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Session VIIISession VIII
Systems OperationsSystems Operationsas a as a Program:Program:
The Process & Institutional The Process & Institutional DimensionsDimensions
Steve LockwoodSteve Lockwood
PB ConsultPB Consult
Session VIII: Systems Operations as a Program2
“The future has already arrived. It’s just not very evenly distributed”
William Gibson in Cyberpunk
Session VIII: Systems Operations as a Program3
Learning ObjectivesLearning Objectives
Understanding of the Understanding of the RoleRole of Systems of Systems Operations and Management within the Operations and Management within the Transportation system – and DOT’s missionTransportation system – and DOT’s mission
Understanding of Understanding of Process and Institutional Process and Institutional Weakness Weakness as barriers/opportunities for as barriers/opportunities for effectivenesseffectiveness
Understanding of Understanding of Strategies for Change Strategies for Change towards a more effective operationstowards a more effective operations
Session VIII: Systems Operations as a Program4
Topics CoveredTopics Covered
A.A. Driving forces for Driving forces for ChangeChange
B.B. Current Current System statusSystem status
C.C. The The unacknowledged leverageunacknowledged leverage of systems operations of systems operations
D.D. Relevance Relevance of systems operations and managementof systems operations and management
E.E. TheThe Challenge/Dimensions of Change Challenge/Dimensions of Change
F.F. Operations Capability MaturityOperations Capability Maturity
G.G. Future VisionFuture Vision: The 21: The 21stst Century Transportation Agency Century Transportation Agency
Session VIII: Systems Operations as a Program5
Message A. Driving Forces:Message A. Driving Forces:Performance of InterestPerformance of Interest
Customer Mobility (isn't that our business?) Customer Mobility (isn't that our business?) – Impact of SO&M– Impact of SO&M
Performance FeaturesPerformance Features• Traditional: Improved Capacity, Speed, SafetyTraditional: Improved Capacity, Speed, Safety
• Now: Maintenance of capacity, reliability (delay, Now: Maintenance of capacity, reliability (delay, disruption, congestion)disruption, congestion)
Continuous Improvement of Performance Continuous Improvement of Performance drives all relevant management changesdrives all relevant management changes
Session VIII: Systems Operations as a Program6
Driving Forces:Driving Forces: Loss of Performance Loss of Performance
Session VIII: Systems Operations as a Program7
Driving Forces: Driving Forces: Loss of MobilityLoss of Mobility
Both Recurring & Non-recurringcongestion
Session VIII: Systems Operations as a Program8
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 VIII: Systems Operations as a Program9
0
10
20
30
40
50
60
70
POP Drivers Vehicles VMT Highways
1980-2000
Driving Forces:Driving Forces:Can We Build Out of Congestion?Can We Build Out of Congestion?
Session VIII: Systems Operations as a Program10
Driving forces:Driving forces:Causes for ContextsCauses for Contexts
Cause of Delay Cause of Delay (%)(%)
Large UrbanLarge UrbanAreas > 1m*Areas > 1m*
Small Urban Areas Small Urban Areas
0.1-1.0m0.1-1.0m
RuralRural
RECURRING RECURRING CAUSESCAUSES
Network Demand > Network Demand > capacitycapacity
29-3729-37 20-2620-26 00
Poor signal timingPoor signal timing 4-54-5 7-137-13 22
TOTAL TOTAL RECURRINGRECURRING
33-4233-42 32-3332-33 22
NON-NON-RECURRING RECURRING
CAUSESCAUSES
CrashesCrashes 35-3635-36 19-2619-26 2626
BreakdownsBreakdowns 6-76-7 6-106-10 2525
Work zonesWork zones 8-198-19 26-2726-27 3939
WeatherWeather 5-65-6 7-107-10 77
Special events, Special events, OtherOther
11 00
TOTAL NON-TOTAL NON-RECURRINGRECURRING
58-6758-67 6767 9898
Session VIII: Systems Operations as a Program11
