Open Government Plan - Chapter 1

DOT’s Open Government and Public Engagement Strategy

Chapter One explains the DOT’s approach towards formulating the Open Government Plan, which looks at the critical technology, culture, and policy issues that impact Open Government activities. This chapter also details how DOT leadership and employees from across the department worked together to help create the plan, and how DOT solicited and incorporated public feedback into the plan.

Index

Overview

With over 80 percent of its budget dedicated to grants, DOT is externally focused. As a result, DOT’s ability to engage effectively with stakeholders, grantees, appropriators and other partners, in addition to the general public, is critical. There are currently many low- and high-tech channels for stakeholders and the general public to engage with DOT. Most opportunities for collaboration and participation are ongoing, lending themselves to social media and Web 2.0 tools. Open Government provides an opportunity to improve collaboration not only with the general public, but also with specialized groups that have transportation interests. Since the publication of the last Open Government Plan in 2010, DOT has made significant strides to enhance public and stakeholder engagement.

DOT is committed to sharing information and data to encourage opportunities for public feedback, creating opportunities for public participation in the business of DOT, and building opportunities for collaboration and coordination. This commitment is illustrated by the Public Engagement Model that DOT embraced in 2011 (see Figure 1).

This model closely follows the principles of transparency, participation, and collaboration as articulated in the Open Government Directive and also the goals articulated in DOT’s first Open Government Plan, which included:

• Increase Agency Transparency and Accountability by:
  • Presenting in a clear manner DOT information about programs and objectives; and
  • Continuing to release DOT data in a timely manner by proactively making it available online in consistent, open formats, while ensuring accuracy and protecting privacy, security, and confidentiality.
• Apply Citizen Knowledge Through Participation to Government Service by:
  • Maintaining commitment to collecting and responding to public input on DOT policies and programs in innovative ways; and
  • Continuing to create opportunities for public participation in problem identification and idea generation.
• Encourage Collaboration and Innovation by:
  • Enhancing collaboration with other Federal agencies, the private sector, and other non-government organizations in providing mission-related services; and
  • Enhancing efforts to stimulate innovation from DOT data and information.
• Institutionalize an Open DOT Culture by:
  • Encouraging commitment to Open Government principles at all levels;
  • Encouraging a cross-modal, interdisciplinary, collaborative, and engaged workforce through enhanced communication, governance, and guidance regarding Open Government tools and programs; and
  • Maintaining commitment to data-driven DOT decisionmaking, by increasing employee awareness of DOT data and information.

The model illustrated in Figure 1 highlights the goals and objectives articulated in the first Open Government Plan and recognizes that those principles build upon each other to foster effective public engagement in decisionmaking and service delivery. Furthermore, there are increasingly more tools available to DOT to engage across the spectrum illustrated in Figure 1. Some of these tools (listed in Table 1) are technology-based, whereas others are an approach or methodology. Many of the tools identified in Table 1 have a long history at DOT while others are much newer. For the purpose of this Plan, DOT is committing to advancing the use of several of the newer tools for engagement (listed in bold in the table below), which include: the data.gov Web site and open data communities; DOT Web sites and data visualization; social media; Web-based online dialogues; regs.dot.gov; collaboration with coalitions and industry partners; and collaborative workspaces.

Section 1.1: Tools for Enhancing Transparency, Public Participation and Collaboration Opportunities at DOT

This section describes the priority engagement and Open Government tools for DOT for the next two years. Chapter 3 will describe broad initiatives and specific activities that leverage these tools to make DOT more transparent, participatory and collaborative.

Section 1.1.1: Data.gov Web site and Open Data Communities

DOT has been an active participant in the data.gov initiative. The strategies outlined in our first Open Government Plan align with the requirements of the Open Government Directive and have been at the core of our open data efforts over the last two years. DOT remains committed to:

• Driving innovation by tapping into the ingenuity of the American people;
• Increasing agency accountability; and
• Solidifying the connection between the Department’s services and individual citizens, businesses, governmental bodies, universities, and other non-government organizations.

DOT has published its data inventory, developed guidelines for prioritizing data release, released 707 datasets on data.gov, and issued a regulatory enforcement and compliance plan that was recognized as an excellent example of transparency in government. DOT’s customer service plan includes a signature initiative that is responsive to public feedback, focuses on releasing enforcement and compliance data in modern formats, and encourages of novel presentation and reuse.

