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

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26 Charting a Course Step 1. Establish a Vision for Information Management Purpose of an Information Management Vision A vision for information management is a statement that communicates how the agency wants to be using and managing information in order to meet its strategic objectives. The vision state- ment defines the desired future state and provides a clear focus and inspiration for activities. Ideally, the vision will encompass data and information in all of their forms—structured data, documents, email, web content, and so on. A unified vision for information management will help to build bridges across different areas of responsibility, improving users’ ability to locate authoritative infor- mation, reducing duplication of effort, and maximizing use of available agency skill sets. To be useful, the vision must be realistic and in alignment with the broader agency strategic vision. A vision can be brief, but should include sufficient content to provide a framework for developing strategies and evaluating progress. In the U.S. Forest Service’s “Information Management Vision,” (see text box) agency adoption of information management practices is emphasized. A complementary approach to vision development is illustrated in Figure 4. The Utah DOT has integrated consideration of data and information into its overall vision for asset management. This approach establishes a clear perspective on what information is needed and how improvements to information will move the agency toward improved decision-making (ability to select the right project at the right place at the right time) and sustained results (longer lasting pavements). C H A P T E R 4

Charting a Course 27 United States Forest Service—Information Management Vision Our Information Management Vision pictures a desired future condition in which the Forest Service: • Recognizes information as a resource critical to our success. • Shares and manages information in ways that support the mission and business of the organization. • Strives, as a commonly understood, accepted, and supported goal, to bring quality information, in the right form, to the right people at the right time to support sound and deliberate decisions and to generate ideas. • When we achieve this state: – Employees at all levels will better understand the Information Management methodology as it relates to the business of the Forest Service, the impor- tance and role of information as a resource in support of that business, and the need for clearly identified, essential standards for data and information elements. – Management will be visibly involved in development and committed to implementation of national information management investments, policies, and procedures. – The information management environment will generate quality informa- tion that can be used by all levels of the organization and by external part- ners in accomplishing the business of the Forest Service. – Management will recognize the investments, and will commit the resources to implement information management decisions. – Information policies and technologies will anticipate future needs and new developments, reflecting internal and external considerations. Source: (USDA Forest Service Strategic IM Team, 1992) Figure 4. Utah DOT’s vision for data-driven pavement management. Sustainability—Culture, Philosophy, Pavement that Endures Wisdom—Maintenance Management Levels Knowledge—Select the Right Project, at the Right Time, at the Right Cost Organized Information—“A Plan for Every Section of Every Road” Data—Collect with Current Technologies Strategic Direction—Preserve Infrastructure Vision—“Good Roads Cost Less” Source: (Braceras, 2014) Wisdom Knowledge Information Data Strategic Direction Vision Sustainability

28 Leadership Guide for Strategic Information Management for State Departments of Transportation Developing the Vision The process of setting a vision provides agency leaders with the opportunity to discuss how they would like information to better serve the agency’s mission. This process can be just as important as the end product. Ideally, the vision will be developed with the involvement of important stakeholders for information, including • Leadership team; • Representatives of major departments or functions (e.g., planning, design, construction, maintenance, and operations); • Representatives of information management and technology functions (e.g., data warehouse/ reporting, GIS, internal and external web sites, social media, library management, and records management); and • Representatives of major data programs (e.g., traffic, safety, road inventory, and asset management). The content of the vision should focus on desired outcomes for information management, not so much how to get there, but what results the agency wants to achieve. Visioning for information management should be integrated and aligned with the agency’s overall strategic planning process. Scenario planning approaches [as illustrated, for example, in the NCHRP Foresight Series (Burns & McDonnell Engineering Company, Inc., and High Street Consulting Group, 2014)] can be applied to examine alternative futures—including variations in the types, sources, and uses of information that should be anticipated, and signposts that indicate the need to begin responding to emerging changes. In Appendix A of this guide, Table A-1 presents possible elements of a DOT information manage- ment vision that can be used as a starting point for developing an information management vision. One visioning technique is to develop specific examples of how information would add value. Figure 5 provides an example of a “digital business moment” developed by the Idaho Transportation Source: (Gartner, 2014) Figure 5. ITD “Digital Business Moment.”

Charting a Course 29 Department (ITD) that provides a concrete illustration of how information would be used in an emergency maintenance situation. This example can then drive the coordinated deployment of information systems and tech- nologies (e.g., maintenance management system, mobile devices, and vehicle location systems) and information management strategies (e.g., standardized location referencing, compilation and integration of incident response data for performance reporting, archiving of historical work order data in an appropriate form for future analysis, etc.). Key Points The exercise of developing a vision for information management estab- lishes the link between what the agency is trying to achieve and how improved information management can help it get there. It is impor- tant to get the right people at the table for this discussion in order to reflect the variety of perspectives that may exist and to ensure that a firm foundation is established to guide subsequent steps. Techniques for visioning include the following: • Facilitated discussion using a template (provided in Table A-1); • Scenario planning to look at alternative futures and their implications for information needs in the agency; and • Business process walk-throughs to envision new ways of utilizing information. Step 2. Assess the Current State of Information Management An assessment of the current state of information management can provide the foundation for identifying what types of improvements are needed and which are most important. This assessment can identify current areas of strength and weakness and identify risks and oppor- tunities for improvement. It can answer the question: “What problems are we trying to solve?” Review the Exisng Business Plans and Policies Conduct an Assessment Summarize Results Step 2.1 Step 2.2 Step 2.3 Step 2.1: Review Existing Business Plans and Policies In preparation for the assessment, it is worthwhile to begin by taking stock of relevant plans, policies, and procedures, including the following: • Agency strategic plan, • Agency business plan, • Unit/division business plans, • Information technology strategic plan,