Driving Forces: Driving Forces: The Serious Challenge: NRCThe Serious Challenge: NRC
Session VIII: Systems Operations as a Program12
Driving Forces: Special Emphasis onDriving Forces: Special Emphasis on Non-Recurring Congestion Non-Recurring Congestion
Recurring Recurring ((more established: signalization, ramp more established: signalization, ramp metering, geometrics)metering, geometrics)
Major Strategies to Manage Non-Recurring Major Strategies to Manage Non-Recurring CongestionCongestion• Incident managementIncident management
• Road weather managementRoad weather management
• Work zone traffic managementWork zone traffic management
• Special events management Special events management
• Active Traffic ManagementActive Traffic Management
Session VIII: Systems Operations as a Program13
B. Leverage: B. Leverage: Strategy ToolboxStrategy Toolbox
Session VIII: Systems Operations as a Program14
Leverage: Effective SO&MLeverage: Effective SO&M
““Effectiveness” related to measurable Effectiveness” related to measurable outcomes in terms of improvements in delay, outcomes in terms of improvements in delay, disruption, safetydisruption, safety
Capabilities needed go beyond knowing Capabilities needed go beyond knowing strategies and ITS to needed Processes and strategies and ITS to needed Processes and Institutional arrangements that are Institutional arrangements that are preconditions execute strategies effectivelypreconditions execute strategies effectively
How can they be put into place?How can they be put into place?
Session VIII: Systems Operations as a Program15
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 VIII: Systems Operations as a Program16
Leverage:Leverage: Gap Between Gap Between Best and Average Practice? Best and Average Practice?
Cause of DelayCause of DelayIn metroaareasIn metroaareas
%% RelatedRelatedOperations StrategyOperations Strategy
Best Best PracticePractice
Mainline Mainline 29-3729-37 Flow control (ATM)Flow control (ATM) -25%-25%
Poor sig opsPoor sig ops 4-54-5 Traffic responsiveTraffic responsive -35%-35%
Breakdowns/ Breakdowns/ crashescrashes
40-4540-45 SSP/Incident managementSSP/Incident management -50%-50%
ConstructionConstruction 8-208-20 WZ traffic managementWZ traffic management -30%-30%
WeatherWeather 5-75-7 RWIS, Decision suppRWIS, Decision supp -40%-40% Poor Info/MiscPoor Info/Misc 2-52-5 Traveler informationTraveler information -50%-50%
Session VIII: Systems Operations as a Program17
Leverage: Long-term BenefitsLeverage: Long-term Benefits(Interstate example)(Interstate example)
Delay (billions of hrs)Delay (billions of hrs) SafetySafety
ScenarioScenario RecurringRecurring IncidentIncident TotalTotal SavingsSavings FatalsFatals SavingsSavings
Existing Existing Deployment Deployment Trends @ Trends @ V/C= 0.95V/C= 0.95 949949 203203 1,1531,153 -5.6%-5.6% 195K195K -0.7%-0.7%
Aggressive Aggressive DeploymentDeployment
@ V/C =0.60@ V/C =0.60 685685 111111 796796 -34.8%-34.8% 179K179K -8.9%-8.9%
Session VIII: Systems Operations as a Program18
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 VIII: Systems Operations as a Program19
Status:Status:Current ITS Deployment Current ITS Deployment (Urbanized Areas)(Urbanized Areas)
Area/TechnologyArea/Technology PercentPercentMiles --electronic surveillance Miles --electronic surveillance 38%38%
Ramps metered Ramps metered 21%21%
Number of DMS Number of DMS 3,1773,177
Miles covered HAR Miles covered HAR 22%22%
Miles incident detection algorithm Miles incident detection algorithm 16%16%
Miles covered FSP Miles covered FSP 48%48%
Vehicles under CAD Vehicles under CAD 80%80%
States with 511 (2006)States with 511 (2006) 56%56%
Session VIII: Systems Operations as a Program20
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 VIII: Systems Operations as a Program21
Status: Where are we in SO&M?Status: Where are we in SO&M?
