1 session viii systems operations as a program: the process & institutional dimensions steve...

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Session VIIISession VIII

Systems OperationsSystems Operationsas a as a Program:Program:

The Process & Institutional The Process & Institutional DimensionsDimensions

Steve LockwoodSteve Lockwood

PB ConsultPB Consult

Session VIII: Systems Operations as a Program2

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

William Gibson in Cyberpunk


Learning ObjectivesLearning Objectives

Understanding of the Understanding of the RoleRole of Systems of Systems Operations and Management within the Operations and Management within the Transportation system – and DOT’s missionTransportation system – and DOT’s mission

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


Topics CoveredTopics Covered

A.A. Driving forces for Driving forces for ChangeChange

B.B. Current Current System statusSystem status

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

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

E.E. TheThe Challenge/Dimensions of Change Challenge/Dimensions of Change

F.F. Operations Capability MaturityOperations Capability Maturity

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


Message A. Driving Forces:Message A. Driving Forces:Performance of InterestPerformance of Interest

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: Improved Capacity, Speed, SafetyTraditional: Improved Capacity, Speed, Safety

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

Continuous Improvement of Performance Continuous Improvement of Performance drives all relevant management changesdrives all relevant management changes


Driving Forces:Driving Forces: Loss of Performance Loss of Performance


Driving Forces: Driving Forces: Loss of MobilityLoss of Mobility

Both Recurring & Non-recurringcongestion


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


0

10

20

30

40

50

60

70

POP Drivers Vehicles VMT Highways

1980-2000

Driving Forces:Driving Forces:Can We Build Out of Congestion?Can We Build Out of Congestion?


Driving forces:Driving forces:Causes for ContextsCauses for Contexts

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 NON-TOTAL NON-RECURRINGRECURRING

58-6758-67 6767 9898


Driving Forces: Driving Forces: The Serious Challenge: NRCThe Serious Challenge: NRC


Driving Forces: Special Emphasis onDriving Forces: Special Emphasis on Non-Recurring Congestion Non-Recurring Congestion

Recurring Recurring ((more established: signalization, ramp more established: signalization, ramp metering, geometrics)metering, geometrics)

Major Strategies to Manage Non-Recurring Major Strategies to Manage Non-Recurring CongestionCongestion• 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


B. Leverage: B. Leverage: Strategy ToolboxStrategy Toolbox


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 needed Processes and strategies and ITS to needed Processes and Institutional arrangements that are Institutional arrangements that are preconditions execute strategies effectivelypreconditions execute strategies effectively

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 metroaareasIn metroaareas

%% RelatedRelatedOperations StrategyOperations Strategy

Best Best PracticePractice

Mainline Mainline 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%


Leverage: Long-term BenefitsLeverage: Long-term Benefits(Interstate example)(Interstate example)

Delay (billions of hrs)Delay (billions of hrs) SafetySafety

ScenarioScenario RecurringRecurring IncidentIncident TotalTotal SavingsSavings FatalsFatals SavingsSavings

Existing Existing Deployment Deployment Trends @ Trends @ V/C= 0.95V/C= 0.95 949949 203203 1,1531,153 -5.6%-5.6% 195K195K -0.7%-0.7%

Aggressive Aggressive DeploymentDeployment

@ V/C =0.60@ V/C =0.60 685685 111111 796796 -34.8%-34.8% 179K179K -8.9%-8.9%


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


Status:Status:Current ITS Deployment Current ITS Deployment (Urbanized Areas)(Urbanized Areas)

Area/TechnologyArea/Technology PercentPercentMiles --electronic surveillance Miles --electronic surveillance 38%38%

Ramps metered Ramps metered 21%21%

Number of DMS Number of DMS 3,1773,177

Miles covered HAR Miles covered HAR 22%22%

Miles incident detection algorithm Miles incident detection algorithm 16%16%

Miles covered FSP Miles covered FSP 48%48%

Vehicles under CAD Vehicles under CAD 80%80%

States with 511 (2006)States with 511 (2006) 56%56%


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


Status: Where are we in SO&M?Status: Where are we in SO&M?

