failure analysis integrated multi stakeholder mental model and project life cycle
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New approach in failure analysis by integrated multi-stakeholder's mental models with project life cycleTRANSCRIPT
FAILURE ANALYSIS OF MALFUNCTION WATER RESOURCES PROJECT IN THE
NORTHEASTERN THAILAND: INTEGRATED MENTAL MODELS AND PROJECT LIFE
CYCLE PERSPECTIVE APPROACH
Advisor: Professor, Dr.Tsunemi WatanabeExamination Committee: Professor, Dr.Seigo Nasu
Professor, Dr.Osamu TomisawaProfessor, Dr.Yoshinori NakagawaAssociate Professor, Dr.Takashi Goso
By
Piriya URAIWONGKochi University of Technology
2013/2/12
Malfunction water
resources project
1. Causes of this malfunction?2. Stakeholder’s behavior associated
with malfunction?3. Solution for the problem?
1. Failure analysis2. Stakeholder’s
mental models analysis
1. Integrated mental models with WBS in project life cycle perspective
2. Multi-Stakeholder’s behavior in malfunction project
1. Identified failure causes and solutions
2. New failure analysis approach
Research problem
Research questions
Methodology
Results
Conclusions
Determine
Produce Permit
Answer
2
Defining “Malfunction” and “Failure”
• “Malfunction”- Fail to work normally or properly (v.), failure of this kind (n.) (Oxford advanced learner’s dictionary,1989)
• “Failure” – The inability of the project to deliver the intended benefit to the identified stakeholders
• Many levels of failure- from mild failure to complete failure (Layton, 2011)
3
Problem statement• Malfunction small-scaled water resources
project – “a project that Fail to work normally or properly to deliver the intended benefit to the identified stakeholders”
4
Problem statement
17%
27%43%
7% 5%
Water resources project condition (Department of Water Resources: DWR,
2008)
Good condition
Minor recon-struction
Rehabilitation
Re-construction
Rejected
5
Research objectives
1. To identify factors which cause malfunction in water resources project
2. To study behavior of key stakeholder who participated in malfunction of water resources project
3. To offer tools and methods that loosen constraints regarding malfunction water resources project
6
Research questions
RQ1 • What are factors which cause an malfunction of water resources project?
RQ2• What are behavior of key stakeholder’s who
participated in malfunction of water resources project?
RQ3• What would be proposed measures or
mechanism to improve water resources project management in Thailand?
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Methodology
8
Research methodology1. Preliminary diagnose malfunction project:
Failure Knowledge Database
2. Introducing integrated failure analysis approach
3. Multi-Stakeholder’s mental models analysis
4. Proposes measures and action plan
Develop analysis method
Application to cases
Constraint-measure
9
Introducing integrated mental models and project life cycle approach for failure analysis
10
Previous work on failure analysis
• Check sheets and Modified Pareto analysis (1897) • Cause-and-effect diagram (Ishikawa diagrams,
1960’s)• Fault tree analysis (Fussel, 1976)• Failure Mode and Effects Analysis: FMEA (IEEE std
352)• Failure knowledge database (Hatamura, 2005)• Integrated Water Resources Management (1992)
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Limitation of conventional analysis and Proposal of new approach
• Conventional analysis -> Less include stakeholder’s mindset in failure analysis
Data collection Root cause identification
Recommendation generation and implementation
Stakeholder’s mindset
Propose -> Overcome limitation of regardless complexity of stakeholder mindset and behavior associated with a failure project
Integrate
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Mental models
• “The images (attitudes and assumptions) we carry in our minds about ourselves, other people, institutions, and every aspect of the world which guide our interpretations and behavior.”
