1 systems operations as a program: the process & institutional dimensions steve lockwood parsons...
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Systems OperationsSystems Operationsas a as a Program:Program:
The Process & Institutional The Process & Institutional DimensionsDimensions
Steve LockwoodSteve Lockwood
Parsons BrinckerhoffParsons Brinckerhoff
Session VII: Systems Operations Institutional Dimensions2
“The future has already arrived. It’s just not very evenly distributed”
William Gibson in Cyberpunk
Session VII: Systems Operations Institutional Dimensions3
What This Discussion Is Really AboutWhat This Discussion Is Really About
Highway service deterioratingHighway service deteriorating
In the next 10-15, years any widespread improvement in LOS will result In the next 10-15, years any widespread improvement in LOS will result from SO&M (from SO&M (not much new capacity)not much new capacity) Significant improvements in mobility, reliability, safety can be derived from Significant improvements in mobility, reliability, safety can be derived from maximizing the servicemaximizing the service from the existing network. from the existing network.
Several states have been establishing the SOP benchmarks!!Several states have been establishing the SOP benchmarks!!
But many DOT SO&M activities appear to haveBut many DOT SO&M activities appear to haves ubstantially plateaueds ubstantially plateaued well well short of potential. SO&M potential remains largely untapped.short of potential. SO&M potential remains largely untapped.
The problem is not lack of knowledge or technology: but lack of The problem is not lack of knowledge or technology: but lack of commitment to a systems operations commitment to a systems operations mission, processes, and institutional mission, processes, and institutional arrangmentsarrangments
Session VII: Systems Operations Institutional Dimensions4
Learning ObjectivesLearning Objectives
Reconfirming Presumed Role of systems Reconfirming Presumed Role of systems Owner/Operators (SDOTs) regarding Owner/Operators (SDOTs) regarding MobilityMobility
Understanding of Understanding of Process and Institutional Process and Institutional Weakness Weakness as barriers/opportunities for as barriers/opportunities for effectivenesseffectiveness
Understanding of Understanding of Strategies for Change Strategies for Change (process and institutional)(process and institutional) towards a more towards a more effective operationseffective operations
Session VII: Systems Operations Institutional Dimensions5
Topics (Messages!!) CoveredTopics (Messages!!) Covered
A.A. Driving forces for ChangeDriving forces for Change
B.B. Current System status Current System status
C.C. The unacknowledged leverage of systems operationsThe unacknowledged leverage of systems operations
D.D. Relevance of systems operations and managementRelevance of systems operations and management
E.E. The Challenge/Dimensions of Change: Processes and The Challenge/Dimensions of Change: Processes and
InstitutionalInstitutional
F.F. Operations Capability MaturityOperations Capability Maturity
G.G. Future Vision: The 21Future Vision: The 21stst Century Transportation Agency Century Transportation Agency
Session VII: Systems Operations Institutional Dimensions6
PROBLEMS IN MY REGIONPROBLEMS IN MY REGIONSELF-EVALUATIONSELF-EVALUATION
A quick self-evaluation to see if any of A quick self-evaluation to see if any of the agencies represented can benefit the agencies represented can benefit from improved process and institutional from improved process and institutional arrangmentsarrangments
Depending on the outcome, we may be Depending on the outcome, we may be able to adjourn by lunch!!able to adjourn by lunch!!
Session VII: Systems Operations Institutional Dimensions7
AFFECTING Weather disruption
Crash/brkdwndelays
Road ConstructDisruptions
Special events
Bottle-necks
ArterialSignal timing
Peak period delays
Freeways 13 1-11 12 ?? 7, 10 7-9
Arterials 12 ?? 14 X
Transit
All 15-22
PROBLEMS IN MY REGIONPROBLEMS IN MY REGIONSELF-EVALUATIONSELF-EVALUATION
PROGRAM MATURITY INDICATOR 1/2PROGRAM MATURITY INDICATOR 1/2 YesYes NoNo1. Incident Management Most of urban freeways have consistent surveillance
2. Incident Management Clearance times are measured and reported
3. Incident Management DOT has formal MOU with highway patrol
4. Incident Management DOT has control over SSP coverage
5. Incident Management Interstate Corridors have end-to-end consistent approach
6. Incident Management Clearance times measured and compared statewide
7. Ramp Control Congested freeways have ramp metering
8. ATM Active traffic management in use (dynamic lane, speed control)
9. TMCs All metro areas (with MPOs) have TMCs
10. ATIS Travel time data is available to customers
11.ATIS All regional real time traffic data centrally communicated and archived
12. CWZTM Major corridor WZTM plans consistently incorporate ITS
13. RWIS Weather sensing stations exist in most weather-sensitive areas
14. Arterial Operations Congested arterial corridor signals are traffic responsive
PROGRAM MATURITY INDICATOR 2/2 yes no
15. Program architecture
Statewide and consistent regional system architectures (all regions) exist
16. Program cost Total expenditure on ITS/SO&M known budget line item
17. Program resource allocation
ITS/SO&M resource allocation related to clear performance. needs criteria
18. Program reporting Travel time reported
19. Program accountability
Senior full-time SO&M manager reports directly to CEO
20. Program Partnerships
DOT has formal MOU with PSA on Incident clearance time objective
21. State DOT LR Plan/program
Plan/program have separate category for ITS/SO&M
22. Program metropolitan status
MPO program has SO&M investment category
Session VII: Systems Operations Institutional Dimensions10
What do you mean “Institutional”?What do you mean “Institutional”?
Technology commodified -- However:1.Policy commitment vague2.Rarely a Core Program (part of other programs)3.Business processes nonstandard, undocumented4.Responsibility fragmented among units5.Limited central accountability for performance6. Informal relationship with other players (PSAs)7.Unclear budgetary & staffing priority 8.Loose relationships with private providers
(We call these “institutional” issues)
Session VII: Systems Operations Institutional Dimensions11
A.A. Is there a problem?Is there a problem?What about Performance?What about Performance?
Customer Mobility (isn't that our business?) Customer Mobility (isn't that our business?) – Impact of SO&M– Impact of SO&M
Performance FeaturesPerformance Features• Traditional:Traditional: Improved Capacity, Speed, Safety Improved Capacity, Speed, Safety
• NowNow: Maintenance of capacity, reliability (delay, : Maintenance of capacity, reliability (delay, disruption, congestion)disruption, congestion)
Continuous Improvement of Performance Continuous Improvement of Performance drives all relevant SO&M changesdrives all relevant SO&M changes
Session VII: Systems Operations Institutional Dimensions12
The Congestion ChallengeThe Congestion Challenge
Session VII: Systems Operations Institutional Dimensions13
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
Session VII: Systems Operations Institutional Dimensions14
Driving Forces: Driving Forces: Loss of MobilityLoss of Mobility
Non-recurring congestion
Session VII: Systems Operations Institutional Dimensions15
Driving forces: Causes for ContextsDriving forces: Causes for Contexts (your bosses should know this)(your bosses should know this)
Cause of Delay (%)Cause of Delay (%) Large UrbanLarge UrbanAreas > 1m*Areas > 1m*
Small Urban Areas Small Urban Areas 0.1-1.0m0.1-1.0m
RuralRural
RECURRING RECURRING CAUSESCAUSES
Network Demand > Network Demand > capacitycapacity
29-3729-37 20-2620-26 00
Poor signal timingPoor signal timing 4-54-5 7-137-13 22
TOTAL TOTAL RECURRINGRECURRING
33-4233-42 32-3332-33 22
NON-NON-RECURRING RECURRING
CAUSESCAUSES
CrashesCrashes 35-3635-36 19-2619-26 2626
BreakdownsBreakdowns 6-76-7 6-106-10 2525
Work zonesWork zones 8-198-19 26-2726-27 3939
WeatherWeather 5-65-6 7-107-10 77
Special events, Special events, OtherOther
11 00
TOTAL TOTAL NON-NON-
RECURRINGRECURRING
58-6758-67 6767 9898
Session VII: Systems Operations Institutional Dimensions16
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Impact of Best Practice Strategies - Impact of Best Practice Strategies -
Portion of DelayPortion of DelayIn major metros by cause(%)In major metros by cause(%)
Mainline CapacityMainline Capacity 29-37%29-37%
Poor signalizationPoor signalization 4-5%4-5%
Breakdowns/ Breakdowns/ crashescrashes
40-45%40-45%
ConstructionConstruction 8-20%8-20%
WeatherWeather 5-7%5-7%
Poor InformationPoor Information 2-5%2-5%
Impact of Operations Strategy (Best Impact of Operations Strategy (Best Practice over Current Practice) on Practice over Current Practice) on Total DelayTotal Delay
Flow control/ramp Flow control/ramp meteringmetering
5-6%5-6%
Traffic responsive Traffic responsive signalssignals
1%1%
Incident Incident managementmanagement
5-6%5-6%
WZ traffic WZ traffic managementmanagement
1-2%1-2%
Weather info Weather info 1%1%
Traveler Traveler informationinformation
1%1%
Session VII: Systems Operations Institutional Dimensions17
Loss of Performance:Loss of Performance:“Recapture Capacity”“Recapture Capacity” (your bosses should know this)(your bosses should know this)
Type of CauseType of Cause Contribution Contribution to total delayto total delay
Cause of DelayCause of Delay Basic Mitigation Basic Mitigation StrategyStrategy
Recurring CausesRecurring Causes 40-60%40-60%Mainline capacity shortfallsMainline capacity shortfalls
Interchange bottlenecksInterchange bottlenecks
Poor signal timingPoor signal timing
Non-Recurring Non-Recurring CausesCauses
40-50%40-50%Breakdowns & CrashesBreakdowns & Crashes
Construction workConstruction work
WeatherWeather
Lack of informationLack of information
Special eventsSpecial events
Capacity Increases
Systems Management
Session VII: Systems Operations Institutional Dimensions18
Tough QuestionsTough Questions
Are the above indications arguable? Are Are the above indications arguable? Are they meaningful?they meaningful?
