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

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53 Implementing and Sustaining Change Step 7. Implement Information Management Services and Enabling Technologies Step 7 involves establishing standards and processes to implement and maintain a consistent agency-wide structure for classifying, defining, describing, integrating, and finding data and information. This step encompasses coordination of data and information architecture-related activities that may currently be carried out by libraries, records managers, content managers, data offices, and information technology groups. It also includes deployment of enabling tools and technologies that support information management including content management sys- tems, terminology and metadata management tools, data warehouses, data integration tools, data catalogs, business intelligence tools, and data-cleansing tools. Key information management services can be grouped into six categories: • Architecture and standards; • Records and content management; • Library services and information provisioning; • Metadata and terminology management; • Enterprise search; and • Data integration, reporting, and analytics. Each of these services and their enabling technologies are summarized in Table 2. A comprehensive DOT information management strategy will consider how each of these functions is currently being performed and will define priority improvements needed to deliver business value. The strategy will identify ways to achieve synergies across these different functions. C H A P T E R 6

54 Leadership Guide for Strategic Information Management for State Departments of Transportation A full technical discussion of these services is beyond the scope of this guide. However, key selected practices are highlighted below. Architecture and Standards Architecture and standardization are critical activities that provide a common “map of the territory” when it comes to information management. If done well, architecture efforts can help everyone in the organization understand what information exists and where to find it. Analo- gous to designing a house renovation, architecture projects produce an “as is” view of informa- tion as well as a “to be” view. The “to be” view may involve consolidation of different information repositories and show how information is to be linked across repositories through use of consis- Service Description Enabling Technologies Architecture and Standards Developing and implementing standards for where information is to be stored and how it is to be integrated and delivered. Enterprise Architecture tools, information modeling tools Records and Content Management Capturing, organizing, indexing, storing, and delivering different types of information objects including documents, images, and email. Web content management is a subset of this involving creating, organizing, and updating content for internal and external agency websites. Content management systems, records management systems, email archiving systems, web content management systems Library Services and Information Provisioning Curating, collecting, cataloging, and organizing publications and other information resources to meet agency needs. Responding to information requests through clarification of information needs, directing users to available resources, compiling summaries of available resources, or providing requested information. Library management systems, search engines, document and content management systems, knowledge management solutions Metadata and Terminology Management Establishing metadata standards for different content types; developing and maintaining business glossaries, controlled vocabularies, and taxonomies to facilitate search and discovery. Taxonomy/thesaurus management tools, text analytics tools, enterprise metadata repositories Enterprise Search Deploying and refining search capabilities within and across different agency information repositories. Search engines, enterprise search software (including text, image, and audio analytics), search monitoring tools Data Integration, Reporting, and Analytics Deploying and refining capabilities for analysis and visualization of integrated, authoritative information. Data warehouses, data integration tools, business intelligence and reporting platforms, big data search and analytics platforms Table 2. Information services and enabling technologies.

Implementing and Sustaining Change 55 tent standards and integration methods. The scope of architecture efforts can vary from a single system effort to an organization-wide one. Architecture can be all-encompassing, covering all aspects of the organization’s functions, processes, information, and technology, or it can focus on one of these. A good DOT information architecture should recognize and balance different stakeholder concerns, including the following: • Agency staff seeking access to authoritative agency information, • Agency staff seeking secure and convenient storage for their working documents, • External partners who need to collaborate and share documents with DOT staff, • Agency staff responsible for developing and updating content on the agency’s external facing website, • Agency staff responsible for developing and updating content on the agency’s intranet, • Library staff and archivists responsible for developing and maintaining collections of agency publications, • Agency staff who must respond to information requests from auditors, • Public information officers who must respond to information requests, • Legal staff who perform e-discovery tasks in response to litigation, • Records managers charged with responsibility for development of and compliance with reten- tion policies, • Research and library staff charged with responsibility for providing access to both internal and external information resources to meet business needs and helping agency staff to find relevant information, • Information security officers charged with protecting sensitive information, and • Information technology managers seeking to contain cost increases for data storage. By looking at the different information needs that exist and the different places where data and content are stored, architecture efforts can seek to reduce duplication, increase consistency, facilitate integration, reduce risk, and improve information access. It is important to recognize that changing existing patterns of behavior around information storage and access is not easy. Thus, an architecture project is not a purely technical exercise; it requires extensive stakeholder involvement and considerable attention to how changes will be phased and managed. Information Architecture Information architecture is an evolving discipline that has been defined as “art and science of shaping information products and experiences to support usability and findability.” Information architecture brings together an understanding of content, business context, and user informa- tion needs to “help people find what they need and understand what they find” (Morville, 2012; Rosenfeld, Morville, & Arango, 2015). In practice, it involves extensive work with users to under- stand how they interact with information. Information architecture efforts commonly focus on design of web sites, but information architecture principles and practices can be applied more widely to look at information organization and access. Information organization in the digital world involves deciding where different types of infor- mation will be stored and how they will be categorized and ordered to facilitate future retrieval for different purposes. For example, as illustrated in Figure 12, a web site providing access to different data sets in a DOT can allow the user to browse data by category. Classifications can be based on multiple criteria such as content type, geographic area, mode, and business function. In addition, standard keywords or tags can be assigned to help users find information on a particular topic. Adopting processes to classify and organize informa- tion can increase efficiency, decrease data duplication, and improve information accessibility.

