, and elected and appointed officials. Records Management. The Library of Virginia oversees all records management of VDOT as a member of the Records Oversight Committee (ROC). Within VDOT, the Records Manage- ment function is performed by the Administrative Services Office, in coordination with 55 other Records Coordinators in the divisions and districts. The records analysts in the Administrative Services Office coordinate with these 55 personnel as well as the Library of Virginia on the archive of records on behalf of VDOT. The definition of records includes any and all types of records (e.g., Road design plans; Con- tracts; Project documents; X-rays of bridge wells; and Other types [classified as records]). Approximately 70-80% of these records are still on paper and include C- and D-size plans and x-ray films. These records are housed in the VDOT divisions and districts and may include information on databases and on servers. Audit reports (in MS Word format) are also kept in a shared folder and Records Management staff has access to shared drives and network drives to manage the records. There are also databases used to manage the legal documents. If districts or divisions cannot locate records (e.g., Right-of-Way, Maintenance, or Con- struction records), records management staff in the Administrative Services Office can access the Inventory and Storage database to determine if records are stored off site. The individual records are managed using hand-held scanners and bar-coding devices for every publication. As records are boxed up the box is assigned a bar-code number which is then entered into the Inventory and Storage database and can be subsequently located as needed. Metadata is also entered into the database. An electronic form is used to check records in and out in accordance with established work- flow processes. InfoPath 2003 is used for the check-in/check-out process. Coordination will continue between VDOT offices as the department prepares to migrate to SharePoint as its primary enterprise records management system. Workflow/Business Process Management. VDOT uses SharePoint 2010 to support and enhance the management of workflow and business processes by including a section in SharePoint

78 Improving Management of Transportation Information containing information about lessons learned from previous projects. These lessons learned pro- vide helpful guidance to staff in managing current projects. Document Management. VDOT uses SharePoint 2010 as its enterprise document manage- ment system. This system provides a quick way for all VDOT staff to search several different types of internal and external content simultaneously. This includes searches on VDOT docu- ments, policy, forms, and people libraries. The VDOT Library’s online catalog and subscription databases help users find research reports, books, articles, and standards from transportation publishers such as TRB, ASCE, ASTM, AASHTO, ITE, other DOTs, and University Transporta- tion Centers, as well as overseas publishers and state and Federal agencies in the United States (e.g., U.S. DOT and FHWA). The VDOT website is also used for storing manuals, forms, and so forth for external users. VDOT Research Library. Since 1954, the VDOT Research Library has collected, organized, preserved, and provided access to published documents relevant to VDOT patrons. By progress- ing from maintaining printed versions of materials to providing electronic versions as well for many documents, the library has expanded collections beyond the limitations of its size and budget and still found time to provide various modern information services. This was accom- plished while taking into consideration the changing expectations of patrons (considering what people do, where they do it from—both physical location and computing platform—what types of information they need, and in what formats). This includes leasing agencywide access to commercially available databases that contain full-text online technical reports, e-journal con- tent, and e-books, and then targeting this information for VDOT’s library patrons. The library acts less as a gatekeeper to information and more as a facilitator by finding out what types of information are needed most and then identifying which vendors can provide databases with links to the necessary information in ways consistent with VDOT IT security and commercial authentication requirements. VDOT uses a federated search tool called VDOT OneSearch as a single search engine across 15 to 20 databases so that the user can perform searches from a single screen and retrieve rel- evant results from all databases on that screen. The library has been proactive in responding to the shift in access versus ownership and in recognizing the barriers to access of physical versus virtual collections. For example, in fiscal year 2012, for every book checked out of the library’s physical location (including those shipped), VDOT patrons accessed 16 items from their desk- tops through self-service online access. Formats for online material included HTML, PDF, MP3 (audio), and FLV (audio/video). In addition to collections, the library also provides various information services to VDOT patrons including interlibrary loans, scanning and delivering documents from hard copy to digital format (document delivery), literature search and synthesis (reference and research ser- vices), and acquisitions/collection development to support specific developmental objectives of the agency or its divisions. To promote and educate users on resources, the library has used a combination of in-person and virtual techniques. Library staff has conducted site visits to districts and divisions and has presented at the meeting of the Commonwealth Transportation Board. Because of limitations on time and travel, the library has also engaged in synchronous and asynchronous user education sessions, conducting how-to webinars and producing a series of simple instructional videos for demonstrating database usage and promoting library services and collections. To ensure long-term storage and archival of critical content, VDOT is establishing an archive that will allow the agency to preserve critical institutional information. The archive responsi- bility will be part of the records management function at VDOT and will house both archived

Part 2—Studies of Leading Practices 79 corporate documents and team information, which will house all documents and emails per- taining to a specific project. The team site will be open to partners to contribute to directly. Once the project is completed, the site will be archived. VDOT also maintains a historical archive at the Library of Virginia and the VDOT research library collects VDOT publications comprehensively. Standards are in place to determine what types of material are archived, both internally and externally, in what types of formats, and for how long. All internal documents are on perma- nent retention in multiple formats. These include the final published documents, but not draft documents. One of the most important functions of information management is to ensure that the right information gets to the intended audience on the appropriate device and under the right cir- cumstances. The components of successful dissemination of information include layout/design of the information, how and where the information is published, what types of transformation technologies are used to provide the information in multiple formats, what type of security technology is used to protect critical information or private information from being distrib- uted, and methods and procedures used to distribute the information. Layout/Design. The layout and design of information distributed on the VDOT website is determined by the web content manager using state web design guidelines and any department guidelines, as well as Federal Section 508 requirements. Every attempt is made to keep para- graphs to one or two sentences using precise and clear statements. Publishing. Publishing of information on VDOT’s website is managed through the Com- munications department, which works with staff (including cartographers, videographers, and graphic artists) to present information using visualization (e.g., pictures and maps) to make the information more interesting and understandable. The basic guideline is that what- ever is not sensitive or proprietary can be published on the Internet. Published material is generally in a PDF format to facilitate reading of the material using Adobe Reader as the free reader software. Transformation Technologies. The primary format for distribution of information from the web is PDF format. Although much of the original source content may reside as an MS Excel spreadsheet, MS Word document, or MS PowerPoint presentation, these documents are typi- cally converted or transformed into a PDF format before being published on the website. This is because Adobe Reader is more prevalent than Excel Reader which keeps VDOT in compliance with Section 508. Security Technology. VDOT has technology to control access to staff responsible for main- taining the WCM system, records management functions, and the SharePoint system (ECM system). The types of security include controlled access through secure logins. For instance, in the case of the website, the content can be accessed from outside the firewall using a secure login. VDOT also uses Software as a Service (Saas) provided by Crown Peak. The Knowledge Management office routinely reviews the metadata in SharePoint for accu- racy to ensure that the right content gets to the right audience, prior to distribution and dis- semination of information. Procedures and tools also need to be used to ensure that transportation information is retrievable (findable and accessible) in a timely manner. In support of this, VDOT uses FAST search for the intranet. VDOT uses multiple search scopes, including one that will search on selected external sites such as FHWA.

80 Improving Management of Transportation Information The library uses interlibrary loan functions and subscription databases to obtain and distrib- ute documents and information as needed. The documents may be in a hard copy (original or photocopied) or in electronic formats such as PDF or HTML. One of the databases—Business Books Summaries—is like Cliffs Notes and can be used to locate particular titles. Most library use happens on line with the patron engaging in self-service as opposed to having to travel to the library to be served physical objects by library staff. Other types of information, such as datasets, are also available in data files from various VDOT offices. The InsideVDOT intranet is also accessible for locating information for internal users while external users can access the VDOT website. Challenges • Lack of executive-level support for information management, because of lack of understand- ing of the importance of data and information management; • Lack of support from the staff for a governance framework to direct the management of information, because of a lack of understanding of the staff ’s critical role in implementing and supporting governance at the agency; • Lack of IT support for secure access/authentication into online resources, especially those hosted outside the firewall, and policy restrictions on sites that are allowed to be visited, not to mention software that monitors time spent on line, which can have a chilling effect on use; and • The existence of disparate sources of data and information, which may reside in what are referred to as silo information systems. These silo information systems often were developed to address a particular need in a specific business area without regard for whether or not the system might duplicate data collection of specific types of data to support the system. • Challenges associated with information management practices are as follows: – Understanding what VDOT employees want and how to provide it to them; – Responding to the continuous change in work force at VDOT by marketing the available services provided by the VDOT library; – Consistency is needed in identifying policy documents because they may take several forms; – Better metrics are needed to see how much usage is occurring for library holdings; and – Need to get the highest quality publications at the best prices and get this information integrated with the online catalogs to let everyone know what is available. Next Steps • VDOT will continue to evaluate the types of information needed from a high-level perspec- tive and will continue to coordinate deploying this information to the extranet. • VDOT will continue to use InsideVDOT and SharePoint to make publications usable for the customers. • The library will continue in its role as facilitator among the IT Division, publishers of material, vendors, and patrons to identify the types of materials and publications needed. Lessons Learned • Capture lessons learned from previous (project) experiences; • Document information from previous projects and make it available across the agency (such as through the use of a KM system); • Use consistent indexing terms for quickly locating and accessing the repository of lessons learned; and • Do not try to do everything at once. Focus on what services can be provided by each specific office responsible for information management whether it is the library at the DOT, the Knowledge Management office, or the Administrative Services Office.

Part 2—Studies of Leading Practices 81 Case Study: Washington State DOT (WSDOT) Primary Sources: WSDOT staff from the Office of Research and Library Services within the Strategic Planning Division, and the Office of Information Technology. Background WSDOT Library. The WSDOT library serves as a repository of agency publications and pro- vides library services for agency employees and contractors, including reference support, circula- tion, interlibrary loan, and news alerts. Information management exists in many forms, across multiple departments within WSDOT and has been a priority of the agency for more than fifty years, starting with the establishment of a technical library in 1968, the Highways Library as a branch of the Washington State Library (WSL). In 2003, internal management of the library was reassigned from Finance & Administration to the Research Office with staff-level increases and online resources purchased in 2004. The library collection contains more than 40,000 items in mul- tiple formats, and the library provides access to engineering- and transportation-specific database products. The library’s mission and focus is to identify, locate, and obtain information and materi- als for WSDOT employees and contractors statewide. The library is open to the public for in-house use of materials and the public and employees of other state agencies may borrow materials. 27 Summary Enterprise Information Management Initiatives at WSDOT. In 2011, the WSDOT Office of Information Technology prepared a Summary Overview of Enterprise Infor- mation Management Initiatives at WSDOT from 1998 to 2006. As part of this, several papers, reports, and studies were compiled to provide a brief history of information management ini- tiatives. Common issues cited under this summary included duplication of data, the need for more integrated systems, and the information systems being siloed because of the autonomous structure associated with WSDOT’s business units. In 1999, a Data Council committee of WSDOT mid-level managers from diverse business areas organized to address data access and documentation. The purpose of the Data Council is to place accountability for data resources in the hands of departmental employees with a stake in its quality and protection. The Data Council will provide a forum for the Data Stewards, Data Creators, Data Users, and Data Resource Manage- ment to work cooperatively in the best interests of the department.28 The Data Council goals involved providing leadership and guidance to 1. Maximize the consistency of data definitions and values throughout the department, 2. Minimize the cost of collecting and maintaining accurate data within the department, 27History of the Washington State Department of Transportation Library, August 2005. 28Gordon Kennedy. A Summary Overview of Enterprise Information Management Initiatives at WSDOT from 1998 to 2006. WSDOT Office of Information Technology. October 4, 2011.