How well does senior SDOT How well does senior SDOT management understand the causes of management understand the causes of congestion?congestion?
Session VII: Systems Operations Institutional Dimensions19
Congestion Strategy LeverageCongestion Strategy Leverage
RecurringRecurring SignalizationSignalization Ramp meteringRamp metering GeometricsGeometrics Freeway OperationsFreeway Operations Traveler InfoTraveler Info
Non-RecurringNon-Recurring• Incident managementIncident management
• Road weather managementRoad weather management
• Work zone traffic managementWork zone traffic management
• Special events management Special events management
• Active Traffic ManagementActive Traffic Management
Session VII: Systems Operations Institutional Dimensions20
Leverage: Effective SO&MLeverage: Effective SO&M
““Effectiveness” related to measurable Effectiveness” related to measurable outcomes in terms of improvements in delay, outcomes in terms of improvements in delay, disruption, safetydisruption, safety
Capabilities needed go beyond knowing Capabilities needed go beyond knowing strategies and ITS -- to Processes and strategies and ITS -- to Processes and Institutional preconditions for effectivenessInstitutional preconditions for effectiveness
How can they be put into place?How can they be put into place?
Session VII: Systems Operations Institutional Dimensions21
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?
Session VII: Systems Operations Institutional Dimensions22
Leverage:Leverage: Gap Between Gap Between Best and Average Practice? Best and Average Practice?
Cause of DelayCause of DelayIn metro areasIn metro areas
%%causecause
RelatedRelatedOperations StrategyOperations Strategy
Best Best PracticePractice
Mainline S/DMainline S/D 29-3729-37 Flow control (ATM)Flow control (ATM) -25%-25%
Poor sig opsPoor sig ops 4-54-5 Traffic responsiveTraffic responsive -35%-35%
Breakdowns/ Breakdowns/ crashescrashes
40-4540-45 SSP/Incident managementSSP/Incident management -50%-50%
ConstructionConstruction 8-208-20 WZ traffic managementWZ traffic management -30%-30%
WeatherWeather 5-75-7 RWIS, Decision suppRWIS, Decision supp -40%-40% Poor Info/MiscPoor Info/Misc 2-52-5 Traveler informationTraveler information -50%-50%
Session VII: Systems Operations Institutional Dimensions23
Competition with SO&M???Competition with SO&M???
What is the competition for improving service What is the competition for improving service to system usersto system users
Will there be a major increase in rate of Will there be a major increase in rate of capacity expansioncapacity expansion
In how many states is metro population and In how many states is metro population and VMT growth exceeding new capacityVMT growth exceeding new capacity
Does anyone are your DOT every talk about Does anyone are your DOT every talk about this?this?
Session VII: Systems Operations Institutional Dimensions24
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
Session VII: Systems Operations Institutional Dimensions25
We have a general idea of state of play We have a general idea of state of play – state by state– state by state
DeploymentDeployment Range of strategies employedRange of strategies employed Self-evaluationSelf-evaluation Participation in federally supported initiativesParticipation in federally supported initiatives Level of performance measurementLevel of performance measurement General institutional arrangementsGeneral institutional arrangements Current studies (SHRP2, NCHRP, AASHTO SO&M)Current studies (SHRP2, NCHRP, AASHTO SO&M)
Session VII: Systems Operations Institutional Dimensions26
Is the Glass Half-full or Half empty??Is the Glass Half-full or Half empty??
Several states have made significant process Several states have made significant process in developing comprehensive programs – and in developing comprehensive programs – and have some state of the practice applicationshave some state of the practice applications
Several states are working in that directionsSeveral states are working in that directions Several states don’t feel the need to take a Several states don’t feel the need to take a
comprehensive approachcomprehensive approach We can learn from each otherWe can learn from each other
Session VII: Systems Operations Institutional Dimensions27
Example statsExample stats
Session VII: Systems Operations Institutional Dimensions28
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
Session VII: Systems Operations Institutional Dimensions29
The right questionsThe right questions
How is your DOT doing?How is your DOT doing? You should know where your states You should know where your states
stands vis a vis your peers – and the stands vis a vis your peers – and the state of the practicestate of the practice
(this is the definition of a professional)(this is the definition of a professional)
Session VII: Systems Operations Institutional Dimensions30
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
Session VII: Systems Operations Institutional Dimensions31
Operational PerformanceOperational Performance
Session VII: Systems Operations Institutional Dimensions32
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Reliability Research: The Importance of Institutional Reliability Research: The Importance of Institutional ArrangementsArrangements
ProgramA needs-responsive, performance-driven, comprehensive C/E statewide SO&M program
ProcessesThe business processes and systems required to facilitate program qualities above
InstitutionsThe values, capabilities and arrangements and resources required to support and sustain of the required business process
ProgramA needs-responsive, performance-driven, comprehensive C/E statewide SO&M program
ProcessesThe business processes and systems required to facilitate program qualities above
InstitutionsThe values, capabilities and arrangements and resources required to support and sustain of the required business process
SO&M Program PerformanceA needs-responsive, performance-driven, comprehensive
cost-effective statewide SO&M program
Necessary ProcessesThe business processes and systems required to facilitate program
qualities above
Supportive Institutional ArrangementsThe values, capabilities and arrangements and resources required to support and sustain of
the required business process
Session VII: Systems Operations Institutional Dimensions33
The Basic Elements of Improved SO&MThe Basic Elements of Improved SO&M
ProgramA needs-responsive, performance-driven, comprehensive C/E statewide SO&M program
ProcessesThe business processes and systems required to facilitate program qualities above
InstitutionsThe values, capabilities and arrangements and resources required to support and sustain of the required business process
Session VII: Systems Operations Institutional Dimensions34
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IntroductionIntroduction
1.1. Performance Management of the existing Performance Management of the existing highway system is central to maintaining highway system is central to maintaining mobilitymobility
2.2. Research indicates that performance is Research indicates that performance is directly related to the “maturity” of key directly related to the “maturity” of key processes and institutional arrangmentsprocesses and institutional arrangments
3.3. Key actions are required from senior Key actions are required from senior managementmanagement
4.4. The SHRP2 L06 project developed a The SHRP2 L06 project developed a stepwise model of strategies to make the stepwise model of strategies to make the essential changesessential changes
Session VII: Systems Operations Institutional Dimensions35
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Point of DeparturePoint of DepartureHighway congestion is increasing but conventional capacity solutions are Highway congestion is increasing but conventional capacity solutions are constrainedconstrained
Managing performance of the existing system to its maximum effectiveness Managing performance of the existing system to its maximum effectiveness is imperative to maintain mobility is imperative to maintain mobility
Recurring congestion is well understood, but greater commitment is needed Recurring congestion is well understood, but greater commitment is needed to managing the to managing the other halfother half of congestion related to delay/disruption from of congestion related to delay/disruption from crashes and breakdowns, bad weather, & construction crashes and breakdowns, bad weather, & construction
Managing this “non-recurring congestion” must capitalize on the full Managing this “non-recurring congestion” must capitalize on the full potential of NRC strategiespotential of NRC strategies
SHRP2 research indicates the performance management requires a distinct SHRP2 research indicates the performance management requires a distinct agency commitment, organization and staffing adjustments, sustainable agency commitment, organization and staffing adjustments, sustainable resources and improved partnerships resources and improved partnerships
This research project developed a guide for systems operations This research project developed a guide for systems operations performance managementperformance management
Session VII: Systems Operations Institutional Dimensions36
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Loss of Performance: Recapture Capacity”Loss of Performance: Recapture Capacity”
Type of CauseType of Cause Contribution Contribution to total delayto total delay
Cause of DelayCause of Delay Basic Mitigation Basic Mitigation StrategyStrategy
Recurring Recurring CausesCauses
40-60%40-60%Mainline capacity shortfallsMainline capacity shortfalls
Interchange bottlenecksInterchange bottlenecks
Poor signal timingPoor signal timing
Non-Recurring Non-Recurring CausesCauses
40-50%40-50%Breakdowns & crashesBreakdowns & crashes
Construction workConstruction work
WeatherWeather
Lack of informationLack of information
Special eventsSpecial events
Capacity Increases
Systems Management
Session VII: Systems Operations Institutional Dimensions37
Relevance: Relevance: Program/Process/InstitutionalProgram/Process/Institutional
ProgramProgram• We known the conventional strategiesWe known the conventional strategies
• Are there deployment warrants (problem, Are there deployment warrants (problem, function, geography, networkfunction, geography, network
• Aggressiveness of Application (compared to Aggressiveness of Application (compared to S.O.P)S.O.P)
• Comprehensive/consistentComprehensive/consistent
• DOTs can now focus on programs, not just DOTs can now focus on programs, not just projects projects
Session VII: Systems Operations Institutional Dimensions38
Relevance: Technical Process Challenge Relevance: Technical Process Challenge (program level)(program level)
Getting SO&M on an institutionalized Getting SO&M on an institutionalized sustainable path to improvementsustainable path to improvement• Scope:Scope: Full range/core program Full range/core program
• Business Processes:Business Processes: Effective Effective implementation, integration, documentationimplementation, integration, documentation
• Systems and Technology:Systems and Technology: Interoperable/standardized/cost effectiveInteroperable/standardized/cost effective
• Performance:Performance: Measured, utilized, reported Measured, utilized, reported
Session VII: Systems Operations Institutional Dimensions39
Relevance : Relevance : Supporting Institutional Supporting Institutional Challenge (program level)Challenge (program level)
Developing arrangements that support Developing arrangements that support the needed technical processesthe needed technical processes• Culture:Culture: Understanding/committing to mobility Understanding/committing to mobility
• Organization/Staffing: aligned, Organization/Staffing: aligned, professionalizedprofessionalized
• Resource Allocation: criteria-based, Resource Allocation: criteria-based, sustainablesustainable
• Partnerships:Partnerships: Aligned, Consolidated Aligned, Consolidated
Session VII: Systems Operations Institutional Dimensions40
Intro to Items 1-8 to followIntro to Items 1-8 to follow
(We already know a lot about strategy (We already know a lot about strategy applications)applications)
Following slides characterize key process and Following slides characterize key process and institutional dimensions essential for an institutional dimensions essential for an effective programeffective program
Then, the question is: what is the definition of Then, the question is: what is the definition of improved processes? And what does it take to improved processes? And what does it take to get there, insitutionallyget there, insitutionally
Session VII: Systems Operations Institutional Dimensions41
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
Session VII: Systems Operations Institutional Dimensions42
So What’s Different About SO&M?So What’s Different About SO&M?