56 Leadership Guide for Strategic Information Management for State Departments of Transportation An understanding of user information needs and patterns of information seeking is integral to effective information architecture. Enterprise Architecture Enterprise architecture is broader than information architecture. Enterprise architecture cre- ates a blueprint for how an agency will meet its future information needs and transition from the current state (“as is”) to a desired future state (“to be”). It includes looking at business processes, data/information, applications, and technology infrastructure. There are several available enterprise architecture frameworks (both commercial and open source), including the Federal Enterprise Architecture Framework (FEAF) illustrated in Figure 13. From a DOT strategic information management perspective, the business process and data/ information components of enterprise architecture can be very useful for systematically docu- menting information assets and their relationship to different business functions. Kansas DOT conducted an extensive architecture project (Kansas Department of Transportation, 2003) in the mid-2000s involving diagramming of data flows across business units and external entities (e.g., FHWA) for major business processes (e.g., program management, preconstruction, and project initiation). Ohio DOT completed an enterprise architecture design study in early 2014 that included a data architecture to “establish data standards for all of Ohio DOT’s systems Source: (Utah Department of Transportation, 2015) Figure 12. Utah DOT open data categories.

Implementing and Sustaining Change 57 to support integration and information sharing between these systems” (Cooney, Clement, & Shah, 2014). Architectures are rarely static; they require ongoing efforts to refine and update. An enterprise architect role is essential for developing and maintaining the architecture and ensuring that standards are applied appropriately. Records and Content Management Records and content management practices as well as enabling technologies provide an important mechanism for ensuring that a DOT’s important documents and files are preserved, well-documented, and available when needed. Records management functions are typically focused on compliance and have historically emphasized physical records. Content management functions (which include document management) are focused on digital information and are implemented to improve active information access and efficiency. However, given the prolifera- tion of records in digital form, records management and content management functions are less distinct and therefore require more coordination than in the past. Records Management All state agencies are subject to public records requirements (Reporters Committee for Free- dom of the Press, 2011) and must identify records; establish records retention schedules; track, manage, preserve, and dispose of records per retention schedules; and organize records so that they can be made available on request. DOTs depend on sound records management processes and systems in order to efficiently respond to public records requests, meet U.S. DOT record- keeping requirements, and handle information requests related to audits and litigation. Public records are typically broadly defined (see text box titled “Ohio DOT Public Records Function”). Figure 13. Federal enterprise architecture framework. Source: (Executive Office of the President of the United States—Office of Management and Budget, 2013)

58 Leadership Guide for Strategic Information Management for State Departments of Transportation Ohio DOT Public Records Function Definition: “Any document, device, or item, regardless of physical form or char- acteristic, including an electronic record, created or received by or coming under the jurisdiction of any public office of the state, which serves to document the organization, functions, policies, decisions, procedures, operations, and other activities of ODOT [Ohio DOT].” Exemptions (examples): Cost estimates of projects prior to all bids being received, sealed bids for construction projects, employee medical records, social security numbers, home addresses and telephone numbers of state employees, infrastruc- ture records that disclose the configuration of the DOT’s critical systems. Procedures: Each office has copy of current retention schedule; requests can be verbal or in writing; requests are acknowledged; request may be clarified if ambiguous; the Ohio DOT fulfills request, redacting exempt portions, or denies request and cites legal authority for denial; copying fee is collected if hard copies are requested. Source: (Ohio Department of Transportation, n.d.) DOTs are subject to policies and processes established at the statewide level, including retention schedules for general categories of administrative documents (e.g., financial, personnel, facilities, and equipment, etc.). Agency-specific retention schedules are developed to reflect the unique categories of records at the DOT (e.g., annual reports, performance reports, plans, and surveys). Content Management There are different types of content management systems with overlapping functions. In DOTs, there might be a system for engineering drawings, one for web content management, a third for official records management, and a fourth focusing on workgroup collaboration. Having different types of systems is not necessarily problematic as long as there is a clear strategy for avoiding ambiguity and duplication of effort and ensuring that compliance obligations are met. Web content management systems offer features for authoring content, storing multimedia components, and publishing to multiple locations. They may also include a built-in workflow to manage content intake, metadata assignment, and publication. Content management systems typically include the following capabilities: • Capture/create—import/upload multiple content types, use integrated scanning/imaging to convert paper documents, integrate with email and other business applications. • Manage—catalog; author/assign metadata; control access; manage workflow including intake, check-out/check-in, versioning, auditing, archiving, and deletion. • Store/preserve—provide both active and archive storage, de-duplication. • Deliver—search/access from multiple locations, print, publish to the web, share with other applications. Important considerations in implementing content and document management systems include the following: • Clarity on what the goals of the system are and how to measure success. • Governance, i.e., who will be tasked with establishing parameters for system utilization and handling issues as they arise.

