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

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N A T I O N A L C O O P E R A T I V E H I G H W A Y R E S E A R C H P R O G R A M NCHRP REPORT 829 Leadership Guide for Strategic Information Management for State Departments of Transportation Frances Harrison Michael Gordon Spy pond partnerS, LLC Arlington, MA Gary Allen Waynesboro, VA Subscriber Categories Administration and Management • Data and Information Technology Research sponsored by the American Association of State Highway and Transportation Officials in cooperation with the Federal Highway Administration 2016

NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM Systematic, well-designed research is the most effective way to solve many problems facing highway administrators and engineers. Often, highway problems are of local interest and can best be studied by highway departments individually or in cooperation with their state universities and others. However, the accelerating growth of highway transportation results in increasingly complex problems of wide inter- est to highway authorities. These problems are best studied through a coordinated program of cooperative research. Recognizing this need, the leadership of the American Association of State Highway and Transportation Officials (AASHTO) in 1962 ini- tiated an objective national highway research program using modern scientific techniques—the National Cooperative Highway Research Program (NCHRP). NCHRP is supported on a continuing basis by funds from participating member states of AASHTO and receives the full cooperation and support of the Federal Highway Administration, United States Department of Transportation. The Transportation Research Board (TRB) of the National Academies of Sciences, Engineering, and Medicine was requested by AASHTO to administer the research program because of TRB’s recognized objectivity and understanding of modern research practices. TRB is uniquely suited for this purpose for many reasons: TRB maintains an extensive com- mittee structure from which authorities on any highway transportation subject may be drawn; TRB possesses avenues of communications and cooperation with federal, state, and local governmental agencies, univer- sities, and industry; TRB’s relationship to the Academies is an insurance of objectivity; and TRB maintains a full-time staff of specialists in high- way transportation matters to bring the findings of research directly to those in a position to use them. The program is developed on the basis of research needs identified by chief administrators and other staff of the highway and transporta- tion departments and by committees of AASHTO. Topics of the highest merit are selected by the AASHTO Standing Committee on Research (SCOR), and each year SCOR’s recommendations are proposed to the AASHTO Board of Directors and the Academies. Research projects to address these topics are defined by NCHRP, and qualified research agencies are selected from submitted proposals. Administration and surveillance of research contracts are the responsibilities of the Acad- emies and TRB. The needs for highway research are many, and NCHRP can make significant contributions to solving highway transportation problems of mutual concern to many responsible groups. The program, however, is intended to complement, rather than to substitute for or duplicate, other highway research programs. Published reports of the NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM are available from Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet by going to http://www.national-academies.org and then searching for TRB Printed in the United States of America NCHRP REPORT 829 Project 20-96 ISSN 0077-5614 ISBN 978-0-309-37550-4 Library of Congress Control Number 2016943094 © 2016 National Academy of Sciences. All rights reserved. COPYRIGHT INFORMATION Authors herein are responsible for the authenticity of their materials and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce material in this publication for classroom and not-for-profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA, FMCSA, FRA, FTA, Office of the Assistant Secretary for Research and Technology, PHMSA, or TDC endorsement of a particular product, method, or practice. It is expected that those reproducing the material in this document for educational and not-for-profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission from CRP. NOTICE The report was reviewed by the technical panel and accepted for publication according to procedures established and overseen by the Transportation Research Board and approved by the National Academies of Sciences, Engineering, and Medicine. The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research and are not necessarily those of the Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; or the program sponsors. The Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; and the sponsors of the National Cooperative Highway Research Program do not endorse products or manufacturers. Trade or manufacturers’ names appear herein solely because they are considered essential to the object of the report.

The National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, non- governmental institution to advise the nation on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Marcia McNutt is president. The National Academy of Engineering was established in 1964 under the charter of the National Academy of Sciences to bring the practices of engineering to advising the nation. Members are elected by their peers for extraordinary contributions to engineering. Dr. C. D. Mote, Jr., is president. The National Academy of Medicine (formerly the Institute of Medicine) was established in 1970 under the charter of the National Academy of Sciences to advise the nation on medical and health issues. Members are elected by their peers for distinguished contributions to medicine and health. Dr. Victor J. Dzau is president. The three Academies work together as the National Academies of Sciences, Engineering, and Medicine to provide independent, objective analysis and advice to the nation and conduct other activities to solve complex problems and inform public policy decisions. The Academies also encourage education and research, recognize outstanding contributions to knowledge, and increase public understanding in matters of science, engineering, and medicine. Learn more about the National Academies of Sciences, Engineering, and Medicine at www.national-academies.org. The Transportation Research Board is one of seven major programs of the National Academies of Sciences, Engineering, and Medicine. The mission of the Transportation Research Board is to increase the benefits that transportation contributes to society by providing leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisciplinary, and multimodal. The Board’s varied committees, task forces, and panels annually engage about 7,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. Learn more about the Transportation Research Board at www.TRB.org.