Reactive to unpredictable events 24X7 .Reactive to unpredictable events 24X7 . corridor scale or network level.corridor scale or network level. teamwork and communications-intensive.teamwork and communications-intensive. Involving uncontrolled “outsiders” Involving uncontrolled “outsiders” Requires situational awareness. Requires situational awareness. Communicating with users in real timeCommunicating with users in real time Mix of systems headquarters, TMC, and field activities.Mix of systems headquarters, TMC, and field activities. Dynamic high technology and systems engineering. Dynamic high technology and systems engineering. Effectiveness judged only through performance oucomesEffectiveness judged only through performance oucomes Processes for low cost and short development cycles.Processes for low cost and short development cycles. Many activities can be outsourced .Many activities can be outsourced .
Actions taking place in Administrative TimeActions taking place in Administrative Time
PlanPlan
AccommodateAccommodateProgram in portfolioProgram in portfolio
Interagency Interagency coordinationcoordination
Plan and program Plan and program Systems engineeringSystems engineering
DeployDeployInfrastructure for Infrastructure for
situational situational awarenessawareness
Infrastructure Infrastructure for controlfor control
MaintainMaintain Asset ManagementAsset Management
Actions taking place in Operations Real timeActions taking place in Operations Real time
OperateOperate
Real time Real time mobilization of mobilization of program support program support
systemssystems
Interagency coordinated execution of event response activitiesInteragency coordinated execution of event response activities
Situation status reporting (internal and external)Situation status reporting (internal and external)
Performance monitoringPerformance monitoring
2. Business Processes: What’s Different 2. Business Processes: What’s Different About OperationsAbout Operations??
Session VII: Systems Operations Institutional Dimensions44
Process Preconditions to Realize Process Preconditions to Realize SO&M StrategiesSO&M Strategies
ScopingPlanningProgram accommodation in portfolioPlanning and programming
Processes
Real time mobilization of program support systemsInteragency operational managementCoordinated execution of event response activitiesSynergy among reinforcing strategiesAsset management
Systems/Tech
Systems engineering technical capacity developmentRegional situational awareness
Performance Performance monitoring
Session VII: Systems Operations Institutional Dimensions45
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)
Session VII: Systems Operations Institutional Dimensions46
Example ITS SystemsExample ITS Systems Related Procedures and ProtocolsRelated Procedures and Protocols
• Lane/speed/ramp controlsLane/speed/ramp controls • Local acceptance, cooperationLocal acceptance, cooperation
• Systematic deployment of traffic Systematic deployment of traffic responsive techresponsive tech
• Inter-jurisdictional consistency and sharing Inter-jurisdictional consistency and sharing • Standard project development processStandard project development process
• Full detection and surveillanceFull detection and surveillance• Effective technology deploymentEffective technology deployment
• 24X7 response – TMC?24X7 response – TMC?
• Formal IM programsFormal IM programs
• Workzone &Incident Traffic Workzone &Incident Traffic controlcontrol
• Upgrade standards beyond MUTCDUpgrade standards beyond MUTCD• Coordination with law enforcementCoordination with law enforcement
• RWIS and driver infoRWIS and driver info • Prediction/advisory/control regimesPrediction/advisory/control regimes
• Special routing (guidance info)Special routing (guidance info) • Liaisons with intermodal playersLiaisons with intermodal players
Beyond ITS: Balancing Procedures Beyond ITS: Balancing Procedures with Systemswith Systems
Session VII: Systems Operations Institutional Dimensions47
4. Performance4. Performance
You have heard a lot about this.You have heard a lot about this. Key issues for capability maturity:Key issues for capability maturity:
• Output MeasuresOutput Measures
• Implementation feasibility (data, devices)Implementation feasibility (data, devices)
• Utilization: feedback and tailoring for Utilization: feedback and tailoring for continuous improvmentcontinuous improvment
• Reporting and AccountabilityReporting and Accountability
Session VII: Systems Operations Institutional Dimensions48
Dashboarding Systems Operations Dashboarding Systems Operations (outputs or outcomes?)(outputs or outcomes?)
Session VII: Systems Operations Institutional Dimensions49
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?
Session VII: Systems Operations Institutional Dimensions50
What are the characteristics of an What are the characteristics of an operations culture? QUIZoperations culture? QUIZ
Session VII: Systems Operations Institutional Dimensions51
What are the characteristics of an What are the characteristics of an operations culture? QUIZoperations culture? QUIZ
What about:What about:• Explicit focus on mobilityExplicit focus on mobility
• Developing public understandingDeveloping public understanding
• Orientation of LeadersOrientation of Leaders
• Acceptance by rest of agencyAcceptance by rest of agency
• Incentives for changeIncentives for change
• Laws, regulations to support effectivenessLaws, regulations to support effectiveness
• A core programA core program
Session VII: Systems Operations Institutional Dimensions52
Legacy Stakeholders (their values)Legacy Stakeholders (their values)
Facility mission perspective (in law)Facility mission perspective (in law)
System development stakeholdersSystem development stakeholders
Industry, developers, unionsIndustry, developers, unions
Organization around capital projects (design, Organization around capital projects (design, construct, maintain)construct, maintain)
Focus on on-time/on-budget deliveryFocus on on-time/on-budget delivery
Session VII: Systems Operations Institutional Dimensions53
““External Authorizing Environment External Authorizing Environment (Laws and Procedures)(Laws and Procedures)
Session VII: Systems Operations Institutional Dimensions54
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
Session VII: Systems Operations Institutional Dimensions55
Remember our Learning ObjectivesRemember our Learning Objectives
Reconfirming Presumed Role of systems Reconfirming Presumed Role of systems Owner/Operators (SDOTs) regarding Owner/Operators (SDOTs) regarding MobilityMobility
Understanding of Understanding of Process and Institutional Process and Institutional Weakness Weakness as barriers/opportunities for as barriers/opportunities for effectivenesseffectiveness
Understanding of Understanding of Strategies for Change Strategies for Change towards a more effective operationstowards a more effective operations
Session VII: Systems Operations Institutional Dimensions56
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)
Session VII: Systems Operations Institutional Dimensions57
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
Session VII: Systems Operations Institutional Dimensions58
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
Session VII: Systems Operations Institutional Dimensions59
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??
Session VII: Systems Operations Institutional Dimensions60
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?
Session VII: Systems Operations Institutional Dimensions61
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?
Session VII: Systems Operations Institutional Dimensions62
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)
Session VII: Systems Operations Institutional Dimensions63
8. Partnerships (who?, why?)8. Partnerships (who?, why?)
State/Regional
ERentity
Fire & EMS
Local police State police
Local govt
State DOT
Private services
CoordinatedCoordinated services??services??
• Who is in charge of Who is in charge of “service” in customer terms“service” in customer terms
• What are the priorities of the What are the priorities of the players?players?
• Can law enforcement and Can law enforcement and life safety be less traffic life safety be less traffic disruptive?disruptive?
Session VII: Systems Operations Institutional Dimensions64
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
Session VII: Systems Operations Institutional Dimensions65
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
Session VII: Systems Operations Institutional Dimensions66
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
Session VII: Systems Operations Institutional Dimensions67
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
Session VII: Systems Operations Institutional Dimensions68
Transportation Service Transportation Service Public AgenciesPublic Agencies ????-driven (who’s the ????-driven (who’s the
customer?)customer?)
customer service based customer service based on ???? on ????