Implementing and Sustaining Change 59 • Types of content/documents to be managed and potential overlaps with other systems. • Consistency in information organization, metadata, and terminology with other agency sys- tems to enable searches across systems and to foster a familiar method of information retrieval. • Clear expectations for who will be adding content, providing metadata, and cleaning up con- tent that is no longer needed. • Initial and ongoing support for the system. Lessons Learned from Electronic Document and Records Management System (EDRMS) Implementation (from National Archives of Australia) Implementation Should Be Business-Driven. The implementation of an EDRMS project was more than technology. The project was about improving digital information management and the way people work with digital information. Successful implementations that met business needs and were accepted by users had strong information technology support and involvement, but were not information-technology-driven initiatives. Change Management Is Required. Agencies felt that the implementation of an EDRMS should be treated as a change management project. Staff members were aware that new ways of working may be better for the agency as a whole but did not necessarily see any benefits to them and their work. Leadership Support Is a Critical Success Factor. With senior management champion- ing the project, all agencies acknowledged that implementation of an EDRMS had a better chance for success. Chief executive officers and branch heads using the EDRMS actually encouraged take-up throughout the agency. A Range of Skills and Experience Were Needed. Significant input was required from professionals with skills and experience in records and information man- agement, information technology, business analysis, project management, and change management. Support Transition in Staff Responsibilities. End users were sometimes required to assume more responsibility for managing their own records (for example, creating and naming electronic files). Some agencies acknowledged that they did not invest enough time in developing business rules and training staff in basic records management responsibilities. If business records had been kept in unstructured storage areas such as shared folders, email folders, and personal drives, the migration of these records to the EDRMS was a trigger for staff to use the new system. Some agencies held special events such as “records week” prior to the migration of documents stored on unstructured drives to the EDRMS. Source: adapted from “Implementing an EDRMS—Lessons from Agencies” (National Archives of Australia, 2011) Library Services and Information Provisioning As of 2009, 34 state DOTs had a transportation library (U.S. Department of Transportation, 2014). State DOT library collections generally include agency-specific information resources (e.g., agency research reports, plans, manuals, maps, photographs, and state transportation legis- lation) as well as national transportation information resources (e.g., engineering standards and

60 Leadership Guide for Strategic Information Management for State Departments of Transportation U.S. DOT, TRB, and AASHTO reports and journals). Some libraries provide access to subscrip- tion databases and curated web resources. Most libraries maintain a mix of print and digital collections, but have placed greater emphasis on digital collections in recent years. Transportation librarians bring formal training in library science and have expertise in the col- lection, organization, preservation, and dissemination of information resources. They also bring detailed knowledge of available transportation-related information sources. Many participate in transportation knowledge networks (U.S. Department of Transportation, 2015) that provide a valuable channel for sharing of policies and practices across peer agencies. Some DOTs are taking advantage of these unique capabilities and using their librarians to assist with developing web content, developing and managing controlled vocabularies (for broader application beyond indexing of library collections), creating metadata for data sets, performing literature reviews to support agency research, and providing reference and advisory services. Wisconsin DOT Transportation Library Web Site A unique aspect of the Wisconsin DOT library web site is the philosophy of part- nership with different areas and personnel within the DOT. Currently, more than a dozen staff members have web author rights to maintain separate areas of the library site by contributing their subject expertise to the design and content of the original site. The Office of General Counsel, Office of Public Affairs, Divi- sion of Motor Vehicles, Division of State Patrol, Bureau of Highway Operations (Research Section), to name a few, all have rights and separate areas within the library site that they maintain. The result is that the library is a central conduit and repository for others within the DOT. Source: (Wisconsin Department of Transportation, 2009) Metadata and Terminology Management Metadata Management Metadata is “structured information that describes, explains, locates, or otherwise makes it easier to retrieve, use, or manage an information resource” (National Information Standards Organization, 2004). Metadata comes in multiple forms, such as the following: • A data dictionary describing what each data element means, • A set of “tags” identifying the subject of a photograph, • A card catalog entry for a book, and • A detailed description of a data set. Creating and maintaining metadata is essential to effective information management. How- ever, maintaining metadata requires time and effort, and many organizations find it difficult to sustain metadata management without dedicated resources. Therefore, it is important to be judicious about defining minimum metadata requirements and then to make a commitment to ensure that they are followed. An agency’s library staff can be an important resource for metadata creation, providing rich expertise in information organization and classification. Defining consistent metadata elements across different agency information sources is a strategy that takes time and effort, but it can be a way to provide centralized access to information without actually having all of the content in one place. For example, some agencies have implemented metadata repositories that provide a single location to see information about all of an agency’s

Implementing and Sustaining Change 61 centrally managed databases, data tables, and data elements. With the growing emphasis on open data, the value of metadata is becoming more obvious, and practices for creating metadata are maturing (See Figure 14). Terminology Management Many DOTs have developed glossaries of terms in order to get new employees and partners up to speed and provide a precise common language. Glossaries can help to answer basic questions such as “What is a project?” or “What is the definition of a divided highway?” Other terminology management tools such as taxonomies and thesauri can be used to further define how differ- ent terms are related to one another (e.g., a crash is a synonym for a collision; coal is a type of commodity, etc.). TRB and U.S. DOT have worked for many years to create and maintain a set of standard terms for indexing transportation research products (the Transportation Research Thesaurus; Transportation Research Board, n.d.). Taxonomies can be integrated with content management systems to improve search capabilities (Will, 2013). For example, through tax- onomy management, users can find more specific, more inclusive, or related topics (Walli, 2014). Figure 14. Metadata from Data.gov. Source: (U.S. General Services Administration, 2015)

62 Leadership Guide for Strategic Information Management for State Departments of Transportation Software is available to support management of terminology, including taxonomy creation and implementation. This software may allow users to import existing taxonomies, automatically generate a new taxonomy, and automatically classify text into an existing taxonomy; it may also maintain taxonomies by updating related fields, which is important given the relational nature of taxonomy management (Walli, 2014). Enterprise Search Enterprise search capabilities allow users to search for content within and across different types of repositories in an organization. Enterprise search is generally much less effective than Internet search, since Internet search algorithms rely on the presence of millions of links across web pages Washington State DOT: Data or Term Search (DOTS) Metadata Repository and Taxonomy Management System Washington State DOT has implemented the DOTS metadata repository. DOTS contains data definitions and provides the business stewards of business terms and data objects so that users know who to go to for more information. DOTS also includes a search capability to provide users with access to more relevant information. As part of DOTS, a thesaurus management tool defines broader “parent” terms, narrower “child” terms, and related terms, which allows users to more easily find the appropriate terminology. This taxonomy management tool is integrated into the metadata repository, built around a hierarchical relationship between terms defined through the metadata. This enables users to access any available metadata for linked terms that are listed in the thesaurus. Source: (Everett, 2014). Images courtesy of Washington State Department of Transportation. Used with permission.