C O O P E R A T I V E R E S E A R C H P R O G R A M S CRP STAFF FOR NCHRP REPORT 829 Christopher W. Jenks, Director, Cooperative Research Programs Christopher Hedges, Manager, National Cooperative Highway Research Program Andrew C. Lemer, Senior Program Officer Sheila A. Moore, Program Associate Eileen P. Delaney, Director of Publications Ellen M. Chafee, Senior Editor NCHRP PROJECT 20-96 PANEL Field of Special Projects C. Douglass Couto, East Lansing, MI (Chair) Shannon M. Barnes, CSG Government Solutions, Boise, ID Jose L. Colon, District of Columbia DOT, Washington, DC Mike A. Cresap, Mississippi DOT, Jackson, MS Shashi S. Nambisan, University of Tennessee-Knoxville, Knoxville, TN Ellen M. “Leni” Oman, Washington State DOT, Olympia, WA Mary E. Moulton, OST-R Liaison Robert W. Turner, FHWA Liaison Lisa Loyo, TRB Liaison Thomas Palmerlee, TRB Liaison

NCHRP Report 829: Leadership Guide for Strategic Information Management for State Departments of Transportation is a guidebook for executives and managers on effectively developing and maintaining an agency’s capability to provide mission-critical information when and where it is needed. The guidebook considers the importance of information to departments of transportation (DOTs) and the challenges of ensuring that good information is available for decision making, the components of an effective information governance strategy, how senior executives can assess their agency’s information-governance strategy and practices, and implementation of procedures and methods for effective information management. The report will be helpful particularly to DOT senior staff responsible for ensuring an agency’s access to information to support decision making. Executives and managers in DOTs, like those in all large organizations, need relevant, accurate, and timely information about their business to make effective decisions, support their organization’s operations, serve their customers, and ensure generally that their limited resources are allocated effectively to pursue the organization’s mission. A sound under- standing of business needs, information content, and technology is the essential foundation for ensuring that these executives and managers will have access to mission-critical infor- mation when and where they need it. Providing access to mission-critical information is challenging for many reasons. Much of the data that a DOT collects and uses are unstructured, stored in various formats, and often available only to limited program- and organization-based user communities. The quantities of information being collected and stored are growing exponentially. The technologies for information storage, management, search, retrieval, analysis, visualization, and reporting are also advancing rapidly, while agencies face barriers in migrating away from increasingly obsolescent legacy systems. Business needs continue to evolve with shifting customer expecta- tions, regulatory requirements, legislative programs, funding constraints, and communication methods. Information management is a multifaceted task and increasingly complex. The objective of NCHRP Project 20-96, “Leadership Guide for Strategic Information Management for State Departments of Transportation,” was to produce a guidebook, written for state DOT executives and managers, on how to effectively develop and maintain an agency’s capability to provide mission-critical information when and where it is needed. A research team led by Spy Pond Partners, LLC, undertook an extensive review of back- ground information and relevant literature and conducted informal interviews to document approaches used by private- and public-sector entities for strategic information management. The team conducted case studies to document leading practices and extract lessons for DOTs F O R E W O R D By Andrew C. Lemer Staff Officer Transportation Research Board

seeking to improve their strategic information management. The guidebook illuminates the importance of information to DOTs and the challenges of ensuring that good informa- tion is available for decision making, identifies the components of an effective information governance strategy, and suggests how senior executives can assess their agency’s information- governance strategy and practices and make improvements. The guidance offered will be most usefully applied within the context of an agency’s overall strategic planning and management processes.

1 Summary 4 Chapter 1 Introduction 4 DOT Information: A Rapidly Changing Picture 4 DOT Information: Opportunities to Create Value 5 DOT Information: Challenges to Improving Efficiency 6 Roadmap to Strategic Information Management 10 Chapter 2 DOTs in the Information Age: Opportunities, Challenges, and Risks 10 Information Is a Strategic Asset 11 Information Helps DOTs Achieve Better Results 13 Need for Improved Information Management 13 The Information Game Is Changing 15 Challenges for Improving Information Management 21 Chapter 3 DOT Strategic Information Management 21 What Is Strategic Information Management? 21 Importance of Leadership 22 Key Elements of Strategic Information Management 26 Chapter 4 Charting a Course 26 Step 1. Establish a Vision for Information Management 29 Step 2. Assess the Current State of Information Management 32 Step 3. Create a Coordinated Agency Plan for Information Management 35 Chapter 5 Equipping the Organization 35 Step 4. Establish Leadership and Governance Structures 39 Step 5. Establish Information Management Policies 50 Step 6. Establish a Process for Evaluating and Prioritizing New Information Initiatives 53 Chapter 6 Implementing and Sustaining Change 53 Step 7. Implement Information Management Services and Enabling Technologies 66 Step 8. Foster Culture Change and Build Workforce Capabilities 69 Step 9. Monitor Progress and Adjust Strategies 78 Chapter 7 Conclusion C O N T E N T S

80 References 84 Glossary 90 List of Acronyms 91 Appendix A Assessment Tools and Checklists 98 Appendix B Information Management Functions, Roles, and Competencies Note: Photographs, figures, and tables in this report may have been converted from color to grayscale for printing. The electronic version of the report (posted on the web at www.trb.org) retains the color versions.