1 systems operations as a program: the process & institutional dimensions steve lockwood parsons...

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Systems OperationsSystems Operationsas a as a Program:Program:

The Process & Institutional The Process & Institutional DimensionsDimensions

Steve LockwoodSteve Lockwood

Parsons BrinckerhoffParsons Brinckerhoff

Session VII: Systems Operations Institutional Dimensions2

“The future has already arrived. It’s just not very evenly distributed”

William Gibson in Cyberpunk


What This Discussion Is Really AboutWhat This Discussion Is Really About

Highway service deterioratingHighway service deteriorating

In the next 10-15, years any widespread improvement in LOS will result In the next 10-15, years any widespread improvement in LOS will result from SO&M (from SO&M (not much new capacity)not much new capacity) Significant improvements in mobility, reliability, safety can be derived from Significant improvements in mobility, reliability, safety can be derived from maximizing the servicemaximizing the service from the existing network. from the existing network.

Several states have been establishing the SOP benchmarks!!Several states have been establishing the SOP benchmarks!!

But many DOT SO&M activities appear to haveBut many DOT SO&M activities appear to haves ubstantially plateaueds ubstantially plateaued well well short of potential. SO&M potential remains largely untapped.short of potential. SO&M potential remains largely untapped.

The problem is not lack of knowledge or technology: but lack of The problem is not lack of knowledge or technology: but lack of commitment to a systems operations commitment to a systems operations mission, processes, and institutional mission, processes, and institutional arrangmentsarrangments


Learning ObjectivesLearning Objectives

Reconfirming Presumed Role of systems Reconfirming Presumed Role of systems Owner/Operators (SDOTs) regarding Owner/Operators (SDOTs) regarding MobilityMobility

Understanding of Understanding of Process and Institutional Process and Institutional Weakness Weakness as barriers/opportunities for as barriers/opportunities for effectivenesseffectiveness

Understanding of Understanding of Strategies for Change Strategies for Change (process and institutional)(process and institutional) towards a more towards a more effective operationseffective operations


Topics (Messages!!) CoveredTopics (Messages!!) Covered

A.A. Driving forces for ChangeDriving forces for Change

B.B. Current System status Current System status

C.C. The unacknowledged leverage of systems operationsThe unacknowledged leverage of systems operations

D.D. Relevance of systems operations and managementRelevance of systems operations and management

E.E. The Challenge/Dimensions of Change: Processes and The Challenge/Dimensions of Change: Processes and

InstitutionalInstitutional

F.F. Operations Capability MaturityOperations Capability Maturity

G.G. Future Vision: The 21Future Vision: The 21stst Century Transportation Agency Century Transportation Agency


PROBLEMS IN MY REGIONPROBLEMS IN MY REGIONSELF-EVALUATIONSELF-EVALUATION

A quick self-evaluation to see if any of A quick self-evaluation to see if any of the agencies represented can benefit the agencies represented can benefit from improved process and institutional from improved process and institutional arrangmentsarrangments

Depending on the outcome, we may be Depending on the outcome, we may be able to adjourn by lunch!!able to adjourn by lunch!!


AFFECTING Weather disruption

Crash/brkdwndelays

Road ConstructDisruptions

Special events

Bottle-necks

ArterialSignal timing

Peak period delays

Freeways 13 1-11 12 ?? 7, 10 7-9

Arterials 12 ?? 14 X

Transit

All 15-22

PROBLEMS IN MY REGIONPROBLEMS IN MY REGIONSELF-EVALUATIONSELF-EVALUATION

PROGRAM MATURITY INDICATOR 1/2PROGRAM MATURITY INDICATOR 1/2 YesYes NoNo1. Incident Management Most of urban freeways have consistent surveillance

2. Incident Management Clearance times are measured and reported

3. Incident Management DOT has formal MOU with highway patrol

4. Incident Management DOT has control over SSP coverage

5. Incident Management Interstate Corridors have end-to-end consistent approach

6. Incident Management Clearance times measured and compared statewide

7. Ramp Control Congested freeways have ramp metering

8. ATM Active traffic management in use (dynamic lane, speed control)

9. TMCs All metro areas (with MPOs) have TMCs

10. ATIS Travel time data is available to customers

11.ATIS All regional real time traffic data centrally communicated and archived

12. CWZTM Major corridor WZTM plans consistently incorporate ITS

13. RWIS Weather sensing stations exist in most weather-sensitive areas

14. Arterial Operations Congested arterial corridor signals are traffic responsive

PROGRAM MATURITY INDICATOR 2/2 yes no

15. Program architecture

Statewide and consistent regional system architectures (all regions) exist

16. Program cost Total expenditure on ITS/SO&M known budget line item

17. Program resource allocation

ITS/SO&M resource allocation related to clear performance. needs criteria

18. Program reporting Travel time reported

19. Program accountability

Senior full-time SO&M manager reports directly to CEO

20. Program Partnerships

DOT has formal MOU with PSA on Incident clearance time objective

21. State DOT LR Plan/program

Plan/program have separate category for ITS/SO&M

22. Program metropolitan status

MPO program has SO&M investment category


What do you mean “Institutional”?What do you mean “Institutional”?

Technology commodified -- However:1.Policy commitment vague2.Rarely a Core Program (part of other programs)3.Business processes nonstandard, undocumented4.Responsibility fragmented among units5.Limited central accountability for performance6. Informal relationship with other players (PSAs)7.Unclear budgetary & staffing priority 8.Loose relationships with private providers

(We call these “institutional” issues)


A.A. Is there a problem?Is there a problem?What about Performance?What about Performance?

Customer Mobility (isn't that our business?) Customer Mobility (isn't that our business?) – Impact of SO&M– Impact of SO&M

Performance FeaturesPerformance Features• Traditional:Traditional: Improved Capacity, Speed, Safety Improved Capacity, Speed, Safety

• NowNow: Maintenance of capacity, reliability (delay, : Maintenance of capacity, reliability (delay, disruption, congestion)disruption, congestion)

Continuous Improvement of Performance Continuous Improvement of Performance drives all relevant SO&M changesdrives all relevant SO&M changes


The Congestion ChallengeThe Congestion Challenge


Congestion

Higher vehicle densities

Lowerspeeds

More opportunitiesfor vehicle -vehicle

conflictsLess severe

crashes

…indicates...

…which leads to... …which leads to...

• Unexpected queues• Rubbernecking• Emergency

vehicle maneuvers

…which causes...

“Secondary ”crashes

…which produce...

Congestion

Higher vehicle densities

Lowerspeeds

More opportunitiesFor conflicts- Less severe

crashes

…indicates...

…which leads to... …which leads to...

• Unexpected queues• Rubbernecking• Emergency Maneuvers

…which causes...

“Secondary ”crashes

…which produce...

…increased congestion...

Driving Forces:Causes of Performance Loss


Driving Forces: Driving Forces: Loss of MobilityLoss of Mobility

Non-recurring congestion


Driving forces: Causes for ContextsDriving forces: Causes for Contexts (your bosses should know this)(your bosses should know this)

Cause of Delay (%)Cause of Delay (%) Large UrbanLarge UrbanAreas > 1m*Areas > 1m*

Small Urban Areas Small Urban Areas 0.1-1.0m0.1-1.0m

RuralRural

RECURRING RECURRING CAUSESCAUSES

Network Demand > Network Demand > capacitycapacity

29-3729-37 20-2620-26 00

Poor signal timingPoor signal timing 4-54-5 7-137-13 22

TOTAL TOTAL RECURRINGRECURRING

33-4233-42 32-3332-33 22

NON-NON-RECURRING RECURRING

CAUSESCAUSES

CrashesCrashes 35-3635-36 19-2619-26 2626

BreakdownsBreakdowns 6-76-7 6-106-10 2525

Work zonesWork zones 8-198-19 26-2726-27 3939

WeatherWeather 5-65-6 7-107-10 77

Special events, Special events, OtherOther

11 00

TOTAL TOTAL NON-NON-

RECURRINGRECURRING

58-6758-67 6767 9898


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Impact of Best Practice Strategies - Impact of Best Practice Strategies -

Portion of DelayPortion of DelayIn major metros by cause(%)In major metros by cause(%)

Mainline CapacityMainline Capacity 29-37%29-37%

Poor signalizationPoor signalization 4-5%4-5%

Breakdowns/ Breakdowns/ crashescrashes

40-45%40-45%

ConstructionConstruction 8-20%8-20%

WeatherWeather 5-7%5-7%

Poor InformationPoor Information 2-5%2-5%

Impact of Operations Strategy (Best Impact of Operations Strategy (Best Practice over Current Practice) on Practice over Current Practice) on Total DelayTotal Delay

Flow control/ramp Flow control/ramp meteringmetering

5-6%5-6%

Traffic responsive Traffic responsive signalssignals

1%1%

Incident Incident managementmanagement

5-6%5-6%

WZ traffic WZ traffic managementmanagement

1-2%1-2%

Weather info Weather info 1%1%

Traveler Traveler informationinformation

1%1%


Loss of Performance:Loss of Performance:“Recapture Capacity”“Recapture Capacity” (your bosses should know this)(your bosses should know this)

Type of CauseType of Cause Contribution Contribution to total delayto total delay

Cause of DelayCause of Delay Basic Mitigation Basic Mitigation StrategyStrategy

Recurring CausesRecurring Causes 40-60%40-60%Mainline capacity shortfallsMainline capacity shortfalls

Interchange bottlenecksInterchange bottlenecks

Poor signal timingPoor signal timing

Non-Recurring Non-Recurring CausesCauses

40-50%40-50%Breakdowns & CrashesBreakdowns & Crashes

Construction workConstruction work

WeatherWeather

Lack of informationLack of information

Special eventsSpecial events

Capacity Increases

Systems Management


Tough QuestionsTough Questions

Are the above indications arguable? Are Are the above indications arguable? Are they meaningful?they meaningful?

How well does senior SDOT How well does senior SDOT management understand the causes of management understand the causes of congestion?congestion?


Congestion Strategy LeverageCongestion Strategy Leverage

RecurringRecurring SignalizationSignalization Ramp meteringRamp metering GeometricsGeometrics Freeway OperationsFreeway Operations Traveler InfoTraveler Info

Non-RecurringNon-Recurring• Incident managementIncident management

• Road weather managementRoad weather management

• Work zone traffic managementWork zone traffic management

• Special events management Special events management

• Active Traffic ManagementActive Traffic Management


Leverage: Effective SO&MLeverage: Effective SO&M

““Effectiveness” related to measurable Effectiveness” related to measurable outcomes in terms of improvements in delay, outcomes in terms of improvements in delay, disruption, safetydisruption, safety

Capabilities needed go beyond knowing Capabilities needed go beyond knowing strategies and ITS -- to Processes and strategies and ITS -- to Processes and Institutional preconditions for effectivenessInstitutional preconditions for effectiveness

How can they be put into place?How can they be put into place?