Huge, unrealized, cost-effectiveness Huge, unrealized, cost-effectiveness potential in modest deployment potential in modest deployment

Major gap between conventional practice Major gap between conventional practice and state-of-the-art practiceand state-of-the-art practice

……despite heroic efforts of program staffdespite heroic efforts of program staff Overcoming technical and institutional Overcoming technical and institutional

barriersbarriers


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


Relevance: Performance Improvements Relevance: Performance Improvements Process/Institutional CapabilityProcess/Institutional Capability

Problem Problem IS NOTIS NOT: do we know state-of-practice in : do we know state-of-practice in strategy applicationsstrategy applications

Problem IS: lack of preconditions/support for Problem IS: lack of preconditions/support for implementation that improves performance implementation that improves performance (continuously)(continuously)

And money IS NOT the major problemAnd money IS NOT the major problem

What does SO&M lack that OTHER DOT What does SO&M lack that OTHER DOT PROGRAMS ALREADY HAVE?:PROGRAMS ALREADY HAVE?:


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

Top and middle managers need some Top and middle managers need some guidance re guidance re what changes in processes and what 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


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


Relevance :Relevance :Long Story ShortLong Story Short

Process and Institutional barriers are the Process and Institutional barriers are the principal reason that systems operations principal reason that systems operations and management has not come close to and management has not come close to reaching its potentialreaching its potential


Message E: Dimensions of Change:Message E: Dimensions of Change:Overarching Learning ObjectiveOverarching Learning Objective

““Institutionalizing” Systems Operations and Institutionalizing” Systems Operations and Management to its full capability means:Management to its full capability means:

• Recognize criticality to relevance of agency mission, Recognize criticality to relevance of agency mission, legitimacy regarding mobility (if the DOT really cares)legitimacy regarding mobility (if the DOT really cares)

• Create supporting process and institutional features that are Create supporting process and institutional features that are part of any serious agency program (we already know what part of any serious agency program (we already know what they are)they are)

• Achieve equal agency status with construction and Achieve equal agency status with construction and maintenancemaintenance


Transportation Service Transportation Service Public AgenciesPublic Agencies XxxxxxxxxxxxxxxxxxxxxxxXxxxxxxxxxxxxxxxxxxxxxx

xxxxxxxxxxxxxxxxxxxxx xxxxxxxxxxxxxxxxxxxxx

xxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxx

xxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxx

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.

(Time out for a broader perspective)

Dimensions of Change:Dimensions of Change: Can we learn from private sector ?


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.

Message E: Dimensions of ChangeMessage E: Dimensions of Change(From a Product Entity to a Service Entity (From a Product Entity to a Service Entity (QUIZ)(QUIZ)

(Time out for a broader perspective)


Dimensions of Change: Dimensions of Change: SO&M is differentSO&M is different

Orientation to Orientation to customerscustomers and their service needs and their service needs

Focus on Focus on nownow rather than future rather than future

Focus on Focus on performance outcomesperformance outcomes not outputs not outputs

Emphasis on Emphasis on managingmanaging rather than development rather than development

A A service service (24 X 7)(24 X 7),, not an office (9-5) not an office (9-5)

Scaled to Scaled to triptrip – not just my jurisdiction – not just my jurisdiction


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

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??


Basic Logic: Traceability between the strategies Basic Logic: Traceability between the strategies (that we know) and their effective application(that we know) and their effective application

Types of congestion and typical tactics to minimize

Barriers

Managed Change Strategies needed to achieveappropriate institutional architectures

Actions needed to develop and implement strategies

Institutional arrangements to support programs

Programs to mainstream needed processes


Institutional Preconditions to Institutional Preconditions to Realize SO&M StrategiesRealize SO&M Strategies

PlanProgram accommodation in portfolioPlanning and programming

Implement

Systems engineering technical capacity developmentRegional situational awareness

Operate

Real time mobilization of program support systemsInteragency operational managementCoordinated execution of event response activitiesSynergy among reinforcing strategiesPerformance monitoring

Sustain Asset Management


ITS SystemsITS Systems Procedures and ProtocolsProcedures and Protocols

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

• Systematic deployment of Systematic deployment of traffic responsive techtraffic responsive tech