82 Improving Management of Transportation Information 3. Encourage sharing of accurate and timely data throughout the department, and 4. Promote data as a departmental asset.29 The Data Council was successful in creating a metadata repository and establishing data stewardship as a business function. The Council also helped to acquire legislative funding in 2001 for development of the WSDOT Data Catalog. In August 2005, the Document Management and Workflow Work Group (DMWG) formed and its mission was to Develop a high-level strategic plan and policy to guide future implementation of EDM, workflow, imag- ing, web-based content, and electronic signature technologies for all organizations within WSDOT.30 In late 2005, several reports were prepared assessing several critical WSDOT information systems. The need for consistent, sharable information was a key theme. A challenge to this is that the existing core applications are highly siloed so they are not able to easily or quickly share information. The recommended solution included . . . the implementation of a central project repository that would contain all related information and provides collaboration tools that promote sharing of project information. The recommended solution . . . includes the capture and storage of complete, consistent, sharable infor- mation about WSDOT-owned and related . . . assets.31 In June 2006, a report by the Statewide Program Management Group (SPMG) identified problems with conflicting data and lack of confidence in the integration of data. An outcome was the development of the Project Management Reporting System (PMRS) in 2011, which pro- vides the agency with a broad set of software tools to integrate schedule management, contract management, cost management, earned value management, and electronic content manage- ment to better support management and delivery of capital transportation projects. WSDOT is discussing how to facilitate enterprise information management, including streamlining data collection, cost efficiency, clarifying authoritative sources, and improving findability. Responsibility Many offices and individuals throughout WSDOT are responsible for information manage- ment because it is spread over different divisions and districts. A few of note include • Strategic Planning Division—Office of Research & Library Services and Statewide Traffic & Collision Data/Geographic Roadway Data Office; • Information Technology Division—Data Management Services, which includes Data Resource Management (implementation and operations of databases) and Information Resource Man- agement (design of and reporting from databases); • Communications Division—Internal and public website management; and • Enterprise Risk Management Division—Records Management Office. Business units also maintain independent information resources. Within WSDOT’s Enterprise Risk Management Division, the WSDOT Records Management Office manages the records program; coordinates the safeguarding of records, records inventory, 29Gordon Kennedy. A Summary Overview of Enterprise Information Management Initiatives at WSDOT from 1998 to 2006. WSDOT Office of Information Technology. October 4, 2011. 30WSDOT. Improving Information Accessibility. August 7, 2006. 31Gordon Kennedy. A Summary Overview of Enterprise Information Management Initiatives at WSDOT from 1998 to 2006. WSDOT Office of Information Technology. October 4, 2011.

Part 2—Studies of Leading Practices 83 retention, destruction and release of public records; provides central records services for engi- neering documents; and administers the distribution of plan sheets and office copies of contracts. Good Practices Capture. Each information resource manages the capture of information independently. Requirements around types of information may be perceived differently, although policies and standards apply and guide their capture. These types of information include data, images, docu- ments, and websites. Any data captured or information created is a record of the department. Some of these records are also published. Efforts to capture WSDOT’s information have included • As-builts were scanned into the Records Management Information System (Accordé data- base) by Engineering Records. • The WSDOT library obtains and maintains print monographs and serials and electronic and digital publications. Librarians send email reminders to senior managers requesting they send necessary documents to the library. • Photographs (digital and historic print) are being captured, maintained, and accessed using a wide variety of media and methods by Engineering Records, communications, the Aerial Photography lab, Geotechnical Services, and regional project offices. Administer. Information at WSDOT exists in various forms (e.g., data, images, documents, and other information resources) and formats (e.g., paper, websites, database, and electronic). Records must be secured and access must be controlled by agency procedures. In addition, WSDOT publications must be submitted to the library so that access to these items is available to employees and the public, as appropriate. WSDOT’s IT Manual includes a standard on data management practices (400.01) with prin- ciples for managing data as a departmental asset. The manual includes standard definitions of procedures, roles, and responsibilities. WSDOT Policies, Practices, and Governance. WSDOT has several IT standards and policies associated with information management: • Executive Order E 1037.01, Electronic Information Management, . . . directs employees to protect and secure electronic data and information. Electronic data and information are valuable agency resources whose management is critical to the success of the department’s mission. Electronic data and information are records subject to the same laws and rules as records that are not electronic.32 • WSDOT’s OIT Standard 400.01 Data Management Practices defines management practices for the planning, design, creation, and maintenance of data at WSDOT. This standard com- plies with and supports the Washington State Technology Services Board Policy No. 401-S4, Information Technology Security Standards, Securing Information Technology Assets and employs the principles described in the FHWA’s Asset Management Primer (U.S. DOT 1999) and the Data Management Association’s Guidelines to Implementing Data Resource Man- agement (DAMA, 2001). Data includes records of any kind stored on electronic media under the jurisdiction of WSDOT. • WSDOT’s OIT Standard 400.04 Database Design and Data Modeling defines the methods and techniques to be used in the design of WSDOT computer databases. These standards are intended to meet WSDOT’s information needs, ensure consistent meaning and usability across all business functions, speed application development, reduce maintenance, protect data integrity, and prevent data redundancy. 32WSDOT Executive Order E 1037.01 Electronic Information Management. September 19, 2011.

84 Improving Management of Transportation Information All state agencies within Washington are also required to comply with the Policies & Standards—State Technology Manual. Within this manual the Office of the Chief Informa- tion Officer (OCIO) established standards and policies for the consistent and efficient opera- tion of information technology services throughout state government. WSDOT meets OCIO standards, within staffing and resource requirements. In addition, the WSDOT Traffic Manual, Chapter 11, “Traffic Engineering Records Manage- ment,” contains guidelines for managing traffic engineering records. State agencies are required to submit publications to the WSL. WSDOT used to have an internal policy requiring collection of agency publications but this was removed in an update of the Administrative Manual. A new policy is planned but has not yet been written. Categorization Schemes. The WSDOT Library catalogs information using various approaches. For example, library collection materials, including agency publications, are categorized using Library of Congress subject headings and classified according to the Dewey Decimal System. The library indexes WSDOT research reports on the Internet using TRT terms and author-provided keywords. The report abstracts follow a basic metadata schema also used for describing the agency manuals produced by Publication Services. Similar to other information systems within WSDOT, image collections exist throughout multiple departments and in many forms. Two WSDOT image collections have advanced indexing tools: the aerial photography collection and Stellent image system within the Records Management Division. The 2010 Identification Needs in Developing, Documenting, and Indexing WSDOT Photographs (WA-RD 731.1) research report assesses the current state of archiving and indexing images at the agency and recommends next steps toward developing an agencywide image documentation and access system. WSDOT believes that, in general, taxonomies add some structure and improve information organization and retrieval within the business community they serve, although some could use improvement (e.g., such as adding user warrant, consistent tagging, search index opti- mization, and better relating of categorization schemas). Multiple categorizing schemes are needed because WSDOT is a complex and diverse organization. There are well-managed tax- onomies for subsets of information, but they are not coordinated to look like a unified system to information seekers. An enterprise strategy on taxonomy could be beneficial, with proper indexing. Metadata. Metadata varies by information resource. Geospatial data sets are documented in compliance with the FGDC’s Content Standard for Digital Geospatial Metadata. WSDOT also uses ISO 19115-2003 for geographic information metadata. ISO 11179 has been used by WSDOT for formulating definitions, specifically Part 4, Formulation of Data Definition, and Part 5, Naming and Identification Principles. Technical metadata is maintained for almost all databases supported by the IT Division. Business metadata (e.g., definitions, purpose, and meanings) is maintained by data stewards with assistance from the WSDOT Data Catalog Administrator. WSDOT uses an in-house-designed metadata repository, WSDOT Data Catalog, to provide information about the data WSDOT owns. The WSDOT Data Catalog tells what data is avail- able, where data is located, what it means, who collects the data, who is responsible for the data quality, and how to get access to the data. It was based on the Decision Package Metadata Repository for Cataloging Departmental Data for the 2001–2003 biennium. The data catalog is meant to reveal data as a departmental asset; create a unifying logical structure for all WSDOT metadata as a framework for building a comprehensive inventory of data elements; create a single access point for finding all metadata, including making the best use of existing metadata stores by downloading from them or linking to them; use Data Catalog to classify Data by its

Part 2—Studies of Leading Practices 85 Security Level (e.g., Public, Sensitive Confidential, and Confidential with Special Handling); and be a tool to manage definitions of agency business terms through a stewardship process.33 As of February 2012, the data catalog holds metadata (physical inventory) for • 2,536 databases (including Production, Staging, Development, and Quality Assurance [QA] Environments); • 103.783 Tables (including Temp, Staging, and Views); • 1,510,234 Data Elements (including Development, Testing, Production, and Staging); • All SQL and Mainframe systems managed by WSDOT OIT, Bridge Office, Regions, and Washington State Ferries; and • ArcSDE databases (GIS). In addition, the data catalog has an evolving categorization of business terminology that links to physical data metadata managed through a governance process with business stewards. However, many regional and business systems throughout the department are not managed by OIT and thus not documented in the data catalog (e.g., estimated to be thousands of Excel spreadsheets and hundreds of Access databases). These data resources are not documented, but some may play vital roles in their business areas or regional offices. The WSDOT Data Catalog content is accessible via either Browse or Search. The taxonomy is structured according to Business Topics as shown in Exhibit 2-13. It is based on the func- tions and important topics to WSDOT, with the exception of the Geospatial facet, which is based on ISO 19115 Topic Categories. A user selects a data subject from the Business Topics as illustrated in Exhibit 2-14. The data elements, tables, and databases are surrogate records of the objects (metadata). The schemas for each database are periodically harvested and loaded into the WSDOT Data Catalog, thereby creating the physical metadata inventory. The data catalog search relies on the object name or term search in a definition entry (e.g., busi- ness term, database, table, or data element name). Search uses basic SQL commands for keyword search. It does not have fuzzy logic capability to retrieve like terms or near spellings—this limits obtaining a full list of relevant results. Exhibit 2-15 shows the Data Catalog Advanced Search. WSDOT Data Catalog includes Common or Business Metadata, Shared Business Metadata, Data Subject Metadata, Characteristic Metadata, Characteristic Variation Metadata, Physical Metadata, Shared Physical Metadata, and Database Metadata. In some cases, the terms for the data catalog are based on authoritative sources such as the Manual on Uniform Traffic Control Devices (MUTCD); ANSI Model Minimum Uniform Crash Criteria (MMUCC); ANSI D16.1-1996 Manual on Classification of Motor Vehicle Traffic Acci- dents, ANSI D20-2003: Data Element Dictionary for Traffic Records Systems; and AASHTO and TRB publications. Some terms are based on WSDOT-produced engineering publications and, occasionally, the TRT was used to verify terminology. The Federal Enterprise Architecture Data Reference Manual was also used to help frame terminology. For new software design projects, the Data Catalog Librarian is involved from the beginning of a project to work with the business unit, data modelers, and programmers to determine the best terminology for the database, tables, and attributes within the application. The Librarian also helps the team define the data dictionary with Data Stewards making final approval of the content object’s definition. Terms that may affect more than one business area will be developed or refined through mutual agreement and consensus. Not only is term selection important, but developing the meaning or concept of a content object is critical because it forms the basis of a common vocabulary for communications throughout the department. 33WSDOT, Office of Information Technology. WSDOT Data Catalog FAQ.