QuizQuiz

What SO&M strategy has the greatest What SO&M strategy has the greatest potential impact on reducing delay?potential impact on reducing delay?


Leverage:Leverage: Gap Between Gap Between Best and Average Practice? Best and Average Practice?

Cause of DelayCause of DelayIn metro areasIn metro areas

%%causecause

RelatedRelatedOperations StrategyOperations Strategy

Best Best PracticePractice

Mainline S/DMainline S/D 29-3729-37 Flow control (ATM)Flow control (ATM) -25%-25%

Poor sig opsPoor sig ops 4-54-5 Traffic responsiveTraffic responsive -35%-35%

Breakdowns/ Breakdowns/ crashescrashes

40-4540-45 SSP/Incident managementSSP/Incident management -50%-50%

ConstructionConstruction 8-208-20 WZ traffic managementWZ traffic management -30%-30%

WeatherWeather 5-75-7 RWIS, Decision suppRWIS, Decision supp -40%-40% Poor Info/MiscPoor Info/Misc 2-52-5 Traveler informationTraveler information -50%-50%


Competition with SO&M???Competition with SO&M???

What is the competition for improving service What is the competition for improving service to system usersto system users

Will there be a major increase in rate of Will there be a major increase in rate of capacity expansioncapacity expansion

In how many states is metro population and In how many states is metro population and VMT growth exceeding new capacityVMT growth exceeding new capacity

Does anyone are your DOT every talk about Does anyone are your DOT every talk about this?this?


1990 1995 2000 2005 2010

10%

20%

30%

40%

50%

Installed

Optimistic Projection

Pessimistic Projection

6% in ‘90

16% in ‘97

22% in ‘2000

55% in 2010

44% in2010

Year

Message C: StatusMessage C: StatusSO&M Deployment RateSO&M Deployment Rate


We have a general idea of state of play We have a general idea of state of play – state by state– state by state

DeploymentDeployment Range of strategies employedRange of strategies employed Self-evaluationSelf-evaluation Participation in federally supported initiativesParticipation in federally supported initiatives Level of performance measurementLevel of performance measurement General institutional arrangementsGeneral institutional arrangements Current studies (SHRP2, NCHRP, AASHTO SO&M)Current studies (SHRP2, NCHRP, AASHTO SO&M)


Is the Glass Half-full or Half empty??Is the Glass Half-full or Half empty??

Several states have made significant process Several states have made significant process in developing comprehensive programs – and in developing comprehensive programs – and have some state of the practice applicationshave some state of the practice applications

Several states are working in that directionsSeveral states are working in that directions Several states don’t feel the need to take a Several states don’t feel the need to take a

comprehensive approachcomprehensive approach We can learn from each otherWe can learn from each other


Example statsExample stats


FHWA Survey of Technology FHWA Survey of Technology StrengthsStrengths

% “strong”% “strong”

Use TMC(s) to coordinate IMUse TMC(s) to coordinate IM 4343

Developed S & D infrastructure Developed S & D infrastructure 3030

Have two-way interagency voice commsHave two-way interagency voice comms 1919

Provide data/video TMC-CAD integration?Provide data/video TMC-CAD integration? 1111

Have specific IM policies and procedures Have specific IM policies and procedures 2121

Have a real-time motorist information system Have a real-time motorist information system 2424

Status:Status:State of Play in State DOTs State of Play in State DOTs


The right questionsThe right questions

How is your DOT doing?How is your DOT doing? You should know where your states You should know where your states

stands vis a vis your peers – and the stands vis a vis your peers – and the state of the practicestate of the practice

(this is the definition of a professional)(this is the definition of a professional)


Message D: RelevanceMessage D: RelevanceWe need to Tell the Story: We need to Tell the Story: SO&M Can Make a SO&M Can Make a Real DifferenceReal Difference

What transportation agencies (should) do?:What transportation agencies (should) do?:

• We are a just-in-time society, accustomed to service and We are a just-in-time society, accustomed to service and accountability – even in Mobilityaccountability – even in Mobility

• In most urban contexts very limited improvements from In most urban contexts very limited improvements from capacity are being madecapacity are being made

• Congestion management – as a major program -- is Congestion management – as a major program -- is therefore essential to (at least) maintain level of servicetherefore essential to (at least) maintain level of service

• OOtherwise DOTs become increasingly therwise DOTs become increasingly irrelevantirrelevant


Operational PerformanceOperational Performance


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Reliability Research: The Importance of Institutional Reliability Research: The Importance of Institutional ArrangementsArrangements

ProgramA needs-responsive, performance-driven, comprehensive C/E statewide SO&M program

ProcessesThe business processes and systems required to facilitate program qualities above

InstitutionsThe values, capabilities and arrangements and resources required to support and sustain of the required business process




SO&M Program PerformanceA needs-responsive, performance-driven, comprehensive

cost-effective statewide SO&M program

Necessary ProcessesThe business processes and systems required to facilitate program

qualities above

Supportive Institutional ArrangementsThe values, capabilities and arrangements and resources required to support and sustain of

the required business process


The Basic Elements of Improved SO&MThe Basic Elements of Improved SO&M





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IntroductionIntroduction

1.1. Performance Management of the existing Performance Management of the existing highway system is central to maintaining highway system is central to maintaining mobilitymobility

2.2. Research indicates that performance is Research indicates that performance is directly related to the “maturity” of key directly related to the “maturity” of key processes and institutional arrangmentsprocesses and institutional arrangments

3.3. Key actions are required from senior Key actions are required from senior managementmanagement

4.4. The SHRP2 L06 project developed a The SHRP2 L06 project developed a stepwise model of strategies to make the stepwise model of strategies to make the essential changesessential changes


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Point of DeparturePoint of DepartureHighway congestion is increasing but conventional capacity solutions are Highway congestion is increasing but conventional capacity solutions are constrainedconstrained

Managing performance of the existing system to its maximum effectiveness Managing performance of the existing system to its maximum effectiveness is imperative to maintain mobility is imperative to maintain mobility

Recurring congestion is well understood, but greater commitment is needed Recurring congestion is well understood, but greater commitment is needed to managing the to managing the other halfother half of congestion related to delay/disruption from of congestion related to delay/disruption from crashes and breakdowns, bad weather, & construction crashes and breakdowns, bad weather, & construction

Managing this “non-recurring congestion” must capitalize on the full Managing this “non-recurring congestion” must capitalize on the full potential of NRC strategiespotential of NRC strategies

SHRP2 research indicates the performance management requires a distinct SHRP2 research indicates the performance management requires a distinct agency commitment, organization and staffing adjustments, sustainable agency commitment, organization and staffing adjustments, sustainable resources and improved partnerships resources and improved partnerships

This research project developed a guide for systems operations This research project developed a guide for systems operations performance managementperformance management


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Loss of Performance: Recapture Capacity”Loss of Performance: Recapture Capacity”

Type of CauseType of Cause Contribution Contribution to total delayto total delay

Cause of DelayCause of Delay Basic Mitigation Basic Mitigation StrategyStrategy

Recurring Recurring CausesCauses

40-60%40-60%Mainline capacity shortfallsMainline capacity shortfalls

Interchange bottlenecksInterchange bottlenecks

Poor signal timingPoor signal timing

Non-Recurring Non-Recurring CausesCauses

40-50%40-50%Breakdowns & crashesBreakdowns & crashes

Construction workConstruction work

WeatherWeather

Lack of informationLack of information

Special eventsSpecial events

Capacity Increases

Systems Management


Relevance: Relevance: Program/Process/InstitutionalProgram/Process/Institutional

ProgramProgram• We known the conventional strategiesWe known the conventional strategies

• Are there deployment warrants (problem, Are there deployment warrants (problem, function, geography, networkfunction, geography, network

• Aggressiveness of Application (compared to Aggressiveness of Application (compared to S.O.P)S.O.P)

• Comprehensive/consistentComprehensive/consistent

• DOTs can now focus on programs, not just DOTs can now focus on programs, not just projects projects


Relevance: Technical Process Challenge Relevance: Technical Process Challenge (program level)(program level)

Getting SO&M on an institutionalized Getting SO&M on an institutionalized sustainable path to improvementsustainable path to improvement• Scope:Scope: Full range/core program Full range/core program

• Business Processes:Business Processes: Effective Effective implementation, integration, documentationimplementation, integration, documentation

• Systems and Technology:Systems and Technology: Interoperable/standardized/cost effectiveInteroperable/standardized/cost effective

• Performance:Performance: Measured, utilized, reported Measured, utilized, reported


Relevance : Relevance : Supporting Institutional Supporting Institutional Challenge (program level)Challenge (program level)

Developing arrangements that support Developing arrangements that support the needed technical processesthe needed technical processes• Culture:Culture: Understanding/committing to mobility Understanding/committing to mobility

• Organization/Staffing: aligned, Organization/Staffing: aligned, professionalizedprofessionalized

• Resource Allocation: criteria-based, Resource Allocation: criteria-based, sustainablesustainable

• Partnerships:Partnerships: Aligned, Consolidated Aligned, Consolidated


Intro to Items 1-8 to followIntro to Items 1-8 to follow

(We already know a lot about strategy (We already know a lot about strategy applications)applications)

Following slides characterize key process and Following slides characterize key process and institutional dimensions essential for an institutional dimensions essential for an effective programeffective program

Then, the question is: what is the definition of Then, the question is: what is the definition of improved processes? And what does it take to improved processes? And what does it take to get there, insitutionallyget there, insitutionally


1.1. Scope:Scope:(Implications of (Implications of “Mainstreaming”)“Mainstreaming”)

More like the other programs reMore like the other programs re• Statewide & ComprehensiveStatewide & Comprehensive

• Needs drivenNeeds driven

• GeographyGeography

• ProblemsProblems

• NetworkNetwork

• Standardized, sustainable, alignedStandardized, sustainable, aligned

Effectiveness related to measurable outcomes in Effectiveness related to measurable outcomes in terms of improvements in delay, disruption, safetyterms of improvements in delay, disruption, safety


So What’s Different About SO&M?So What’s Different About SO&M?