(HSBC sign ad)
13
14
Coding and mapping mental models
Stakeholder semi-
structured interview
Coding
concepts
Mapping
Network of concepts
Influence map(Adapted from Carley, 1997)
Statement
Key aspects and process of mental models of an individual in decision
Mental modelsHeuristics/
biases
influence
Possible actions & effects
(changed)Action Situation (AS)
/ Outcome
(3)Mental models
processing
(4)Framing issue
(1) Selective observation
(2) Perception
Action
(Adapted from Isendahl, 2010)
Background: personal, cultural, education
15
Individual
Mental models and situations
Mental models 1
Mental models 2
Mental models 3
AS1 AS2 AS3 AS4 AS5
Project
AS = Action situation16
(Pahl-Wostl et.al., 2006)
Project life cycle and work breakdown structure
The project life cycle
Initiating and Planning
Work element 1.1
Work element 1.2
Construction
Work element 2.1
Work element 2.2
Operation and Maintenance
Work element 3.1
Work element 3.2
17(Haugan, 2003)
Chronological progression of failure
Cause
Background
Event Action Sequel
(Result)(Hatamura, 2005)
18
Influence
Differencesof actualsituation
Influence
Consequence Integrate
Integrated approach
19
Integrated framework
Mental models 1
Mental models 2
Mental models 3
20
Planning phase
Result/ Sequel
Construction phase
Operation and maintenance phase
AS 1.1 AS 2.1 AS 3.1
AS 1.2
AS 1.3
AS 2.2
AS 2.3
AS 3.2
AS 3.3
Stakeholder 1 Stakeholder 2 Stakeholder 3
Cause/Background
Event/Action
Integrated process
1. Define problem context: project, phenomenal, etc. (by Failure knowledge database and project lifecycle and work breakdown structure)
2. Identify stakeholders and elicit stakeholder’s mental models
3. Apply multi-stakeholder’s mental models under project life cycle and work breakdown structure
21
Practical application of integrated approach
22
Failure Knowledge Database
Actions
Results
(Hatamura, 2005)
Cause
23
Initial diagnosed factors related to malfunction project
01. Occurrence of abnormal 02. Insufficient knowledge : 08. Poor concept 09. Poor planning :
15. Self-protection 16. Economic loss
: 21. External damage
Causes
Actions
Results
(Complete result can be found in attachment # 1) 24
Case study I
25
Downstream blockage
Fractures on concrete structure
Broken radial gates with stolen
pulleys
Case study II
26
Structural failure
No use of canal (growing rice in
the canal)No area maintenance
Semi-structured interview
Interviewee group Number
Officer in the Department of Water Resources (DWR) 5
Officer in the Local Administration Office (LAO) 4
Project user 12
Total 21
27
Partial mental models influence diagram
28
The DWR lack of training and education in project
operation and maintenance
The DWR lack of continuity to follow
up the project
Project user disregard of procedure
Project user lack of maintenance
Malfunction of project
No specific budget for maintenance
work
Idea of “I need water, but I don’t want to fix when the project is broken”
DWR-HQ03 mental models influence diagram
bureaucratic reform of theThai government in October
2002
projects under the ARDwere transfered to the DWR
establishment ofthe DWR
projects inventorysystem
budget and projectsinventory approvement from
the cabinet
process of budgetapprovement took almost
2-3 years
no budget for projectmaintenance
no activity onprojects
projectmaintenance work
regional officeresponsibility
regional office payattention on new project
the DWRimplementation plan
no attention on maintenancework for projects transfered
from the ARD
projects proposedby politicain
lack of continuity onproject maintenance
no maintenance budgetwhen the DWR was
established
the Bureau of Budget didn'tsee importance of
maintenance budget
malfunctionprojects
cooperation betweenthe DWR and locals
tendency ofdecreasing in number
locals satisfy with aproject
human resourcemanagement
organization vision,mission and policy design
adaptation of officersfrom various agencies
proposal on hiring consultantcompany for publicparticipation work
projects proposed bylocal's need
regional officenegotiation with
politician
annualimplementation plan
public participation processstated in the Prime Minister
Office Regulation
small public hearingprocess for couple hours
establishment ofwater user group
running by ownfund
technical supportfrom the DWR
the DWR does notsupport budget all time
otherwise they willonly wait for help
increasing income
area development
the DWR provide locala stage to speak
local feel that the DWRdoesn't leave them
integrated work ofbureaus in the DWR
attitude of theDWR officers
not sharing experiences andproblems in publicparticipation work
previous constitution didn'tpay attention on public
participation
problem in publicparticipation
government implementmore public participation
activity
the DecentralizationAct 1999
projects transfer to localadminstration office
the DWR transfersknowledge to local
administration
transfered projectfacing problem
local administration office'sbudget problems in first
couple years
project O&M, projectmanagement, establishment of
water user groupdifferent budget system
from the DWR
the local administrationneed to manage their own
budget
problem of agencyshortage number
solving by makingalliance
put people at centerand adjust ourselve
budget andtechnology support
