Mid-America Regional Council Pilot of the Data Business Plan for State and Local Departments of Transportation: Data Business Plan

Appendix E. Example Data Governance Manual

Introduction

This Data Coordination Manual provides comprehensive guide to members of the U.S. Department of Transportation (DOT) Roadway Mobility Data Coordination Group (hereafter called the Coordination Group) on the background and purpose of the Coordination Group, its overall structure, the kinds of topics that the Coordination Group addresses, how the Coordination Group works, expectations of Coordination Group members, and a plan for measuring the outcomes and overall success of the Coordination Group.

The following provides a basic understanding and overview of the Coordination Group:

• The Coordination Group is a forum for facilitating cross organizational collaboration, data sharing, and integration of roadway travel mobility data within U.S. DOT to address gaps and redundancies documented in the U.S. DOT Roadway Transportation Data Business Plan (DBP) (Phase 1),² and to collaborate on data management functions related to roadway travel mobility data.
• Since the Federal Highway Administration (FHWA) is the largest provider of roadway mobility data, the Coordination Group is managed under the Operations Regime of FHWA's Data Governance Advisory Council (DGAC).
• The Coordination Group includes members from other DGAC regimes, such as Planning, Policy and Research, as well as from other operating administrations and programs of the Department.
• Coordination Group activities and priorities are guided by the DBP, which documents stakeholder needs and gaps related to roadway travel mobility data programs and data business planning within U.S. DOT; establishes a framework for data coordination; and provides recommendations regarding data management functions related to roadway travel mobility data.
• The culture of the Coordination Group is one of collaboration and mutual trust, with shared ownership of decisionmaking as a key characteristic.

What Is the Roadway Mobility Data Coordination Group?

The Coordination Group is charged with facilitating cross organizational collaboration, data sharing, and integration of roadway travel mobility data within U.S. DOT to address gaps and redundancies (documented in the U.S. DOT Roadway Transportation DBP (Phase 1) report)³ and to collaborate on data management functions related to roadway travel mobility data.

Roadway travel mobility data includes travel data from roadway travel modes, including vehicle, truck freight, bicycle/pedestrian, and transit.

Travel data includes vehicle volume, speed, and lane occupancy data, as well as connected vehicle data such as vehicle location, presence and speed within the system, internal vehicle status such as fuel consumption rate, or externally measured data such as recorded external temperature. Travel data for transit vehicles could include location, speed, and status data, as well as passenger counts and schedule adherence data. Freight carriers may supplement a standard location and position report with gross weight data or data regarding the type and time-critical nature of goods carried. Public sector fleet vehicles may be able to contribute other key data related to their primary functions, such as snowplows reporting blade position or estimates of roadway snow depth. Additional travel data could include a multimodal trace of individual travelers through the transportation system.

The need for the Coordination Group evolved from the white paper, Needs and Gaps in the Operation and Coordination of U.S. DOT Data Capture and Management Programs, which was commissioned by the FHWA Office of Operations, Office of Transportation Management (HOTM) to examine current data capture and management activities across various U.S. DOT program areas, and identify gaps and potential opportunities to effectively and efficiently coordinate and manage the programs' activities. The white paper identified the need for a communication and coordination mechanism at the Federal level through formation of a data coordination team to address the gaps and share issues related to the capture and management of roadway travel mobility data.

The U.S. DOT Roadway Transportation DBP (Phase 1) report formalized the recommendation and proposed an initial structure, framework, and rules of engagement for the Coordination Group. The DBP also established that the scope of the Coordination Group be limited to formally recognized data programs within U.S. DOT that involve the collection, analysis, or reporting of roadway travel mobility data.

The member offices of the Coordination Group are listed in Table 9.

Table 9. Coordination group member offices.