Reactive to unpredictable events 24X7 .Reactive to unpredictable events 24X7 . corridor scale or network level.corridor scale or network level. teamwork and communications-intensive.teamwork and communications-intensive. Involving uncontrolled “outsiders” Involving uncontrolled “outsiders” Requires situational awareness. Requires situational awareness. Communicating with users in real timeCommunicating with users in real time Mix of systems headquarters, TMC, and field activities.Mix of systems headquarters, TMC, and field activities. Dynamic high technology and systems engineering. Dynamic high technology and systems engineering. Effectiveness judged only through performance oucomesEffectiveness judged only through performance oucomes Processes for low cost and short development cycles.Processes for low cost and short development cycles. Many activities can be outsourced .Many activities can be outsourced .

Actions taking place in Administrative TimeActions taking place in Administrative Time

PlanPlan

AccommodateAccommodateProgram in portfolioProgram in portfolio

Interagency Interagency coordinationcoordination

Plan and program Plan and program Systems engineeringSystems engineering

DeployDeployInfrastructure for Infrastructure for

situational situational awarenessawareness

Infrastructure Infrastructure for controlfor control

MaintainMaintain Asset ManagementAsset Management

Actions taking place in Operations Real timeActions taking place in Operations Real time

OperateOperate

Real time Real time mobilization of mobilization of program support program support

systemssystems

Interagency coordinated execution of event response activitiesInteragency coordinated execution of event response activities

Situation status reporting (internal and external)Situation status reporting (internal and external)

Performance monitoringPerformance monitoring

2. Business Processes: What’s Different 2. Business Processes: What’s Different About OperationsAbout Operations??


Process Preconditions to Realize Process Preconditions to Realize SO&M StrategiesSO&M Strategies

ScopingPlanningProgram accommodation in portfolioPlanning and programming

Processes

Real time mobilization of program support systemsInteragency operational managementCoordinated execution of event response activitiesSynergy among reinforcing strategiesAsset management

Systems/Tech

Systems engineering technical capacity developmentRegional situational awareness

Performance Performance monitoring


3. Systems and Technology3. Systems and Technology

Technology SelectionTechnology Selection Qualitative/quantitativeQualitative/quantitative Warranted applications consistencyWarranted applications consistency Platform StandardizationPlatform Standardization Incremental Improvements (bite size)Incremental Improvements (bite size)


Example ITS SystemsExample ITS Systems Related Procedures and ProtocolsRelated Procedures and Protocols

• Lane/speed/ramp controlsLane/speed/ramp controls • Local acceptance, cooperationLocal acceptance, cooperation

• Systematic deployment of traffic Systematic deployment of traffic responsive techresponsive tech

• Inter-jurisdictional consistency and sharing Inter-jurisdictional consistency and sharing • Standard project development processStandard project development process

• Full detection and surveillanceFull detection and surveillance• Effective technology deploymentEffective technology deployment

• 24X7 response – TMC?24X7 response – TMC?

• Formal IM programsFormal IM programs

• Workzone &Incident Traffic Workzone &Incident Traffic controlcontrol

• Upgrade standards beyond MUTCDUpgrade standards beyond MUTCD• Coordination with law enforcementCoordination with law enforcement

• RWIS and driver infoRWIS and driver info • Prediction/advisory/control regimesPrediction/advisory/control regimes

• Special routing (guidance info)Special routing (guidance info) • Liaisons with intermodal playersLiaisons with intermodal players

Beyond ITS: Balancing Procedures Beyond ITS: Balancing Procedures with Systemswith Systems


4. Performance4. Performance

You have heard a lot about this.You have heard a lot about this. Key issues for capability maturity:Key issues for capability maturity:

• Output MeasuresOutput Measures

• Implementation feasibility (data, devices)Implementation feasibility (data, devices)

• Utilization: feedback and tailoring for Utilization: feedback and tailoring for continuous improvmentcontinuous improvment

• Reporting and AccountabilityReporting and Accountability


Dashboarding Systems Operations Dashboarding Systems Operations (outputs or outcomes?)(outputs or outcomes?)


5. Culture and Leadership5. Culture and Leadership

What is “culture”? (sounds like academic What is “culture”? (sounds like academic jargon)jargon)

Think about shared engineering culture Think about shared engineering culture (mission, values/presumptions, training, (mission, values/presumptions, training, standards, conventions, career style, standards, conventions, career style, public expectations)public expectations)

Who are the external stakeholders in Who are the external stakeholders in capacity development vs. Operations?capacity development vs. Operations?


What are the characteristics of an What are the characteristics of an operations culture? QUIZoperations culture? QUIZ


What are the characteristics of an What are the characteristics of an operations culture? QUIZoperations culture? QUIZ

What about:What about:• Explicit focus on mobilityExplicit focus on mobility

• Developing public understandingDeveloping public understanding

• Orientation of LeadersOrientation of Leaders

• Acceptance by rest of agencyAcceptance by rest of agency

• Incentives for changeIncentives for change

• Laws, regulations to support effectivenessLaws, regulations to support effectiveness

• A core programA core program


Legacy Stakeholders (their values)Legacy Stakeholders (their values)

Facility mission perspective (in law)Facility mission perspective (in law)

System development stakeholdersSystem development stakeholders

Industry, developers, unionsIndustry, developers, unions

Organization around capital projects (design, Organization around capital projects (design, construct, maintain)construct, maintain)

Focus on on-time/on-budget deliveryFocus on on-time/on-budget delivery


““External Authorizing Environment External Authorizing Environment (Laws and Procedures)(Laws and Procedures)


6. Organization and Staffing:6. Organization and Staffing: Institutions Fragmented at two levelsInstitutions Fragmented at two levels

Operational responsibility is fragmented at Operational responsibility is fragmented at two levels -- internal (DOTs) and external two levels -- internal (DOTs) and external (partners)(partners)

Shared responsibilities for roadwaysShared responsibilities for roadways• Standard setting for safe operationsStandard setting for safe operations• Provision and maintenance of facilitiesProvision and maintenance of facilities• Law enforcementLaw enforcement• Emergency responseEmergency response• Operational performance supportOperational performance support


Remember our Learning ObjectivesRemember our Learning Objectives

Reconfirming Presumed Role of systems Reconfirming Presumed Role of systems Owner/Operators (SDOTs) regarding Owner/Operators (SDOTs) regarding MobilityMobility

Understanding of Understanding of Process and Institutional Process and Institutional Weakness Weakness as barriers/opportunities for as barriers/opportunities for effectivenesseffectiveness

Understanding of Understanding of Strategies for Change Strategies for Change towards a more effective operationstowards a more effective operations


Internal Legacy: (Organizational Scale) Internal Legacy: (Organizational Scale) State DOT StructureState DOT Structure

Organization (“standard” model?)Organization (“standard” model?)• Decentralized (now)Decentralized (now)• HierarchicalHierarchical• Central office functionsCentral office functions

Traditional divisions:Traditional divisions:• PlanningPlanning• design/constructiondesign/construction• MaintenanceMaintenance• ““Operations” (not system) Operations” (not system)


Internal Legacy: (Organizational Scale) Internal Legacy: (Organizational Scale) Can you find systems operationsCan you find systems operations??

CEO

Design and construction

Maintenance PlanningAdmin & Finance

design districtsAsset

managementTraffic

& safety Contract ServicesOperations

DE

ADE Maintenance

TMC

Staff functions

Staff functions

ITSTraffic

Engineering

Other ADEs

FSPOther DEs

Research&

Technology

Snow & ice control


Operations and Management as a “Core” Program

CHART BOARDDeputy Administrator &

Chief Engineer forOperations

Chair

DirectorOffice of CHART &ITS Development

Other MDOTITS Programs

OperationsTeam

IntegrationTeam

ITS DevelopmentTeam

AdministrativeTeam

InformationTechnology

Maintenance

Districts3,4,5,7 MSP

Traffic

MdTA

Traffic EngineeringDesign Division

Traffic OperationsDivision

TOD &Office of

Maintenance

CHART Organization &Work Flow Diagram


Outsourcing staff functionsOutsourcing staff functions

FactorsFactors• Staffing challenge (ex: TMCs, FSP)Staffing challenge (ex: TMCs, FSP)

• Capabilities --Maintenance services (ITS Capabilities --Maintenance services (ITS infrastructure)infrastructure)

• Possession of technology: Map Data, Possession of technology: Map Data, 511, traveler 511, traveler info servicesinfo services

• Position in market: In-vehicle servicesPosition in market: In-vehicle services

• Other reasons??Other reasons??


7. Resources7. Resources

To what degree is funding a constraintTo what degree is funding a constraint• Are you spending well all you have? Are you spending well all you have?

• Do improvements in performance relate to Do improvements in performance relate to capital?capital?

• Is there a criteria basis for budget (like asset Is there a criteria basis for budget (like asset management)?management)?

• Is the funding sustainable, predictable?Is the funding sustainable, predictable?


QUIZ: ResourcesQUIZ: Resources

How much is your state spending on all How much is your state spending on all ITS, Freeway Ops, FSP, TMC Incident ITS, Freeway Ops, FSP, TMC Incident Management – per year? Management – per year?

How many of you are having staffing How many of you are having staffing problems?problems?


CapitalCapital 20072007

Field and IM EquipmentField and IM Equipment $3,855,000$3,855,000

Network EngineeringNetwork Engineering $2,687,000$2,687,000

Leased Circuit Costs Leased Circuit Costs $1,000,000$1,000,000

CHART System and Network Connectivity CHART System and Network Connectivity $4,162,000$4,162,000

Plan., Develpmt, Engrg, & Coord. Plan., Develpmt, Engrg, & Coord. $3,000,000$3,000,000

CHART System Integration CHART System Integration $3,100,000$3,100,000

Overhead Overhead $1,157,000$1,157,000

Total CapitalTotal Capital $18,961,000$18,961,000

Staff and Operating ExpensesStaff and Operating Expenses

Operations salaries, overhead, overtime, and expenses (staff 64) Operations salaries, overhead, overtime, and expenses (staff 64) $$6,324,7426,324,742

Systems Maintenance: emergency, preventive, and routine maintenance Systems Maintenance: emergency, preventive, and routine maintenance $1,200,000$1,200,000

Administrative: supplies and contractual salaries and other expenses Administrative: supplies and contractual salaries and other expenses $260,000$260,000

Miscellaneous Operating Expenses :travel expenses and meals Miscellaneous Operating Expenses :travel expenses and meals $40,000$40,000

Total OperatingTotal Operating $7,816,276$7,816,276

Grand TotalGrand Total $26,777,000$26,777,000

Example Line Item BudgetExample Line Item Budget (CHART ’07)(CHART ’07)


8. Partnerships (who?, why?)8. Partnerships (who?, why?)

State/Regional

ERentity

Fire & EMS

Local police State police

Local govt

State DOT

Private services

CoordinatedCoordinated services??services??