Implementing and Sustaining Change 63 (White, 2015). A poor search function for an agency intranet site or content management system can result in a lack of user confidence and ultimately lack of use. While enterprise search technology is constantly improving, it requires skillful configuration and ongoing maintenance in order to maximize search results. Configuration and maintenance involve monitoring of search terms that are used and deployment of strategies, including use of hand-picked “best bets” for the most frequent searches, weighting of results ranking based on preferred sources, and use of taxonomies to match search terms with synonyms or related terms. Development of “advanced search” and faceted search capabilities with appropriate facets is another activity that can dramatically improve the user search experience. There are a growing number of commercial search solution offerings that include capabilities for searches across different information repositories. Deployment of these solutions requires careful planning and design to navigate different access protocols and translate across different metadata elements. Information architecture activities (discussed above) can include work to harmonize metadata in order to reduce some of the challenges to configuration of cross-repository searches. Data Integration, Reporting, and Analytics Data Warehouses Data warehouses are a common approach to integrating data from multiple source systems to enable consistent reporting from a single, consolidated database. Whereas source systems (sometimes called “transactional systems”) are designed to efficiently add and update individual data records, a data warehouse is structured specifically to support reporting and analysis. Data warehouses can be used to provide trend data as well as support drill down capabilities that are useful for data exploration. Creating a data warehouse involves understanding the organization’s reporting and analysis requirements and then developing processes to “extract, transform, and load” data from various sources into the warehouse. Data warehouses take time, skill, and effort to design, build, and manage. Incremental implementation, prioritization of data and features based on value added, clear policies about what the data warehouse will and will not take on, sufficient ongoing staff resources, and expectation management are all important to success. Utah DOT: Data Warehouse Development The Utah DOT created UGATE, a data warehouse that provides access to a variety of agency data. UGATE initially focused on geospatial data, providing the internal data storage and organization to support UDOT’s UPLAN data portal. The Utah DOT is working to extend UGATE to include additional data on construction projects and related financial and asset data. Geographic Information Systems Most DOTs use GIS to integrate a variety of data based on location. Methods for creating, managing, and delivering spatial data are critical elements of a DOTs information management strategy. As GIS technologies have matured, spatial data are more integrated with conventional (non-spatial) database systems, and there are now end-user tools for creating and updating spa- tial data, creating maps, and performing spatial analysis. This shift allows DOTs to rethink how they manage and support spatial data. The shift also allows for increased emphasis on value- added analysis. For example, integrating GIS with asset management practices can help agencies understand asset condition, assess and manage risks, identify needs and work candidates, develop

64 Leadership Guide for Strategic Information Management for State Departments of Transportation programs, and manage and track work (Spy Pond Partners, LLC; Transcend Spatial Solutions, LLC; James P. Hall, 2015). Other Data Integration Methods While they are not used as commonly as GIS, middleware technologies are used by some orga- nizations to enable live integration of data from their source systems without physically moving data to a consolidated warehouse. Increasingly, service-oriented approaches are being implemented to provide access to data from different sources. For example, an agency building an application for displaying spatial data can access a variety of data sources that have been published as services. Agencies can also use data services as a way to provide authoritative versions of master codes (e.g., list of districts) used in multiple applications. In order to address integration of “big data”—encompassing continuous data streams, very large data sets, and varied formats—some vendors have been promoting the concept of a “data lakes.” Data lakes collect a variety of data sources in a single location. However, in contrast to a data warehouse, all data are stored in their native format. Specialized tools can then be used to explore and analyze the data to meet specific needs as they arise. There is some debate about the value of data lakes, and while some applications exist, the practice is still maturing (Stein & Morrison, 2014; Gartner, Inc., 2014). Reporting, Mapping, Business Intelligence, and Dashboards Reports, maps, dashboards, charts, and other interactive data and content exploration tools are the visible products of an organization’s information management initiatives. Without Colorado DOT: Your CDOT Dollar The Colorado DOT developed a dashboard for performance reporting (Your CDOT Dollar), which is also made publicly available online. This dashboard compares agency performance to the Colorado DOT long-range goal across different areas. It also displays a graph of recent historical performance, allowing the user to identify the performance trend. Users can further drill down into each of the categories to compare historical performance against historical targets, and view the annual performance together with the annual budget. Source: (Colorado Department of Transportation, n.d.)