Membership
OST-R/Intelligent Transportation Systems Joint Program Office (HOIT)
Bureau of Transportation Statistics (BTS)
FHWA Office of Highway Policy Information (HPPI)
FHWA Office of Program Performance Management (TPM)
FHWA Office of Transportation Management (HOTM)
FHWA Office of Transportation Operations Road Weather Management (HOTO)
FHWA Office of Transportation Operations Research & Development (HRDO)
FHWA Office of Human Environment (HEPH)
FHWA Office of Planning (HEPP)
FHWA Office of Freight Management & Operations (HOFM)
Federal Motor Carrier Safety Association (FMCSA)

How Is the Coordination Group Structured?

The Coordination Group is managed under the Operations Regime of the FHWA DGAC, which is formally chartered and empowered to provide strategic review and oversight of all FHWA data collection efforts. The DGAC has authority and responsibility to corporately advise on the utilization of FHWA's data resources, and recommend major changes in FHWA data collection efforts that will result in increased consistency and coordination between existing and new data programs; the elimination of redundant data collection; the consolidation of data sources and resources; and compliance with external mandates.

As documented in FHWA Data Governance Plan Volume 1: Data Governance Primer (draft February 2014), data governance at FHWA comprises the following three-tiered hierarchy:

• Data Governance Advisory Council. The DGAC is responsible for developing the FHWA Data Governance Plan and Framework and serves as the point of contact for coordinating data collection efforts with other modes within the Department and with other branches of government. The DGAC is assisted by Technical Advisors that assist in developing formal documentation on data governance principles, and provide input into the decisionmaking process.
• Data Governance Regimes and Coordinators. Regimes are responsible for coordinating with individual data programs, and ensuring that the Data Governance Plan and Framework are adhered to, while Regime Coordinators liaison with the DGAC and provide oversight of stewardship and management processes of data programs within their regime. There are 12 Data Governance Regimes:
  • Headquarters (HQ) Administrative.
  • Financial.
  • Planning.
  • Operations.
  • Policy.
  • Research.
  • Infrastructure.
  • Chief Counsel.
  • Safety.
  • Federal Lands.
  • Division Office.
  • Technical Services.
• Data Stewards. Data Stewards are subject matter experts and points of contact for the data programs they oversee. They are responsible for managing their data programs in accordance with the processes and procedures established by the DGAC and the Regime Coordinator.

The Coordination Group is managed under the Operations Regime of the DGAC, with members from other DGAC regimes, such as Planning, Policy and Research, as well as from other operating administrations and programs of the Department. Figure 3 shows how the Coordination Group fits within the DGAC framework. The Coordination Group also influences other activities/areas outside of FHWA (such as safety).

The structure for the Coordination Group comprises the Coordination Group Chair/Co chair, the Coordination Group itself, Working Groups, and Supporting Staff, as shown in Figure 4:

• Roadway Mobility Data Coordination Group Chair/Co chair. The Chair/Co chair are designated individuals from within the FHWA Office of Operations and one member agency representative who would co chair the Roadway Mobility Data Coordination Group and liaison with the FHWA DGAC and other offices outside of FHWA (such as Safety). The FHWA Office of Operations DBP champion (Walter During) would serve as the permanent chair, while the rotating Co chair would be selected from one member agency representative.
• Roadway Mobility Data Coordination Group. The Coordination Group consists of designated individuals within U.S. DOT who are responsible for the oversight of roadway travel mobility data programs to support the business functions of their offices.
• Working Groups. Working Groups may be temporarily formed to address issues that are pertinent to a specific type of mobility data (e.g., travel data, connected vehicle data, climate data, etc.) or that cross cut multiple types of mobility data (e.g., data quality, data standards, data privacy and security, analysis tools, etc.). Working Groups can also be formed to conduct work on specific activities deemed necessary by the Coordination Group (e.g., provide comments on upcoming Request for Proposals (RFP), develop a Strategy Document for the Coordination Group, oversee coordination project activities, etc.).
• Supporting Staff. Supporting staff provide administrative support and technical guide to the Chair/Co chair, Roadway Mobility Data Coordination Group and Working Groups, as needed. Supporting staff members include consultants and other administrative staff support as needed.

What Kind of Topics Does the Coordination Group Address?