• Who is in charge of Who is in charge of “service” in customer terms“service” in customer terms

• What are the priorities of the What are the priorities of the players?players?

• Can law enforcement and Can law enforcement and life safety be less traffic life safety be less traffic disruptive?disruptive?


Agency OrientationAgency Orientation

MissionMission State State DOT/DOT/AuthoritieAuthoritiess

GPLG GPLG Traffic/TransportatioTraffic/Transportation Operations Dept)n Operations Dept)

Law Law enforcementenforcement

Fire and Fire and EmergencyEmergency

Private Private contractcontractoror

Law enforcementLaw enforcement LL LL HH MM LL

Emergency Emergency responseresponse

MM MM HH HH LL

MobilityMobility HH MM LL LL LL

Responder Responder safetysafety

HH HH HH HH HH

Minimal Minimal disruptionsdisruptions

HH MM LL LL MM

Differences in Orientation Among Differences in Orientation Among OrganizationsOrganizations


How are are improvements in Operations How are are improvements in Operations limited by partner’s traditional roles (quiz)limited by partner’s traditional roles (quiz)

Differing PrioritiesDiffering Priorities Time to respond and actTime to respond and act Geographic coverageGeographic coverage Integration across networksIntegration across networks Jurisdictional fragmentationJurisdictional fragmentation Differing TechnologiesDiffering Technologies Capability and Funding levelsCapability and Funding levels


Types of “Partnerships”Types of “Partnerships”

Ad hocarrangementsbased onnear-termissues andpersonalrelationshipsandinterests

Informalworkinggroups thatmeetregularly toaddresstopics ofregionalsignificance

Formallyestablishedjoint workinggroup withassignedresponsibilities

Fundedentities withfull-timestaff andwell-definedresponsibilitiesrelated tocollaboration

Legalentities withdedicatedresourcesauthoritiesandgoverningboards thatrepresentagencies andjurisdictions

Less Formal More Formal

Ad hocarrangementsbased onnear-termissues andpersonalrelationshipsandinterests

Informalworkinggroups thatmeetregularly toaddresstopics ofregionalsignificance

Formallyestablishedjoint workinggroup withassignedresponsibilities

Fundedentities withfull-timestaff andwell-definedresponsibilitiesrelated tocollaboration

Legalentities withdedicatedresourcesauthoritiesandgoverningboards thatrepresentagencies andjurisdictions

Less Formal More Formal


Message F: Operations Capability Message F: Operations Capability maturity -- Technical Process and maturity -- Technical Process and Institutional ArrangementsInstitutional Arrangements

We need to move beyond the ad hoc stage to We need to move beyond the ad hoc stage to realize effectivenessrealize effectiveness

Deliberate change management strategies Deliberate change management strategies are requiredare required

Must deal with Technical Processes and Must deal with Technical Processes and Institutional ArrangementsInstitutional Arrangements


Transportation Service Transportation Service Public AgenciesPublic Agencies ????-driven (who’s the ????-driven (who’s the

customer?)customer?)

customer service based customer service based on ???? on ????

????? suppliers/???? spurs ????? suppliers/???? spurs better servicebetter service

???? rewards for success, ???? rewards for success, innovationinnovation

Service is sales drivenService is sales driven

Price/service (performance) Price/service (performance)

Competition spurs better Competition spurs better serviceservice

Tangible rewards for success, Tangible rewards for success, innovationinnovation

Customer Service in Free Customer Service in Free Enterprise SocietyEnterprise Society

VS.

Dimensions of ChangeDimensions of Change(From a Product Entity to a Service Entity (From a Product Entity to a Service Entity

(Time out for a broader perspective)


Features of an Operations Capability Maturity Features of an Operations Capability Maturity ModelModel

Continuous improvement (effectiveness) requires Continuous improvement (effectiveness) requires replicable, consistent processes and a supportive replicable, consistent processes and a supportive institutional structureinstitutional structure

There are critical dimensions that can’t be skippedThere are critical dimensions that can’t be skipped For sustainable change “institutionalization” is For sustainable change “institutionalization” is

essential (documentation and training)essential (documentation and training)

Performance Levels are incremental combinations Performance Levels are incremental combinations of processes and measurementof processes and measurement

Each level builds on organizational readiness of Each level builds on organizational readiness of previous. previous.


Relevance: Technical Process ChallengeRelevance: Technical Process Challenge

Getting SO&M on an institutionalized Getting SO&M on an institutionalized sustainable path to improvementsustainable path to improvement• Scope:Scope: Full range/core program Full range/core program

• Business Processes:Business Processes: Effective Effective implementation, integration, documentationimplementation, integration, documentation

• Systems and Technology:Systems and Technology: Interoperable/standardized/cost effectiveInteroperable/standardized/cost effective

• Performance:Performance: Measured, utilized, reported Measured, utilized, reported


Relevance : Relevance : Supporting Institutional Supporting Institutional ChallengeChallenge

Developing arrangements that support Developing arrangements that support the needed technical processesthe needed technical processes• Culture:Culture: Understanding/committing to mobility Understanding/committing to mobility

• Organization/Staffing: aligned, Organization/Staffing: aligned, professionalizedprofessionalized

• Resource Allocation: criteria-based, Resource Allocation: criteria-based, sustainablesustainable

• Partnerships:Partnerships: Aligned, Consolidated Aligned, Consolidated


The Potential of Operations Capability Maturity The Potential of Operations Capability Maturity ModelModel

Shared vision of best practiceShared vision of best practice

A common analytical language A common analytical language

Vertical and horizontal management relationshipsVertical and horizontal management relationships

Formalized, transparent (self) appraisal processFormalized, transparent (self) appraisal process

Suits any type of organization by size, problems, Suits any type of organization by size, problems,

Framework to prioritize change management tacticsFramework to prioritize change management tactics

Basis for benchmarking across organizationsBasis for benchmarking across organizations


DiscussionDiscussion


Institutional Guidance: Alternative Paths Institutional Guidance: Alternative Paths for Considerationfor Consideration

1.1. Internal incremental changeInternal incremental change -- regarding those -- regarding those architectural dimensions under the span of control of top architectural dimensions under the span of control of top managementmanagement

2.2. Major ReorganizationMajor Reorganization with internal change in priorities and with internal change in priorities and related (may require outside political supportrelated (may require outside political support

3.3. Capitalizing on a major eventCapitalizing on a major event to make permanent changes to make permanent changes (special event, major disruption, natural disaster)(special event, major disruption, natural disaster)

4.4. Consolidation of functionsConsolidation of functions among public agencies in the among public agencies in the form of a new operating entity form of a new operating entity


Message G: VisionMessage G: VisionAmbitious Long-Term OpportunitiesAmbitious Long-Term Opportunities

SO&M is entering a new era…SO&M is entering a new era…

New range of functions:New range of functions:• manage congestionmanage congestion

• allocate capacityallocate capacity

• provide new servicesprovide new services

Highway transportation will be transformed in Highway transportation will be transformed in the long runthe long run


VISIONVISION1. 1. Highway service reliableHighway service reliable

2. At any V/C, less delay2. At any V/C, less delay

3. Good travel information 3. Good travel information

4. Premium services available 4. Premium services available

5. Crashes reduced5. Crashes reduced

6. Erratic behavior suppressed6. Erratic behavior suppressed

7. Traveler assurance services7. Traveler assurance services 8. Special Truck facilities8. Special Truck facilities

ACHIEVED BYACHIEVED BYAll-Incident managementAll-Incident management

ATM: Control of flow, speed, lane ATM: Control of flow, speed, lane useuse

Probe-based real time informationProbe-based real time information

Separate, priced, speed limit serviceSeparate, priced, speed limit service

V2V crash avoidanceV2V crash avoidance

Automated enforcementAutomated enforcement

In-vehicle navigation, ConciergeIn-vehicle navigation, Concierge

Automated regulatory EnforcementAutomated regulatory Enforcement

Vision: ServicesVision: ServicesAnticipated Future LeverageAnticipated Future Leverage

Bottom Line: SO&M is just getting StartedBottom Line: SO&M is just getting Started


MeanwhileMeanwhile (as committed secret agents of the future):(as committed secret agents of the future):

Guerilla Tactics for ChangeGuerilla Tactics for Change

Insist on technical truth regarding service to customersInsist on technical truth regarding service to customers

Expertise is the scarce resource: Start training staff nowExpertise is the scarce resource: Start training staff now

Establish conops with all partners – otherwise ………..Establish conops with all partners – otherwise ………..

Get planners’ buy-in – they will supportGet planners’ buy-in – they will support

Technology should not get ahead of procedures and protocols Technology should not get ahead of procedures and protocols

Capitalize on cross-program synergiesCapitalize on cross-program synergies

Work with geographyWork with geography

$$$$ is not the problem, sustainable $ is$$$$ is not the problem, sustainable $ is

Push for innovation – generate sizzlePush for innovation – generate sizzle

Be ready for – and capitalize on – external events!!Be ready for – and capitalize on – external events!!


Remember: Our Learning Remember: Our Learning ObjectivesObjectives

Understanding of the Understanding of the RoleRole of Systems of Systems Operations and Management within the Operations and Management within the Transportation systemTransportation system

Understanding of Understanding of Institutional IssuesInstitutional Issues and and their leverage on Operationstheir leverage on Operations

Understanding of Understanding of Strategies for Change Strategies for Change towards a more operations oriented institutional towards a more operations oriented institutional contextcontext


Institutional CapabilitiesInstitutional Capabilities

Is there a recipe? Yes, Finally there is:Is there a recipe? Yes, Finally there is:• Preconditions to program effectiveness & Preconditions to program effectiveness &

continuous progresscontinuous progress

• Lessons from Asset Management & from other Lessons from Asset Management & from other sectors (esp. IT)sectors (esp. IT)

The Capability Maturity ModelThe Capability Maturity Model• Adaptation to SO&M strategiesAdaptation to SO&M strategies

• Adaptation to SO&M ProgramAdaptation to SO&M Program


Relevance:Relevance: How to Close the Gap How to Close the Gap between “Best” and “Average “ between “Best” and “Average “ Practice?Practice?