Implementing and Sustaining Change 65 centralized planning and control, agencies may find a proliferation of tools and approaches created by users to meet specific needs, resulting in duplicated effort, confusion caused by inconsistently defined reports, and multiple uncoordinated efforts to resolve data issues. On the other hand, a completely centralized approach can create bottlenecks, stifle creativity, and leave a large gap between what users need and what is available. A middle ground approach is to identify the types of reporting needs that exist and identify some standard ways to meet these needs. For example, an agency can provide a combination of self-service tools for simple reporting from standard agency data sources and define a process for requesting information technology services for development of more complex reports. A proactive approach to meeting agency information access needs can reduce overall costs and provide higher quality solutions than would be found otherwise. However, strong leadership and governance is required to gain agreement on needs and to balance competing priorities. Big Data Analytics Big data sources—which include real-time data streams and unstructured or semi-structured data types (e.g., imagery or social media posts)—pose data management and analysis challenges. Big data cannot easily be stored in available agency databases or queried and summarized using existing tools. Big data analytics provide methods for transforming large volumes of data into information that agency staff and/or customers can use for decision-making purposes. Advanced statistical methods and artificial intelligence techniques are being applied to identify patterns and relationships and provide predictive capabilities. Data visualization techniques are an important adjunct to analytics, enabling analysts to derive information from data, for example: • Variations in congestion (including bottlenecks, delay, travel time variability) by location, time of day, day of week, and month of the year, as well as long-term trends. • Accident/incident heat maps showing spatial and temporal distribution by category/cause. • Comparison of automobile versus bicycle and transit mode share across geographic areas. • Patterns of weigh station violations by time of day and day of week. Through visualization and big data analytics, agencies can improve information management and make better use of available data. One compelling example of this is from United Parcel Service (UPS) and is shown in the text box titled “UPS On-Road Integrated Optimization and Navigation (‘ORION’).” UPS On-Road Integrated Optimization and Navigation (“ORION”) UPS had a wealth of data from vehicle sensors capturing engine performance, idling, and vehicle location and driver handhelds capturing delivery information. UPS was able to combine these sources, along with various UPS business rules, into the foundation of a system to optimize vehicle routing. By using the historical data processed from the vehicle sensors and driver handhelds, ORION was able to analyze approximately 200,000 route possibilities for a driver’s stops each day (an average of 120 stops per driver). Among other things, the optimization ultimately led UPS to minimize left turns when possible, as these led to wasted time and fuel due to idling. As of 2013, UPS had used ORION on 10,000 of its routes, saving fuel, decreasing fuel costs, and lowering emissions. The company expects full implementation on its routes by the end of 2016, with an expected annual savings of over $300 mil- lion and annual reductions of 100 million miles driven, 10 million gallons of fuel, and 100,000 metric tons of CO2 emissions. Sources: (Levis, 2014; UPS, 2015; BusinessIntelligence.com Staff, 2015)

66 Leadership Guide for Strategic Information Management for State Departments of Transportation Step 8. Foster Culture Change and Build Workforce Capabilities All successful information management improvements require attention to the human side of the equation, which involves assessing workforce capabilities and managing organizational change. There are two basic questions to ask: • Do we have people with the technical skills and experience needed to implement and support what the agency is trying to do? • How can we best support the kinds of organizational and behavioral changes that will be needed? Workforce Capabilities Implementing the information management services discussed in Step 7 requires a number of specialized skills. To maximize success, it is important to get the right people with the right com- petencies involved. Unfortunately, these skills may be in short supply at a DOT. In some cases, they do exist, but their presence may not be widely known. As a result, staff with engineering or general administrative skills may be asked to take on information management responsibilities as part of their jobs without the necessary background in information organization and cat- egorization, information preservation, metadata management, etc., and without sufficient time to build their knowledge base. Vendors and consultants can help to fill the gaps for new initiatives, but once they complete their assignment, there is still a need for skilled management, guidance, upkeep, and support of systems and processes. An assessment of required (and available) capabilities should be part of every information management initiative. See Table B-4 in Appendix B for a list of sample areas of expertise for selected types of information management functions. In addition to building information management capabilities into position descriptions, DOTs can consider ways to better leverage and coordinate resources that may already exist. For example, many DOTs employ professional librarians, who bring education and experience in information management. There may be staff within information technology units, records management functions, or other functional areas, with training in information needs assessment, business analysis, and information architecture. Once staff with relevant skills are identified, an information management community of practice could be established to offer support to staff who are less experienced and to enhance collabora- tion and coordination across different functions with information management responsibilities. Beyond ensuring that specialized information management capabilities are in place, DOTs can also consider initiatives to strengthen general information literacy among all employees. As illustrated in Figure 15, information literacy covers a wide range of skills for finding, gath- ering, using, managing, and presenting information. Key Points A wide variety of mature, well-proven information management services and enabling technologies are available to help agencies move toward their strategic information management vision. Agencies can develop specific initiatives for each of the six categories of services discussed in Step 7 based on identified needs and priorities. One approach to this is to identify a point person for each category to look at current agency practice and benchmark it against peer agencies and other organizations.

Implementing and Sustaining Change 67 Source: (SCONUL Working Group on Information Literacy, 2011) Figure 15. The Society of College, National and University Libraries (SCONUL) information literacy landscape. Colorado DOT: Bridging the Organizational Gap Between Business and Technology Whether in small private businesses or large government enterprises, communi- cating information business needs often must flow through information technol- ogy staff who speak their own technology lingo. In state transportation agencies, the responsibility of translating technology and information needs can often fall to professionals without strong technical experience. During SAP enterprise resource planning implementation in 2006, the Colorado DOT recognized the gap in understanding between its technology professionals—both staff and consultants—and the many users of the vast array of transportation infor- mation that would be managed in its new system. The Colorado DOT established the Business Process Expert position, creating about one dozen liaisons between data- base builders or code writers and the business side of the organization. The Business Process Experts combine a strong understanding of business processes with SAP insight and experience. They understand the business needs and pain points for both the Colorado DOT and their parts of the organization. The Business Process Experts work together to develop common approaches, solutions, and priorities for their departments and for the Colorado DOT.