????? suppliers/???? spurs ????? suppliers/???? spurs better servicebetter service
???? rewards for success, ???? rewards for success, innovationinnovation
Service is sales drivenService is sales driven
Price/service (performance) Price/service (performance)
Competition spurs better Competition spurs better serviceservice
Tangible rewards for success, Tangible rewards for success, innovationinnovation
Customer Service in Free Customer Service in Free Enterprise SocietyEnterprise Society
VS.
Dimensions of ChangeDimensions of Change(From a Product Entity to a Service Entity (From a Product Entity to a Service Entity
(Time out for a broader perspective)
Session VII: Systems Operations Institutional Dimensions69
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.
Session VII: Systems Operations Institutional Dimensions70
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
Session VII: Systems Operations Institutional Dimensions71
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
Session VII: Systems Operations Institutional Dimensions72
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
Session VII: Systems Operations Institutional Dimensions73
DiscussionDiscussion
Session VII: Systems Operations Institutional Dimensions74
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
Session VII: Systems Operations Institutional Dimensions75
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
Session VII: Systems Operations Institutional Dimensions76
VISIONVISION1. 1. Highway service reliableHighway service reliable
2. At any V/C, less delay2. At any V/C, less delay
3. Good travel information 3. Good travel information
4. Premium services available 4. Premium services available
5. Crashes reduced5. Crashes reduced
6. Erratic behavior suppressed6. Erratic behavior suppressed
7. Traveler assurance services7. Traveler assurance services 8. Special Truck facilities8. Special Truck facilities
ACHIEVED BYACHIEVED BYAll-Incident managementAll-Incident management
ATM: Control of flow, speed, lane ATM: Control of flow, speed, lane useuse
Probe-based real time informationProbe-based real time information
Separate, priced, speed limit serviceSeparate, priced, speed limit service
V2V crash avoidanceV2V crash avoidance
Automated enforcementAutomated enforcement
In-vehicle navigation, ConciergeIn-vehicle navigation, Concierge
Automated regulatory EnforcementAutomated regulatory Enforcement
Vision: ServicesVision: ServicesAnticipated Future LeverageAnticipated Future Leverage
Bottom Line: SO&M is just getting StartedBottom Line: SO&M is just getting Started
Session VII: Systems Operations Institutional Dimensions77
MeanwhileMeanwhile (as committed secret agents of the future):(as committed secret agents of the future):
Guerilla Tactics for ChangeGuerilla Tactics for Change
Insist on technical truth regarding service to customersInsist on technical truth regarding service to customers
Expertise is the scarce resource: Start training staff nowExpertise is the scarce resource: Start training staff now
Establish conops with all partners – otherwise ………..Establish conops with all partners – otherwise ………..
Get planners’ buy-in – they will supportGet planners’ buy-in – they will support
Technology should not get ahead of procedures and protocols Technology should not get ahead of procedures and protocols
Capitalize on cross-program synergiesCapitalize on cross-program synergies
Work with geographyWork with geography
$$$$ is not the problem, sustainable $ is$$$$ is not the problem, sustainable $ is
Push for innovation – generate sizzlePush for innovation – generate sizzle
Be ready for – and capitalize on – external events!!Be ready for – and capitalize on – external events!!
Session VII: Systems Operations Institutional Dimensions78
Remember: Our Learning Remember: Our Learning ObjectivesObjectives
Understanding of the Understanding of the RoleRole of Systems of Systems Operations and Management within the Operations and Management within the Transportation systemTransportation system
Understanding of Understanding of Institutional IssuesInstitutional Issues and and their leverage on Operationstheir leverage on Operations
Understanding of Understanding of Strategies for Change Strategies for Change towards a more operations oriented institutional towards a more operations oriented institutional contextcontext
Session VII: Systems Operations Institutional Dimensions79
Institutional CapabilitiesInstitutional Capabilities
Is there a recipe? Yes, Finally there is:Is there a recipe? Yes, Finally there is:• Preconditions to program effectiveness & Preconditions to program effectiveness &
continuous progresscontinuous progress
• Lessons from Asset Management & from other Lessons from Asset Management & from other sectors (esp. IT)sectors (esp. IT)
The Capability Maturity ModelThe Capability Maturity Model• Adaptation to SO&M strategiesAdaptation to SO&M strategies
• Adaptation to SO&M ProgramAdaptation to SO&M Program
Session VII: Systems Operations Institutional Dimensions80
Relevance:Relevance: How to Close the Gap How to Close the Gap between “Best” and “Average “ between “Best” and “Average “ Practice?Practice?
Changes in processes and Changes in processes and organization/institutions will move the organization/institutions will move the SO&M “program” in the direction of SO&M “program” in the direction of improved effectiveness and efficiencyimproved effectiveness and efficiency• Changes may be proactive, deliberate and incrementalChanges may be proactive, deliberate and incremental
• Changes may be (often are) in response to major events Changes may be (often are) in response to major events that focus on SO&Mthat focus on SO&M
Session VII: Systems Operations Institutional Dimensions81
Mainstreaming a Management System:Mainstreaming a Management System:
No Mystery -- SDOTs have done it beforeNo Mystery -- SDOTs have done it before
The Asset Management The Asset Management ProcessProcess::
Asset inventoryAsset inventory Condition assessment with a Condition assessment with a
life-cycle orientationlife-cycle orientation Investment analysis with Investment analysis with
predictive modelspredictive models Planning, programming, and Planning, programming, and
budgetingbudgeting Program implementationProgram implementation Performance objectives and Performance objectives and
performance monitoringperformance monitoring
Session VII: Systems Operations Institutional Dimensions82
Statewide Systems Operations Statewide Systems Operations Program (SSOP) DevelopmentProgram (SSOP) Development
ApproachApproach Capability Maturity Model (CMM) is used to Capability Maturity Model (CMM) is used to
establish a system for Continuous establish a system for Continuous Improvement (CI)Improvement (CI)
State of Play Next Level of Capability Best Practice Target
andand a a Strategy to reach next levels of Capability and Strategy to reach next levels of Capability and
Recommend Immediate Recommend Immediate • Actions for improving Operations system-wideActions for improving Operations system-wide
Session VII: Systems Operations Institutional Dimensions83
A Framework for Managing A Framework for Managing Institutional Factors Institutional Factors
Responds to conventional observation of Responds to conventional observation of agency managers that barriers are agency managers that barriers are “institutional” (what ever that is!!)“institutional” (what ever that is!!)
Makes concrete fuzzy generalizations about Makes concrete fuzzy generalizations about “institutional” issues“institutional” issues
Draws on accumulated wisdom & experience Draws on accumulated wisdom & experience of agency management veteransof agency management veterans
Organizes industry wisdom into a framework Organizes industry wisdom into a framework that can be used to improve outcomesthat can be used to improve outcomes
83
Session VII: Systems Operations Institutional Dimensions84
Features of CMMFeatures of CMM
1.1. Continuous improvement (effectiveness) requires Continuous improvement (effectiveness) requires replicable, consistent processes and a supportive replicable, consistent processes and a supportive institutional structureinstitutional structure
2.2. There are critical dimensions that can’t be skippedThere are critical dimensions that can’t be skipped
3.3. For sustainable change “institutionalization” is essential For sustainable change “institutionalization” is essential (documentation and training)(documentation and training)
4.4. Performance Levels are incremental combinations of Performance Levels are incremental combinations of processes and measurementprocesses and measurement
5.5. Each level builds on organizational readiness of previous.Each level builds on organizational readiness of previous.6.6. This is not evaluation: it is for strategizing!!This is not evaluation: it is for strategizing!!
Session VII: Systems Operations Institutional Dimensions85
85
Research: Adaptation of the “Capability Research: Adaptation of the “Capability Maturity Model”Maturity Model”
1.1. Continuous improvement (effectiveness) requires Continuous improvement (effectiveness) requires replicable, consistent processes and a supportive replicable, consistent processes and a supportive institutional structureinstitutional structure
2.2. Review of best practice indicates there are critical Review of best practice indicates there are critical dimensions that can’t be skippeddimensions that can’t be skipped
1.1. For sustainable change “institutionalization” is essential For sustainable change “institutionalization” is essential (documentation and training)(documentation and training)
2.2. Performance levels are incremental combinations of Performance levels are incremental combinations of processes and measurementprocesses and measurement