The Coordination Group is intended to be a forum for U.S. DOT and FHWA stakeholders involved with roadway travel mobility data to coordinate on the following types of activities:

• Share RFPs for current and upcoming initiatives related to roadway travel mobility data.
• Review and provide input on possible FHWA procurement actions related to roadway travel mobility data.
• Share current initiatives, activities, and/or best practices related to roadway travel mobility data, including data strategies, policies, standards, metadata, architecture, procedures, metrics, etc.
• Participate in in-depth vetting of data standards/procedures and standards for linear referencing attributes/terminology to facilitate sharing/integration of U.S. DOT roadway travel mobility data.
• To the extent possible, identify and address gaps and redundancies (documented in the DBP) in mobility data programs within their respective offices.
• Identify needs and opportunities to coordinate resources, reduce data redundancies, and implement cost sharing strategies for the collection, management, and maintenance of roadway travel mobility data.
• Identify needs and opportunities to reduce redundancy in the development and maintenance of duplicate data systems, promote efficiency in system maintenance, and promote open-source initiatives.
• Identify needs and opportunities to integrate national data sets to support performance measurement and asset management purposes.
• Identify needs and opportunities to create links between existing data sets and connected vehicle data sets in the future.
• Identify needs and opportunities to enhance access to information and data for roadway travel mobility data programs, including the need for Web portals accessible by internal and external stakeholders to share data and information as needed.
• Identify and oversee potential data coordination projects or additional research needed to demonstrate reduced cost or improved Federal capability.
• Identify potential funding to conduct agreed-upon research projects and data coordination activities.
• Understand and promote the value of data as a U.S. DOT-wide asset.

Data Coordination Projects

Data coordination projects will be conducted to demonstrate the benefit and value of the DBP in terms of reduced cost or improved efficiency in business operations and work processes. The Coordination Group will be responsible for identifying and overseeing potential data coordination projects or research topics of interest to them, as well as potential funding sources to conduct agreed upon projects.

The following types of projects have been identified by the Coordination Group:

• Development of a searchable, sustainable, current data catalog and SharePoint site for Coordination Group members to share internal information on projects, and inform offices of upcoming initiatives related to roadway travel mobility data.
• Develop guide on developing DBPs for States and local jurisdictions.
• Investigate "big data" sources, such as crowdsourcing, social media, and private sector data sources that have not been traditionally utilized as sources for roadway travel mobility data.
• Investigate how current standards, such as the National Information Exchange Model (NIEM) and open-source, could be applied within the DBP or within an individual stakeholder office.
• Develop a tool for visualizing and analyzing large roadway travel mobility data sets within a cloud environment.

A complete list of candidate data coordination project concepts will be maintained on the Roadway Mobility Data Coordination Group Document Share site (FHWA internal site) (https://collaboration.fhwa.dot.gov/dot/fhwa/xhcx/dbp/default.aspx). Work on the first project concept will be conducted by Cambridge Systematics as part of the DBP (Phase III) project, Implementation and Maintenance of the Overall Mobility Data Coordination Group.

How Does the Coordination Group Work?

Meetings

The Coordination Group meets quarterly on the first Tuesday of the months of March, June, September, and December to discuss data management/coordination issues. An annual one-day symposium/working meeting will be convened at the time of the March meeting for members to share information on current initiatives, activities, and best practices; and to establish and review the strategic direction and priorities for the Coordination Group for the coming year.

Meetings and teleconferences will be announced at least a week in advance, and conducted in accordance with a published agenda. Coordination Group members will be asked to update the group on their office's current initiatives and activities related to roadway travel mobility data. A draft agenda and any requests for presentations/updates will be sent to Coordination Group members in advance of the meeting. Members may request that additional discussion topics be added to the agenda by notifying the Chair/Co chair.

Meetings are normally open to all interested parties, but may be restricted to Federal participants when necessary (e.g., when RFPs or other upcoming initiatives are shared). Draft minutes documenting action items and responsibilities will be circulated to all members following the meeting. The meeting announcement and final minutes will be posted within two weeks on the Roadway Mobility Data Coordination Group Document Share site (FHWA internal site) (https://collaboration.fhwa.dot.gov/dot/fhwa/xhcx/dbp/default.aspx).