68 Leadership Guide for Strategic Information Management for State Departments of Transportation The concept of building information literacy within business environments has been addressed in multiple studies (Williams, 2014). This body of material can provide a foundation for DOT information literacy training, potentially touching on the following topics: • The value of information for the employee’s job and to the agency as a whole. • The importance of sharing information and understanding of how to store and organize shared information. • Strategies for coping with information overload. • Methods for evaluating information needs. • Approaches to identifying available information sources, including online sources, physical sources, and people. • Strategies for leveraging available information services (e.g., reference desk and literature reviews). • Awareness of available search tools and efficient search techniques. • Critical interpretation and evaluation of information authenticity and applicability. • Information packaging and presentation. • Understanding of information sensitivity, privacy, and security. • Appropriate use of copyrighted material. • Version control. • File management (cleanup and backups). Managing Change Anyone who has been through implementation of a new information system, business pro- cess, or organizational structure understands that change management can mean the difference between success and failure. There are multiple dimensions to consider: • Do people understand why an initiative is being undertaken, and are they convinced that it is a good idea? • Are people motivated enough to change current ways of doing things? • Are there incentives (or disincentives) to the kind of collaboration and coordination needed for success? • Is there sufficient training in place to make sure people understand how to use new capabilities? For example, implementing a document management system will require people to start stor- ing their documents in the system and to create consistent metadata for each document. Even though this will benefit the organization as a whole, it will take more effort for the individual. A strategy for convincing and/or requiring employees to change their current behavior will be needed. Activities will also need to be planned for training and reinforcement to make sure the system is being used as intended. Human barriers to information management improvements that are related to resistance to change should be assessed and addressed as part of the planning for each initiative. These barriers can also be addressed more systemically in order to address entrenched ways of operating that are not in the agency’s best interest, such as information hoarding, failure to provide adequate documentation or metadata, and reluctance to collaborate on data collection or reporting initia- tives. Systemic improvements can also be initiated to improve workforce skills, capabilities, and motivations that are needed to operationalize and adhere to established information management policies and productively utilize available technologies.

Implementing and Sustaining Change 69 Step 9. Monitor Progress and Adjust Strategies Information management should be viewed as a continuous improvement process rather than a one-time project. Ongoing review of what has been accomplished and what needs adjustment is required. Without regular attention, it will be difficult to make sustained progress toward established goals and objectives. In addition, given normal employee turnover and changes in priorities, short-term gains in changing behavior can be lost without continual reinforcement. Updates and Course Corrections The information management leader and governance group (established in Step 4) should request regular (e.g., quarterly) updates on the progress, accomplishments, and outcomes of each initiative. These updates can inform decisions about allocating resources and interventions that may be required. A formal annual review of the information management plan and roadmap developed in Step 3 can provide a useful structure for assessing progress and making course corrections. Key questions to ask during this review are the following: • Are we doing what we planned to do? If not, why not? • Are we achieving what we hoped? If not, why not? Key Points Agencies seeking to improve information management will need to ensure that they have the right set of workforce skills to implement and manage new processes, services, and technologies. They will also need to recognize and address cultural barriers that may inhibit the kinds of changes in employee behavior that are important to success. Specific strategies to consider include the following: • Making strategic hires to build technical capabilities in weak areas or to intro- duce people to the organization who can promote changes to information management behaviors; • Updating employee position descriptions to include desired information man- agement skills; • Proactively identifying people with information management skills and form- ing an information management community of practice; • Conducting training to build information literacy; • Conducting an organizational culture assessment to gauge employee attitudes and identify specific barriers to target; • Highlighting roles, responsibilities, and expectations for information manage- ment behaviors in employee orientation and performance review activities; • Creation of guidance documents on best practices; and • Recognizing individuals or teams that exemplify good practice.

70 Leadership Guide for Strategic Information Management for State Departments of Transportation • Does our plan need to be adjusted to better reflect the constraints we face? • Should we adjust our resources and/or activities to enable faster progress? In addition to looking for areas where improvements or adjustments are needed, it is impor- tant to identify, document, and celebrate successes. Applying Management Frameworks A number of different management frameworks can help agencies with ongoing review and continuous improvement of information management practices (e.g., the Lean framework, the Six Sigma and Lean Six Sigma frameworks, the Balanced Scorecard framework, and the Baldridge framework). Although these frameworks were developed outside of the transportation industry, they have been applied by several DOTs. The Lean Framework: Improving Operations by Eliminating Waste The Lean process improvement framework (see Figure 16) was based primarily on the just-in-time manufacturing techniques put in place by Toyota. The goal of the Lean frame- work is to eliminate waste throughout the supply chain or work that adds no value to the product or service. The eight archetypes of waste are transport, inventory, motion, waiting, over production, over-processing, defects, and skills. Lean improves operations through data- driven experimentation and involves giving workers autonomy to find sources of efficiency in their jobs. Lean principles are implemented in most successful manufacturing companies. Although not as repetitive and tangibly defined as manufacturing processes, information management Source: (Sollerthoughts.com, 2010) Eliminate Waste Eliminate Variability Eliminate Inflexibility Rigorous Performance Management Involve Users in Improvements Figure 16. Lean framework cycle.