coordination betweenpolitician, the DWR and
local is needed
trust from local is themost important
creat the DWRvalue
DWR-HQ03
29
KY-LAO02 mental models influence diagram
insufficient waterquantity for agriculture
useflooding
pumping station and usergroup establishment
no water user group forthe weir project
Kud Sri Pum weirproject
function as a bridge to cross acanal to transport agriculture
product
problems related tothis project
looking for solution fromthe TAO as priority
the TAO responsibilityfor all civil work
project damagesassesment
under capability ofthe TAO
over capability ofthe TAO
repair work looking for help fromothe agencies
free access
decision made bymajority of water users
conflict resolution done byvoting among water users
social mechanismpreventing personal
selfishnessincooperate with
the TAO
unequal benefitamong water users
disign rule preventingoverloaded truck to cross
the weir
percieved as senseof ownership
no bridge to cross thestream in this area
malfunction of theproject
the pulley wasstolen slump and cracks
occurance on theinfrastructure
drastic water fluctuationin dry and wet season
heavy traffic overthe weir
perceive as projectworking well
unable to closethe gate
rejection on projecttransfer from the DWR
afraid of occurance ofserious structure damages in
future
becoming the TAOburden
request full rehabilitation ofproject to be in a good
condition
accept the projectfrom the DWR
tax payers
expectation of benefitfrom the localadministration
lack of knowledge onproject operation and
maintenance
villager benefit lost
the TAOuncapable of help
solving problem bythemselves at last
KY-LAO01 mental models
30
KY-LV06 mental models influence diagram
water leaking fromspillway
pulleys were stolen
two out of four sluicegate are not working
poor roadcondition
projectmalfunctions flooding
difficulty in agricultureproduct transport
damages onagriculture products
income lost
large amount of waterreleased from the dam in
one time
looking for appropriatecompensation from the dam
negotiation with the damon water release regulation
weir structure issecured
water usage foragriculture
pumping station
serving half of thesub-district area
villager chief requestedproject to the local
politician
the politician contactedthe ARD agnency
project wasconstructed
discussion among localvillagers for new wier
small storage tempolary weirand always broken in rain
season
pulley chain wasbroken
fixed by villagers'smoney
maintenance workby the DWR
no cooperation withthe TAO
adding riprap atdownstream
buy new pulley fromvillagers's money
small conflict betweenupstream and downstream
negotiation byvillager chief
rule for water intake from thestream from villagers's
agreement
villagers agree andrespect the rule
meeting amongvillagers
no maintenanceplan
so far we can useit, it's ok
broken rubber sealaround the sluicegate
water leaking fromthe gate
old concrete
unwilling to spend muchmoney on public
maintenance work
difficulty in consensus onpublic property issue
concern for personalbenefit rather than public
benefit
unwilling to shareresponsibility but want the
same benefit
explanation andcompromisation by
villager chief
limited budget of theDWR and the TAO
understanding thelimitation
if budget is sufficient,villagers will help to take
care a project
function as abridge
monitoringoverloaded truck
difficult to get aproject
need to take care ofa project
sometimes fix some damagesbecause villagers benefit from
a project
benefit from a project ispercieved as sense of
ownership22
KY-LV06
31
Malfunction influence diagram
32
Stakeholder A Stakeholder B Stakeholder C
Work element
Mental models
Mental models
Mental models
Mental models
Mental models
Mental models
Plan
ning
ph
ase
Cons
truc
tion
phas
eO
& M
ph
ase
Work element
Work element
Mental models
Mental models
Mental models
Sequel
AS1 AS1
AS2
AS3
AS2
AS3
AS1
AS2
AS3
Malfunction influence diagramDepartment of Water Resources Local Administration
Office Project User
Project developmen
t phase
Construction phase
Operation and
maintenance phase
33
Low attention in stakeholder participation
No project involvement
Being ignored from
participationLess public
participation activity
Being ignored from
participation
Low project information sharing
Focus on project delivery
Project’s infrastructure
No involvement in construction
Ignorance of damages
Fear of burden and loosing face
Avoidance of responsibility
No long-term plan
No maintenance budget
No maintenance
Malfunction projectMental modelsActual
situation
Poor planning
No training for operation and maintenance No
knowledge
Minor damages
Expect benefit from
projectNo knowledge
No benefit from project
No involvement in construction
Case I
34
Case II
35
Summary of mental models toward project management
36
Perspective Department of Water Resources
Local Administration Office
Project Users
Priority of project goals
Delivery of construction project
Responsibility for all infrastructure project
Water needs and water usage
Main driving force
Organization missions and regulations
Community development
Economic incentives
Timescale of implementation
Short to medium term
Long term Long term
Ownership of the project
Authority from law and regulation
Local authority and organization capability
Based on benefit from a project