DOT has established a policy that any dataset published online should also be published to data.gov, and continues to make progress in enforcing this requirement. One way DOT is encouraging compliance with this directive is through participation in data.gov communities. For example, DOT data can be found in the law community, and DOT is taking the lead in developing a safety community on data.gov (see Section 3.2.3 of this Plan). DOT is also committed to continuously improving the utility and availability of its regulatory enforcement and compliance information (see Sections 3.2.1 and 3.2.2 of this Plan).

Section 1.1.2: DOT Web sites and Data Visualization

DOT has a long-standing commitment to not only make data available but to also tell the story surrounding its data through data visualizations. For example, the Bureau of Transportation Statistics provides information-rich visualizations through its Web site. In the last two years, DOT has taken steps to make new visualizations available on a wide variety of topics:

• Through the Partnership for Sustainable Communities site, it is now possible to see the impact that the Department of Housing and Urban Development (HUD), DOT, and the Environmental Protection Agency (EPA) are having in communities across the U.S. using a map.
• Building on that new feature, DOT also makes information available about the community impact of its Transportation Investments Generating Economic Recovery (TIGER) site.
• The Federal Highway Administration provides unprecedented visibility into the impact of the American Recovery and Reinvestment Act (ARRA) investments through the Recovery Act Data System Map Viewer.
• The Research and Innovative Technology Administration has launched a new tool to visualize State Transportation Facts and Figures.
• DOT has the highest number of high priority infrastructure projects available on the Administration’s Permits and Reviews Dashboard.

Each of these sites tells a different story – providing transparency and information on impact, process, and results across a wide range of programs at DOT. In the coming two years, DOT will continue to build its Web-based capacity for visualization by enabling new capabilities at a central point of access, providing for greater transparency into the process and results of the TIGER program through the TIGER Web site, and enhancing the way performance information is communicated. See Sections 3.3 and 3.4 for more information.

Section 1.1.3: Social Media

DOT recognizes that through new media opportunities such as blogging, webcasting, Facebook and Twitter, the Department’s message can be further amplified. New media tools can be used to gather insights, knowledge, expertise and experiences. These tools give DOT an opportunity to invite input on DOT issues, including policies and programs, while building opportunities for collaboration and coordination.

After the publication of the Open Government Plan in 2010, DOT developed a comprehensive social media strategy to lay the groundwork for appropriately leveraging social media at DOT, managing risks and establishing guidelines and expectations around official, professional, and personal use. As a companion to the policy, DOT launched a Web 2.0 catalog for employees to find information about which tools were available for use and how to go about getting an official account approved.

Throughout 2012, 2013 and 2014, DOT is committed to using new and social media in innovative ways to share information with the general public and our stakeholders, and to gather further insights, knowledge, expertise and experiences from those outside our walls. Specifically, in 2012 and 2013, DOT will launch several new social media accounts to better encourage collaboration and increase engagement, including:

• A DOT Twitter Account (in addition to the @raylahood account)
• A DOT Facebook Account (in addition to the Ray LaHood account)
• A DOT Pinterest Account
• A DOT Tumblr Account

DOT intends for these channels to be more engaging than the existing channels, which have been used primarily for broadcast purposes. See Section 3.4.3 for more detail about this effort.

Section 1.1.4: Web-based Online Dialogues

Online dialogues are an effective way to gather insights, knowledge, expertise and experiences about specific issues. Some of the benefits from online dialogues we have found include:

• Diversifying the participants in the dialogue
• Encouraging wider geographic representation
• Proactively making comments transparent that previously would have been collected by e-mail

As proposed in its first Open Government Plan, DOT has increased the use of Web-based dialogues significantly in the past two years, including:

• A transparent IdeaScale dialogue on DOT, FAA, and FMCSA Strategic Plans, which normally would have been operated through the Federal Register, and a docket on Regulations.gov. Over the 4-week course of the FAA dialogue, almost 500 users engaged, sharing over 200 ideas, more than 300 comments, and casting over 1200 votes.
• Targeted dialogues on a wide range of topics:
  • Issues facing women in blue-collar transportation careers [see Figure 2 and report]
  • Regulatory Review
  • Digital Transportation Exchange
  • Environmental Justice
  • Motorcoach  Safety

Section 1.1.5: Regs.dot.gov and Web 2.0 in Regulations

Rulemaking and policy formulation are important DOT functions with a long history of innovation. From negotiated rulemaking to leveraging social media to engage interested parties, DOT has been a leader in thinking about new ways to harness advances in technology in the rulemaking process. For example, we held a “listening session” for FMCSA’s hours of service rule, in addition to accepting written comments (see callout box at right).