Implementing and Sustaining Change 71 Lean Principles Applied to Information Management Value: Specify value from the customer’s perspective—what value is the informa- tion providing to internal and external agency users? Value Stream: Identify the value-producing activities needed to capture, process, organize, store, retrieve, share, analyze, and communicate information. Flow: Make the process of producing information as efficient as possible through automation (e.g., replacement of paper-based processes) and elimination of old and redundant content that slows down efficient information retrieval. Pull: Make sure that information is produced only in response to a well-defined need, and provide information on demand using self-service methods. Perfection: Continue to seek improvements to the process; don’t rely on a one- time improvement effort. Colorado DOT The Colorado DOT launched a Lean process improvement program in 2011. The motto for the program is “Everyone, Every Day, Improving Every Process and Every Product, for Every Customer.” The program’s focus is to deliver excellent services and programs to citizens through the improvement of operations. CDOT uses Lean to create more value in the work it does on a daily basis by making sure its processes are effective and impactful. One Lean project has involved improving data consistency and accuracy for maintenance work orders. The goal is to make the work order easier to complete, cleaner to look at, and provide clear and consistent direction so that users spend less time and have fewer ques- tions about entering the data. The recommended improvements were • Consolidate two types of existing work orders for planned and reactive work and create a single work order for Maintenance, Traffic, and Specialty Units named “1DOT.” • Reduce the number of data fields from 300 to 99. • Make it easier to enter data into the new work order. • Make the new work order “error-proof” (e.g., through built-in data validation). Through their Lean process improvement projects, CDOT: • Hires employees 17% faster. • Issues Oversize and Overweight Permits 30% faster, enabling commercial vehicles to get their goods to where they need to go. • Reimburses transit project grantees 75% faster, getting dollars to benefit customers more quickly. • Uses inventions by CDOT employees to improve multiple areas—including a new hydraulic fluid holding box to improve environmental safety and techniques to speed repair of delineator posts.

72 Leadership Guide for Strategic Information Management for State Departments of Transportation processes can also benefit from applying the Lean framework. For example, DOTs can identify instances of the following: • Overproduction—producing or collecting more data than are needed by the agency. • Transport and motion—unnecessary movement of data and content across repositories. • Inventory—storage of data or content that are no longer needed. • Waiting—time lag for fulfillment of information requests. Time lags may be due to availability of staff for data processing, lack of the right data, lack of availability of proper hardware and software for analysis, or delays due to the need for manual review and approval processes. • Extra processing—extra activities that are performed when the agency doesn’t have the right information to meet information needs or is not managing its information efficiently. These activities may include “fire drill” efforts to produce requested reports, excessive time spent searching for information, and time spent recovering information that was lost. • Defects—poor quality information that does not meet user needs, and activities to identify defects that do not add value from a customer perspective. The Lean framework can be used to identify improvements to particular data programs or infor- mation management functions in a DOT (e.g., traffic monitoring or team document sharing). Potential improvement initiatives can be assessed based on the degree to which they can streamline processes and reduce waste. Six Sigma and Lean Six Sigma Frameworks for Process Improvement Six Sigma is a well-known process improvement methodology. It has been applied in a wide range of industries and business processes to increase speed, improve efficiency, and provide more consistent, better quality outputs. Many organizations report substantial cost savings as a result of applying Six Sigma. Applying Lean Six Sigma to Records Management A 2005 article describes how Lean Six Sigma can provide a standard approach that can be systematically applied to managing records. Records management can be a complex process involving diverse groups in an organization (e.g., legal, finance, human resources, information technology, and auditing in addition to the formal records management team). Define. Develop a problem statement based on assessment of policies and pro- cedures, retention schedules, systems, and controls. For example, issues might include excessive storage requirements, gaps in record keeping, duplicate copies, or lack of compliance. Measure. Map current records management processes and compile data on time, volume, frequency, impact, etc. Analyze. Pinpoint bottlenecks and identify opportunities to eliminate activities that do not add value. Improve. Implement solutions—piloting first as appropriate—including new technology, streamlined workflow, elimination of paper, creation of indices and taxonomies, etc. (continued on next page)

Implementing and Sustaining Change 73 Wisconsin DOT The Wisconsin DOT is actively engaged in improvements under the Governor’s Executive Order #66 that requires state agencies to implement a Lean govern- ment initiative. Lean Six Sigma is one approach the department uses to support continuous improvement. Within its Lean initiative projects, the Wisconsin DOT establishes performance baselines and metrics to measure improvements. The Wisconsin DOT ties the Lean process improvement projects with supporting its MAPSS (mobility, accountability, preservation, safety, and service) performance improvement program. Within MAPSS, the Wisconsin DOT measures perfor- mance results and reports quarterly on measures with top agency management. There were 43 process improvement projects completed as of June 2015 and 15 projects underway or planned for 2016. Many of these projects include infor- mation improvements, for example, the effort to improve the process for order- ing information technology hardware documented in “Simplify the IT Hardware Purchase Process and State Trunk Highway Network Data Processing.” The Wisconsin DOT is able to communicate that the 13 projects that were completed in fiscal 2015 have reduced 1,814 hours of process time and 232 days of lead time and eliminated 343 steps. Sources: (Wisconsin Department of Transportation, n.d.; Wisconsin Counties, 2013) Applying Lean Six Sigma to Records Management (Continued) Control. Establish auditing to quantify value (e.g., reduced risk, improved discovery and production, and cost avoidance) and evaluate reduction in redundancy and inefficiency. Track key process metrics and use these to promote continuous improve- ment. Revisit implementation after 3 to 6 months to ensure sustained progress. Source: (Brett & Queen, 2005)