Responsibility of operation and maintenance
Central authority and available budget
Local authority and available budget
Based on benefit from a project
Summary of mental models toward project management
Perspective Department of Water Resources
Local Administration Office
Project Users
Causes of malfunction/ Constraints
- Budget constraint- No project life cycle
management plan- Politician
interference- Corruption - Lack of coordination
between units in the organization
- Low quality control in construction work
- Budget constraint- Limited number
of skilled-workers- Fear of burden
from malfunction project
- Self-interest in priority
- Lack of knowledge in operation and maintenance
- Absence of responsibility sharing
- Ignorance of malfunction
- Belief in politician’s power
37
Identified constraints
Lack of planning for implementation of the DWR
Capacity of the DWR and staff in project management
Absence of stakeholder participation
38DWR= the Department of Water Resources
Proposed measures
39
Constraints and proposed measures
Thematic 1:
Utilization project life cycle planning and management
Thematic 2:
Improving the DWR capacity to deliver service
Thematic 3:
Stakeholder participation and building capacity
40
Constraint 1:
Lack of planning for implementation of the DWR
Constraint 2:
Capacity of the DWR and staff in project management
Constraint 3:
Absence of stakeholder participation
DWR= the Department of Water Resources
Thematic 1: Utilization project life cycle planning and management
41
Identification
Appraisal
Financing
Construction
Operation and
maintenance
Evaluation
Thematic 1: Utilization project life cycle planning and management
Project phase Proposed measures
Project identification 1. The DWR should conduct situation and problem analysis and stakeholder analysis
2. Incorporate “Hierarchical cooperative objectives or goals” in the project identification process
42
Identification
Appraisal
Financing
Construction
Operation and
maintenance
Evaluation
Thematic 1: Utilization project life cycle planning and management
Project phase Proposed measuresProject appraisal 1. The DWR should concern on the
sustainability aspects of the project formulation
2. Project should have capacity to continue and become sustainable without external support
3. Estimation the life cycle cost over the whole life of the project or at least first four years is needed
43
Identification
Appraisal
Financing
Construction
Operation and
maintenance
Evaluation
Thematic 1: Utilization project life cycle planning and management
Project phase Proposed measuresProject financial
management1. The DWR’s executive negotiation with
the Bureau of Budget on operational and maintenance fund
44
Identification
Appraisal
Financing
Construction
Operation and
maintenance
Evaluation
Thematic 1: Utilization project life cycle planning and management
Project phase Proposed measuresProject construction and quality control
1. Formulate the construction quality control committee composed of representatives from the DWR, the Local Administration Office and project
2. Foster a proper sense of professional ethics in the DWR staff of pride in the work and the value of the job
3. Continual education, training and monitoring system are necessary
45
Identification
Appraisal
Financing
Construction
Operation and
maintenance
Evaluation
Thematic 1: Utilization project life cycle planning and management
Project phase Proposed measuresProject operation and maintenance phase
1. Established the provisional operation plan and maintenance schedule
2. The DWR should take a role of a facilitator to facilitate the technical issues
3. Maintain a performance database including maintenance records, condition assessment data and other items
4. Periodic inspection in project performance is needed
5. Adequate funding and resources must be secured for the operation and maintenance
6. Establish the emergency maintenance fund at the central office
46
Identification
Appraisal
Financing
Construction
Operation and
maintenance
Evaluation
Thematic 1: Utilization project life cycle planning and management
Project phase Proposed measuresProject monitoring
and evaluation1. Framework of the project assessment
system
47
Identification
Appraisal
Financing
Construction
Operation and
maintenance
Evaluation
Themes Index
Overall assessment
Efficiency
Resources used correctly
Obtained result compared to result used
Complication of project management
Stakeholder relationship
Effectiveness
Implemented activities compared to objectives and plan
Degree of achieving expected results
Impact
Long-term impact on the project surrounding environment
Direct and indirect change produced by the project
Sustainability
Likelihood the benefit produced by the project to continue without external
subsidiesCapacity of organization established for the
project
Developed competencies of staff
Framework of the project assessment system
48
Indicator categories
Thematic 2: Improving the DWR capacity to deliver service
49
• provide training, technical assistance and management support service
Establishment of “the capacity building unit”
• Review process of project planning, designing, construction and implementing
• Guideline for appropriate and effective public participation, etc.