• Inter-jurisdictional consistency and Inter-jurisdictional consistency and sharing sharing

• Full detection and Full detection and surveillancesurveillance • 24X7 response 24X7 response

• Formal IM programsFormal IM programs

• Workzone &Incident Traffic Workzone &Incident Traffic controlcontrol

• Upgrade standards beyond MUTCDUpgrade standards beyond MUTCD

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

• Special routing (guidance Special routing (guidance info)info)

• Liaisons with intermodal playersLiaisons with intermodal players

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


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)


Beyond ITSBeyond ITS

First Generation – Building on Traffic EngineeringFirst Generation – Building on Traffic Engineering• Transportation System ManagementTransportation System Management• Congestion Management SystemsCongestion Management Systems

Second Generation – ITS FocusSecond Generation – ITS Focus• ITS Early Deployment PlansITS Early Deployment Plans• Long Range ITS Plans Long Range ITS Plans • Built Around ITS; but adds real time activitiesBuilt Around ITS; but adds real time activities• Emergency Response element addedEmergency Response element added

Third Generation – New BlendThird Generation – New Blend• Focus on System Operations and Management (SO&M)Focus on System Operations and Management (SO&M)• Emphasis on developing integrated core programEmphasis on developing integrated core program• Balance between systems and procedures/protocolsBalance between systems and procedures/protocols• Strategic, sustained development on performance targetsStrategic, sustained development on performance targets


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 improvementcontinuous improvement

• 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


Legacy StakeholdersLegacy Stakeholders

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)


DIMENSIONDIMENSION 2020THTH CENTURY CENTURY 2121STST CENTURY CENTURY

Mission and Mission and VisionVision System DevelopmentSystem Development Operating the systemOperating the system

Professional Professional OrientationOrientation Engineering expertiseEngineering expertise Performance ManagementPerformance Management

Authorizing Authorizing Environment Environment Development interestsDevelopment interests Users needsUsers needs

Jurisdictional Jurisdictional Roles Roles Minimal interactionMinimal interaction Continuous partneringContinuous partnering

Drivers of Drivers of ChangeChange Budget constrainedBudget constrained Learning basedLearning based

A Change in Basic Culture NeededA Change in Basic Culture Needed


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


External Legacy:External Legacy:Players in Highway OperationsPlayers in Highway Operations

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?


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?


Quiz AnswerQuiz Answer

No one knowsNo one knows

However, we know what you are spending on However, we know what you are spending on snow and ice control (5-10% of total annual snow and ice control (5-10% of total annual delay)delay)

More aggressive states: $40-70M (not More aggressive states: $40-70M (not including snow/ice control)including snow/ice control)


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?)

Local govtLocal govt MPOsMPOs Toll authoritiesToll authorities State and Local law enforcementState and Local law enforcement Emergency responseEmergency response Private sector by custom (towing)Private sector by custom (towing) Commercial Service ProvidersCommercial Service Providers


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)


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


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


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


How to Close the Gap?How to Close the Gap?

Top and middle managers need some Top and middle managers need some guidance re guidance re what changes in processes and what changes in processes and organization/institutions will result in the organization/institutions will result in the capability to move the SO&M “program” in capability to move the SO&M “program” in the direction of improved effectiveness and the direction of improved effectiveness and efficiencyefficiency• 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


A Promising Approach:A Promising Approach:Capability Maturity as Structure for Change Capability Maturity as Structure for Change managementmanagement

IT Industry origin/utilizationIT Industry origin/utilization

A technique for evaluating the effectiveness of an organization’s A technique for evaluating the effectiveness of an organization’s processesprocesses

Defined in terms of five levelsDefined in terms of five levels

Objectives include:Objectives include:• Repeatability Repeatability

• EffectivenessEffectiveness

• Performance measurementPerformance measurement

• OptimizationOptimization


Applying the Capability Maturity ModelApplying the Capability Maturity Model

ServiceDelivery

Acquisition

ITDevelopment

CMM

CMMFor

DOTs•Software Industry•Carnegie Mellon•DOD•Wider Applications

Graphic stolen from Phil Tarnoff


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.