Changes in processes and Changes in processes and organization/institutions will move the organization/institutions will move the SO&M “program” in the direction of SO&M “program” in the direction of improved effectiveness and efficiencyimproved effectiveness and efficiency• Changes may be proactive, deliberate and incrementalChanges may be proactive, deliberate and incremental

• Changes may be (often are) in response to major events Changes may be (often are) in response to major events that focus on SO&Mthat focus on SO&M


Mainstreaming a Management System:Mainstreaming a Management System:

No Mystery -- SDOTs have done it beforeNo Mystery -- SDOTs have done it before

The Asset Management The Asset Management ProcessProcess::

Asset inventoryAsset inventory Condition assessment with a Condition assessment with a

life-cycle orientationlife-cycle orientation Investment analysis with Investment analysis with

predictive modelspredictive models Planning, programming, and Planning, programming, and

budgetingbudgeting Program implementationProgram implementation Performance objectives and Performance objectives and

performance monitoringperformance monitoring


Statewide Systems Operations Statewide Systems Operations Program (SSOP) DevelopmentProgram (SSOP) Development

ApproachApproach Capability Maturity Model (CMM) is used to Capability Maturity Model (CMM) is used to

establish a system for Continuous establish a system for Continuous Improvement (CI)Improvement (CI)

State of Play Next Level of Capability Best Practice Target

andand a a Strategy to reach next levels of Capability and Strategy to reach next levels of Capability and

Recommend Immediate Recommend Immediate • Actions for improving Operations system-wideActions for improving Operations system-wide


A Framework for Managing A Framework for Managing Institutional Factors Institutional Factors

Responds to conventional observation of Responds to conventional observation of agency managers that barriers are agency managers that barriers are “institutional” (what ever that is!!)“institutional” (what ever that is!!)

Makes concrete fuzzy generalizations about Makes concrete fuzzy generalizations about “institutional” issues“institutional” issues

Draws on accumulated wisdom & experience Draws on accumulated wisdom & experience of agency management veteransof agency management veterans

Organizes industry wisdom into a framework Organizes industry wisdom into a framework that can be used to improve outcomesthat can be used to improve outcomes

83


Features of CMMFeatures of CMM

1.1. Continuous improvement (effectiveness) requires Continuous improvement (effectiveness) requires replicable, consistent processes and a supportive replicable, consistent processes and a supportive institutional structureinstitutional structure

2.2. There are critical dimensions that can’t be skippedThere are critical dimensions that can’t be skipped

3.3. For sustainable change “institutionalization” is essential For sustainable change “institutionalization” is essential (documentation and training)(documentation and training)

4.4. Performance Levels are incremental combinations of Performance Levels are incremental combinations of processes and measurementprocesses and measurement

5.5. Each level builds on organizational readiness of previous.Each level builds on organizational readiness of previous.6.6. This is not evaluation: it is for strategizing!!This is not evaluation: it is for strategizing!!


85

Research: Adaptation of the “Capability Research: Adaptation of the “Capability Maturity Model”Maturity Model”

1.1. Continuous improvement (effectiveness) requires Continuous improvement (effectiveness) requires replicable, consistent processes and a supportive replicable, consistent processes and a supportive institutional structureinstitutional structure

2.2. Review of best practice indicates there are critical Review of best practice indicates there are critical dimensions that can’t be skippeddimensions that can’t be skipped

1.1. For sustainable change “institutionalization” is essential For sustainable change “institutionalization” is essential (documentation and training)(documentation and training)

2.2. Performance levels are incremental combinations of Performance levels are incremental combinations of processes and measurementprocesses and measurement

3.3. Each level builds on organizational readiness of Each level builds on organizational readiness of previousprevious

4.4. This is not evaluation: it is for strategizing!!This is not evaluation: it is for strategizing!!


86

A Capability Maturity Framework facilitates strategy A Capability Maturity Framework facilitates strategy developmentdevelopment

Institutional arrangments and relationships Institutional arrangments and relationships key to effective processes/programkey to effective processes/program

Key institutional elements identified – the Key institutional elements identified – the ones related to effective programsones related to effective programs

Each element can be present at various levels Each element can be present at various levels of achievement (“maturity”) – exhibited by of achievement (“maturity”) – exhibited by agencies todayagencies today

Agencies can identify their current statusAgencies can identify their current status The “model” indicates next stepsThe “model” indicates next steps


The Concept of Continuous ImprovementThe Concept of Continuous Improvement

PROCESSESPROCESSES——THE "HOW" DIMENSIONTHE "HOW" DIMENSIONBASIC ELEMENTSBASIC ELEMENTS STATE-OF-PLAYSTATE-OF-PLAY NEXT LEVEL OF CAPABILITYNEXT LEVEL OF CAPABILITY BEST-PRACTICE TARGETBEST-PRACTICE TARGET

Business ProcessesBusiness Processes Informal Informal Planned Planned InternalizedInternalized

Technology and SystemsTechnology and Systems Un-integratedUn-integrated StandardizedStandardized Integrated Integrated

PerformancePerformance Outputs Outputs OutcomesOutcomes AccountabilityAccountability

PROGRAM SCOPEPROGRAM SCOPE——THE "WHAT" DIMENSIONTHE "WHAT" DIMENSIONBASIC ELEMENTSBASIC ELEMENTS STATE-OF-PLAYSTATE-OF-PLAY NEXT LEVEL OF CAPABILITYNEXT LEVEL OF CAPABILITY BEST-PRACTICE TARGETBEST-PRACTICE TARGET

Needs-drivenNeeds-driven Ad hocAd hoc AnalyzedAnalyzed User impact-related User impact-related

Application AggressivenessApplication Aggressiveness Nominal Nominal State-of-the-practice State-of-the-practice Performance-driven Performance-driven

Comprehensive/ConsistentComprehensive/Consistent Opportunistic Opportunistic Standardized Standardized ComprehensiveComprehensive

ORGANIZATIONAL /INSTIUTIONAL ARRANGEMENTS ORGANIZATIONAL /INSTIUTIONAL ARRANGEMENTS —— THE "WHO" DIMENSION THE "WHO" DIMENSIONBASIC ELEMENTSBASIC ELEMENTS STATE-OF-PLAYSTATE-OF-PLAY NEXT LEVEL OF CAPABILITYNEXT LEVEL OF CAPABILITY BEST-PRACTICE TARGETBEST-PRACTICE TARGET

Operations CultureOperations Culture Capacity legacyCapacity legacy InternalizedInternalized Mobility committedMobility committed

Organization and Staffing Organization and Staffing FragmentedFragmented AlignedAligned Professionalized Professionalized

Resource Allocation Resource Allocation Project-level Project-level Criteria-based Criteria-based SustainableSustainable

PartnershipsPartnerships Informal Informal FormalFormal Consolidated Consolidated


Operations Capability Maturity LevelsOperations Capability Maturity LevelsGoal for the future

Ad Hoc

Managed

Integrated

Level 1

Level 2

Level 3

Ad hoc operation. Relationships not coordinated

Processes fully documented & staff trained

Fully coordinated, performance-driven

TransitioningAgencies (most)

A few Leaders

SupportArch.

SupportArch.

SupportArch.


Interpretation of Levels for SO&MInterpretation of Levels for SO&M

LevelLevel NameName CharacteristicsCharacteristics

11 Ad HocAd Hoc Non-standard/informalNon-standard/informal

22 ManagedManaged Process is managed & Process is managed & measuredmeasured

33 IntegratedIntegrated Performance-drivenPerformance-driven



Ad Hoc

Managed

Integrated

Level 1

Level 2

Level 3





A few Leaders

SupportArch.

SupportArch.

SupportArch.


91

The Operations Capability Framework: The Operations Capability Framework: Key ElementsKey Elements

Business & Technical Business & Technical Process Capabilities: Process Capabilities:

Scope of ActivitiesScope of Activities Business Processes Business Processes

Technology/SystemsTechnology/Systems

Performance MeasurementPerformance Measurement

Institutional/Organizational Institutional/Organizational Arrangements:Arrangements:

Culture/LeadershipCulture/Leadership

Organization/StaffingOrganization/Staffing

ResourcesResources

PartnershipsPartnerships


Transition States

Leading states

PROCESS/PROCESS/CAPABILITYCAPABILITY

LEVELSLEVELSReflecting agencies Reflecting agencies ability to perform ability to perform

effectivelyeffectively

CriteriaCriteriaFor LevelsFor Levels

Level 1Level 1Performed Ac Performed Ac

HocHocGetting organized: Getting organized: unique activities at unique activities at

project level, siloed, project level, siloed, hero-drivenhero-driven

Level 2Level 2ManagedManaged

Developing methods Developing methods and processes: and processes:

Capabilities developed Capabilities developed at the unit level but at the unit level but program unstable program unstable

Level 3Level 3IntegratedIntegratedBest practice Best practice installed and installed and

measured measured consistently consistently

within program within program frameworkframework

ScopeScope

Concepts/Concepts/procedures/procedures/

protocolsprotocols

Technology and Technology and SystemsSystems

MeasurementMeasurement

Transition organizations

Leading organizations

Levels of Technical Process Maturity


Basic Basic Dimensions Dimensions

L-1L-1TRANSITIONINGTRANSITIONINGGetting organized: Getting organized:

unique ad hoc activities unique ad hoc activities at project levelat project level””

L-2L-2MANAGEDMANAGED

Developing and Developing and processes: capabilities at processes: capabilities at

the strategy level, but the strategy level, but un-integratedun-integrated

L-3L-3INTEGRATEDINTEGRATED

Best practice integrated, Best practice integrated, documented and measured documented and measured

consistently within program consistently within program frameworkframework

ScopeScope Narrow and Opportunistic

Needs-based and Standardized

Full range Core Program”

Business Business processesprocesses

Informal, undocumented

Planned, mainstreamed

Integrated and Documented

Technology Technology and systemsand systems

Project oriented, Qualitative evaluation

Platforms based quantitative evaluation

Standardized C/E systems/platforms

PerformancePerformanceOutputs reported Outcomes used

Performance Accountability

DOT operations program maturity:DOT operations program maturity:technical processes and capabilitiestechnical processes and capabilities



Ad Hoc

Managed

Integrated

Level 1

Level 2

Level 3





A few Leaders

SupportArch.

SupportArch.

SupportArch.