Coordination Group members seeking input on RFPs and other procurement actions related to roadway travel mobility data should share the RFP with the Chair/Co chair, who will decide whether it should be distributed to Coordination Group members for input/review. The Chair/Co chair will also decide the review mechanism (e.g., form a Working Group, distribute the RFP for review by all Coordination Group members, etc.), duration of review period, and whether to initiate a meeting to resolve issues.

Working Groups

The Coordination Group will be supported by Working Groups that are temporarily formed to address needs/gaps that are pertinent to a specific type of roadway travel mobility data (e.g., travel data, connected vehicle data, climate data, etc.) or that cross cut multiple types of roadway travel mobility data (e.g., data quality, data standards, data privacy and security, analysis tools, etc.). Working Groups may also be formed to conduct work on specific activities deemed necessary by the Coordination Group (e.g., provide comments on upcoming RFPs, develop a Strategy Document for the Coordination Group, oversee data coordination project activities, etc.).

A request to form a Working Group may be made by the Chair/Co chair, any Coordination Group member, or through consensus by the Coordination Group. Working Groups will consist of two to four interested members, with one member serving as the lead and the remaining members serving as key content reviewers.

Working Groups will meet via conference call or in person as agreed upon by members of the group. The Working Group leader will report on their results at the next regularly scheduled Coordination Group meeting. The Working Group may be disbanded after their work is complete.

Data Coordination Mechanisms

Document Share Site

The Roadway Mobility Data Coordination Group Document Share site (FHWA internal site) (https://collaboration.fhwa.dot.gov/dot/fhwa/xhcx/dbp/default.aspx) will be used as a clearinghouse for Coordination Group members to share best practice documents and Coordination Group documents, meeting announcements, and meeting summaries. Hyperlinking to Share Site documents will be used for sending out requests for document review/comments to members.

Awards

The Coordination Group will give annual awards to recognize significant contributions that advance the DBP's goal to improve coordination and communication mechanisms across U.S. DOT and FHWA offices involved with roadway travel mobility data. In addition to a custom-designed award, recipients receive recognition for their efforts at the annual symposium/working meeting convened at the time of the March meeting.

Each year, nominations for the award will be accepted by members of the Coordination Group. To submit a nomination, the nominator must submit the following information:

• Nominator's name, office, title, address, phone number, and email.
• Nominee's name (or contact person for a nominated organization or program), office, title, address, phone number, and email.
• A narrative, not to exceed 500 words, in support of the nomination, addressing the following areas:
  • Provide a clear, direct, and specific statement of why the nominee deserves recognition.
  • Elaborate on why the nominee's accomplishments are worthy of the award, including what the nominee did (e.g., projects, activities), any challenges or issues encountered and overcome, how they did it (initiative/leadership, teamwork/collaboration, and/or creativity/innovation), and the results/outcomes (or major milestones) that the nominee's efforts accomplished.

Nominations should be submitted to the Coordination Group Chair by January 31^st of each year. A Working Group will be formed to review nominations and select a winner, which will be announced during the annual symposium/working meeting.

What Is Expected of Members?

Members of the Coordination Group shall:

• Maintain a culture of collaboration and mutual trust by regularly attending and participating in quarterly Coordination Group meetings and Working Groups and presenting their office perspective.
• To the extent possible, identify and address gaps and redundancies in roadway travel mobility data programs within their respective offices.
• Identify data standards and stewardship recommendations for consideration by the FHWA Data Governance Advisory Council.
• Engage Coordination Group members in procurement decisions by sharing RFPs for current and upcoming initiatives related to roadway travel mobility data.
• Develop recommended language for insertion into Statements of Work.
• Share best practices related to roadway travel mobility data, including data strategies, policies, standards, metadata, architecture, procedures, and metrics.
• Ensure that Coordination Group best practices are communicated to data stewards within their respective office.
• Identify potential data coordination projects or additional research needed to demonstrate reduced cost or improved Federal capability.
• Identify potential funding to conduct agreed upon research projects and data coordination activities.
• Provide feedback on research project ideas.