Maturity Levels Full IT VersionMaturity Levels Full IT Version

Incomplete

Performed

Managed

Established

Predictable

Level 0

Level 1

Level 2

Level 3

Level 4

Disorganized

Ad hoc operation. Relationships not coordinated

Processes fully documented & staff trained

Fully coordinated operation. Performance data systematically collected and applied

Strong sense of teamwork, with full understanding of processes and performance objectives

Most of today’s agencies

Goal for the future


Interpretation of Levels (Phil)Interpretation of Levels (Phil)

LevelLevel NameName CharacteristicsCharacteristics

11 IncompleteIncomplete Ad hoc processesAd hoc processes

22 PerformedPerformed Procedures defined & Procedures defined & trackedtracked

33 ManagedManaged Process is managed & Process is managed & measuredmeasured

44 EstablishedEstablished Continuous analysisContinuous analysis


Identifying a LevelIdentifying a Level

CharacteristicCharacteristic Level 1Level 1 Level 2Level 2 Level 3Level 3 Level 4Level 4

PeoplePeople

ProcessProcess

TechnologyTechnology

MeasurementMeasurement

Example:Example: Application to Incident Management Application to Incident Management

CharacteristicCharacteristic Level 1Level 1 Level 2Level 2 Level 3Level 3 Level 4Level 4

PeoplePeopleFire fightingFire fighting

UncoordinatedUncoordinated

TrainedTrained

Expectations Expectations understoodunderstood

Work as Work as integrated integrated teamsteams

Strong sense of Strong sense of teamworkteamwork

ProcessProcess Few stable Few stable processesprocesses

Processes Processes documented documented and stableand stable

Integrated with Integrated with other other organizational organizational processesprocesses

Understood & Understood & systematically systematically improvedimproved

TechnologyTechnologyIntro of new Intro of new technology is technology is riskyrisky

Technology Technology used to used to support stable support stable activitiesactivities

New New technologies technologies evaluated evaluated qualitativelyqualitatively

New technologies New technologies are evaluated are evaluated quantitativelyquantitatively

MeasurementMeasurement Ad Hoc data Ad Hoc data collectioncollection

Performance Performance measured measured selectivelyselectively

Performance Performance systematically systematically measured for measured for all processesall processes

Data used to Data used to understand and understand and improve the improve the processprocess


Internal to DOTInternal to DOT External to DOTExternal to DOT

TechnicalTechnical

processesprocesses

1.1. ScopeScope

2.2. Business ProcessesBusiness Processes

3.3. Systems & TechnologySystems & Technology

4.4. Performance Performance measuresmeasures

InstitutionalInstitutional

arrangementsarrangements

1.1. Culture/leadershipCulture/leadership

2.2. Organization/StaffingOrganization/Staffing

3.3. ResourcesResources

4.4. PartnershipsPartnerships

Dimensions of Change: Adapting CMM to State DOT Operations


Structuring the Operations Maturity Model for Structuring the Operations Maturity Model for operations: technical processes and Institutional operations: technical processes and Institutional Architecture (three-level approach)Architecture (three-level approach)

Goal for the future

Ad Hoc

Managed

Integrated

Level 1

Level 2

Level 3



Fully coordinated, performance-driven

TransitioningAgencies (most)

A few Leaders

SupportArch.

SupportArch.

SupportArch.


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””

ScopeScope Narrow and Opportunistic

Business Business processesprocesses

Informal, undocumented

Technology Technology and systemsand systems

Project oriented, Qualitative evaluation

PerformancePerformanceOutputs reported






L-2L-2MANAGEDMANAGED

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

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


Needs-based and Standardized



Planned, mainstreamed



Platforms based quantitative evaluation

PerformancePerformance Outputs reported Outcomes used






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


Needs-based and Standardized

Full range Core Program”



Planned, mainstreamed

Integrated and Documented



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


Operations Capability Maturity LevelsOperations Capability Maturity LevelsGoal for the future

Ad Hoc

Managed

Integrated

Level 1

Level 2

Level 3



Fully coordinated, performance-driven

TransitioningAgencies (most)

A few Leaders

SupportArch.

SupportArch.

SupportArch.