3.3. Each level builds on organizational readiness of Each level builds on organizational readiness of previousprevious
4.4. This is not evaluation: it is for strategizing!!This is not evaluation: it is for strategizing!!
Session VII: Systems Operations Institutional Dimensions86
86
A Capability Maturity Framework facilitates strategy A Capability Maturity Framework facilitates strategy developmentdevelopment
Institutional arrangments and relationships Institutional arrangments and relationships key to effective processes/programkey to effective processes/program
Key institutional elements identified – the Key institutional elements identified – the ones related to effective programsones related to effective programs
Each element can be present at various levels Each element can be present at various levels of achievement (“maturity”) – exhibited by of achievement (“maturity”) – exhibited by agencies todayagencies today
Agencies can identify their current statusAgencies can identify their current status The “model” indicates next stepsThe “model” indicates next steps
Session VII: Systems Operations Institutional Dimensions87
The Concept of Continuous ImprovementThe Concept of Continuous Improvement
PROCESSESPROCESSES——THE "HOW" DIMENSIONTHE "HOW" DIMENSIONBASIC ELEMENTSBASIC ELEMENTS STATE-OF-PLAYSTATE-OF-PLAY NEXT LEVEL OF CAPABILITYNEXT LEVEL OF CAPABILITY BEST-PRACTICE TARGETBEST-PRACTICE TARGET
Business ProcessesBusiness Processes Informal Informal Planned Planned InternalizedInternalized
Technology and SystemsTechnology and Systems Un-integratedUn-integrated StandardizedStandardized Integrated Integrated
PerformancePerformance Outputs Outputs OutcomesOutcomes AccountabilityAccountability
PROGRAM SCOPEPROGRAM SCOPE——THE "WHAT" DIMENSIONTHE "WHAT" DIMENSIONBASIC ELEMENTSBASIC ELEMENTS STATE-OF-PLAYSTATE-OF-PLAY NEXT LEVEL OF CAPABILITYNEXT LEVEL OF CAPABILITY BEST-PRACTICE TARGETBEST-PRACTICE TARGET
Needs-drivenNeeds-driven Ad hocAd hoc AnalyzedAnalyzed User impact-related User impact-related
Application AggressivenessApplication Aggressiveness Nominal Nominal State-of-the-practice State-of-the-practice Performance-driven Performance-driven
Comprehensive/ConsistentComprehensive/Consistent Opportunistic Opportunistic Standardized Standardized ComprehensiveComprehensive
ORGANIZATIONAL /INSTIUTIONAL ARRANGEMENTS ORGANIZATIONAL /INSTIUTIONAL ARRANGEMENTS —— THE "WHO" DIMENSION THE "WHO" DIMENSIONBASIC ELEMENTSBASIC ELEMENTS STATE-OF-PLAYSTATE-OF-PLAY NEXT LEVEL OF CAPABILITYNEXT LEVEL OF CAPABILITY BEST-PRACTICE TARGETBEST-PRACTICE TARGET
Operations CultureOperations Culture Capacity legacyCapacity legacy InternalizedInternalized Mobility committedMobility committed
Organization and Staffing Organization and Staffing FragmentedFragmented AlignedAligned Professionalized Professionalized
Resource Allocation Resource Allocation Project-level Project-level Criteria-based Criteria-based SustainableSustainable
PartnershipsPartnerships Informal Informal FormalFormal Consolidated Consolidated
Session VII: Systems Operations Institutional Dimensions88
Operations Capability Maturity LevelsOperations Capability Maturity LevelsGoal for the future
Ad Hoc
Managed
Integrated
Level 1
Level 2
Level 3
Ad hoc operation. Relationships not coordinated
Processes fully documented & staff trained
Fully coordinated, performance-driven
TransitioningAgencies (most)
A few Leaders
SupportArch.
SupportArch.
SupportArch.
Session VII: Systems Operations Institutional Dimensions89
Interpretation of Levels for SO&MInterpretation of Levels for SO&M
LevelLevel NameName CharacteristicsCharacteristics
11 Ad HocAd Hoc Non-standard/informalNon-standard/informal
22 ManagedManaged Process is managed & Process is managed & measuredmeasured
33 IntegratedIntegrated Performance-drivenPerformance-driven
Session VII: Systems Operations Institutional Dimensions90
Operations Capability Maturity LevelsOperations Capability Maturity LevelsGoal for the future
Ad Hoc
Managed
Integrated
Level 1
Level 2
Level 3
Ad hoc operation. Relationships not coordinated
Processes fully documented & staff trained
Fully coordinated, performance-driven
TransitioningAgencies (most)
A few Leaders
SupportArch.
SupportArch.
SupportArch.
Session VII: Systems Operations Institutional Dimensions91
91
The Operations Capability Framework: The Operations Capability Framework: Key ElementsKey Elements
Business & Technical Business & Technical Process Capabilities: Process Capabilities:
Scope of ActivitiesScope of Activities Business Processes Business Processes
Technology/SystemsTechnology/Systems
Performance MeasurementPerformance Measurement
Institutional/Organizational Institutional/Organizational Arrangements:Arrangements:
Culture/LeadershipCulture/Leadership
Organization/StaffingOrganization/Staffing
ResourcesResources
PartnershipsPartnerships
Session VII: Systems Operations Institutional Dimensions92
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
Session VII: Systems Operations Institutional Dimensions93
Basic Basic Dimensions Dimensions
L-1L-1TRANSITIONINGTRANSITIONINGGetting organized: Getting organized:
unique ad hoc activities unique ad hoc activities at project levelat project level””
L-2L-2MANAGEDMANAGED
Developing and Developing and processes: capabilities at processes: capabilities at
the strategy level, but the strategy level, but un-integratedun-integrated
L-3L-3INTEGRATEDINTEGRATED
Best practice integrated, Best practice integrated, documented and measured documented and measured
consistently within program consistently within program frameworkframework
ScopeScope Narrow and Opportunistic
Needs-based and Standardized
Full range Core Program”
Business Business processesprocesses
Informal, undocumented
Planned, mainstreamed
Integrated and Documented
Technology Technology and systemsand systems
Project oriented, Qualitative evaluation
Platforms based quantitative evaluation
Standardized C/E systems/platforms
PerformancePerformanceOutputs reported Outcomes used
Performance Accountability
DOT operations program maturity:DOT operations program maturity:technical processes and capabilitiestechnical processes and capabilities
Session VII: Systems Operations Institutional Dimensions94
Operations Capability Maturity LevelsOperations Capability Maturity LevelsGoal for the future
Ad Hoc
Managed
Integrated
Level 1
Level 2
Level 3
Ad hoc operation. Relationships not coordinated
Processes fully documented & staff trained
Fully coordinated, performance-driven
TransitioningAgencies (most)
A few Leaders
SupportArch.
SupportArch.
SupportArch.
Session VII: Systems Operations Institutional Dimensions95
Basic Basic Dimensions Dimensions
I-1I-1LEGACY-BASEDLEGACY-BASED
Hero-driven--on Hero-driven--on regional basisregional basis
I-2I-2RESTRUCTURINGRESTRUCTURING
Supports transition from Supports transition from Managed to IntegratedManaged to Integrated
I-3I-3SUPPORTIVESUPPORTIVE
Supports Transition from Supports Transition from Integrated to MainstreamedIntegrated to Mainstreamed
Operations Culture
Mixed, unfamiliar—Event/Hero-driven
Championed/Internalized across disciplines
Mobility Committed
Organization, management and staffing
Fragmented, Understaffed
Aligning, trained Professionalized
Resource allocation to Operations
Project -levelCriteria-based program
Sustainable Budget Line Item
Partnerships Informal, unaligned Formal, aligned Consolidated
Organization/institutional arrangementsOrganization/institutional arrangements Supporting capability levelsSupporting capability levels
Session VII: Systems Operations Institutional Dimensions96
Dimensions Dimensions
LEGACY-BASEDLEGACY-BASEDActivities initiated on Activities initiated on
regional basisregional basis
RESTRUCTURINGRESTRUCTURINGSupports transition from Supports transition from Managed to IntegratedManaged to Integrated
SUPPORTIVESUPPORTIVESupports Transition from Supports Transition from
Integrated to MainstreamedIntegrated to Mainstreamed
Operations Operations CultureCulture
Legacy—Hero-drivenLegacy—Hero-drivenOperations acknowledged,(including Operations acknowledged,(including value of reliability) but without strategic value of reliability) but without strategic commitment or top level leadershipcommitment or top level leadershipAdherence to legacy roles among Adherence to legacy roles among transportation and public safety entities transportation and public safety entities
Championed/Internalized across disciplinesChampioned/Internalized across disciplinesVisible agency leadership citing Operations Visible agency leadership citing Operations leverage, cost-effectiveness and risks across leverage, cost-effectiveness and risks across disciplines -- disciplines -- Rationalization of responsibilities by formal Rationalization of responsibilities by formal agreements across institutions (transportation agreements across institutions (transportation agency, PSAs, private)agency, PSAs, private)
Mobility CommittedMobility CommittedCustomer mobility service commitment Customer mobility service commitment accessibility accepted as core programaccessibility accepted as core programClear legal authority for operations roles, Clear legal authority for operations roles, actions among transportation agency, PSAs, actions among transportation agency, PSAs, Local government clarifiedLocal government clarified
Organization Organization and staffing and staffing for for OperationsOperations
Fragmented, UnderstaffedFragmented, UnderstaffedSome fragmentation of key functions and Some fragmentation of key functions and boundaries - horizontal and vertical boundaries - horizontal and vertical Reliance on key individual for technical Reliance on key individual for technical knowledge and champions for leadershipknowledge and champions for leadership
Aligning, trainedAligning, trainedTMC focus with Vertical/horizontal TMC focus with Vertical/horizontal authority/responsibility alignment for operations authority/responsibility alignment for operations including P/B/D/C/O/Mincluding P/B/D/C/O/MCore capacities established with KSA specs, Core capacities established with KSA specs, training and performance incentivestraining and performance incentives
ProfessionalizedProfessionalizedTop level management position with operations Top level management position with operations orientation established in central office and orientation established in central office and districts districts Professionalization and certification of Professionalization and certification of operations core capacity positions operations core capacity positions