74 Leadership Guide for Strategic Information Management for State Departments of Transportation Financial •Cost •Return on investment •Risk Customer •Number impacted •Extent of impact •Alignment with business goals •Open data support Process •Timeliness of info delivery •Info quality •Info production efficiency Learning and Innovation •Opportunity to build competencies •Positions agency to meet future needs Figure 18. Balanced Scorecard framework for information improvement initiatives. Six Sigma involves five steps (illustrated in Figure 17): • Define—establishes goals for improvement. • Measure—entails collecting data on the current process. • Analyze—uses the data to understand root causes of problems and identify improvements. • Improve—creates new processes and measures results. • Control—monitors for deviations from future goals. Lean Six Sigma combines Lean manufacturing methods with the Six Sigma methodology. Like Lean, Lean Six Sigma has most commonly been applied to manufacturing, but has broad applicability to improving any process, including information management. For example, Lean Six Sigma could be used to • Speed delivery of data to users by improving efficiency of data collection and processing; • Reduce duplication of information across multiple agency repositories; • Improve quality of data through application of more consistent quality management pro- cesses; and • Improve efficiency of external reporting processes. Balanced Scorecard Framework for Strategic Performance Management The Balanced Scorecard is a classic strategic management framework developed in the early 1990s (Kaplan & Norton, 2005). It provides senior executives with a high-level assessment of progress toward strategic goals of their organization. While originally developed for application to private, for-profit organizations, Balanced Scorecards have been used by many public-sector organizations, including several DOTs. As illustrated in Figure 18, the Balanced Scorecard includes four perspectives: • Financial performance or business value, • Customer satisfaction (internal and external), Source: (AASHTO, 2011) Figure 17. Six Sigma framework.

Implementing and Sustaining Change 75 • Process efficiency, and • Learning and innovation. The framework emphasizes that no single metric can capture all areas of the business or all performance targets. The Balanced Scorecard concept can be applied to strategic information management by establishing specific goals and performance measures for each of the four perspectives and then evaluating and scoring candidate initiatives based on the established measures. The Baldrige Framework: An Information-Based System for Comprehensive Organizational Improvement The Malcolm Baldrige Award was established in 1987 to promote quality awareness and inno- vation in U.S. companies. A study conducted by the AASHTO Standing Committee on Quality in the mid-2000s found that 29 states were using some modified version of the Baldrige criteria (Oasis Consulting Services, 2006). The Baldrige framework for performance excellence includes seven categories, as shown in Figure 19. The Measurement, Analysis, and Knowledge Management area is aligned with strate- gic information management and looks at two areas: (1) measurement, analysis, and improve- ment of organizational performance and (2) management of organizational knowledge assets, information, and information technology infrastructure. Like other quality frameworks, Baldrige emphasizes a process of continuous improvement based on periodic assessments to track progress. New Hampshire DOT The New Hampshire DOT adopted the Balanced Scorecard approach for perfor- mance management in 2011. It addresses the New Hampshire DOT’s three priori- ties: strategic management, performance measurement, and communication. The New Hampshire DOT had been measuring the performance and condition of the transportation system for many years. With the Balanced Scorecard approach, it expanded the measures collected and connected them to the DOT’s strate- gies. These measures do not cover all aspects of the New Hampshire DOT’s activi- ties, but were chosen because of their importance, ease of understanding, and ability to be tracked. These measures are key indicators of progress toward the New Hampshire DOT’s 12 strategic objectives. For each performance measure, the Scorecard reports data for the previous year, data for the current year, and data forecast for the next year, as well as providing projections and goals for 3 years in the future. Additional information for each performance measure is contained in the performance summary for each measure.

76 Leadership Guide for Strategic Information Management for State Departments of Transportation Maryland State Highway Administration (SHA) In recent years, SHA performed a statewide internal assessment based on the Malcolm Baldrige criteria for performance excellence. The Baldrige criteria are divided into seven categories: leadership; strategy; customers; measurement, analysis, and knowledge management; workforce; process; and results. At SHA, teams were formed for these different categories. Every senior manager was on one category team. Some of the results were that the entire senior management team met periodi- cally to discuss the budget process in order to have a more consistent approach to the budget and to promote efficiency and possible savings; a group worked with the assistant district engineers on a format to consistently decide when certain SHA assets should be retained for maintenance and when they should become candidates for capital projects; and the Workforce Planning Committee was expanded to be chaired by three senior managers and to broaden involve- ment across the agency. Source: (Burk, 2014) Source: (Baldrige Performance Excellence Program, 2015) Figure 19. Baldrige framework.

Implementing and Sustaining Change 77 Key Points This final step in the strategic information management process provides an essential feedback loop from implementation back to planning. This step emphasizes the fact that information management can be viewed as a continuous improvement process rather than a single initiative or project. As agencies go through the process of implementing improvements to information governance, information services, and information technologies, they will learn about what is working as intended and where refinements are needed in order to move closer to achieving the vision they have established. Agencies that are using management frameworks such as Lean, Lean Six Sigma, Balanced Scorecard, or Baldrige can apply these frameworks to information man- agement process improvement. The descriptions of these frameworks provided in this step can be used to identify opportunities for integrating consideration of information management within existing strategic management or business improvement practices.