86 Improving Management of Transportation Information Source: White Paper: Indexing Metadata Repository Records and Data Sets with the TRT, December 6, 2010. Exhibit 2-13. WSDOT Data Catalog (metadata repository). Exhibit 2-14. WSDOT Data Catalog data subject structure. Source: White Paper: Indexing Metadata RepositoryRecords and Data Sets with the TRT, December 6, 2010.

Part 2—Studies of Leading Practices 87 WSDOT recognizes that the primary intent for the development of a data catalog was addressed but there are opportunities to improve with new tools, streamline the taxonomy, and expand to a broader user community for acquiring needs and requirements. OIT suggested some future improvements including a more efficient connection with the agency’s BI tool (Interactive Report- ing Studio). The intent here is for the WSDOT Data Catalog to be the sole source for definitions for the agency and provide definitions to other applications starting with Oracle EPM Report- ing and Analysis Studio (formerly Hyperion Interactive Reporting Studio). In addition, the data catalog would be improved with navigation allowing access from more than one hierarchy and the use of descriptive metadata such as Dublin Core. File Formats/Naming Conventions/Terminology. WSDOT makes extensive use of Microsoft Office file formats for business documents, although there is no agencywide naming-convention standard. Business systems of longstanding importance to the agency (e.g., financial, personnel, collisions, traffic, and program management) are in mainframe systems using ADABAS and VSAM file formats. Business systems developed over the past 20 years use SQL Server databases. FileMaker Pro databases are used for forms-based and small-office tools. SharePoint is used in many situations for team collaboration. Engineering design drawings are developed in Bentley Microstation format and also maintained as paper prints. Many geospatial databases are stored in ESRI’s geodatabase format. Data resources developed with assistance of the IT Division follow standard naming conven- tions. The SQL Server database follows a published naming convention. Standardized termi- nology and categorization schemes typically exist within specific information resources but not one across the enterprise. WSDOT’s IT Manual 400.04 Database Design and Modeling Standard contains design prac- tices, model format and layout, terminology, and naming conventions. Information resources are stored in various locations throughout the department. Informa- tion storage includes but is not limited to physical documents and electronic resources. Physical documents are stored in • The WSDOT library—The State of Washington requires that state agencies submit two copies of print publications and one copy of electronic publications to the state library (RCW 40.06.030). The Portable Document Format (.pdf) is the preferred format for elec- tronic publications. Copies are also requested for the agency library. In addition to agency publications, the WSDOT library holds print monographs and serials, electronic journals, and digital publications. Source: White Paper: Indexing Metadata Repository Records and Data Sets with the TRT, December 6, 2010. Exhibit 2-15. WSDOT Data Catalog advanced search.

88 Improving Management of Transportation Information • The plans vaults.34 • Digital and historic print photographs are maintained and accessed using a wide variety of media and methods by Engineering Records, communications, the Aerial Photography lab, Geotechnical Services, and regional project offices. • Records are stored in offices until no longer in active use and then stored off site according to their retention schedule. • Individual business units and employees retain copies of paper reports and documents, although there are efforts to migrate content to electronic format and reduce redundant storage. Electronic resources are stored in • The WSDOT Data Warehouse, which stores integrated agencywide digital data about finances, construction, collisions, traffic, and projects. A convenient user tool provides access to these resources. • The GIS Workbench, which provides a user-friendly access point to geospatial data resources. • The WSDOT Data Catalog, which is a comprehensive listing of data resources supported by the IT Division. Electronic documents are stored in • Office-specific network folders. Documents to be shared agencywide are stored on folders accessible across the agency—this appears to all system users as the Corporate W: drive. • A OneDOT SharePoint environment, which also permits data to be stored and shared across the agency. • Plans and as-builts, which are in the Records Management Information System. Project offices are expected to use the Livelink document management system for project information. Access to and preservation of information is determined by state and federal laws and guid- ance pertaining to records, publications, Internet, and data management. Although these prac- tices and disciplines overlap, a systematic and holistic approach to information management across these information sources does not yet exist. The practices help with managing infor- mation but WSDOT recognizes that further alignment of information management strategies would facilitate better management and access to information resources. Records are sent to archives when they no longer need to be accessed on a regular schedule and are retained until their scheduled destruction. If records are identified as having significant historical value, they are preserved in perpetuity. The WSDOT Traffic Manual contains a chapter on Traffic Engineering Records Manage- ment that includes a section on preservation. Public records must be retained for the minimum time period identified in the retention schedule (see Exhibit 2-16), which is based on WSDOT and Secretary of State guidelines. BI environments (the Data Warehouse and GIS Workbench) are actively supported by busi- ness data stewards. IT staff committed to supporting the technologies work actively with data stewards to develop and maintain reports, respond to changing needs, and ensure proper access permissions. WSDOT employs elements of KM to help organize and make findable information that users need, when they need it. The WSDOT library does this by cataloging information resources 34Plans vaults are rooms where design drawings are stored. These are typically in a physically secured room and stored in large, metal flat files. These document collections are vital historical reference materials for engineers when planning new construc- tion or maintenance and repairs. Plans vaults exist in every regional office, the ferry division, and WSDOT headquarters.

Part 2—Studies of Leading Practices 89 into a searchable online catalog in which users can locate relevant and available library materi- als; providing desktop access to selected information and knowledge resources via the WSDOT Library website on the department’s intranet; providing value-added search tools and services such as literature searches and Daily News Clips delivered by email; indexing WSDOT research reports using the TRT; and advising business units on collections maintained by their offices. In terms of specialized information dissemination services, the WSDOT Library creates prod- ucts to meet specific information needs of specific users including WSDOT staff, legislators, state and local government stakeholders, and the public. Email news alerts are sent out daily or weekly to hundreds of subscribers on current topics, including high-occupancy travel (HOT) lanes/congestion pricing, public-private partnerships, and infrastructure stimulus spending. The library intranet site includes toolkits that provide helpful information on subjects, includ- ing the state’s Plain Talk initiative and the annual session of the Washington Legislature. WSDOT distributes geospatial data via a centralized site maintained by the OIT, the WSDOT GeoData Distribution Catalog. This data is used by WSDOT’s transportation partners, govern- ment entities, schools, private businesses, and the general public. The WSDOT GIS community promotes interagency data exchange and resource sharing with the data being available for free. Data is provided in ESRI shapefile, georeferencedjpg, and multiresolution seamless image database (MrSID) formats. WSDOT’s geospatial data is developed in coordination with other state agencies through the Washington Geographic Information Council (http://geography. wa.gov/wagic/). The Statewide Travel & Collision Data Office (STCDO) within the Strategic Planning Divi- sion includes the Collision Data & Analysis Branch, the Travel Data & Analysis Branch, and the Management & Administrative Support Branch. Travel data for state highways, highway Source: WSDOT Trafic Manual M 51-02.06, June 2011. Exhibit 2-16. WSDOT public records retention schedule.

90 Improving Management of Transportation Information performance monitoring, functional classification, and collision data for all roads in Washing- ton State is collected, processed, analyzed, and disseminated by STCDO. State standards require data-sharing agreements for sensitive data distributed outside the agency. The WSDOT Administrative Contracts office works with IT and business staff to develop proper external data-sharing contracts. Internal data sharing is documented with data-sharing agreements in the form of memoranda signed by the data stewards providing and receiving the data. Challenges Information and data management tactics are mostly invisible to transportation profession- als delivering the agency’s core mission. The deliberate management of information and data as enterprise assets has recently become of interest, as some business leaders have experienced the costs of redundant, disorganized, undiscoverable, and poorly constructed data resources. The focus of information management tends to be on databases because there are docu- mented practices and standards. Practices and standards for text, spreadsheets, and image resources are managed by types of information providers (e.g., library, records, Internet) and by unique business units with fewer documented practices and standards. There is lack of common understanding about the meaning of data, information, and knowl- edge. Understanding the distinctions and relationships would facilitate design of a user-based information management strategy and clarify roles and responsibilities. Information literacy is low. This includes understanding about current information stan- dards and practices, quality resources, scope and limitation of information resources, copyright/ intellectual property considerations, costs of information management, security, and the respon- sibilities of individual employees in each of these. Response by senior managers is uneven—many recognize the problem and understand the costs and opportunities involved but the relative priority of developing a solution varies. So long as business units enjoy autonomy in their budgeting and strategies for technology and infor- mation management, they will continue to develop information systems focused on the needs of their organization. This will continue to produce redundant, disorganized, undiscoverable, and/or poorly constructed data resources. Lack of an enterprise information architecture and data governance that ensures compliance with information management standards and modern practices makes it difficult for business units to contribute to an enterprise information resource. Although there is growing interest in enterprise information management, there is no governance structure to guide development or manage implementation. There are no negative consequences for poor information management. It is difficult to assess the actual costs associated with ineffective information management practices and lim- ited findability and access to information. This makes it more difficult to justify improvements to information management. Website management is distributed across business units and practices to preserve web con- tent vary. This has led to loss of web content when sites are removed. Sometimes employees express frustration and concern about search capabilities and inabil- ity to find information resources. This is, in part, because there is inconsistent categoriza- tion across information resources, independent taxonomies are often not linked together, and some of the information sources are not indexed. The metadata schemas for WA-RD reports and manuals was a step in improving some findability, as was the project Search page http:// www.wsdot.wa.gov/projects/search/. Proper indexing, consistent tagging, improved search