Resource Resource allocation to allocation to OperationsOperations
Project -levelProject -levelFunds at project level, ad hoc, Funds at project level, ad hoc, unpredictableunpredictableAd hoc resource allocation with Ad hoc resource allocation with operations as secondary priorityoperations as secondary priority
Criteria-based programCriteria-based programBudget allocation for operations driven by Budget allocation for operations driven by transparent criteria on life cycle needs basistransparent criteria on life cycle needs basisOperations claim on agencies’ resources for Operations claim on agencies’ resources for mobility support established on timing, extent, mobility support established on timing, extent, cost-effectivenesscost-effectiveness
Sustainable Budget Line ItemSustainable Budget Line ItemOperations is formal visible sustainable line Operations is formal visible sustainable line item in agencies’ budget -- capital, operating and item in agencies’ budget -- capital, operating and maintenancemaintenanceTrade-offs between operations and capital Trade-offs between operations and capital expenditure considered as part of the planning expenditure considered as part of the planning processprocess
Partnerships Partnerships for for OperationsOperations
Informal, unalignedInformal, unalignedNon-transportation entities unaligned Non-transportation entities unaligned with transportation objectives, procedures with transportation objectives, procedures relying on informal personal basisrelying on informal personal basisPrivate sector utilized for isolated Private sector utilized for isolated functionsfunctions
Formal, alignedFormal, alignedTransportation agencies assert leadership in Transportation agencies assert leadership in partnerships via formal written, agreements with partnerships via formal written, agreements with PSA, EM, PSA, EM, Private sector capabilities in technology, Private sector capabilities in technology, management tappedmanagement tapped
ConsolidatedConsolidatedHigh level of operations coordination among High level of operations coordination among owner/operators: state, local private with TMC owner/operators: state, local private with TMC consolidation consolidation Clear outsourcing role developed, while Clear outsourcing role developed, while maintaining agencies’ core capacitiesmaintaining agencies’ core capacities
– PROCESS AND INSTITUTIONAL ARCHITECTURE DIMENSION DETAILS
Dimensions Dimensions L-1L-1
TRANSITIONINGTRANSITIONING””L-2L-2
MANAGEDMANAGEDL-3L-3
INTEGRATEDINTEGRATED
ScopeScope Narrow and OpportunisticNarrow and OpportunisticAd hoc operations activities based on Ad hoc operations activities based on regional initiatives, with limited regional initiatives, with limited central office supportcentral office supportNarrow/ITS-project based, low Narrow/ITS-project based, low hanging fruit hanging fruit
Needs-based and StandardizedNeeds-based and StandardizedOperations as needs mobility- based Operations as needs mobility- based multi-strategy program multi-strategy program Standardized agency programs or Standardized agency programs or strategies related to specific strategies related to specific problems, desired outcomesproblems, desired outcomes
Full range Core ProgramFull range Core ProgramFull staged program of synergizing Full staged program of synergizing functionalitiesfunctionalitiesOperations as key trade-off investment Operations as key trade-off investment with other improvements in terms of with other improvements in terms of “mobility management”“mobility management”
Business Business processesprocesses
Informal, undocumentedInformal, undocumentedProjects/issues handled on fire fight Projects/issues handled on fire fight basis with only modest formal basis with only modest formal regional/district planning i(but no regional/district planning i(but no standard template)standard template)Minimal conops, architecture; Minimal conops, architecture; procedures ad hoc/no consistencyprocedures ad hoc/no consistency
PlannedPlannedStrategic planning and budgeting of Strategic planning and budgeting of staged improvements including staged improvements including maintenance and construction maintenance and construction implicationsimplicationsArchitectures and related processes Architectures and related processes developed, including major developed, including major communications structurecommunications structure
Integrated and DocumentedIntegrated and DocumentedIntegrated operations-related planning, Integrated operations-related planning, budgeting, staffing, deployment and budgeting, staffing, deployment and maintenance both within operations and maintenance both within operations and with SW and metro planningwith SW and metro planningFull documentation of key conops, Full documentation of key conops, architecture, procedures and protocolsarchitecture, procedures and protocols
Technology Technology and systemsand systems
Qualitative, opportunistic Qualitative, opportunistic Technologies selected at project level Technologies selected at project level Limited understanding of operating Limited understanding of operating platform needsplatform needs
Evaluated platformsEvaluated platformsBasic stable technology for existing Basic stable technology for existing strategies evaluated on qualitative strategies evaluated on qualitative basisbasisIdentification of standardized, Identification of standardized, statewide interoperable operating statewide interoperable operating platforms and related procurement platforms and related procurement procedures procedures
Standardized, interoperableStandardized, interoperableSystematic evaluation/application of best Systematic evaluation/application of best available technology/p[procedure available technology/p[procedure combinationscombinationsStandard technology platforms Standard technology platforms developed/maintained developed/maintained
PerformancePerformance Outputs reportedOutputs reportedMeasurement of outputs only with Measurement of outputs only with limited analysis/remediationlimited analysis/remediationOutput measures reportedOutput measures reported
Outcomes usedOutcomes usedOutcome measures measured Outcome measures measured developed and used for developed and used for improvementimprovementOutcome measures reportedOutcome measures reported
Performance AccountabilityPerformance AccountabilityContinuous improvement perspective Continuous improvement perspective adopted (requires intra and interagency adopted (requires intra and interagency after action analysisafter action analysisAccountability and benchmarking at unit Accountability and benchmarking at unit and agency level via regular outcome and agency level via regular outcome performance reporting – internal and performance reporting – internal and publicpublic
PROOF OF CONCEPT
PROOF OF CONCEPT
Session VII: Systems Operations Institutional Dimensions97
97
INSTITUTIONAL INSTITUTIONAL DIMENSIONSDIMENSIONS
AD HOCAD HOCLegacy-basedLegacy-based
RATIONALIZEDRATIONALIZEDRestructuringRestructuring
MAINSTREAMEDMAINSTREAMEDFully SupportiveFully Supportive
Operations CultureOperations Culture
Legacy—Hero-drivenLegacy—Hero-drivenOperations acknowledged, including value Operations acknowledged, including value of reliability) but without strategic of reliability) but without strategic commitment or top level leadershipcommitment or top level leadershipAdherence to legacy roles among Adherence to legacy roles among transportation and public safety entities transportation and public safety entities
Championed/Internalized across Championed/Internalized across disciplinesdisciplinesVisible agency leadership citing Operations Visible agency leadership citing Operations leverage, cost-effectiveness and risks across leverage, cost-effectiveness and risks across disciplines -- disciplines -- Rationalization of responsibilities by formal Rationalization of responsibilities by formal agreements across institutions (transportation agreements across institutions (transportation agency, PSAs, private)agency, PSAs, private)
Mobility CommittedMobility CommittedCustomer mobility service commitment Customer mobility service commitment accessibility accepted as core programaccessibility accepted as core programClear legal authority for operations roles, Clear legal authority for operations roles, actions among transportation agency, PSAs, actions among transportation agency, PSAs, Local government clarifiedLocal government clarified
Organization and Organization and Staffing for Staffing for OperationsOperations
Fragmented, UnderstaffedFragmented, UnderstaffedSome fragmentation of key functions and Some fragmentation of key functions and boundaries - horizontal and vertical boundaries - horizontal and vertical Reliance on key individual for technical Reliance on key individual for technical knowledge and champions for leadershipknowledge and champions for leadership
Aligning, trainedAligning, trainedTMC focus with Vertical/horizontal TMC focus with Vertical/horizontal authority/responsibility alignment for authority/responsibility alignment for operations including P/B/D/C/O/Moperations including P/B/D/C/O/MCore capacities established with KSA specs, Core capacities established with KSA specs, training and performance incentivestraining and performance incentives
ProfessionalizedProfessionalizedTop level management position with Top level management position with operations orientation established in central operations orientation established in central office and districts office and districts Professionalization and certification of Professionalization and certification of operations core capacity positions operations core capacity positions
Resource Resource Allocation to Allocation to OperationsOperations
Project -levelProject -levelFunds at project level, ad hoc, Funds at project level, ad hoc, unpredictableunpredictableAd hoc resource allocation with operations Ad hoc resource allocation with operations as secondary priorityas secondary priority
Criteria-based programCriteria-based programBudget allocation for operations driven by Budget allocation for operations driven by transparent criteria on life cycle needs basistransparent criteria on life cycle needs basisOperations claim on agencies’ resources for Operations claim on agencies’ resources for mobility support established on timing, mobility support established on timing, extent, cost-effectivenessextent, cost-effectiveness
