Guidelines on Collaboration and Information Security for State DOTs (2023)

Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

12 A key objective of this research has been to provide state transportation agencies with an under- standing of best practices and business requirements to promote greater collaboration and the sharing of information and data in a safe, secure, and compliant way. As the chief output, an inter- active tool was developed that presents the business requirements for collaboration and the sharing of knowledge and data in day-to-day operations. This tool is designed to respond to the inputs of users so that they can obtain guidance reflecting the needs of their unique use case. Multiple additional research opportunities have been identified that could advance how state transportation agencies can more effectively promote or reduce barriers to collaboration, coordina- tion, and the sharing of data and information. Table 2 lists potential future research opportunities to be considered. C H A P T E R 4 Future Research Table 2. Future research opportunities. Opportunity Concept Rationale & Relevance Output Pilot use of the interactive tool in multiple agencies. Using the adoption plan (see Appendix B.4), ask multiple agencies to both populate the tool with their policies and procedures and have their staff use the tool to view the appropriate best practices and policies for their use case. These pilot implementations would validate the usefulness of the tool created by this project and provide the potential for improvements for furthering its adoption. Suggestions for any improvements needed to facilitate widespread adoption of the interactive tool. Conduct national assessment of current practices in collaboration and the sharing of information and data. Conduct an analysis of transportation agencies across all U.S. states to develop a comprehensive, in-depth inventory and classification of current practices related to collaboration and the sharing of information. Such research would include an assessment of knowledge management practices, cybersecurity practices, and agency vulnerabilities, as well as barriers that impede best practices. The current research explored only a sample of agencies. A nationwide inventory and classification of current practices would serve as a foundational point for all related future research described in this table. The intent of current research was to identify best practices, but it did not result in a comprehensive inventory or classification of these practices. Research findings: a state-by-state inventory and classification of current collaboration and data-sharing practices.

Future Research 13   (continued on next page) Opportunity Concept Rationale & Relevance Output Measure and establish performance benchmarks for the practices of collaboration and the sharing of information and data. Research to measure and establish performance benchmarks for the practices of collaboration and the sharing of information and data would entail quantifying the key outcomes from best practices in order to establish industry-wide norms of comparative performance. This area of research is novel. Performance has not been quantified and no performance benchmarks have been established for best practices. The establishment of performance measures would promote the adoption of best practices across transportation agencies. Technical assistance: a common set of performance metrics and standards. Develop a capability maturity model for organizations’ collaboration and sharing of information and data. Conduct research to define and quantify an organization’s level of capability for collaborating and sharing information and data and to develop an appropriate index model for practice maturity related to these activities. Currently, no comparative scale exists to help state agencies benchmark their current or desired capabilities. A capability maturity model would support state agency initiatives to obtain and measure progress toward developing its capabilities. Maturity is based on an organization’s fulfillment of its unique needs pertaining to collaboration and the sharing of information and data. The utilization of an index model could provide transportation agencies with an effective assessment of their capabilities in this area. Technical assistance: a standardized capability maturity model. Conduct national assessment of current state agency guidelines for collaboration and the sharing of information and data. Perform an analysis of transportation agency guidelines and policies across all U.S. states to develop a comprehensive, in-depth inventory and classification of those guidelines and policies that are related to the safe, secure, and compliant practice of collaboration and sharing of information and data. Formal guidelines and policies are central to promoting or impeding safe, secure, and compliant collaboration and sharing of information and data among transportation agency staff. An inventory and classification of current agency guidelines and policies would promote alignment of practices across states and would enable the development of standardized best practices nationally. This research project did not assess current policies and guidelines of agencies. Research findings: a state-by-state inventory and classification of transportation guidelines and policies pertaining to collaboration and the sharing of data and information. Develop performance standards for the practices of collaboration and the sharing of information and data. Develop performance standards for the practices of collaboration and the sharing of information and data that would be applicable to transportation agencies. This would entail identifying and quantifying key outcomes from best practices. This area of research is novel. No performance measures have been established for best practices for collaboration and the sharing of information and data. Establishing performance measures would promote the adoption of best practices across transportation agencies. Technical assistance: a common set of performance measures. Table 2. (Continued).

14 Guidelines on Collaboration and Information Security for State DOTs Table 2. (Continued). Opportunity Concept Rationale & Relevance Output Develop a self- assessment tool for Knowledge Asset inventory classification and assessment. Conduct research to develop a self-assessment tool that would enable state transportation agencies to identify, assess and classify their Knowledge Assets under management that might be the subject of—or used for—the activities of collaboration and sharing of information and data. The self-assessment tool would provide a means to evaluate the value, uses, vulnerabilities, and requirements for each Knowledge Asset. A self-assessment tool would enable state transportation agencies to manage their Knowledge Assets more effectively as a strategic portfolio. This would help state agencies develop guidelines and practices designed to promote greater collaboration and sharing activities involving these assets on a safe, secure basis. Technical assistance: a self-assessment tool. Develop a self- assessment tool for state agency performance. Conduct research to develop a self-assessment tool for state agencies to gauge performance and capabilities around collaboration and sharing of information and data. This would entail creating a process that agencies could apply to assess their state of current performance against the capability maturity model. Currently, there are no tools designed specifically to help state transportation agencies assess their capabilities pertaining to collaboration and the sharing of information and data. Such a tool would be critical to support state initiatives to obtain and measure progress toward the development of key capabilities. Technical assistance: a self-assessment tool. Develop a self- assessment tool for vulnerability and barriers. Conduct research to develop a self-assessment tool for state agencies to identify specific points of vulnerability with respect to cybersecurity, propriety, or privacy as well as barriers to the safe, secure, and compliant practice of collaboration and sharing of information and data. Ensuring safety, security, and compliance is a critical foundation that enables the practices of collaboration and the sharing of information and data. Currently, there are no tools available that help state transportation agencies assess their vulnerabilities and impediments to greater collaboration and sharing of information and data. Such a tool would be critical to support state initiatives to obtain and measure progress toward addressing key barriers. Technical assistance: a self-assessment tool.

Future Research 15   Table 2. (Continued). Opportunity Concept Rationale & Relevance Output Bespoke Strengths, Weaknesses, Opportunities, and Threats (SWOT) analysis of current practices and recommendations on a state-by-state basis. Conduct a state-by-state analysis of the SWOT associated with each state’s transportation agency practices (including guidelines and policies) relevant to collaboration and the sharing of information and data. Practices of collaboration and the sharing of information and data, and corresponding needs and requirements to achieve best practices, differ widely across states and transportation agencies. This results in a wide variety of use cases and needs-states that preclude the usefulness of a one-size-fits all approach to analysis and recommendations. A state-by- state approach using a common framework will address this drawback. Technical assistance: bespoke findings and recommendations for individual states.