Part 2—Studies of Leading Practices 91 engine optimization, and taxonomies that have been vetted by the user community using card sorts, focus groups, and so forth could help improve search results. An enterprise common vocabulary/thesaurus would also help improve information management. Next Steps • In August 2012, an IT board was formed at the direction of the WSDOT Secretary of Trans- portation. The intent of the group, as tentatively understood now, is to be a decisive body backed by policy to discuss IT project prioritization. This might provide enterprise leader- ship on some of the agencywide data management challenges identified herein. • A statewide project to move all time reporting and leave management to an IT solution is now underway. This presents WSDOT, along with other state agencies, the opportunity to reconsider how employees interact with information resources. • A policy on personal devices (bring-your-own-device or BYOD) could help modernize busi- ness processes, including some aspects of information management. • A plan for asset data management is being developed. • Discussions continue about governance and early steps for broader information management. Lessons Learned • Understand the organization’s business needs for data and information. • Communicate to bridge gaps in awareness and understanding among managers of informa- tion resource types and between business units and information management professionals. • Understand that content is different from the technology system that it resides in. The infor- mation content may be used by business units other than the primary creators/users. The content may also be needed decades later. Managing content so that it can address this business need requires attention. Library science has demonstrated successful strategies for managing content across diverse user groups and extended time periods. • We all create and use information daily. We are all responsible for managing our portion of information responsibly. Having clear principles and intent and strategy to carry them out is critical to success. • It is beneficial to have staff resources and knowledge that consider the big picture for infor- mation management. It is also valuable to have staff who can investigate experiences, guid- ance, and standards associated with information management to determine usefulness and usability. • Delay will not improve the situation. Sources 1. Leni Oman, Office of Research and Library Services, Director 2. Kathy Szolomayer, WSDOT Library, WS Head Librarian 3. Gordon Kennedy, OIT, Data Management Services, Information Resources Manager 4. Andy Everett, IT Data Catalog Administrator 5. Endicott-Popovsky, Barbara, and Simon, Michael. Center for Information Assurance and Cybersecurity Information School; University of Washington. Identification Needs in Devel- oping, Documenting, and Indexing WSDOT Photographs. WA-RD 731.1. Washington State Department of Transportation. February 2010. 6. Everett, Andy. White Paper: Indexing Metadata Repository Records and Data Sets with the Transportation Research Thesaurus, December 6, 2010. 7. Federal Geographic Data Committee. Metadata Quick Guide. April 2006. http://www.fgdc. gov/metadata/documents/MetadataQuickGuide.pdf (accessed September 12, 2012) 8. Federal Enterprise Architecture Program. The Data Reference Model, Version 2.0. November 17, 2005. http://www.whitehouse.gov/sites/default/files/omb/assets/egov_docs/DRM_2_0_ Final.pdf (accessed September 12, 2012)

92 Improving Management of Transportation Information 9. History of the Washington State Department of Transportation Library. August 25, 2005. 10. International Organization for Standardization/International Electrotechnical Commission (ISO/IEC) 11179, Information Technology—Metadata registries (MDR). http://metadata- standards.org/11179/ (accessed September 12, 2012) 11. Kennedy, Gordon. A Summary Overview of Enterprise Information Management Initiatives at WSDOT from 1998 to 2006. WSDOT Office of Information Technology. October 4, 2011. 12. Library Collections, Records Management and Archives – WORKING DRAFT. 13. Office of the Chief Information Officer (OCIO). State Technology Manual STANDARD NO. 141.10, Securing Information Technology Assets. April 10, 2012. http://www.ofm. wa.gov/ocio/policies/documents/141.10.pdf (accessed September 12, 2012) 14. WSDOT OIT. WSDOT Data Catalog FAQ. 15. WSDOT. Traffic Manual M 51-02.06. Engineering and Regional Operations. June 2011. http://www.wsdot.wa.gov/publications/manuals/fulltext/M51-02/Chapter11.pdf (accessed September 12, 2012) 16. WSDOT OIT. IT Manual, Standard 400.01 Data Management Practices. June 1, 2011. 17. WSDOT OIT. IT Manual, Standard 400.04 Database Design and Data Modeling. June 6, 2011. 18. WSDOT Executive Order E 1037.01 Electronic Information Management. September 19, 2011. 19. WSDOT Executive Order E 1029.00 Information Technology Asset Management. August 6, 2004 reviewed August 15, 2010. 20. WSDOT. Managing Knowledge at WSDOT – The Information You Need When You Need It. August 2007. http://www.wsdot.wa.gov/NR/rdonlyres/7BEA6684-B483-4B20-8A18- 44ACE7CF7417/0/ManagingKnowledge.pdf (accessed September 12, 2012) 21. WSDOT. Interagency Data Sharing Agreement. 22. WSDOT. Improving Information Accessibility. August 7, 2006. 23. WSDOT. WSDOT Library. September 2010. Example: Alaska Department of Transportation and Public Facilities (ADOT&PF) The ADOT&PF is a good practice example of how the implementation of a DBP helps to improve managing data and information systems. The DBP incorporates policies, standards, methods, and tools, which are needed to ensure that quality data and information are provided to decisionmakers in a timely manner. A framework was developed to demonstrate how the primary and secondary data systems support the Transportation Planning Mission and the overall Mission of the department. Exhibit 2-17 illustrates this relationship. The DBP was developed as a multi-year, multi-phase effort, which began in 2005. Exhibit 2-18 illustrates the phased approach for development of the DBP, including a Data Action Plan dur- ing Phase 3 to guide the implementation of the DBP.

Part 2—Studies of Leading Practices 93 Establishing the Data Action Plan allowed ADOT&PF to focus on the highest priority data and information needs first, as part of its data management program. The Data Action Plan includes recommendations for implementation of technology, processes, and standards. Notable outcomes at the Program Development Division and the department because of the implementation of the DBP include the following: • The document puts into perspective the key role served by the Program Development Division in the overall department operations. If data and information are not pro- duced in a timely and efficient manner, the job of servicing the huge customer base is not well done. • The work flow process diagrams in the DBP are very important because they identify where the division could be more efficient. The Community of Interest (COI) diagrams Exhibit 2-17. ADOT&PF’s mission and core business programs.

94 Improving Management of Transportation Information are extremely important because they illustrate how extensively the customers rely on data provided by the division. The considerations of the needs of the COIs are part of the decision- making process when planning for hardware/software upgrades to improve delivery of data and information to them. • The DBP also helped the staff to more clearly see their role in providing critical data and information to support their business areas. Other direct changes that came out of the DBP are that staff now speaks in terms of the five program areas and addresses them as such. It keeps things in perspective, especially as the divi- sion transitions from the existing Highway Analysis System that is not GIS-based into a GIS environment. The department still has ongoing efforts to establish an enterprise data collection plan and an enterprise policy and procedure for data governance, which will incorporate some recom- mendations from NCHRP Reports 666 and 706. Performance Measures System Requirements (2007) Concept of Operations (2005) Technical Information Sources White Paper (2007) Implement Data Action Plan - IT (2010 -2014) High Level System Design (2007) Performance Measures Architectural Description (2007) Transportation Database Information Technology Infrastructure (2009) Data Sharing and Data Delivery Methods and Tools (2009) Assessing the Value of ADOT&PF Data Programs (2009) Real Time Operational Data (2009) Data Governance, Standards and Knowledge Management (2009) Traffic Data Systems State of the Practice (2009) Develop Real Time System Plan (2010) Implement Data Governance & Knowledge Management Plan Data Action Plan (2009) PHASE 1 PHASE 2 PHASE 3 PHASE 4 Action Item Concept of Ops White Paper System Requirements / Design / Description Develop Traffic Data System Transition Plan (2010) 1 2 3 4 5 6 Develop Crash Data System Transition Plan (2011) Performance Measures Exhibit 2-18. ADOT&PF’s phased DBP development.

Part 2—Studies of Leading Practices 95 Lessons Learned: Use of a DBP at ADOT&PF helps the agency to • Establish goals for data programs, • Assess agency data programs, • Establish a data governance framework, and • Ensure proper use of technology/tools to support data management. Once implemented, a DBP needs to be reviewed regularly (at least annually) and updated to reflect any changes in policies, standards, business processes, technology tools, or organizational realignments that may affect management of data programs and information at the DOT. Establishing COIs (for transportation data programs) and continuing outreach to the COIs helps the DOT to make appropriate decisions on developing/implementing new hardware/ software solutions to support data programs relied on by the user community. Use of a DBP helps everyone in the DOT to understand their role in providing high-quality data and information in a timely and efficient manner for all stakeholders. Example: Arizona DOT (AZDOT) The Arizona Memory Project provides access to the primary sources in Arizona libraries, archives, museums and other cultural institutions. Visitors to the site will find some of the best examples of government documents, photographs, maps, and objects that chronicle Arizona’s past and present. The project enables Arizona cultural institutions to exhibit digital collections online and serves as a central online repository for access to digital content representing the history and culture of Arizona. The Arizona Memory Project was launched in March 2006 and has been granted the Arizona Centennial 2012 legacy project designation by the Arizona Historical Advi- sory Commission. The project includes more than 95 exhibits with more than 67,000 full-text searchable digital objects (but it still only represents a small percentage of materials held by contributing insti- tutions). The project adds, on average, 1.5 collections per month. Collections include photo- graphs, maps, state and federal documents, and oral histories and video representing over 50 Arizona museums, libraries, historical societies, and schools. In 2010, over 10,000 promotional fliers and cards were distributed to partner repositories and the public. Each month, Internet statistics are distributed to partners indicating the number of web visits per collection. Monthly statistics also show that the project receives over 1.2 million unique views per year. The project is an Open Archives Initiative-compliant digital library and is a registered data contributor on OAIster.org. This project is made possible in part by a grant from the U.S.

96 Improving Management of Transportation Information Institute of Museum and Library Services to the Arizona State Library, Archives and Public Records under the provisions of the Library Services and Technology Act. Lessons Learned: • Market the type of information available from the source agency to the widest audience pos- sible, using newsletters, fliers, meetings, and the Internet. • Maintain a central location or web portal as a shared space to store multiple types of infor- mation provided from many sources. A single portal with easy access also enables the quick search and retrieval of information by the user community. • Use WCM software to document statistics on the use of the website (daily, weekly, monthly, annually). This enables the sponsoring agency to make adjustments in the content displayed on the website as needed. In the case of transportation information, this is particularly useful for supporting emergency management operations by providing additional information on evacuation routes or road closures during times of emergencies. All Arizona agencies are required by law to have a records management program in place to systematically link business processes to records in paper or electronic format to • Capture or create (record) the information necessary to support and document the process. • Ensure that the records are accessible (can be located) as long as they are needed. • Retain records as long as they are needed to support the entire process (including reference after the transaction that generated the record is completed). (Those retention periods are defined on a records retention schedule developed specifically for the agency or on a general schedule issued by the Library and Archives Records Management Division.) • Ensure that the records are protected from unauthorized alteration or loss. • Dispose of records properly, either by destruction or transfer to an archives. • Balance the costs of records programs (including the costs of programming sophisticated recordkeeping functionality into an electronic recordkeeping system—ERS) against the value of and risks associated with the records. Laws and regulations often dictate retention periods for specific types of records or place requirements on the content or nature of those records. Agencies must be able to produce all records relevant to litigation. Records that are relevant to pending or current litigation must be preserved, even if the retention period has passed. The Records Management Division offers workshops and consults with government agencies to ensure that the agencies have an effective and efficient records management program in place and operates a center for storing inactive records pending disposal. One of the Division’s most important functions is to work with agencies to develop records retention schedules indicat- ing how long record series must be kept. These retention schedules are located at http://www. azlibrary.gov/records/documents/pdf/all%20-%20management_ocr.pdf. For example, this document states that all paper publications produced by a public body (including brochures, pamphlets, newsletters and other published reports) must be retained for a year after super- seded or obsolete, unless otherwise specified in this retention schedule and after sending two copies to ASLAPR, Law and Research Library, State Documents. Disposition is the final chapter in the records lifecycle, resulting in destruction of the records or their permanent, archival retention. Arizona laws establish a process that determines which records are to be destroyed and how long those records must be kept before destruction, as well as which records must be kept permanently in the state archives. These laws apply to all records, regardless of format. The ability to demonstrate that records were disposed of legally and rou- tinely is a critical defense against charges of spoliation or tampering with evidence in the case of litigation.