Sustainable Budget Line ItemSustainable Budget Line ItemOperations is formal visible sustainable line Operations is formal visible sustainable line item in agencies’ budget -- capital, operating item in agencies’ budget -- capital, operating and maintenanceand maintenanceTrade-offs between operations and capital Trade-offs between operations and capital expenditure considered as part of the expenditure considered as part of the planning processplanning process
Partnerships for Partnerships for OperationsOperations
Informal, unalignedInformal, unalignedNon-transportation entities unaligned with Non-transportation entities unaligned with transportation objectives, procedures transportation objectives, procedures relying on informal personal basisrelying on informal personal basisPrivate sector utilized for isolated Private sector utilized for isolated functionsfunctions
Formal, alignedFormal, alignedTransportation agencies assert leadership in Transportation agencies assert leadership in partnerships via formal written, agreements partnerships via formal written, agreements with PSA, EM, with PSA, EM, Private sector capabilities in technology, Private sector capabilities in technology, management tappedmanagement tapped
ConsolidatedConsolidatedHigh level of operations coordination High level of operations coordination among owner/operators: state, local private among owner/operators: state, local private with TMC consolidation with TMC consolidation Clear outsourcing role developed, while Clear outsourcing role developed, while maintaining agencies’ core capacitiesmaintaining agencies’ core capacities
PROCESS PROCESS DIMENSIONSDIMENSIONS
L-1L-1TRANSITIONINGTRANSITIONING””
L-2L-2MANAGEDMANAGED
L-3L-3INTEGRATEDINTEGRATED
ScopeScope Narrow and OpportunisticNarrow and OpportunisticAd hoc operations activities based on Ad hoc operations activities based on regional initiatives, with limited central regional initiatives, with limited central office supportoffice supportNarrow/ITS-project based, low hanging fruit Narrow/ITS-project based, low hanging fruit
Needs-based and StandardizedNeeds-based and StandardizedOperations as needs mobility- based multi-Operations as needs mobility- based multi-strategy program strategy program Standardized agency programs or strategies Standardized agency programs or strategies related to specific problems, desired outcomesrelated to specific problems, desired outcomes
Full range Core ProgramFull range Core ProgramFull staged program of synergizing functionalitiesFull staged program of synergizing functionalitiesOperations as key trade-off investment with other Operations as key trade-off investment with other improvements in terms of “mobility management”improvements in terms of “mobility management”
Business Business ProcessesProcesses
Informal, undocumentedInformal, undocumentedProjects/issues handled on fire fight basis Projects/issues handled on fire fight basis with only modest formal regional/district with only modest formal regional/district planning i(but no standard template)planning i(but no standard template)Minimal conops, architecture; procedures Minimal conops, architecture; procedures ad hoc/no consistencyad hoc/no consistency
PlannedPlannedStrategic planning and budgeting of staged Strategic planning and budgeting of staged improvements including maintenance and improvements including maintenance and construction implicationsconstruction implicationsArchitectures and related processes developed, Architectures and related processes developed, including major communications structureincluding major communications structure
Integrated and DocumentedIntegrated and DocumentedIntegrated operations-related planning, budgeting, Integrated operations-related planning, budgeting, staffing, deployment and maintenance both within staffing, deployment and maintenance both within operations and with SW and metro planningoperations and with SW and metro planningFull documentation of key conops, architecture, Full documentation of key conops, architecture, procedures and protocolsprocedures and protocols
Technology and Technology and SystemsSystems
Qualitative, opportunistic Qualitative, opportunistic Technologies selected at project level Technologies selected at project level Limited understanding of operating platform Limited understanding of operating platform needsneeds
Evaluated platformsEvaluated platformsBasic stable technology for existing strategies Basic stable technology for existing strategies evaluated on qualitative basisevaluated on qualitative basisIdentification of standardized, statewide Identification of standardized, statewide interoperable operating platforms and related interoperable operating platforms and related procurement procedures procurement procedures
Standardized, interoperableStandardized, interoperableSystematic evaluation/application of best available Systematic evaluation/application of best available technology/p[procedure combinationstechnology/p[procedure combinationsStandard technology platforms Standard technology platforms developed/maintained developed/maintained
PerformancePerformance Outputs reportedOutputs reportedMeasurement of outputs only with limited Measurement of outputs only with limited analysis/remediationanalysis/remediationOutput measures reportedOutput measures reported
Outcomes usedOutcomes usedOutcome measures measured developed and Outcome measures measured developed and used for improvementused for improvementOutcome measures reportedOutcome measures reported
Performance AccountabilityPerformance AccountabilityContinuous improvement perspective adopted Continuous improvement perspective adopted (requires intra and interagency after action analysis(requires intra and interagency after action analysisAccountability and benchmarking at unit and Accountability and benchmarking at unit and agency level via regular outcome performance agency level via regular outcome performance reporting – internal and publicreporting – internal and public
PROOF OF CONCEPT
Session VII: Systems Operations Institutional Dimensions98
98
ORGANIZATION/INSTITUTIONAL ELEMENT LEVELS ORGANIZATION/INSTITUTIONAL ELEMENT LEVELS NEEDED TO SUPPORT IMPROVED PROCESS/PROGRAMNEEDED TO SUPPORT IMPROVED PROCESS/PROGRAM
Basic Basic Dimensions Dimensions
AD HOCAD HOC
Legacy/Hero-drivenLegacy/Hero-driven
RATIONALIZEDRATIONALIZED
Structuring for Structuring for transition transition
MAINSTREAMEDMAINSTREAMED
Fully IntegratedFully Integrated
Operations Operations cultureculture
Mixed, unfamiliar—Mixed, unfamiliar—Event/Hero-drivenEvent/Hero-driven
Championed/Championed/Internalized across Internalized across disciplinesdisciplines
Mobility CommittedMobility Committed
Organization, Organization, management management and staffing and staffing
Fragmented, Fragmented, UnderstaffedUnderstaffed
Aligned, trainedAligned, trained ProfessionalizedProfessionalized
Resource Resource allocation to allocation to OperationsOperations
Project -levelProject -levelCriteria-based Criteria-based programprogram
Sustainable Budget Line Sustainable Budget Line ItemItem
Partnerships Partnerships Informal, unalignedInformal, unaligned Formal, alignedFormal, aligned ConsolidatedConsolidated
Session VII: Systems Operations Institutional Dimensions99
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.
Session VII: Systems Operations Institutional Dimensions100
Operations Capability Maturity LevelsOperations Capability Maturity LevelsGoal for the future
Ad Hoc
Managed
Integrated
Level 1
Level 2
Level 3
Ad hoc operation. Relationships not coordinated
Processes fully documented & staff trained
Fully coordinated, performance-driven
TransitioningAgencies (most)
A few Leaders
SupportArch.
SupportArch.
SupportArch.
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101
ORGANIZATION/INSTITUTIONAL ELEMENT LEVELS ORGANIZATION/INSTITUTIONAL ELEMENT LEVELS NEEDED TO SUPPORT IMPROVED PROCESS/PROGRAMNEEDED TO SUPPORT IMPROVED PROCESS/PROGRAM
Basic Basic Dimensions Dimensions
AD HOCAD HOC
Legacy/Hero-drivenLegacy/Hero-driven
RATIONALIZEDRATIONALIZED
Structuring for Structuring for transition transition
MAINSTREAMEDMAINSTREAMED
Fully IntegratedFully Integrated
Operations Operations cultureculture
Mixed, unfamiliar—Mixed, unfamiliar—Event/Hero-drivenEvent/Hero-driven
Championed/Championed/Internalized across Internalized across disciplinesdisciplines
Mobility CommittedMobility Committed
Organization, Organization, management management and staffing and staffing
Fragmented, Fragmented, UnderstaffedUnderstaffed
Aligned, trainedAligned, trained ProfessionalizedProfessionalized
Resource Resource allocation to allocation to OperationsOperations
Project -levelProject -levelCriteria-based Criteria-based programprogram
Sustainable Budget Line Sustainable Budget Line ItemItem
Partnerships Partnerships Informal, unalignedInformal, unaligned Formal, alignedFormal, aligned ConsolidatedConsolidated
Session VII: Systems Operations Institutional Dimensions102
Basic Basic DimensionsDimensions
LEGACY-BASEDLEGACY-BASED RESTRUCTURINGRESTRUCTURING SUPPORTIVESUPPORTIVE
CultureCulture Mixed, unfamiliarMixed, unfamiliar——Hero-drivenHero-driven
Championed/Championed/Internalized across Internalized across disciplinesdisciplines
Mobility Mobility CommittedCommitted
Organization/Organization/Staffing Staffing
Fragmented, Fragmented, UnderstaffedUnderstaffed
Aligning, trainedAligning, trained ProfessionalizedProfessionalized
Resource Resource allocationallocation Project -levelProject -level
Criteria-based Criteria-based programprogram
Sustainable Sustainable Budget Line ItemBudget Line Item
PartnershipsPartnerships Informal, Informal, unalignedunaligned
Formal, alignedFormal, aligned ConsolidatedConsolidated
Change Management Strategies (Examples)
Legislation
Reallocation
Consolidation
Education & policy
Training Academy
Line Item budget
FormalAgreements
Outsourcing
Session VII: Systems Operations Institutional Dimensions103
PROCESS/PROCESS/CAPABILITYCAPABILITYLEVELSLEVELS
CriteriaCriteriaFor LevelsFor Levels
Level 1Level 1Performed Ac Performed Ac HocHoc
Level 2Level 2ManagedManaged
Level 3Level 3IntegratedIntegrated
ScopeScope
Business Business Process/CapabilitiesProcess/Capabilities