I-1I-1LEGACY-BASEDLEGACY-BASED

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

Operations Culture

Mixed, unfamiliar—Event/Hero-driven

Organization, management and staffing

Fragmented, Understaffed

Resource allocation to Operations

Project -level

Partnerships Informal, unaligned

Organization/institutional arrangementsOrganization/institutional arrangements supporting capability levelssupporting capability levels

Basic Dimensions

I-1LEGACY-BASED

Hero-driven--on regional basis

I-2RESTRUCTURING

Supports transition from Managed to Integrated

Operations Culture


Championed/Internalized across disciplines



Aligning, trained


Project -levelCriteria-based program

Partnerships Informal, unaligned Formal, aligned

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


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



Mobility Committed



Aligning, trained Professionalized


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”


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


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


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 for and staffing for OperationsOperations

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

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 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 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 planning expenditure considered as part of the planning processprocess

Partnerships for Partnerships for OperationsOperations

Informal, unalignedInformal, unalignedNon-transportation entities unaligned Non-transportation entities unaligned with transportation objectives, with transportation objectives, procedures relying on informal personal procedures relying on informal personal basisbasisPrivate 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 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


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.


PROCESS/PROCESS/CAPABILITYCAPABILITY

LEVELSLEVELS

Level 1Level 1TransitioningTransitioning

““We don’t know that We don’t know that we don’t knowwe don’t know


We know that we don’t We know that we don’t know”know”

Level 3Level 3IntegratedIntegrated

We work at what We work at what we don’t knowwe don’t know””

DimensionsDimensions

Correlation btwn Operations Maturity LevelsAnd Institutional Architecture

SUPPORTIVESUPPORTIVEORGANIZATIONAL/ORGANIZATIONAL/

INSTITUTIONALINSTITUTIONALARCHITECTUREARCHITECTURE

Ad Hoc (legacy) Ad Hoc (legacy) Restructuring to Restructuring to SupportiveSupportive

Architecture CArchitecture CSupportiveSupportive

(Mainstreamed)(Mainstreamed)

DimensionsDimensions

Performance Criteria For Levels

Performance Criteria For Support

PROCESS/PROCESS/CAPABILITYCAPABILITYLEVELSLEVELS

CriteriaCriteriaFor LevelsFor Levels

Level 1Level 1Performed Ac Performed Ac HocHoc


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


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


G. Change Management: How Does G. Change Management: How Does (Needed) Change Happen? (Needed) Change Happen?

New leadership (from outside?)New leadership (from outside?) Internal champions (middle management heroes)Internal champions (middle management heroes) Natural disastersNatural disasters Major incidentMajor incident Special fundingSpecial funding Gradual realizationGradual realization Any combination of the above!!Any combination of the above!!


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


Basic Dimensions

LEGACY-BASED RESTRUCTURING/TRANSITION

SUPPORTIVEMAINSTREAMED

Culture Mixed, unfamiliar—Hero-driven


Mobility Committed

Organization/ Staffing


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


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?


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:Vision:Anticipated Future LeverageAnticipated Future Leverage

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

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


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:Vision:Future of State DOTsFuture of State DOTs


Vision: Vision: Emerging Institutional ArrangementsEmerging Institutional Arrangements


DIMENSIONDIMENSION 2020THTH CENTURY CENTURY 2121STST CENTURY CENTURY

Mission and Mission and VisionVision System DevelopmentSystem Development Operating the systemOperating the system

Professional Professional OrientationOrientation Engineering expertiseEngineering expertise Performance ManagementPerformance Management

Authorizing Authorizing Environment Environment Development interestsDevelopment interests Users needsUsers needs

Jurisdictional Jurisdictional Roles Roles Minimal interactionMinimal interaction Continuous partneringContinuous partnering

Drivers of Drivers of ChangeChange Budget constrainedBudget constrained Learning basedLearning based

The 21The 21stst Century Operations-Oriented Century Operations-Oriented DOTDOT


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


Learning ObjectivesLearning Objectives

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


Good Luck!!!!Good Luck!!!!

1 session viii systems operations as a program: the process & institutional dimensions steve...

Documents

nrcdriving forces

contextsdriving forces

current system status

transportation system

institutional weakness

institutional arrangements

geometricsmajor strategies

strategies effectivelyhow