Part 2—Studies of Leading Practices 97 Lessons Learned: • Policies regarding preservation of records in paper or electronic format should be instituted by law and/or supplemented with department policies at the DOT. Such laws or department regulations for the proper retention and/or disposal of records are critical in defending the agency against charges of spoliation or tampering with evidence in the case of litigation. • Policies and laws regarding retention/disposal of records should be made available to all DOT employees who may be responsible for managing records, such as reports, documents, photos, digital images, and videos, that may contain information that can be used in litigation or other types of inquiries. As federal or state laws or department policies governing such procedures change, the records retention/disposition procedures used at the DOT should be updated as needed and re-distributed to the appropriate department personnel. Example: Colorado DOT (CDOT) CDOT illustrates how data governance is used to support managing performance data and information at the department. CDOT recognized that several benefits could be derived from the implementation of a DBP and data governance framework for performance data, based on similar experiences at other transportation agencies. These agencies have demonstrated suc- cess in using governance to improve management of their core data programs, which are used to support decision making across the organization. CDOT, therefore, developed such a plan targeted for performance measures in 2011 to improve • Identification of priority performance measures, • Identification of critical data for those measures, • Data quality assurance and control methods, • Interfaces with a data management system (for performance measures), and • Consistency in use and reporting of data and to minimize the burden of reporting. Many steps were involved in developing the data governance plan for CDOT. Step 1: Assessment of CDOT’s Strategic Planning process and its Performance Management (PM) program. This evaluation included identifying existing performance measures and mak- ing recommendation for improved or new performance measures. Step 2: Identify data sources used to support the performance measures. Step 3: Develop a Data Catalog to document the data source for each performance measure, data business owner, stakeholders, applicable data definitions, data formats, and IT & Business SMEs. Documenting this information in a Data Catalog format helps to identify the core data systems and roles and responsibilities of both IT and Business units for managing data pro- grams (in this case, data used for performance measures) Step 4: Evaluate other good practice examples for applicability to CDOT.

98 Improving Management of Transportation Information Step 5: Evaluate state of data governance at CDOT to assess data needs and gaps and develop a data governance plan to address those needs/gaps. Step 6: Recommendations for Data Governance: • Create a formal data governance structure with an Oversight Committee and Data Gover- nance Working Group; • Develop a Data Governance Charter; • Complete a Data Inventory/Assessment; • Develop and adopt a Data Governance Procedure, which includes a framework, glossary of terms, description of roles/responsibilities, and identification of stakeholders and business data owners and IT sources needed to maintain the critical data systems; • Perform a Risk Assessment of Data Programs; and • Implement Ongoing Data Management and Governance at CDOT (develop a Data Gover- nance Manual, formalize and document data standards, develop a communication plan to market the impacts and benefits of data governance to the department). Lessons Learned: • Following a multi-step approach for implementing governance similar to the approach at CDOT ensures that assessments of existing programs are completed and needs and gaps are identified so they can be addressed as part of a DBP using data governance. • As part of the data governance framework, CDOT also identified good practices in the use of technology/tools used to display data and information pertaining to performance measures. • Data governance at CDOT provided enabled them to coordinate a large number of stake- holders through the use of stakeholder groups organized around specific data programs used to support performance measures. Example: Georgia DOT (GDOT) GDOT is a good example of how a Data Governance framework and the use of BI tools help to manage data programs at the DOT successfully. GDOT has an official Data Governance Policy that sets the IT Policy for Data management strategy for GDOT. [ . . . ]. The purpose of GDOT’s data management strategy is to provide data solutions based on standardization and QC for core reference data, which is the fundamental business data in GDOT (GDOT Publications Policies & Procedures, Policy 8075-2-GDOT Data Management Strategy, September, 2009). The IT Director/Chief Information Officer (CIO) is responsible for enforcing this policy. GDOT also has a Data Resource Management Steering Group, composed of Business Unit Data Stewards (BUDS) and the Information Technology Data Executive Administrator – IT Application Administrator (ITAA). This group is empowered to make decisions about changes to information systems at the DOT. They meet about twice a year and are charged with handling any issues presented to them. A flowchart was developed to outline the roles and responsibilities

Part 2—Studies of Leading Practices 99 of those persons/offices responsible for administering data governance at GDOT. This docu- ment defines the roles for several functions including • Business Unit Executive Data Sponsor; • BUDS; • Business Unit Data SME; • GDOT CIO; • Information Technology Data Executive Administrator/ITAA; • Data Management Team Leads; • Database Administrators, Database Developers, and Data Architects; • IT Security Architect; • Data Resource Management Steering Group; and • Data Architecture Work Group (DAWG). All electronic documents are stored in SharePoint, which provides for change control on all documents, security controls, and attaching metadata to documents so that they can be queried and easily searched. Microstation Project Wise is used to centralize and store all new design plan documents not stored in SharePoint. Project Wise will be used to perform change control on these documents and will serve as the data store for the TIF images of design plans. GDOT will also implement intelligent searching, which includes stamping documents with tags and metadata to indicate the content of the document and to make recommendations on where to begin searches for particular information, including photos and videos. Because of GDOT’s adopting an enterprise approach to storing data and information and using GIS tech- nology, software development has been reduced from years to weeks, and the same size staff can now serve six times the number of customers. Lessons Learned: • Implementing Data Governance has helped GDOT establish policies, roles, and responsi- bilities, which can be clearly communicated to all staff responsible for managing data and information at the department. • GDOT is benefiting from the partnering of business units with the IT office through the Data Resource Management Steering Group. This group is empowered to make decisions about changes in information systems at the DOT. This helps ensure that business needs are considered as part of any enhancements to application systems. • Software development time has been drastically reduced because of the use of BI tools within a GIS environment. • Use of BI tools also helps to ensure that critical documents are secured and properly stored in sys- tems such as SharePoint and Project Wise, with metadata and tags to identify the purpose of the documents. This helps ensure that the correct information can be located to respond to requests. Example: Iowa DOT Traditional methods for storing digital photographs, images, or videos within a content repository require users to import the digital files and manually key the index information that

100 Improving Management of Transportation Information correlates to the files to make them available to all other system users via document querying. Typing, reviewing, and editing the required index information can be error prone, time con- suming, and tedious. With the software being applied at Iowa DOT, PixLogic, index information for digital photo- graphs, images, or videos will be indexed automatically, and that index information will be passed to e.Power CME, Iowa DOT’s ERMs. This will allow users to store digital photographs, images, and videos in the repository without having to index files manually. The architecture of the technology being considered will, at a system level, compare images against a visual repository of shapes and colors stored in the image database libraries and automatically analyze the content of the images or video frame by frame. The software enhancement will be able to identify objects such as trucks, cars, and people, and compare the images to the objects on file to determine accuracy of match. Images may then be queried visually based on how similar the objects are to the comparison image provided by the user; matching images are presented to a visual hit list for the user to review. Lessons Learned: • Automated indexing software for cataloging digital photos, images, or videos, such as that used at Iowa DOT, can be implemented at other DOTs to eliminate time-consuming, error- prone manual processes associated with indexing. • Enhancements can also be made to the indexing software as business needs dictate. These include the need to distinguish between images and objects that appear to be trucks, or cars, or pedestrians. • Automated indexing software can also be used to provide easier access to a larger user base seeking photo and video information. The indexing information about photos and videos can be transmitted to other enterprise records management systems to facilitate retrieval of the photos and videos from their original repositories. Example: Kansas DOT (KDOT) KDOT’s realization that social media has become part of the way the government connects to the governed led staff to establish the KTOC, as well as accounts on Twitter, YouTube, Flickr, Facebook, blogging and more, to get messages to Kansans. KDOT staff established a very efficient way for Kansans to access information and communi- cate with the DOT. In 2009 and 2010, KDOT staff established at least ten Twitter accounts that attracted more than 4,200 followers. They posted some 13,500 tweets on specific road condi- tions, live coverage of events, public meetings, legislative debate, safety messages, and so forth. The number of followers and tweets has grown every day. KDOT staff also posted videos (including a video news release) on YouTube that have been viewed thousands of times; hundreds of photographs have been viewed on Flickr; and KDOT is involved in several Facebook pages related to projects or safety.

Part 2—Studies of Leading Practices 101 KDOT staff established KTOC as a forum for transportation discussions between not only KDOT and citizens/stakeholders, but between those in that latter group. They have used KTOC to post important information about project selection, project scoring, and so forth, and have encouraged the members (more than 1,000 ) to participate in the dialog. KTOC also hosts blogs and, during the 2010 Put the Brakes on Fatalities Day campaign, Governor Parkinson and U.S. Transportation Secretary Ray LaHood submitted blogs written specifically for KTOC. Lessons Learned: DOTs can use social media venues such as Twitter, YouTube, Facebook, Flickr, and blogs to provide information to a wider audience interested in transportation-related information. This may include the general public or stakeholders who use the data and information in their daily business operations. Example: Louisiana Department of Transportation and Development (LaDOTD) LaDOTD has developed an Enterprise GIS system that provides access to geospatial infor- mation and analysis across the entire organization. LaDOTD staff has created an environment where GIS is available to all professional staff as a tool to perform work. The system provides both internal and external access to the organization’s information assets, including data, images, maps, and other useful formats. The system can be accessed by any user, regardless of their level of GIS expertise, and online and classroom training is available to advance users up the continuum. The entire user base is supported by a professional IT-GIS staff that is part of, and supported by, the agency’s existing IT infrastructure. To facilitate retrieval, there is a copy of ArcGIS Explorer on everyone’s desktop within LaDOTD. Internal staff can access web services and display any LaDOTD project on a map. They can also view the data associated with the project and download it to a geodatabase. Access is limited to internal users to protect sensitive data. Examples of internal data include project-specific data, videolog data, data to support other internal applications, and utility relocations (i.e., permits on highways). They have also developed several GIS applications available for external use: • The LaDOTD Projects Application, which allows contractors and other users to view where projects are, turn on legislative districts, and select and download data. • Hydrowatch, which displays United States Geological Survey (USGS) stream and U.S. Army Corps of Engineers (COE) river gauges. Users can view a location and hyperlink directly to USGS or U.S. Army COE websites to view detailed stream data. • The Louisiana Emergency Management Plan was also developed based on LaDOTD GIS data. They have developed multiple maps to support emergency management activities during hurricanes, including pre-storm information delivery, GIS weather data on storm