I-1I-1LEGACY-BASEDLEGACY-BASED

Hero-driven--on Hero-driven--on regional basisregional basis

I-2I-2RESTRUCTURINGRESTRUCTURING

Supports transition from Supports transition from Managed to IntegratedManaged to Integrated

I-3I-3SUPPORTIVESUPPORTIVE

Supports Transition from Supports Transition from Integrated to MainstreamedIntegrated to Mainstreamed

Operations Culture

Mixed, unfamiliar—Event/Hero-driven

Championed/Internalized across disciplines

Mobility Committed

Organization, management and staffing

Fragmented, Understaffed

Aligning, trained Professionalized

Resource allocation to Operations

Project -levelCriteria-based program

Sustainable Budget Line Item

Partnerships Informal, unaligned Formal, aligned Consolidated

Organization/institutional arrangementsOrganization/institutional arrangements Supporting capability levelsSupporting capability levels


Dimensions Dimensions

LEGACY-BASEDLEGACY-BASEDActivities initiated on Activities initiated on

regional basisregional basis

RESTRUCTURINGRESTRUCTURINGSupports transition from Supports transition from Managed to IntegratedManaged to Integrated

SUPPORTIVESUPPORTIVESupports Transition from Supports Transition from

Integrated to MainstreamedIntegrated to Mainstreamed

Operations Operations CultureCulture

Legacy—Hero-drivenLegacy—Hero-drivenOperations acknowledged,(including Operations acknowledged,(including value of reliability) but without strategic value of reliability) but without strategic commitment or top level leadershipcommitment or top level leadershipAdherence to legacy roles among Adherence to legacy roles among transportation and public safety entities transportation and public safety entities

Championed/Internalized across disciplinesChampioned/Internalized across disciplinesVisible agency leadership citing Operations Visible agency leadership citing Operations leverage, cost-effectiveness and risks across leverage, cost-effectiveness and risks across disciplines -- disciplines -- Rationalization of responsibilities by formal Rationalization of responsibilities by formal agreements across institutions (transportation agreements across institutions (transportation agency, PSAs, private)agency, PSAs, private)

Mobility CommittedMobility CommittedCustomer mobility service commitment Customer mobility service commitment accessibility accepted as core programaccessibility accepted as core programClear legal authority for operations roles, Clear legal authority for operations roles, actions among transportation agency, PSAs, actions among transportation agency, PSAs, Local government clarifiedLocal government clarified

Organization Organization and staffing and staffing for for OperationsOperations

Fragmented, UnderstaffedFragmented, UnderstaffedSome fragmentation of key functions and Some fragmentation of key functions and boundaries - horizontal and vertical boundaries - horizontal and vertical Reliance on key individual for technical Reliance on key individual for technical knowledge and champions for leadershipknowledge and champions for leadership

Aligning, trainedAligning, trainedTMC focus with Vertical/horizontal TMC focus with Vertical/horizontal authority/responsibility alignment for operations authority/responsibility alignment for operations including P/B/D/C/O/Mincluding P/B/D/C/O/MCore capacities established with KSA specs, Core capacities established with KSA specs, training and performance incentivestraining and performance incentives

ProfessionalizedProfessionalizedTop level management position with operations Top level management position with operations orientation established in central office and orientation established in central office and districts districts Professionalization and certification of Professionalization and certification of operations core capacity positions operations core capacity positions

Resource Resource allocation to allocation to OperationsOperations

Project -levelProject -levelFunds at project level, ad hoc, Funds at project level, ad hoc, unpredictableunpredictableAd hoc resource allocation with Ad hoc resource allocation with operations as secondary priorityoperations as secondary priority

Criteria-based programCriteria-based programBudget allocation for operations driven by Budget allocation for operations driven by transparent criteria on life cycle needs basistransparent criteria on life cycle needs basisOperations claim on agencies’ resources for Operations claim on agencies’ resources for mobility support established on timing, extent, mobility support established on timing, extent, cost-effectivenesscost-effectiveness

Sustainable Budget Line ItemSustainable Budget Line ItemOperations is formal visible sustainable line Operations is formal visible sustainable line item in agencies’ budget -- capital, operating and item in agencies’ budget -- capital, operating and maintenancemaintenanceTrade-offs between operations and capital Trade-offs between operations and capital expenditure considered as part of the planning expenditure considered as part of the planning processprocess

Partnerships Partnerships for for OperationsOperations

Informal, unalignedInformal, unalignedNon-transportation entities unaligned Non-transportation entities unaligned with transportation objectives, procedures with transportation objectives, procedures relying on informal personal basisrelying on informal personal basisPrivate sector utilized for isolated Private sector utilized for isolated functionsfunctions

Formal, alignedFormal, alignedTransportation agencies assert leadership in Transportation agencies assert leadership in partnerships via formal written, agreements with partnerships via formal written, agreements with PSA, EM, PSA, EM, Private sector capabilities in technology, Private sector capabilities in technology, management tappedmanagement tapped

ConsolidatedConsolidatedHigh level of operations coordination among High level of operations coordination among owner/operators: state, local private with TMC owner/operators: state, local private with TMC consolidation consolidation Clear outsourcing role developed, while Clear outsourcing role developed, while maintaining agencies’ core capacitiesmaintaining agencies’ core capacities

– PROCESS AND INSTITUTIONAL ARCHITECTURE DIMENSION DETAILS

Dimensions Dimensions L-1L-1

TRANSITIONINGTRANSITIONING””L-2L-2

MANAGEDMANAGEDL-3L-3

INTEGRATEDINTEGRATED

ScopeScope Narrow and OpportunisticNarrow and OpportunisticAd hoc operations activities based on Ad hoc operations activities based on regional initiatives, with limited regional initiatives, with limited central office supportcentral office supportNarrow/ITS-project based, low Narrow/ITS-project based, low hanging fruit hanging fruit

Needs-based and StandardizedNeeds-based and StandardizedOperations as needs mobility- based Operations as needs mobility- based multi-strategy program multi-strategy program Standardized agency programs or Standardized agency programs or strategies related to specific strategies related to specific problems, desired outcomesproblems, desired outcomes

Full range Core ProgramFull range Core ProgramFull staged program of synergizing Full staged program of synergizing functionalitiesfunctionalitiesOperations as key trade-off investment Operations as key trade-off investment with other improvements in terms of with other improvements in terms of “mobility management”“mobility management”

Business Business processesprocesses

Informal, undocumentedInformal, undocumentedProjects/issues handled on fire fight Projects/issues handled on fire fight basis with only modest formal basis with only modest formal regional/district planning i(but no regional/district planning i(but no standard template)standard template)Minimal conops, architecture; Minimal conops, architecture; procedures ad hoc/no consistencyprocedures ad hoc/no consistency

PlannedPlannedStrategic planning and budgeting of Strategic planning and budgeting of staged improvements including staged improvements including maintenance and construction maintenance and construction implicationsimplicationsArchitectures and related processes Architectures and related processes developed, including major developed, including major communications structurecommunications structure

Integrated and DocumentedIntegrated and DocumentedIntegrated operations-related planning, Integrated operations-related planning, budgeting, staffing, deployment and budgeting, staffing, deployment and maintenance both within operations and maintenance both within operations and with SW and metro planningwith SW and metro planningFull documentation of key conops, Full documentation of key conops, architecture, procedures and protocolsarchitecture, procedures and protocols

Technology Technology and systemsand systems

Qualitative, opportunistic Qualitative, opportunistic Technologies selected at project level Technologies selected at project level Limited understanding of operating Limited understanding of operating platform needsplatform needs

Evaluated platformsEvaluated platformsBasic stable technology for existing Basic stable technology for existing strategies evaluated on qualitative strategies evaluated on qualitative basisbasisIdentification of standardized, Identification of standardized, statewide interoperable operating statewide interoperable operating platforms and related procurement platforms and related procurement procedures procedures

Standardized, interoperableStandardized, interoperableSystematic evaluation/application of best Systematic evaluation/application of best available technology/p[procedure available technology/p[procedure combinationscombinationsStandard technology platforms Standard technology platforms developed/maintained developed/maintained

PerformancePerformance Outputs reportedOutputs reportedMeasurement of outputs only with Measurement of outputs only with limited analysis/remediationlimited analysis/remediationOutput measures reportedOutput measures reported

Outcomes usedOutcomes usedOutcome measures measured Outcome measures measured developed and used for developed and used for improvementimprovementOutcome measures reportedOutcome measures reported

Performance AccountabilityPerformance AccountabilityContinuous improvement perspective Continuous improvement perspective adopted (requires intra and interagency adopted (requires intra and interagency after action analysisafter action analysisAccountability and benchmarking at unit Accountability and benchmarking at unit and agency level via regular outcome and agency level via regular outcome performance reporting – internal and performance reporting – internal and publicpublic

PROOF OF CONCEPT

PROOF OF CONCEPT


97

INSTITUTIONAL INSTITUTIONAL DIMENSIONSDIMENSIONS

AD HOCAD HOCLegacy-basedLegacy-based

RATIONALIZEDRATIONALIZEDRestructuringRestructuring

MAINSTREAMEDMAINSTREAMEDFully SupportiveFully Supportive

Operations CultureOperations Culture

Legacy—Hero-drivenLegacy—Hero-drivenOperations acknowledged, including value Operations acknowledged, including value of reliability) but without strategic of reliability) but without strategic commitment or top level leadershipcommitment or top level leadershipAdherence to legacy roles among Adherence to legacy roles among transportation and public safety entities transportation and public safety entities

Championed/Internalized across Championed/Internalized across disciplinesdisciplinesVisible agency leadership citing Operations Visible agency leadership citing Operations leverage, cost-effectiveness and risks across leverage, cost-effectiveness and risks across disciplines -- disciplines -- Rationalization of responsibilities by formal Rationalization of responsibilities by formal agreements across institutions (transportation agreements across institutions (transportation agency, PSAs, private)agency, PSAs, private)

Mobility CommittedMobility CommittedCustomer mobility service commitment Customer mobility service commitment accessibility accepted as core programaccessibility accepted as core programClear legal authority for operations roles, Clear legal authority for operations roles, actions among transportation agency, PSAs, actions among transportation agency, PSAs, Local government clarifiedLocal government clarified

Organization and Organization and Staffing for Staffing for OperationsOperations

Fragmented, UnderstaffedFragmented, UnderstaffedSome fragmentation of key functions and Some fragmentation of key functions and boundaries - horizontal and vertical boundaries - horizontal and vertical Reliance on key individual for technical Reliance on key individual for technical knowledge and champions for leadershipknowledge and champions for leadership

Aligning, trainedAligning, trainedTMC focus with Vertical/horizontal TMC focus with Vertical/horizontal authority/responsibility alignment for authority/responsibility alignment for operations including P/B/D/C/O/Moperations including P/B/D/C/O/MCore capacities established with KSA specs, Core capacities established with KSA specs, training and performance incentivestraining and performance incentives

ProfessionalizedProfessionalizedTop level management position with Top level management position with operations orientation established in central operations orientation established in central office and districts office and districts Professionalization and certification of Professionalization and certification of operations core capacity positions operations core capacity positions