For information about efforts we have taken to date to streamline the rulemaking process, please visit regs.dot.gov.

For the next two years, DOT commits to build upon these successes to ensure the rulemaking process is even more accessible to impacted and interested parties. For example, in 2012 DOT will provide a single online source for the public to view all DOT rulemakings, for all modes, that have open comment periods through a series of enhancements to regs.dot.gov. See Section 3.5.4 for more detail about this effort.

Section 1.1.6: Collaboration with Other Agencies, Coalitions and Industry Partners

Working with partners is critical to achieving DOT’s mission. DOT has a history of strong working relationships with industry coalitions, other Federal, State and local agencies, and other industry partners, and we will continue to work closely with those organizations to improve the state of our nation’s transportation system. In the past year, we have co-hosted roundtables and events on a variety of issues with a variety of partners, including:

• A Transit Apps Roundtable co-hosted by the White House
• A sustainable communities code-a-thon co-sponsored by DOT, EPA and HUD, called Code for Livability

The Partnership for Sustainable Communities, which includes HUD, DOT, and EPA, held the first Code for Livability in Washington, DC, on January 22, 2012. This unique code-a-thon started with a lively discussion on the issues facing agencies that are working to create more sustainable communities. By generating the data to help planners build sustainable communities; enhancing existing sustainability applications with additional data; and building new sustainability applications that help individuals, businesses, and governments make more educated choices on livability, employment, and leisure, the day’s attendees collaborated with policymakers as never before on the issues that we all care about.

To continue our commitment to work in partnership to achieve our mission, the American Public Transportation Association (APTA) will conduct a survey this year to gather feedback from the transit industry about the state of open transit data. After APTA releases the results to the public, the Federal Transit Administration (FTA) will study the results to identify the benefits of and hurdles to open data programs across the U.S. and to inform future efforts on encouraging open transit data nationwide. See Section 3.5.1 for more detail about this program.

Section 1.1.7: Collaborative Workspaces

Over the last few years, DOT has recognized a need to leverage online collaborative workspaces with our stakeholders and customers. We have started with efforts such as RITA’s TransportationResearch.gov (see callout box), and we continue to make progress in this area. For example, in the past, the webinar software required to participate in GSA training courses (GoToMeeting) was not available for us by DOT employees in collaborating with other agencies or stakeholders. This year, in response to an idea submitted on DOT’s IdeaHub platform regarding DOT’s Open Government Plan, DOT made this collaborative software available to its employees for the first time. This technology solution, in addition to other programmatic decisions throughout the Department, will increase DOT’s ability to leverage collaborative workspaces when coordinating with our stakeholders.

The next two years will see an increased commitment from DOT to create, encourage and support collaborative workspaces. For example, in 2012 FTA will provide technical assistance and grant money to local entities to help them:

• Conduct local dialogues on disabled veterans’ transportation options
• Create collaborative workspaces between local stakeholders to address specific, local issues

This capacity building at the local level will help improve collaboration on transportation planning issues through technology. See Section 3.5.3 for more detail about this effort.

Over the last few years, DOT has recognized a need to leverage online collaborative workspaces with our stakeholders and customers. We have started with efforts such as RITA’s TransportationResearch.gov (see callout box), and we continue to make progress in this area. For example, in the past, the webinar software required to participate in GSA training courses (GoToMeeting) was not available for us by DOT employees in collaborating with other agencies or stakeholders. This year, in response to an idea submitted on DOT’s IdeaHub platform regarding DOT’s Open Government Plan, DOT made this collaborative software available to its employees for the first time. This technology solution, in addition to other programmatic decisions throughout the Department, will increase DOT’s ability to leverage collaborative workspaces when coordinating with our stakeholders.

The next two years will see an increased commitment from DOT to create, encourage and support collaborative workspaces. For example, in 2012 FTA will provide technical assistance and grant money to local entities to help them:

• Conduct local dialogues on disabled veterans’ transportation options
• Create collaborative workspaces between local stakeholders to address specific, local issues

This capacity building at the local level will help improve collaboration on transportation planning issues through technology. See Section 3.5.3 for more detail about this effort.

The list in Table 2 below contains other examples of current opportunities to participate and collaborate with DOT, categorized by OA:

Table 2: DOT Participation and Collaboration Opportunities