Identify and develop a series of practical guidelines for operation
Thematic 3: Stakeholder participation and capacity building
50
• could be achieved through supportive reasonable budget
Stakeholder participation and stakeholder capacity building program is a repetitive activity
• describe the difficulties and identifies practice
Diagnose and identify particular factors that can make public participation difficult to implement
Be carefully in adopting a process for selecting best techniques and tools for the situation
Propose of Beneficiary Contribution Approach
1. Scheme is identified by local with technical supports and construction work from the DWR
2. Beneficiaries and related stakeholders must be involved in all stages
3. Scheme must produce sufficient benefit for project life cycle management
4. Beneficiaries contribute equivalent to the cost of first year of Operation and maintenance
5. Monitoring and evaluation system must be applied to project
51
I: Development of project preliminary phase• Preliminary design• Information
sharing
II: Water users’ cooperative establishment and a project plan development phase• Detailed design&
Cost• Stakeholder analysis• Water user
cooperative organization & MOU
III: Construction and operation and maintenance phase• Beneficiary
contribution• Project O&M
supported by the DWR
Stages in Beneficiary Contribution Approach
52
Conclusion
53
Conclusion 1: Integrated stakeholder’s mental models in failure analysis
• Applicable and useful method
54
Conclusion 2: Causes of malfunction project
– Lack of planning for implementation of the Department of Water Resources (DWR)
– Capacity of the DWR and staff in project planning and management; and
– Absence of stakeholder participation and stakeholder capacity building
55
Conclusion 3: Stakeholder’s behavior• The Department of Water Resources (DWR)– Focusing on delivery project side – Low respond to project operation and maintenance
management demand• Local administration office– Recognized their limitation of budget and low capability – Avoid or transfer burden may occurred from malfunction
project to the project owner• Project users– Very sensitive, income is main driving force– Disregard of maintenance ignorance after project
became malfunction and made no benefit the project was abandoned
56
Conclusion 4: Proposed measures
• Three thematic– Thematic 1:Utilization project life cycle planning
and management– Thematic 2:Improving the DWR capacity
to deliver service – Thematic 3:Stakeholder participation and building
capacity• Beneficiary contribution approach
57
Publications
58
Publications
International Journal1. Uraiwong, P. & Watanabe T. (2012). “Small-scaled water
resources project in Thailand: Failure analysis and improvement of stakeholder involvement”. Journal of Society for Social Management Systems (Peer-reviewed) serial SMS12-6080.
2. Komatsu T., Nakaya S., Uraiwong P., and Watanabe T. "Multi-Stakeholder Mental Model in Monobe River Improvement and Maintenance. "Journal of Society for Social Management Systems (Peer-reviewed) serial SMS12-9459.
3. Uraiwong, P. & Watanabe T. (2011). “Stakeholder analysis of water resources projects in Thailand”. Journal of Society for Social Management Systems (Peer-reviewed) serial SMS11-5587.
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Publications International Conference 1. Uraiwong, P. & Watanabe T. (2012). “Small-scaled water resources
project in Thailand: Failure analysis and improvement of stakeholder involvement”. The 8th International Symposium on Social Management Systems SSMS2012 - Disaster Prevention and Reconstruction Management -, 2-4 May 2012, Kaohsiung, Taiwan, R.O.C.
2. Komatsu T., Nakaya S., Uraiwong P., and Watanabe T. (2012). "Multi-Stakeholder Mental Model in Monobe River Improvement and Maintenance. The 8th International Symposium on Social Management Systems SSMS2012 - Disaster Prevention and Reconstruction Management -, 2-4 May 2012, Kaohsiung, Taiwan, R.O.C.
3. Uraiwong, P. & Watanabe T. (2011). “Stakeholder analysis of water resources projects in Thailand”. IESL-SSMS Joint International Symposium on Social Management Systems 2011, 14-16 September 2011, Colombo, Sri Lanka
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Publications
International Conference (cont.)4. Uraiwong, P. & Watanabe T. (2012). "Public Awareness Campaigns and Education Program in the Monobe River." Thailand-Japan International Academic Conference 2012 Proceeding. Tokyo, Japan, October 20125. Uraiwong, P. & Watanabe T. (2011). "Model for Small-scaled Water Resources Project Development: Based on Thai Case." Thailand-Japan International Academic (TJIA) Conference 2011. Tokyo, Japan, November 20116. Uraiwong, P. & Watanabe T. (2010). “Community mechanisms for water resources risk management”. Proceeding of International conference for a sustainable Greater Mekong Subregion, King Mongkut’s University of Technology, Bangkok, Thailand,26-27 August 2010, pp.431-434.
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