Resource Resource Allocation to Allocation to OperationsOperations

Project -levelProject -levelFunds at project level, ad hoc, Funds at project level, ad hoc, unpredictableunpredictableAd hoc resource allocation with operations Ad hoc resource allocation with operations as secondary priorityas secondary priority

Criteria-based programCriteria-based programBudget allocation for operations driven by Budget allocation for operations driven by transparent criteria on life cycle needs basistransparent criteria on life cycle needs basisOperations claim on agencies’ resources for Operations claim on agencies’ resources for mobility support established on timing, mobility support established on timing, extent, cost-effectivenessextent, cost-effectiveness

Sustainable Budget Line ItemSustainable Budget Line ItemOperations is formal visible sustainable line Operations is formal visible sustainable line item in agencies’ budget -- capital, operating item in agencies’ budget -- capital, operating and maintenanceand maintenanceTrade-offs between operations and capital Trade-offs between operations and capital expenditure considered as part of the expenditure considered as part of the planning processplanning process

Partnerships for Partnerships for OperationsOperations

Informal, unalignedInformal, unalignedNon-transportation entities unaligned with Non-transportation entities unaligned with transportation objectives, procedures transportation objectives, procedures relying on informal personal basisrelying on informal personal basisPrivate sector utilized for isolated Private sector utilized for isolated functionsfunctions

Formal, alignedFormal, alignedTransportation agencies assert leadership in Transportation agencies assert leadership in partnerships via formal written, agreements partnerships via formal written, agreements with PSA, EM, with PSA, EM, Private sector capabilities in technology, Private sector capabilities in technology, management tappedmanagement tapped

ConsolidatedConsolidatedHigh level of operations coordination High level of operations coordination among owner/operators: state, local private among owner/operators: state, local private with TMC consolidation with TMC consolidation Clear outsourcing role developed, while Clear outsourcing role developed, while maintaining agencies’ core capacitiesmaintaining agencies’ core capacities

PROCESS PROCESS DIMENSIONSDIMENSIONS

L-1L-1TRANSITIONINGTRANSITIONING””

L-2L-2MANAGEDMANAGED

L-3L-3INTEGRATEDINTEGRATED

ScopeScope Narrow and OpportunisticNarrow and OpportunisticAd hoc operations activities based on Ad hoc operations activities based on regional initiatives, with limited central regional initiatives, with limited central office supportoffice supportNarrow/ITS-project based, low hanging fruit Narrow/ITS-project based, low hanging fruit

Needs-based and StandardizedNeeds-based and StandardizedOperations as needs mobility- based multi-Operations as needs mobility- based multi-strategy program strategy program Standardized agency programs or strategies Standardized agency programs or strategies related to specific problems, desired outcomesrelated to specific problems, desired outcomes

Full range Core ProgramFull range Core ProgramFull staged program of synergizing functionalitiesFull staged program of synergizing functionalitiesOperations as key trade-off investment with other Operations as key trade-off investment with other improvements in terms of “mobility management”improvements in terms of “mobility management”

Business Business ProcessesProcesses

Informal, undocumentedInformal, undocumentedProjects/issues handled on fire fight basis Projects/issues handled on fire fight basis with only modest formal regional/district with only modest formal regional/district planning i(but no standard template)planning i(but no standard template)Minimal conops, architecture; procedures Minimal conops, architecture; procedures ad hoc/no consistencyad hoc/no consistency

PlannedPlannedStrategic planning and budgeting of staged Strategic planning and budgeting of staged improvements including maintenance and improvements including maintenance and construction implicationsconstruction implicationsArchitectures and related processes developed, Architectures and related processes developed, including major communications structureincluding major communications structure

Integrated and DocumentedIntegrated and DocumentedIntegrated operations-related planning, budgeting, Integrated operations-related planning, budgeting, staffing, deployment and maintenance both within staffing, deployment and maintenance both within operations and with SW and metro planningoperations and with SW and metro planningFull documentation of key conops, architecture, Full documentation of key conops, architecture, procedures and protocolsprocedures and protocols

Technology and Technology and SystemsSystems

Qualitative, opportunistic Qualitative, opportunistic Technologies selected at project level Technologies selected at project level Limited understanding of operating platform Limited understanding of operating platform needsneeds

Evaluated platformsEvaluated platformsBasic stable technology for existing strategies Basic stable technology for existing strategies evaluated on qualitative basisevaluated on qualitative basisIdentification of standardized, statewide Identification of standardized, statewide interoperable operating platforms and related interoperable operating platforms and related procurement procedures procurement procedures

Standardized, interoperableStandardized, interoperableSystematic evaluation/application of best available Systematic evaluation/application of best available technology/p[procedure combinationstechnology/p[procedure combinationsStandard technology platforms Standard technology platforms developed/maintained developed/maintained

PerformancePerformance Outputs reportedOutputs reportedMeasurement of outputs only with limited Measurement of outputs only with limited analysis/remediationanalysis/remediationOutput measures reportedOutput measures reported

Outcomes usedOutcomes usedOutcome measures measured developed and Outcome measures measured developed and used for improvementused for improvementOutcome measures reportedOutcome measures reported

Performance AccountabilityPerformance AccountabilityContinuous improvement perspective adopted Continuous improvement perspective adopted (requires intra and interagency after action analysis(requires intra and interagency after action analysisAccountability and benchmarking at unit and Accountability and benchmarking at unit and agency level via regular outcome performance agency level via regular outcome performance reporting – internal and publicreporting – internal and public

PROOF OF CONCEPT


98

ORGANIZATION/INSTITUTIONAL ELEMENT LEVELS ORGANIZATION/INSTITUTIONAL ELEMENT LEVELS NEEDED TO SUPPORT IMPROVED PROCESS/PROGRAMNEEDED TO SUPPORT IMPROVED PROCESS/PROGRAM


AD HOCAD HOC

Legacy/Hero-drivenLegacy/Hero-driven

RATIONALIZEDRATIONALIZED

Structuring for Structuring for transition transition

MAINSTREAMEDMAINSTREAMED

Fully IntegratedFully Integrated

Operations Operations cultureculture

Mixed, unfamiliar—Mixed, unfamiliar—Event/Hero-drivenEvent/Hero-driven

Championed/Championed/Internalized across Internalized across disciplinesdisciplines

Mobility CommittedMobility Committed

Organization, Organization, management management and staffing and staffing

Fragmented, Fragmented, UnderstaffedUnderstaffed

Aligned, trainedAligned, trained ProfessionalizedProfessionalized


Project -levelProject -levelCriteria-based Criteria-based programprogram

Sustainable Budget Line Sustainable Budget Line ItemItem

Partnerships Partnerships Informal, unalignedInformal, unaligned Formal, alignedFormal, aligned ConsolidatedConsolidated


The Implications of OCMThe Implications of OCM

Continuous improvement (effectiveness) Continuous improvement (effectiveness) requires replicable, consistent processes as requires replicable, consistent processes as baseline for next stepbaseline for next step

Within a large agency, this requires Within a large agency, this requires documentation and trainingdocumentation and training

The levels are incremental combinations of The levels are incremental combinations of processes establishment and measurementprocesses establishment and measurement

Each one builds on that previous via Each one builds on that previous via establishing organizational readiness. establishing organizational readiness.

OCM level is based on the row with the lowest OCM level is based on the row with the lowest score.score.



Ad Hoc

Managed

Integrated

Level 1

Level 2

Level 3





A few Leaders

SupportArch.

SupportArch.

SupportArch.


101

ORGANIZATION/INSTITUTIONAL ELEMENT LEVELS ORGANIZATION/INSTITUTIONAL ELEMENT LEVELS NEEDED TO SUPPORT IMPROVED PROCESS/PROGRAMNEEDED TO SUPPORT IMPROVED PROCESS/PROGRAM


AD HOCAD HOC

Legacy/Hero-drivenLegacy/Hero-driven

RATIONALIZEDRATIONALIZED

Structuring for Structuring for transition transition

MAINSTREAMEDMAINSTREAMED

Fully IntegratedFully Integrated

Operations Operations cultureculture

Mixed, unfamiliar—Mixed, unfamiliar—Event/Hero-drivenEvent/Hero-driven


Mobility CommittedMobility Committed

Organization, Organization, management management and staffing and staffing


Aligned, trainedAligned, trained ProfessionalizedProfessionalized


Project -levelProject -levelCriteria-based Criteria-based programprogram

Sustainable Budget Line Sustainable Budget Line ItemItem

Partnerships Partnerships Informal, unalignedInformal, unaligned Formal, alignedFormal, aligned ConsolidatedConsolidated


Basic Basic DimensionsDimensions

LEGACY-BASEDLEGACY-BASED RESTRUCTURINGRESTRUCTURING SUPPORTIVESUPPORTIVE

CultureCulture Mixed, unfamiliarMixed, unfamiliar——Hero-drivenHero-driven


Mobility Mobility CommittedCommitted

Organization/Organization/Staffing Staffing


Aligning, trainedAligning, trained ProfessionalizedProfessionalized

Resource Resource allocationallocation Project -levelProject -level

Criteria-based Criteria-based programprogram

Sustainable Sustainable Budget Line ItemBudget Line Item

PartnershipsPartnerships Informal, Informal, unalignedunaligned

Formal, alignedFormal, aligned ConsolidatedConsolidated

Change Management Strategies (Examples)

Legislation

Reallocation

Consolidation

Education & policy

Training Academy

Line Item budget

FormalAgreements

Outsourcing


PROCESS/PROCESS/CAPABILITYCAPABILITYLEVELSLEVELS

CriteriaCriteriaFor LevelsFor Levels

Level 1Level 1Performed Ac Performed Ac HocHoc

Level 2Level 2ManagedManaged

Level 3Level 3IntegratedIntegrated

ScopeScope

Business Business Process/CapabilitiesProcess/Capabilities

Systems and Systems and TechnologyTechnology

Performance Performance MeasurementMeasurement

ORGANIZATIONAL/ORGANIZATIONAL/INSTITUTIONALINSTITUTIONALARCHITECTUREARCHITECTURE

DimensionsDimensionsAd Hoc to Ad Hoc to Managed Managed

Managed to Managed to IntegratedIntegrated

Supportive for Supportive for to to MainstreamingMainstreaming

Culture/LeadershipCulture/Leadership

Organization/StaffingOrganization/Staffing

Resource AllocationResource Allocation

PartnershipsPartnerships

Correlation btwn Operations Maturity LevelsAnd Institutional Architecture


104

Strategies to Improve Institutional Strategies to Improve Institutional MaturityMaturity