Systems and Systems and TechnologyTechnology
Performance Performance MeasurementMeasurement
ORGANIZATIONAL/ORGANIZATIONAL/INSTITUTIONALINSTITUTIONALARCHITECTUREARCHITECTURE
DimensionsDimensionsAd Hoc to Ad Hoc to Managed Managed
Managed to Managed to IntegratedIntegrated
Supportive for Supportive for to to MainstreamingMainstreaming
Culture/LeadershipCulture/Leadership
Organization/StaffingOrganization/Staffing
Resource AllocationResource Allocation
PartnershipsPartnerships
Correlation btwn Operations Maturity LevelsAnd Institutional Architecture
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Strategies to Improve Institutional Strategies to Improve Institutional MaturityMaturity
Culture/LeadershipCulture/Leadership Undertake educational program re SO&M as customer serviceUndertake educational program re SO&M as customer service Exert visible senior leadershipExert visible senior leadership Establish formal core programEstablish formal core program Rationalize state DOT authorityRationalize state DOT authority Internalize continuous improvement as agency mode/ethicInternalize continuous improvement as agency mode/ethic
Organization/StaffingOrganization/Staffing Establish top-level SO&M executive structureEstablish top-level SO&M executive structure Establish appropriate organizational structureEstablish appropriate organizational structure Identify core capacitiesIdentify core capacities Determine/allocate responsibility, accountability and incentivesDetermine/allocate responsibility, accountability and incentives
Resource AllocationsResource Allocations Develop program-level budget estimateDevelop program-level budget estimate Introduce SO&M as a top level agency budget line itemIntroduce SO&M as a top level agency budget line item Develop acceptance of sustainable resourcing from state fundsDevelop acceptance of sustainable resourcing from state funds Develop methodology for trade-offsDevelop methodology for trade-offs
PartnershipsPartnerships Agree on operational roles and procedures with PSAsAgree on operational roles and procedures with PSAs Identify opportunities for joint operations activities with local Identify opportunities for joint operations activities with local
government/MPOsgovernment/MPOs Develop procedures that accommodate partnersDevelop procedures that accommodate partners’’ goals and maximize goals and maximize
mobility (minimum disruption)mobility (minimum disruption) Rationalize staff versus outsourcing activities, responsibilities and Rationalize staff versus outsourcing activities, responsibilities and
oversightoversight
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105
The Guidance Scheme
Session VII: Systems Operations Institutional Dimensions106
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
Session VII: Systems Operations Institutional Dimensions107
Basic Dimensions
LEGACY-BASED RESTRUCTURING/TRANSITION
SUPPORTIVEMAINSTREAMED
Culture Mixed, unfamiliar—Hero-driven
Championed/Internalized across disciplines
Mobility Committed
Organization/ Staffing
Fragmented, Understaffed
Aligning, trained Professionalized
Resource allocation Project -level
Criteria-based program
Sustainable Budget Line Item
Partnerships Informal, unaligned
Formal, aligned Consolidated
Degree of DOT “Management”: Leverage on Change
Legislation
Reallocation
Consolidation
Education & policy
Training Academy
Line Item budget
FormalAgreements
Outsourcing
Session VII: Systems Operations Institutional Dimensions108
Change Management: Alternative Paths Change Management: Alternative Paths for Considerationfor Consideration
1.1. Internal incremental changeInternal incremental change -- regarding those -- regarding those architectural dimensions under the span of control of top architectural dimensions under the span of control of top managementmanagement
2.2. Major ReorganizationMajor Reorganization with internal change in priorities and with internal change in priorities and related (may require outside political supportrelated (may require outside political support
3.3. Capitalizing on a major eventCapitalizing on a major event to make permanent changes to make permanent changes (special event, major disruption, natural disaster)(special event, major disruption, natural disaster)
4.4. Consolidation of functionsConsolidation of functions among public agencies in the among public agencies in the form of a new operating entity form of a new operating entity
Session VII: Systems Operations Institutional Dimensions109
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?
Session VII: Systems Operations Institutional Dimensions110
DOT OPERATIONS PROGRAM MATURITY –PROCESSES AND CAPABILITYDOT OPERATIONS PROGRAM MATURITY –PROCESSES AND CAPABILITY
L1L1 L2L2 L3L3
Operations Activities (program ) ScopeOperations Activities (program ) Scope
Narrow and Opportunistic -- Narrow and Opportunistic -- 44 Needs-based and Standardized -- Needs-based and Standardized -- 66 Full-range core program Full-range core program 11
Business Process used to develop Operations ProgramBusiness Process used to develop Operations Program
Informal, undocumented -- Informal, undocumented -- 44 Planned, documented -- Planned, documented -- 66 Integrated and Documented -- Integrated and Documented -- 11
Systems and Technology DevelopmentSystems and Technology Development
Qualitative, opportunistic -- Qualitative, opportunistic -- 11 Evaluated platforms -- Evaluated platforms -- 55 Standardized, interoperable -- Standardized, interoperable -- 22
Performance Measurement and ReportingPerformance Measurement and Reporting
Outputs reported Outputs reported -- 6-- 6 Outcomes used -- Outcomes used -- 11 Performance Accountability -- Performance Accountability -- 11ORGANIZATION/INSTITUTIONAL ARRANGEMENTS FOR SYSTEMS OPERATIONSORGANIZATION/INSTITUTIONAL ARRANGEMENTS FOR SYSTEMS OPERATIONS
L1L1 L2L2 L2L2
Operations CultureOperations Culture
Legacy—Hero-driven -- Legacy—Hero-driven -- 55 Agency Championed -- Agency Championed -- 44 Mobility Committed -- Mobility Committed -- 11
Organization and Staffing for OperationsOrganization and Staffing for Operations
Fragmented, Understaffed -- Fragmented, Understaffed -- 33 Aligning, trained -- Aligning, trained -- 44 Professionalized -- Professionalized -- 1 1
Resource Allocations for OperationsResource Allocations for Operations
Project -level -- Project -level -- 22 Criteria-based programCriteria-based program -- -- 33 Sustainable Budget Line Item -- Sustainable Budget Line Item -- 11
Partnerships (Public Safety, Local Gov’t) for OperationsPartnerships (Public Safety, Local Gov’t) for Operations
Informal, unaligned -- Informal, unaligned -- 22 Formal, aligned -- Formal, aligned -- 33 Consolidated Consolidated -- 2-- 2
Division Survey
Session VII: Systems Operations Institutional Dimensions111
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
Session VII: Systems Operations Institutional Dimensions112
FHWA Role?FHWA Role?
FHWAFHWA• Policy/program priority?Policy/program priority?
• Division Accountability? Division Accountability?
To Top SDOT ManagementTo Top SDOT Management• Clarify service stakes Clarify service stakes
• Exploit legislative justification (performance)Exploit legislative justification (performance)
• Clarify benefits and costsClarify benefits and costs
To SDOT Program ManagersTo SDOT Program Managers• Help self-evaluate level of capability and barriersHelp self-evaluate level of capability and barriers
• Showcase best practice for peersShowcase best practice for peers
• Reach SDOT district managementReach SDOT district management
Session VII: Systems Operations Institutional Dimensions113
MeanwhileMeanwhile (as committed secret agents of the future):(as committed secret agents of the future):
Guerilla Tactics for ChangeGuerilla Tactics for Change
Insist on technical truth regarding service to customersInsist on technical truth regarding service to customers
Technology should not get ahead of procedures and protocols Technology should not get ahead of procedures and protocols
Standardize and document process (planning, proj dev, procure, etc)Standardize and document process (planning, proj dev, procure, etc)
Get planners’ buy-in – they will supportGet planners’ buy-in – they will support
Expertise is the scarce resource: Start training staff nowExpertise is the scarce resource: Start training staff now
Push for organizational equivalency and accountabilityPush for organizational equivalency and accountability
Establish conops with all partners – otherwise ………..Establish conops with all partners – otherwise ………..
$$$$ is not the problem, sustainable $ is: push for line item$$$$ is not the problem, sustainable $ is: push for line item
Performance measurement can be incremental and usefulPerformance measurement can be incremental and useful
Be ready for – and capitalize on – external events!!Be ready for – and capitalize on – external events!!
Session VII: Systems Operations Institutional Dimensions114
Vision: Vision: Emerging Institutional ArrangementsEmerging Institutional Arrangements
Session VII: Systems Operations Institutional Dimensions115
21st CENTURY
DOT
Other state agencies
Private sector
Informed customers
Localgovernment
Public safety agencies
OUTSOURCE /PRIVATIZE
DEVOLVE
20TH CENTURY DOT
EFFICIENCY
COMPLEXITY
CO-DELIVER
Vision: PartnershipsVision: PartnershipsFuture of State DOTsFuture of State DOTs
Session VII: Systems Operations Institutional Dimensions116
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
Session VII: Systems Operations Institutional Dimensions117
DIMENSIONDIMENSION 2020THTH CENTURY CENTURY 2121STST CENTURY CENTURY
Mission and Mission and VisionVision System developmentSystem development Operating the system for UsersOperating the system for Users
Professional Professional OrientationOrientation Engineering expertiseEngineering expertise Performance ManagementPerformance Management
Jurisdictional Jurisdictional RolesRoles Separate spansSeparate spans Consolidated (new authorities)Consolidated (new authorities)
Sector RolesSector RolesPublic templatePublic template Public ManagementPublic Management
Relationship Relationship with Userswith Users Vehicles independent + adviceVehicles independent + advice VIIVII
Drivers of Drivers of ChangeChange Budget constrainedBudget constrained Learning enterpriseLearning enterprise
Vision: The 21Vision: The 21stst Century Operations- Century Operations-Oriented DOTOriented DOT