102 Improving Management of Transportation Information progression, road speed impact, a search and rescue operational grid and other maps to support these activities, flooded street elevations, and damage assessment activities. Lessons Learned: • Using BI tools such as GIS applications can provide multiple types of integrated transporta- tion data in a map-based visual format to a wide audience (using a central database reposi- tory for geospatial data). • Use of GIS applications requires that the user community have access to the technology tools (such as ArcView or ArcGIS Explorer) needed to query, retrieve, and analyze the data. For more experienced users, an enterprise GIS system can be used to integrate data layers from other areas in a DOT to support typical DOT operations, including asset management, emergency management, travel monitoring, and safety. Use of GIS also offers the capability to perform a visual QA/QC on data and correct errors as needed. Example: Maine DOT Maine DOT is a good example of how GIS technology is used to manage, access, and share location information. Maine DOT uses location data to extract information from separate databases, because all transportation assets have location as a common attribute. GIS is the primary tool used to manage and access location information. Several years ago, Maine DOT launched a Map Viewer web-GIS application. This system allows all employees to view location-based data and to link data from map features to other existing web applications (on the internal intranet). This enables employees to access the department’s most up-to-date data and documents, including inspection images, inspection reports, capital project information, ROW plans, street view, and traveler information. Map Viewer also can enable employees to use location as a basis for communications, by capturing the current map session (i.e., the current extent, layers, background and any drawings/ labels) and producing an outgoing email message with a URL that would connect anyone else to the same map session (even if they have never used Map Viewer). A link to a customized session of Map Viewer is available to the public at http://www.maine.gov/mdot/mapviewer/. The types of data that can be displayed on the map(s) include Roads (Principal, Minor, and Other Arterials, Major/Urban and Minor Collectors, and Local roads), Highway Features, Maine DOT Projects, Property Information, Survey Control Points, Traveler Information, Water Features, and Boundaries. Map Viewer allows the user to save a map as a PDF file. Maine DOT provides this publication for information only. Reliance on this information is at user risk. It is subject to revision and may be incomplete depending on changing conditions. The department assumes no liability if injuries or damages result from this information. This map is not intended to support emergency dispatch. Road names used on this map may not match official road names.

Part 2—Studies of Leading Practices 103 Example: Nevada DOT (NDOT) EOS.Web Express is the library management system used at NDOT. The library uses EOS. Web express for capturing and searching for information. Created exclusively for organizations that do not require all the functionality of an enterprisewide solution, EOS.Web Express is an economical solution for small to mid-sized special libraries. It is a fully web-based system, built on Microsoft.NET technology and the SQL Server relational database. This system is cost-effective, easy to use, and has industry-leading 24/7/365 live chat client support services. Initial capture of information from publications includes cataloging the documents, whether they are in electronic or hardcopy form. Available documents, prior to 1992, are not yet in elec- tronic form. The library is working to gather information produced by the DOT and to put this information into a single location. The document or report will be cataloged into the library catalog and a web link established from the library’s website to the electronic document. The EOS.Web Express system is used to query the library catalog for available documents and to do Google searches for various reports and information. NDOT retains both electronic and printed copies of reports and information produced by them and TRB, but they do not archive reports from other states. The library also keeps historic information and periodically sends documents over to the State Archive Library for retention. Lessons Learned: • Select an information management technology solution that is right for the agency or orga- nization. For the NDOT library management system, an enterprisewide solution was not needed. NDOT was able to implement a cost-effective solution using EOS.Web that provided the functionality needed for managing the library’s collection of transportation materials. • Use other repositories and archives (outside the sponsoring agency) as available for retention of historically significant or otherwise important documents, reports, maps, photos, and digital images to supplement the collections maintained at the DOT’s library and/or business units. Example: New York State DOT (NYSDOT) NYSDOT is a good example of how a structured governance framework for Information Technology is used to ensure IT investments continue to provide meaningful business value,

104 Improving Management of Transportation Information whether measured in economic value or customer satisfaction. The governance process also helps NYSDOT to maintain a technology environment that is rational, sound, and continu- ously aligned with achieving NYSDOT’s desired business outcomes. Through the IT Gover- nance Policy, transparent, formal, and visible decisions are made regarding the selection and prioritization of IT investments. Furthermore, this Policy helps to ensure that resources are effectively applied to initiatives that are most closely aligned with strategic goals and objectives. IT Governance at NYSDOT is executed by the Executive Council and five Division Councils: • ACR and Legal Council & External Relations, • Engineering Council, • Operations Council, • Policy and Planning Council, and • Administrative Services Council. IT Governance participants include the CIO, the ITD Project Management Office (PMO), ITD Customer Relationship Managers (CRM), Division IT Liaisons, Division Council Repre- sentatives, Regional IT Managers, and the Requestors of IT Investments. NYSDOT also has an IT Strategic Plan, which describes the IT direction for the department for 2008–2012. The Plan includes Mission and Vision statements for the IT Division and docu- ments a technological strategy for achieving the agency’s goals. The Mission and Vision statements, which are typically components of a governance pro- gram read as follows35: ITD Mission Statement: The Information Technology Division provides high-quality IT solutions in a secure, reliable, cost-effective manner to facilitate the delivery of a safe, efficient, balanced, and environmentally sound transportation system for New York. ITD Vision Statement: The Information Technology Division will strive to deliver best prac- tice technology solutions that are recognized by customers and peers. Through our focus on collaboration and teamwork, our employees will receive great satisfaction as they are chal- lenged to deliver high-quality results every day. The NYSDOT IT Strategic Plan also states that the NYSDOT Information Technology Divi- sion Strategic Plan is focused on five key goals as illustrated in Exhibit 2-19. Each goal indicates a direction, desired improvement, or success measure for organizational performance in a key area. Achieving these goals will enable the realization of the organization’s vision. Every goal is supported by initiatives, which represent the ITD’s primary activities. Collectively, these goals and initiatives constitute the strategy for ITD: A plan for moving forward that creates value for NYSDOT.36 Lesson Learned: • Establishing a well-defined governance structure for IT empowers an agency to make appro- priate decisions regarding current and future technology investments in support of agency goals and objectives. • Documenting the governance policies in a format such as a Strategic Plan (e.g., IT Strategic Plan) provides a platform to educate all persons/offices on the expectations and goals and objectives for use of governance within the agency. • Establishing mission and vision statements for governance at the agency helps to set the direction for current and future policies, practices, and standards to be used in managing 35NYSDOT 2008–2012 ITD Strategic Plan, https://www.dot.ny.gov/programs/?repository/2008%20DOT-ITD-STRATEGIC- PLAN.pdf. 36NYSDOT 2008–2012 ITD Strategic Plan.

Part 2—Studies of Leading Practices 105 data programs to support business needs. Mission and vision statements for data programs are separate from agency mission and vision statements. Example: North Carolina DOT (NCDOT) Capture of library materials at NCDOT is referred to as acquisitions. This is the life blood of the library. There are several streams of acquisition of materials as indicated below. The primary acquisition stream is TRB (e.g., Transportation Research Records (TRRs) and transportation specialty publications and NCHRP reports). Another acquisition stream is NCDOT-generated documents and research reports. The library also purchases books as needed. NCDOT’s library is considered a sister library to the state library and has web access to query that catalog and to exchange materials without requiring the exchange to be handled as an interlibrary loan. In short, the NCDOT library capture policies include • Purchasing books as needed and tapping into other streams such as TRR and other national cooperative research reports; • Providing funding support to TRB and NCHRP to obtain information; and • Having query access, via the web, to the state library system. Exhibit 2-19. NYSDOT’s IT division strategic goals.

106 Improving Management of Transportation Information Lessons Learned: • Use all sources available for adding to the collection of transportation-related materials (e.g., reports, documents, maps, photos, digital images, and videos) maintained and managed by the DOT. This includes providing links to external sources of information or purchasing additional collections of materials as needed. The sources of additional information and materials may be provided and/or used by the DOT’s divisions, offices, and user communi- ties, such as metropolitan planning organizations (MPOs), transit authorities, law enforce- ment, and other state and local transportation agencies. • Enter into sharing and exchange of information agreements or arrangements with state and national organizations to obtain copies of transportation-related publications, which will enhance the collection of materials maintained at the DOT. The NCDOT Librarian is responsible for the physical preservation and repair of documents housed in the library, as needed. NCDOT’s library is starting to modernize the existing catalog system into a web-based sys- tem. Staff are working in conjunction with the state library to use the catalog system called Voyager. The NCDOT library also has the traditional library stacks for storing documents, including printed reports from TRB, NCHRP, and AASHTO. The NCDOT library also has an electronic version of all publications available from these organizations. This information is available via the following web link: http://ncdot.org./~research. NCDOT also has a Board of Transportation and the library has been required to keep a hard copy of the proceedings and meeting minutes of the Board, since 1955. This is how the library began at the DOT. The responsibility for maintaining these records of the Board of Transportation is still part of the library’s ongoing duties. The NCDOT library is planning to preserve the documents in an electronic format. Library documents will be stored in SharePoint in the future for internal use, and access to the catalog and electronic documents will be available through the Internet. This will include research reports and documentation related to the business of the Board of Transportation. Lessons Learned: • DOTs should consider using newer available technologies for cataloging and indexing trans- portation information maintained by the libraries at the DOTs. • EDMS such as SharePoint are an option that can be considered for establishing a central repository of information, including documents related to transportation information. Sev- eral DOTs, including North Carolina (future) and Virginia (current) are using or plan to use SharePoint to facilitate management of documents and information. • EDMS facilitate easy querying and access to information through categorization and tax- onomy schemes within the EDMS. Example: Ohio DOT (ODOT) ODOT is a good example of how the use of an Information Technology (IT) Governance framework benefits ODOT in managing data and information across the department. ODOT

Part 2—Studies of Leading Practices 107 established an IT Governance Council, composed of members of executive management (including Division Directors and Deputy Directors). The council is responsible for approving any application development. If a business unit wants to develop a system, the unit must submit a project plan to the council, along with a description of the requirements and how the system relates to the department’s core strategic initiatives. If the project scope changes significantly or if the complexity of the project changes, it must be reviewed by the council for continued approval to proceed. In the case of the Office of Technical Services, the Office Administrator is responsible for approving access to various applications supported by that office, including traffic information systems. Other business units are designated as the responsible office for maintenance of data in their particular areas, such as bridge and pavement data. These offices would typically be described as Data Business Owners within a Data Governance framework. Data stewards also are responsible for maintaining different types of data (e.g., traffic moni- toring data). The traffic data stewards are supported by the IT office, which is responsible for maintaining servers and mainframe data and application systems. However, responsibility is shared by the IT office and the Traffic Monitoring section. In this case, a local Access database is used to store traffic data, with the responsibility for maintaining the servers residing with the IT office. While the Access database is maintained on IT servers, the staff in the Traffic Monitoring section develops Net apps to maintain the data. Lessons Learned: • Implementing a Governance Council or Board helps the organization designate the persons/ offices responsible for establishing policies, procedures, and standards for the collection and use of data and information within the organization. • The Governance Council is a high-ranking authority responsible for overseeing initiatives to develop or enhance existing application systems, to meet the needs of the organization, with consideration of the overall goals and objectives of the agency. • Establishing clear roles and responsibilities for data governance within the organization helps everyone to understand how each job contributes to the efficient management of data and information. • Responsibilities for governance should be shared between the IT office and the business units. The business units should retain responsibility for management of specific data and information needed to support their business needs and the IT office should ensure that hardware and software infrastructure is in place to support the business application systems. Example: Utah DOT (UDOT) UDOT is a good example of how technology tools can be used to benefit the management of data and information at the department. UDOT has developed an interactive web application using GIS tools for planning and analysis to provide data and information in an easily accessible and understandable format. The application, known as uPlan, facilitates synchronizing plan- ning efforts with other state agencies, local governments, federal agencies, utility companies,