Culture/LeadershipCulture/Leadership Undertake educational program re SO&M as customer serviceUndertake educational program re SO&M as customer service Exert visible senior leadershipExert visible senior leadership Establish formal core programEstablish formal core program Rationalize state DOT authorityRationalize state DOT authority Internalize continuous improvement as agency mode/ethicInternalize continuous improvement as agency mode/ethic

Organization/StaffingOrganization/Staffing Establish top-level SO&M executive structureEstablish top-level SO&M executive structure Establish appropriate organizational structureEstablish appropriate organizational structure Identify core capacitiesIdentify core capacities Determine/allocate responsibility, accountability and incentivesDetermine/allocate responsibility, accountability and incentives

Resource AllocationsResource Allocations Develop program-level budget estimateDevelop program-level budget estimate Introduce SO&M as a top level agency budget line itemIntroduce SO&M as a top level agency budget line item Develop acceptance of sustainable resourcing from state fundsDevelop acceptance of sustainable resourcing from state funds Develop methodology for trade-offsDevelop methodology for trade-offs

PartnershipsPartnerships Agree on operational roles and procedures with PSAsAgree on operational roles and procedures with PSAs Identify opportunities for joint operations activities with local Identify opportunities for joint operations activities with local

government/MPOsgovernment/MPOs Develop procedures that accommodate partnersDevelop procedures that accommodate partners’’ goals and maximize goals and maximize

mobility (minimum disruption)mobility (minimum disruption) Rationalize staff versus outsourcing activities, responsibilities and Rationalize staff versus outsourcing activities, responsibilities and

oversightoversight


105

The Guidance Scheme


The Potential of Operations Capability Maturity The Potential of Operations Capability Maturity ModelModel

Shared vision of best practiceShared vision of best practice

A common analytical language A common analytical language

Vertical and horizontal management relationshipsVertical and horizontal management relationships

Formalized, transparent (self) appraisal processFormalized, transparent (self) appraisal process

Suits any type of organization by size, problems, Suits any type of organization by size, problems,

Framework to prioritize change management tacticsFramework to prioritize change management tactics

Basis for benchmarking across organizationsBasis for benchmarking across organizations


Basic Dimensions

LEGACY-BASED RESTRUCTURING/TRANSITION

SUPPORTIVEMAINSTREAMED

Culture Mixed, unfamiliar—Hero-driven

Championed/Internalized across disciplines

Mobility Committed

Organization/ Staffing

Fragmented, Understaffed

Aligning, trained Professionalized

Resource allocation Project -level

Criteria-based program

Sustainable Budget Line Item

Partnerships Informal, unaligned

Formal, aligned Consolidated

Degree of DOT “Management”: Leverage on Change

Legislation

Reallocation

Consolidation

Education & policy

Training Academy

Line Item budget

FormalAgreements

Outsourcing


Change Management: Alternative Paths Change Management: Alternative Paths for Considerationfor Consideration

1.1. Internal incremental changeInternal incremental change -- regarding those -- regarding those architectural dimensions under the span of control of top architectural dimensions under the span of control of top managementmanagement

2.2. Major ReorganizationMajor Reorganization with internal change in priorities and with internal change in priorities and related (may require outside political supportrelated (may require outside political support

3.3. Capitalizing on a major eventCapitalizing on a major event to make permanent changes to make permanent changes (special event, major disruption, natural disaster)(special event, major disruption, natural disaster)

4.4. Consolidation of functionsConsolidation of functions among public agencies in the among public agencies in the form of a new operating entity form of a new operating entity


Where is my state? (QUIZ)Where is my state? (QUIZ)

Technical Process Dimensions:Technical Process Dimensions:• Any at level 1?Any at level 1?

• A dimension at 2?A dimension at 2?

Institutional Dimensions:Institutional Dimensions:• Any at level 2?Any at level 2?

What is your biggest challenge?What is your biggest challenge?


DOT OPERATIONS PROGRAM MATURITY –PROCESSES AND CAPABILITYDOT OPERATIONS PROGRAM MATURITY –PROCESSES AND CAPABILITY

L1L1 L2L2 L3L3

Operations Activities (program ) ScopeOperations Activities (program ) Scope

Narrow and Opportunistic -- Narrow and Opportunistic -- 44 Needs-based and Standardized -- Needs-based and Standardized -- 66 Full-range core program Full-range core program 11

Business Process used to develop Operations ProgramBusiness Process used to develop Operations Program

Informal, undocumented -- Informal, undocumented -- 44 Planned, documented -- Planned, documented -- 66 Integrated and Documented -- Integrated and Documented -- 11

Systems and Technology DevelopmentSystems and Technology Development

Qualitative, opportunistic -- Qualitative, opportunistic -- 11 Evaluated platforms -- Evaluated platforms -- 55 Standardized, interoperable -- Standardized, interoperable -- 22

Performance Measurement and ReportingPerformance Measurement and Reporting

Outputs reported Outputs reported -- 6-- 6 Outcomes used -- Outcomes used -- 11 Performance Accountability -- Performance Accountability -- 11ORGANIZATION/INSTITUTIONAL ARRANGEMENTS FOR SYSTEMS OPERATIONSORGANIZATION/INSTITUTIONAL ARRANGEMENTS FOR SYSTEMS OPERATIONS

L1L1 L2L2 L2L2

Operations CultureOperations Culture

Legacy—Hero-driven -- Legacy—Hero-driven -- 55 Agency Championed -- Agency Championed -- 44 Mobility Committed -- Mobility Committed -- 11

Organization and Staffing for OperationsOrganization and Staffing for Operations

Fragmented, Understaffed -- Fragmented, Understaffed -- 33 Aligning, trained -- Aligning, trained -- 44 Professionalized -- Professionalized -- 1 1

Resource Allocations for OperationsResource Allocations for Operations

Project -level -- Project -level -- 22 Criteria-based programCriteria-based program -- -- 33 Sustainable Budget Line Item -- Sustainable Budget Line Item -- 11

Partnerships (Public Safety, Local Gov’t) for OperationsPartnerships (Public Safety, Local Gov’t) for Operations

Informal, unaligned -- Informal, unaligned -- 22 Formal, aligned -- Formal, aligned -- 33 Consolidated Consolidated -- 2-- 2

Division Survey


InstitutionalizationInstitutionalization Get itGet it StartStart DoneDone

1. Improvement in performance articulated in policy1. Improvement in performance articulated in policy

2. Leverage of SO&M widely understood2. Leverage of SO&M widely understood

3. SO&M program development responsibility identified3. SO&M program development responsibility identified

4. Line item budget/slots for SO&M-related resources4. Line item budget/slots for SO&M-related resources

5. Technical leadership at agency and key region positions5. Technical leadership at agency and key region positions

6. Formal statewide relationship with PSAs 6. Formal statewide relationship with PSAs

7. Basic laws and policy in place 7. Basic laws and policy in place

8. Existing basic ITS infrastructure in place 8. Existing basic ITS infrastructure in place

10. Traffic eng., safety, ITS, etc. consolidated 10. Traffic eng., safety, ITS, etc. consolidated

11. System performance tracked 11. System performance tracked

12. Consistent Statewide ConOps in place 12. Consistent Statewide ConOps in place

QUIZ: Self Assessment re your QUIZ: Self Assessment re your agencyagency


FHWA Role?FHWA Role?

FHWAFHWA• Policy/program priority?Policy/program priority?

• Division Accountability? Division Accountability?

To Top SDOT ManagementTo Top SDOT Management• Clarify service stakes Clarify service stakes

• Exploit legislative justification (performance)Exploit legislative justification (performance)

• Clarify benefits and costsClarify benefits and costs

To SDOT Program ManagersTo SDOT Program Managers• Help self-evaluate level of capability and barriersHelp self-evaluate level of capability and barriers

• Showcase best practice for peersShowcase best practice for peers

• Reach SDOT district managementReach SDOT district management


MeanwhileMeanwhile (as committed secret agents of the future):(as committed secret agents of the future):

Guerilla Tactics for ChangeGuerilla Tactics for Change

Insist on technical truth regarding service to customersInsist on technical truth regarding service to customers

Technology should not get ahead of procedures and protocols Technology should not get ahead of procedures and protocols

Standardize and document process (planning, proj dev, procure, etc)Standardize and document process (planning, proj dev, procure, etc)

Get planners’ buy-in – they will supportGet planners’ buy-in – they will support

Expertise is the scarce resource: Start training staff nowExpertise is the scarce resource: Start training staff now

Push for organizational equivalency and accountabilityPush for organizational equivalency and accountability

Establish conops with all partners – otherwise ………..Establish conops with all partners – otherwise ………..

$$$$ is not the problem, sustainable $ is: push for line item$$$$ is not the problem, sustainable $ is: push for line item

Performance measurement can be incremental and usefulPerformance measurement can be incremental and useful

Be ready for – and capitalize on – external events!!Be ready for – and capitalize on – external events!!


Vision: Vision: Emerging Institutional ArrangementsEmerging Institutional Arrangements


21st CENTURY

DOT

Other state agencies

Private sector

Informed customers

Localgovernment

Public safety agencies

OUTSOURCE /PRIVATIZE

DEVOLVE

20TH CENTURY DOT

EFFICIENCY

COMPLEXITY

CO-DELIVER

Vision: PartnershipsVision: PartnershipsFuture of State DOTsFuture of State DOTs


Vision: Big Cultural Shift &Vision: Big Cultural Shift &Change in PrioritiesChange in Priorities

DemandManagement

Maintenance

System Expansion

SystemsManagement

Maintenance

System Expansion

DemandManagemen

t

Systemsmanagement

2OTHCENTURY

DOT

21STCENTURY

DOT


DIMENSIONDIMENSION 2020THTH CENTURY CENTURY 2121STST CENTURY CENTURY

Mission and Mission and VisionVision System developmentSystem development Operating the system for UsersOperating the system for Users

Professional Professional OrientationOrientation Engineering expertiseEngineering expertise Performance ManagementPerformance Management

Jurisdictional Jurisdictional RolesRoles Separate spansSeparate spans Consolidated (new authorities)Consolidated (new authorities)

Sector RolesSector RolesPublic templatePublic template Public ManagementPublic Management

Relationship Relationship with Userswith Users Vehicles independent + adviceVehicles independent + advice VIIVII

Drivers of Drivers of ChangeChange Budget constrainedBudget constrained Learning enterpriseLearning enterprise

Vision: The 21Vision: The 21stst Century Operations- Century Operations-Oriented DOTOriented DOT

1 systems operations as a program: the process & institutional dimensions steve lockwood parsons...

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