30 Leadership Guide for Strategic Information Management for State Departments of Transportation • Information management strategic plan, • Data business plans, • GIS strategic plan, • Data policies and guidelines, • Library policies and collection management plans, • Web site/intranet policies and guidelines, • Records management/retention schedules and policies, • Engineering/computer-aided design (CAD) file management policies, • Data and information security and privacy policies, and • Risk management policies. Key questions to consider in reviewing these existing documents are the following: • Are information-management and technology-focused strategic plans (where they exist) linked to or in alignment with the agency’s strategic plan? • Do agency and unit/division business plans include discussion of information improvements needed to meet business objectives? • Do any plans or policy documents define roles, responsibilities, and processes for prioritizing agency investments to improve information availability, quality, and usability? • Are there areas of ambiguity or conflict in how the different policies describe information management roles and responsibilities? • Do data, library, records management, web site/intranet, and CAD file management policies clearly lay out expectations for what types of information are to be stored in different reposi- tories? Are these policies being adequately supported and enforced? • Are methods for classifying or categorizing different types of information consistent? • Are there gaps in policies that put critical information resources at risk or increase tendencies toward duplication of information across different business units? • Have data security/privacy and risk management policies been reviewed to ensure that they cover current known requirements and threats? Are they adequately supported and enforced? This exercise will likely uncover gaps and inconsistencies in the agency’s plans and docu- mented policies. The next step is to convene a group to do a more complete assessment of actual agency practice. Step 2.2: Conduct an Assessment Agencies can choose to do a quick assessment involving a few meetings with senior man- agers to get a high-level read on the situation. Alternatively, a more comprehensive assess- ment can be undertaken involving a broader cross section of department staff and external stakeholders. The assessment should address the following three questions: 1. How is our information working for us now to support the agency’s mission and priorities? a. In what ways are we being held back by poor quality or inadequate information? b. What important questions are difficult to answer? c. Are there areas where missing or inaccessible information creates inefficiencies or impacts customer service? 2. How can the agency manage its information more efficiently? a. Is there information being collected but not used or needed? b. Are there duplicative information collection and management efforts?

Charting a Course 31 c. Where does a lack of data integration make it difficult and time consuming for staff to assemble and analyze available information? 3. What are the most important risks to be mitigated? Sample assessment tools are included in Appendix A to provide a structure for addressing these questions. These tools can be used as is or adapted to focus on issues of specific concern. Since there are likely to be varying viewpoints on information needs and risks, several different individuals across the organization can be asked to complete the assessment individually and then come together in a session to discuss responses and arrive at a consensus view. Each of the tools in Appendix A is structured to facilitate linking assessment results to three typical high-level goals for information management: (A) improving information for better internal agency decisions, (B) meeting external information requests and reporting require- ments, and (C) improving information usability and reliability. Assessment Tool 1 (shown in Table A-2) identifies potential information needs for a DOT and asks respondents to provide their perspective on the priority of taking action to address these needs. Assessment Tool 2 (shown in Table A-3) focuses on risk and asks respondents to rate both the likelihood and consequences of potential risks associated with continuing the status quo situation, that is, not improving information or information management practices. This tool can help the agency to prioritize actions that would mitigate risks with both medium to high likelihood and medium to high consequences. The overall risk score—calculated as the product of likelihood and consequences/impacts (ranging from 1 for the lowest risks to 9 for the highest risks)—can be used to guide identification of priority areas to be addressed. Assessment Tool 3 (shown in Table A-4) lists several fundamental management practices to ensure efficient use of information and asks respondents to assess the extent to which the agency is carrying out these practices. Another useful assessment method, which can build on results from the three assessment tools included in Appendix A, is to identify Strengths, Weaknesses, Opportunities and Threats (known as a SWOT analysis). Strengths and weaknesses are characteristics of the agency that either support or challenge its ability to gather, manage, and use information in an effective manner. Opportunities and threats are external factors that may positively or negatively impact the agency’s information management capabilities. These may include regulatory changes, changes in leadership or organizational structure, changes in funding availability or flexibility, changes in technology, and changes in information sources. Example strengths, weaknesses, opportunities, and threats related to information manage- ment are shown in Table A-5 in Appendix A. The examples shown in Table A-5 can be used as a starting point for agencies to discuss and identify more specific items. Step 2.3: Summarize Results The assessment summary should provide a good picture of needs and priorities for shoring up agency information. It should inform the development of a coordinated agency plan for information management. The summary can include the following: • A list of urgent and high-priority needs for improving available information in support of agency goals (from Assessment Tool 1—Table A-2); • A list of high-priority risks to be mitigated (from Assessment Tool 2—Table A-3); • A list of information management practices that need to be strengthened (from Assessment Tool 3—Table A-4); and • Results of the SWOT analysis (illustrated in Table A-5)—strengths that the agency can build on, opportunities to leverage, and weaknesses and threats to be addressed.