Coordination Group products include:

• Documentation of best practices related to roadway travel mobility data, including data strategies, policies, standards, metadata, architecture, procedures, and metrics.
• Recommendations for enhancements to Statements of Work or RFPs for current and upcoming procurements related to roadway travel mobility data.
• Completion of data coordination projects and research activities that reduce costs or improve the quality and effectiveness of roadway mobility data.

How Will Success of the Coordination Group Be Measured?

The Data Business Plan outlined the expected outcomes of improved coordination of roadway travel mobility data programs through the Coordination Group, which include:

• Improved availability of data to support planning, operations, and performance measure activities.
• Elimination of redundant data collection efforts, resulting in a decrease in possible expenditure for duplicate data.
• More rapid, targeted data acquisitions.
• Broader sharing of data resources.
• Systematic coordination and clarification of data-related federal policy.
• Reduced data collection and management costs.
• Better serve the needs of customers of FHWA.
• Improved efficiency in business operations and work processes through use of data-sharing technology.
• Consensus in the use of streamlined data sources across organizational business units.

Success of the Coordination Group will be assessed using performance indicators to measure program activities (i.e., outputs), and confirm the program is effectively delivering results (i.e., outcomes). The linkages between program activities (i.e., outputs) and expected outcomes (both immediate and long term) are shown in Figure 5.

Performance indicators for Coordination Group activities (i.e., outputs) and outcomes are shown in Figure 6, and Figure 7, respectively. Output indicators quantify the activities of the Coordination Group and reflect the level of effort expended or scale/scope of activities. These indicators are both qualitative and quantitative in nature, and will be assessed on an annual basis as part of the DBP Annual Update. Outcome indicators quantify the effectiveness of the Coordination Group in terms of meeting its mission and stated goals. These indicators will depend on the availability of internal U.S. DOT data to support calculation of the measure, and they may be refined as implementation of the DBP continues. After three years, an assessment of the effectiveness of the group will be made using the outcome indicators, and the Coordination Group will decide whether to continue its activities or disband the group.

What Additional Documentation Is Available?

The following supporting documents provide additional information on the history of the Coordination Group and U.S. DOT Roadway Transportation Data Business Plan:

• Data Capture and Management: Needs and Gaps in the Operation and Coordination of U.S. DOT Data Capture and Management Programs. This white paper examines current data capture and management activities across various U.S. DOT program areas, and identified gaps and potential opportunities for filling the gaps to effectively and efficiently coordinate and manage the programs' activities. The primary recommendation from the white paper was that the HOTM develop a DBP to address the gaps identified in the paper.
• U.S. DOT Roadway Transportation Data Business Plan (Phase I): Data Business Plan (January 2013). This report documents the results of Phase 1 of the DBP, which serves to improve coordination among real-time data capture programs within U.S. DOT by clearly defining U.S. DOT needs for real-time data, address gaps and overlaps in program needs with respect to stakeholders, and ultimately result in cost savings for U.S. DOT. (Available at: https://rosap.ntl.bts.gov/view/dot/26503)
• U.S DOT Roadway Transportation Data Business Plan (Phase II): Data Business Plan (June 2013). This report documents the results of Phase 2 of the DBP, which includes execution of the DBP coordination, as well as conducting two data integration test pilots to demonstrate the benefits and value of the DBP. (Available at: https://rosap.ntl.bts.gov/view/dot/26508)

Who Is the Key Contact for Information?

The key FHWA contact for additional information on the Coordination Group and U.S. DOT Roadway Transportation Data Business Plan is:

Walter During, P.E.
FHWA, Operations Office of Transportation Management (HOTM-1)
1200 New Jersey Avenue, S.E. E86-317
Washington, DC 20590
(202) 366-8959 Office
(202) 366-3225 Fax
Email walter.during@dot.gov