108 Improving Management of Transportation Information and within UDOT’s many departments.37 Data is compiled from various sources and is dis- played on an interactive map. Reports can also be generated, which are linked to the geospatial display of the data. Data is also stored in a geographic reference center that allows for peer-to- peer access to data and for establishing data ownership. Exhibit 2-20 illustrates how uPlan is used to display integrated data for project planning purposes. This exhibit includes the following types of information for a proposed widening project on I-80: • Project-specific information, • Safety and capacity information, • Environmental impacts, and • Historic and projected AADT and Level of Service (LOS) Capacity estimates. Benefits of using uPlan include the following38: • Pavement and bridge reconstruction plans are being coordinated with long-range capacity needs to synchronize the timing of various projects. • Identified safety concerns can be coordinated with critical freight corridors to adjust the priority and timing of various highway improvements. • UDOT Planning is working with each UDOT Region to assist in gathering and coordinating multiple smaller highway improvements into larger improvements so as to create the lowest construction impact to the traveling public. • Similarly, larger transportation plans are being segmented into programmable projects that provide the highest benefit/cost in difficult economic times. Exhibit 2-20. UDOT planning network. 37uPlan Summary, October 2010. 38Planning with uPlan, Matt Rifkin, P.E., InterPlan, Intermountain ITE 2010 Technical Paper. Source: uPlan Summary, October 2010.

Part 2—Studies of Leading Practices 109 Lessons Learned: • Providing access to integrated datasets through a single portal shortens the time to evolve data into information (and ultimately into knowledge) for use in decision making. • Integration of data in a similar manner illustrated in uPlan can result in higher benefits and lower costs by eliminating redundant data collection processes and saving time in data analysis by using GIS tools for geospatial analysis. • Use of integrated data helps facilitate cooperative working relationships among departments and improves understanding of issues and needs regarding data across the department. uPlan provides a way for one office to demonstrate a particular need or issue to other depart- ments by displaying a particular type of data using the uPlan GIS tools. The Utah DOT library requires the following information to be provided at the completion of research: • A final research report, • Information for the library newsletter about the research, • A video explaining the purpose of the research, and • Participation in a roundtable meeting to explain the final results of the research. The library staff coordinates communication of relevant research to the appropriate offices within UDOT. They come in contact with considerable information daily and the information is forwarded to the appropriate offices either via email or printed version. This is usually a one- way transmittal and this type of documentation is not expected to be returned to the library. Information received is cataloged, and every month a list of publications is sent to the various offices to let them know what has been received. The library is using alternative methods described in NCHRP Synthesis of Highway Practice 610 to communicate research to use options available on the web and is using videos to make finding information an interactive experience and to make the research usable. They are also now using YouTube to provide access to information in a more usable way. UDOT Research Division reports are posted on the UDOT website. Copies are also saved on CD-ROM and filed in the UDOT library. A hard copy of the report is retained in the UDOT library and three hard copies are sent to the state library, in accordance with UDOT policy. An electronic copy is also posted to Utah Government Publications Online. Publications from other divisions within UDOT are cataloged and retained in the library in hardcopy format where they are shared with the library staff. The library also uses the news- letter and regions/division visits to advertise their services to their customers. UDOT library materials are loaned almost exclusively to UDOT employees in accordance with UDOT policy. Private citizens are welcome to use the library and to make photocopies of materials, but may not remove library materials from the premises. Every effort is made to accommodate private requests/needs for information in other ways. Interlibrary loans are made to non-UDOT employees (e.g., consultants working with UDOT and non-Utah resi- dents) on a very limited basis and after consultation with the librarian. The interlibrary loan option may be used for older documents in printed format only, or the documents may be in foreign countries or in other lending libraries. Lessons Learned: Libraries in DOTs can use various methods to market their services to the internal and exter- nal user community and promote the types of collections/information available through the library. The methods used for marketing services can include newsletters, Internet advertise- ments, and social media options (including YouTube, Twitter, and Facebook).

110 Improving Management of Transportation Information Example: Wisconsin DOT (WisDOT) WisDOT is a good example of how a data management tool, using GIS technology, is used to support decision making at the DOT and at the local government level. The follow- ing information pertaining to the data management tool, known as Wisconsin Information System for Local Roads (WISLR), is found at: http://www.dot.wisconsin.gov/localgov/wislr/ index.htm. WISLR is an Internet-accessible system that helps local governments and WisDOT man- age local road data to improve decision making, and to meet state statute requirements. With GIS technology, WISLR combines local road data with interactive mapping functionality. The result is an innovative system that allows users to display their data in a tabular format, on a map, or both. With WISLR, users can produce maps that show the location of road-related data and see trends that might otherwise go unnoticed. For this reason alone, WISLR aids with organized and logical assessments about local road data. WISLR offers an advantage to local governments, who are required to report the pave- ment condition of roads under their jurisdiction to WisDOT. Because WISLR is a receptacle for local road information (e.g., width, surface type, surface year, shoulder, curb, road category, functional classification, and pavement condition ratings), WISLR generates the data locals need to get the job done. Access to inventory information also aids with other tasks, such as compliance with Gov- ernmental Accounting Standards Board Statement 34 (GASB 34). This statement mandates reporting the value of local roads as infrastructure assets. Local governments can use WISLR’s querying, analytical, and spreadsheet tools to organize and analyze data. They can also update and edit their data. This combination improves accu- racy for both pavement condition rating submittals and road inventory assessment. WISLR can also be used by local governments to assist with following types of reports39: • Municipal and county certification listings; • Inventory listing by certification year and descriptions; • Standard City, Village and Town (CVT) maps and functional classification maps; • Construction and bridge reports; • Annexation information; • Roadway data collection information—how to measure road inventory; • Statute 86.26, town road standards based on average daily traffic counts; • Statute 86.302 local roads; and • Statutory Chapters 204 and 205. 39WISLR Brochure, 2003, http://www.dot.wisconsin.gov/localgov/docs/wislr-brochure.pdf.

Part 2—Studies of Leading Practices 111 Lessons Learned: • Developing similar data management tools and allowing shared access to these tools helps the DOT and local governments to analyze and validate road inventory data needed to meet federal and state reporting requirements. • A shared data management application such as WISLR allows flexibility and local control of data that is reported back to WisDOT from the local governments. • An application such as WISLR provides a single portal for query, analysis, and update of road inventory data, making it easier for all users of the system. WISLR is unique in that the system can enable local governments to share data directly with the DOT. This includes the type of local data needed by the DOT and road inventory and traffic data used for meeting federal reporting requirements of the Highway Performance Monitoring System (HPMS). Example: FHWA The FHWA Office of Operations is developing a DBP to improve the management of travel mobility data. This DBP addresses the needs and gaps for this program as identified in a white paper, Data Capture and Management, Needs and Gaps in the Operation and Coordination of U.S. DOT Data Capture and Management Programs (November, 2010). Several components of a successful data management program have been identified as part of the development of this DBP and are as follows: • Define roles and responsibilities of data collectors, data managers (data business owners, data stewards, data custodians) and data users (data stakeholders, COI) • Establish policies and procedures for sharing data • Establish data standards for collection and reporting of data • Establish a risk management strategy to secure the data and limit risks to the agency • Invest in and implement the technology (hardware/software) needed to sustain and improve the data programs • Develop a data catalog with data definitions and file formats used to store data and information • Avoid information overload and control the amount of information being transmitted • Start small during development of the data management plan and address critical needs first—“Small” could be defined geographically or by category of data • Build for scalability to ensure that the system scales well in the real-world • Determine what data and information need to be stored and backed up, and discard unneeded data • Identify the data and information users and owners from the start • Make data and information available as soon as feasible (i.e., provide real-time or pseudo real-time data) • Establish metadata standards to minimize the potential for inconsistency caused by the creation or modification of metadata by numerous participants

112 Improving Management of Transportation Information • Implement data security policies to ensure security of data sets, data environments, and the hardware and software associated with both • A thorough, well-documented and clearly communicated Intellectual Property (IP) policy framework is necessary to provide a clear understanding of the rules of the game with respect to licensing, patents and other aspects of intellectual property protection Each of these points is equally applicable at a DOT for integration into existing data and information management programs or to assist in developing new programs. Example: National Oceanic and Atmospheric Administration (NOAA) An example of an alternative lifecycle is from the NOAA, which determined that its envi- ronmental data will be based on an end-to-end data management lifecycle that includes the following steps: 1. Determine what environmental data are required to be preserved for the long term and how preservation will be accomplished; 2. Develop and maintain metadata throughout the environmental data lifecycle that comply with standards; 3. Obtain user requirements and feedback; 4. Develop and follow data management plans that are coordinated with the appropriate archive for all observing and data management systems; 5. Provide for delivery to the archive and secure storage; 6. Enable integration and/or interoperability with other information and products; and 7. Conduct scientific data stewardship to address data content, access, and user understanding. Each of these practices is similar to those of DOTs whose data and information management have been formalized through some type of data management or DBPs. These practices include obtaining stakeholder feedback, using archive and secure storage methods, integrating multiple types of data and information, and the use of metadata and standards. Example: Oak Ridge National Laboratory (ORNL) A report from the Oak Ridge National Laboratory (Hook, L., et al. Good practices for Preparing Environmental Data Sets to Share and Archive. Oak Ridge National Laboratory, 2010,

Part 2—Studies of Leading Practices 113 http://daac.ornl.gov/PI/BestPractices-2010.pdf.) indicates the following best practice experiences in improving the sharing of data and information: 1. Define the Contents of Data Files 2. Use Consistent Data Organization 3. Use Consistent File Structure and Stable File Formats for Tabular and Image Data 4. Assign Descriptive File Names 5. Perform Basic Quality Assurance 6. Assign Descriptive Data Set Titles 7. Provide Documentation Each of the preceding seven practices (or a combination thereof) may result in producing documentation that can be included in a data catalog, which provides a centralized location for identifying data systems, data elements, data definitions and data file structures. All of these are needed by the data stewards and data custodians responsible for managing data according to established policies and standards. Use of the Cloud In 2011, the National Institutes of Standards and Technology (NIST) published a definition of cloud computing that describes the essential characteristics of the cloud, possible service models that may be used to deliver cloud-based storage and services, and the deployment mod- els that have varying degrees of connectivity outside a single organization. The basic terminol- ogy of the definitions is summarized in Exhibits 2-21 through 2-23. The NIST definitions, generally understood among IT experts and users of these systems, provide a basis for discuss- ing the elements of cloud computing. Cambridge Systematics conducted a survey to examine the use of web-based or cloud storage for DOT data. Exhibit 2-24 summarizes the main survey findings. Only those state agencies that responded to the survey are included in the table. The survey results indicate that many states have explored the use of cloud computing but have deemed it unsafe or inappropriate for state business. A few states have adopted “cloud first” strategies similar to that of the federal government and have deployed or are planning to deploy cloud computing strategies meeting the NIST definition. Characteristic Summarized Description On-demand self- service Users can automatically request and conExhibit computing capabilities without the need to contact a human at the provider side Broad network access Services are available over a network using various standard equipment types Resource pooling Resources such as memory, storage, bandwidth and processing are shared among users, and are allocated dynamically according to demand Rapid elasticity Resources can expand and contract in a near-instant fashion on user request Measured service Resources are measured for a usage dimension (such as processing capability, storage, or bandwidth) and are provided to the user allowing them to monitor use and the provider to charge for only the usage demanded Source: The NIST Deƒinition of Cloud Computing, 2011. Exhibit 2-21. Essential characteristics of the cloud.