32 Leadership Guide for Strategic Information Management for State Departments of Transportation Step 3. Create a Coordinated Agency Plan for Information Management Purpose of a Coordinated Plan An information management strategic plan connects the agency’s goals and vision for strate- gic information management to a set of practical, implementable actions that move the agency forward. The plan should include near-term (1 to 2 years), medium-term (3 to 5 years), and longer term (6 to 10 years) actions. Longer term actions can be specified at a more general level of detail than near- and medium-term actions. The plan should provide metrics or milestones that can be used to track progress. It should also acknowledge and incorporate the existing initiatives already underway that may have been identified in the visioning process. Note that this doesn’t need to be a stand-alone plan; it can be integrated into the agency’s strategic or business plan or serve as a business-focused component of the information technology strategic plan. Developing the Plan The following process can be used to develop the plan. Key Points An assessment of current practice provides valuable information to guide development of focus areas and strategies for improvement. It provides a common understanding of gaps and risks to be addressed. Several tools are available in Appendix A of this guide that can lead to a summary of agency strengths, weaknesses, opportunities, and threats. Establish Goals and Objecves Idenfy Current Iniaves Idenfy Strategies Step 3.1 Step 3.2 Step 3.3 Set Priories Develop a Roadmap Assign Responsibilies and Track Implementaon Step 3.6Step 3.5Step 3.4 Step 3.1: Establish Goals and Objectives Building on the vision and the assessment results, identify key goals for information manage- ment and measurable objectives to achieve each of these goals. Step 3.2: Identify Current Initiatives Identify initiatives that are currently underway to improve information availability, quality, access, and value for decision-making. These initiatives might include things like open data initiatives, technology upgrades, process automation efforts, data warehouse development or

Charting a Course 33 expansion, and content management implementation. Each agency initiative can be mapped to one or more of the goals identified in Step 3.1. Step 3.3: Identify Strategies Strategies can be identified for each of the objectives using the results of the current state of information management (from Step 2). Strategy development can draw upon the material in this guide and should include a balance of the following: • Changes to decision-making structures and information governance policies to provide better alignment between information investments and agency priorities (see Steps 4 through 6); • Development of agency-wide information management capabilities to enhance consistency, integration, and findability of information (see Step 7); • Investments in enabling technologies to meet common needs for information storage, search, analysis, and reporting through centralized solutions (see Step 7); and • Building workforce awareness, skills, and capabilities in areas related to information management (see Step 8). The plan should also define an ongoing process for monitoring progress and making adjustments as needed (see Step 9.) The flow chart shown in Figure 6 illustrates the ITD’s planned approach to developing infor- mation strategies based on a vision. This approach emphasizes the importance of ensuring that each strategy is designed to achieve desired business outcomes. The approach also highlights the fact that changes to governance, roles, and organization structures are important components of effective information management. Step 3.4: Set Priorities Once strategies are identified, the stakeholder group should identify priority initiatives to move forward. These priorities can consider urgency, or risk, and ease of implementation given existing resources. Figure 6. ITD building blocks for an enterprise information strategy. Enable technology Information life cycle across the business and systems Roles and structures that need to be established/changed Governance that defines the decision rights and authority model over data Metrics that relate data to a process that defines business outcomes Short- and long-term strategies A vision that aligns the effort with the business outcomes Source: (Idaho Transportation Department, n.d.)

34 Leadership Guide for Strategic Information Management for State Departments of Transportation Step 3.5: Develop a Roadmap Step 3.5 is to develop a roadmap that shows the sequence of activities that the agency plans to complete within the plan’s timeframe. This roadmap should include both the existing initia- tives and the new strategies that have been identified. Roadmap development should consider dependencies across strategies; for example, getting people with the right skills in place might be required prior to embarking on an information architecture effort. Pilot or small-scale initiatives can be planned early on, with tentative full-scale implementation in later years. The roadmap can be updated periodically to indicate which activities have been completed and to adjust planned activities and their schedules. Step 3.6: Assign Responsibilities and Track Implementation Each activity on the roadmap should have an owner, who is responsible for working out implementation details and periodically reporting on progress. The overall plan and roadmap should also have an owner who is responsible for updating it periodically (e.g., quarterly or annually) as inevitable changes occur in resource availability and as new needs or priorities arise. Key Points The coordinated plan for information management lays out what the agency is going to do to move toward the vision it has established in Step 1 and addresses the areas of need or weakness it has uncovered in Step 2. The plan clearly establishes goals, objectives, strategies, and actions, and assigns responsibilities. Producing the plan and assigning responsibility for its implemen- tation and tracking means that the agency intends to move forward. The plan sets the stage for the remaining six steps of the strategic information manage- ment process.