114 Improving Management of Transportation Information State Cloud Options ADOT&PF ADOT&PF does not use the cloud for applications. but is exploring opportunities for use of the cloud, including storing/using imagery and other background layers to support the Department’s GIS applications. AZDOT AZDOT is beginning to use ArcGIS online to share information. The business data resides locally, but the data for the web is uploaded to a cloud-based system. In the future, it may become overwhelmingly cost effective to transition primary data servers to the cloud, but at this time, it is too much of a drastic and perceived risky step from the perspective of the IT group. CDOT CDOT indicated in an independent survey that they have plans to store data in the cloud. ConnDOT Bentley Systems is hosting the following set of data on a private cloud on behalf of ConnDOT: Contract Plans Contract Specifications Supplemental Documents associated with contract advertising Some legacy plans for completed projects Bridge Data for 6000+ Bridges Potential data for future storage includes: Signal plans and associated data Shop and working Drawings Project Design Data (High Value Data – Models) ConnDOT Planning section is also seeking to use EXOR and an application for crash data in the near future. The City of Hartford priced out options for use of the cloud, but determined that they are too small to make it cost effective. Exhibit 2-24. Uses of the cloud by state. Exhibit 2-23. Cloud deployment models. Model Description Private cloud Built and used for a single organization, may exist on or off organization’s premises Community cloud Built and used by a community of users with shared concerns Public cloud Resources are available to the general public Hybrid cloud A combination of two of the above models, working together in a way that allows applications and data to low between them Source: The NIST Deinition of Cloud Computing, 2011. Model Description Example Software as a Service (SaaS) A service available over the network where all aspects of the provider’s software are maintained in the cloud, and only a basic client interface is available directly to the user Google Drive, Hotmail Platform as a Service (PaaS) The user may create applications and have control over their deployment and coniguration, with the application running on a cloud-based server Engine Yard Infrastructure as a Service (IaaS) The most lexible model, the provider maintains the fundamental computing resources with the client choosing operating system and networking capability Amazon.com Web Services Source: The NIST Deinition of Cloud Computing, 2011. Exhibit 2-22. Cloud service models.

Part 2—Studies of Leading Practices 115 State Cloud Options Delaware The State of Delaware hosts a private cloud intended to eliminate the need for an extensive set of server replacements. The state is also moving toward use of the public cloud subject to important restrictions: The state retains full ownership of the data. The data is not allowed to reside offshore. The provider must encrypt all non-public data in transit to the cloud. In the event of termination of the contract, the Service Provider shall implement an orderly return of State of Delaware assets and the subsequent secure disposal of assets. FDOT FDOT is exploring cloud-based options for both server and storage provisioning. The State of Florida is undergoing data center consolidation. Most state agencies with data centers are being required by statute to consolidate their data centers into a couple of State-run hosting facilities. At FDOT, the data center was moved to a shared hosting facility in November of 2011. The district data centers are scheduled to move in FY 2014–2015. The State-run hosting facilities operate on a complete cost recovery model and bill the agencies for data center services. They incur the costs and FDOT pays the bills. Based on FDOT’s preliminary analysis of cloud service providers on Florida’s State term contracts, they are seeing substantially lower costs for cloud-based provisioning of servers and storage as compared to what the State-run hosting facilities are charging. FDOT plans to do a proof of concept model using Microsoft’s AZURE infrastructure to provision some servers to support their BoxTone implementation to confirm the viability of a cloud-based solution. Should that prove successful, FDOT’s CIO plans to lobby the State-run hosting facilities to move more towards being a broker of cloud services rather than standing up infrastructure within the facility. Although all of the state’s infrastructure may not be able to be cloud-provisioned, the CIO believes that a substantial portion of it can be with significant cost savings. GDOT Georgia DOT is not using the cloud but is investigating moving in this direction. In particular, the cloud will potentially be used for Videolog and traffic data processing. IDOT Illinois DOT indicated in an independent survey that they store data in the cloud. Iowa DOT Iowa DOT indicated in an independent survey that they store data in the cloud. Michigan DOT Michigan DOT is using a private cloud available for the State of Michigan referred to as “MiCloud.” Using this private cloud avoids most of the security issues associated with off-site, external provider storage and provides the benefit of much higher data transmission speeds because of its physical location within the state, linked with statewide high-speed transmission network capabilities. The state also believed that shaping an external service to be compliant with the state’s security policies would destroy any cost advantage of using the external cloud. The state cloud storage option has been used to deliver photolog data to DOT employees in the Lansing area. This process seems to be working well. The DOT is also exploring having their current pavement condition monitoring vendor create a site to serve the business need for monitoring pavement condition. Montana DOT Montana DOT indicated in an independent survey regarding use of the cloud that they store data in the cloud. New Hampshire DOT New Hampshire DOT indicated in an independent survey that they have plans to store data in the cloud. North Dakota DOT North Dakota DOT indicated in an independent survey that they have plans to store data in the cloud. State of Utah The need to close data centers to save costs is what drove Utah to deploy a private cloud for use by Utah State agencies. This private cloud is similar to the private cloud deployed in Michigan. Utah has also embraced and adopted policies for a hybrid cloud, which combines elements of a private cloud and publicly available storage and computing resources. The State’s Technical Architecture Review Board has approved a standard approach for dealing with external cloud computing providers and integrates those external services with private cloud elements when it makes sense from a cost and data security standpoint. To date, Dropbox, Evernote, SugarSync, and Google Docs have been approved as data storage and cloud-based service providers. HI, MI, NV, NY, OH, PA Several DOTs indicated in an independent survey that they do not store data in the cloud nor do they have any plans to do so in the future. Exhibit 2-24. (Continued).

116 Improving Management of Transportation Information Delaware, Michigan, and Utah have been at the vanguard of adopting cloud computing poli- cies and installations and can serve as models for other states wanting to move toward a broader adoption of private, hybrid, and public clouds to better address agency information technology needs. They are discussed in detail below. Example: Delaware The State of Delaware has established some rigorous policies and procurement guidelines for use of cloud computing resources. Along with hosting a private cloud intended to eliminate the need for an extensive set of server replacements, the state also is moving to use the public cloud (subject to some important restrictions). Delaware considers the following elements to be non-negotiable in its agreements with exter- nal providers: • The state retains full ownership of the data. • The data is not allowed to reside offshore. • The provider must encrypt all non-public data in transit to the cloud. • In the event of termination of the contract, the Service Provider shall implement an orderly return of State of Delaware assets and the subsequent secure disposal of assets. In addition to these broad principles, Delaware (1) provides a detailed set of specific terms and conditions that must be present in any contract with a cloud-based provider and (2) has integrated cloud computing into its information security policy with an established process for approving contracts with external providers. Example: Michigan In Michigan DOT’s case, the use of a private cloud (known as MiCloud) allows the DOT to avoid many of the security issues associated with offsite, external provider storage and has the added benefit of much higher data transmission speeds because of its physical location within the state linked with statewide high-speed transmission networking capabilities. Much like using a private provider, MiCloud allows agencies to sign up for storage capabilities using a

Part 2—Studies of Leading Practices 117 self-service intranet website and the costs are established up front based on the precise amount of storage required. MDOT charges $0.01167/GB/day to MiCloud users, which is over 80% cheaper than commercially available storage solutions. Most users never have to interact with an actual human to set up, reconfigure, or change their hosting options, with all common customer ser- vice requests available directly to the user and handled automatically by the system’s software. The state’s IT leadership considers the standard terms and conditions that accompany offsite data storage and hosting agreements to be unconstitutional because of their common need to indemnify the provider. This was a driving reason behind the state pursuing its private cloud strategy. The state also believed that shaping an external service to be compliant with the state’s security policies would destroy any cost advantage of using the cloud. The state has built the system using an Open Virtualization Format, which will allow the state to readily engage with external hosting providers should the state choose to move in this direction. The state intends to maintain a central link between the statewide MiCloud and external service providers, in part to resolve any technical, legal, security, and policy issues at a single point of contact and remove the need for agency IT staff to handle these matters. Example: Utah The State of Utah is another leader in deploying a private cloud for state agencies to use in an automated fashion. The state provides the full spectrum of Saas, IaaS, and Platform as a Service (PaaS) provisioning. A primary driver behind Utah’s decision to pursue a cloud strategy was the need to close data centers to save costs; the state took 38 existing data centers and consolidated them into 2 centers. This action resulted in (1) a one-time capital cost savings by eliminating the need to replace aging equipment, (2) documented massive energy savings (enough to power 978 homes for 1 year), and (3) a reduction in staffing needed to provide direct customer service to users. Utah has also embraced and adopted policies for a hybrid cloud, which combines elements of a private cloud and publicly available storage and computing resources. The state’s Technical Architecture Review Board has approved a standard approach for dealing with external cloud computing providers and integrates these external services with private cloud elements when it makes sense from a cost and data security standpoint. The state’s “Policy on Use of External Service Providers for Data Storage” dictates that the state must explicitly approve external providers used for storage of state information, and the provider must pass a departmental security review. Furthermore, the state must have a contract with the provider that specifically addresses central management, use, storage of, and deleting of sensitive data. To date, Dropbox, Evernote, SugarSync, and Google Docs have been approved as data storage and cloud-based service providers under the policy. The policy requires users to explicitly disclose the use of external services so that the state may access them at any time, and it restricts their use to that of non-confidential, non-sensitive state data.

118 Improving Management of Transportation Information Conclusions Part 2 has presented key elements of transportation information management practices of selected DOTs and other organizations. For various reasons, practices vary widely among the DOTs. The scale and scope of relevant information to be managed differs among states, as do the institutional structure of the agencies and the functional characteristics of the systems they man- age. Resource availability, leadership interest, and other factors may lead some agencies to pur- sue their development of transportation information management practices more aggressively. The cases and examples presented here are not intended to suggest that there is a set of “best” practices to be recommended for universal application. Rather the experience described here may be useful to agencies less advanced in one or another aspect of information management. Nevertheless, experience shows that certain practices are likely to help many agencies improve their management of transportation information and that further development of such practices can advance transportation system management generally. These are the subject of Part 3.