Huge, unrealized, cost-effectiveness Huge, unrealized, cost-effectiveness potential in modest deployment potential in modest deployment
Major gap between conventional practice Major gap between conventional practice and state-of-the-art practiceand state-of-the-art practice
……despite heroic efforts of program staffdespite heroic efforts of program staff Overcoming technical and institutional Overcoming technical and institutional
barriersbarriers
Session VIII: Systems Operations as a Program22
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 VIII: Systems Operations as a Program23
Relevance: Performance Improvements Relevance: Performance Improvements Process/Institutional CapabilityProcess/Institutional Capability
Problem Problem IS NOTIS NOT: do we know state-of-practice in : do we know state-of-practice in strategy applicationsstrategy applications
Problem IS: lack of preconditions/support for Problem IS: lack of preconditions/support for implementation that improves performance implementation that improves performance (continuously)(continuously)
And money IS NOT the major problemAnd money IS NOT the major problem
What does SO&M lack that OTHER DOT What does SO&M lack that OTHER DOT PROGRAMS ALREADY HAVE?:PROGRAMS ALREADY HAVE?:
Session VIII: Systems Operations as a Program24
Relevance:Relevance: How to Close the Gap How to Close the Gap between “Best” and “Average “ between “Best” and “Average “ Practice?Practice?
Top and middle managers need some Top and middle managers need some guidance re guidance re what changes in processes and what changes in processes and organization/institutions will move the organization/institutions will move the SO&M “program” in the direction of SO&M “program” in the direction of improved effectiveness and efficiencyimproved effectiveness and efficiency• Changes may be proactive, deliberate and incrementalChanges may be proactive, deliberate and incremental
• Changes may be (often are) in response to major events Changes may be (often are) in response to major events that focus on SO&Mthat focus on SO&M
Session VIII: Systems Operations as a Program25
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 VIII: Systems Operations as a Program26
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 VIII: Systems Operations as a Program27
Relevance :Relevance :Long Story ShortLong Story Short
Process and Institutional barriers are the Process and Institutional barriers are the principal reason that systems operations principal reason that systems operations and management has not come close to and management has not come close to reaching its potentialreaching its potential
Session VIII: Systems Operations as a Program28
Message E: Dimensions of Change:Message E: Dimensions of Change:Overarching Learning ObjectiveOverarching Learning Objective
““Institutionalizing” Systems Operations and Institutionalizing” Systems Operations and Management to its full capability means:Management to its full capability means:
• Recognize criticality to relevance of agency mission, Recognize criticality to relevance of agency mission, legitimacy regarding mobility (if the DOT really cares)legitimacy regarding mobility (if the DOT really cares)
• Create supporting process and institutional features that are Create supporting process and institutional features that are part of any serious agency program (we already know what part of any serious agency program (we already know what they are)they are)
• Achieve equal agency status with construction and Achieve equal agency status with construction and maintenancemaintenance
Session VIII: Systems Operations as a Program29
Transportation Service Transportation Service Public AgenciesPublic Agencies XxxxxxxxxxxxxxxxxxxxxxxXxxxxxxxxxxxxxxxxxxxxxx
xxxxxxxxxxxxxxxxxxxxx xxxxxxxxxxxxxxxxxxxxx
xxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxx
xxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxx
Service is sales drivenService is sales driven
Price/service (performance) Price/service (performance)
Competition spurs better Competition spurs better serviceservice
Tangible rewards for success, Tangible rewards for success, innovationinnovation
Customer Service in Free Customer Service in Free Enterprise SocietyEnterprise Society
VS.
(Time out for a broader perspective)
Dimensions of Change:Dimensions of Change: Can we learn from private sector ?
Session VIII: Systems Operations as a Program30
Transportation Service Transportation Service Public AgenciesPublic Agencies ????-driven (who’s the ????-driven (who’s the
customer?)customer?)
customer service based customer service based on ???? on ????
????? suppliers/???? spurs ????? suppliers/???? spurs better servicebetter service
???? rewards for success, ???? rewards for success, innovationinnovation
Service is sales drivenService is sales driven
Price/service (performance) Price/service (performance)
Competition spurs better Competition spurs better serviceservice
Tangible rewards for success, Tangible rewards for success, innovationinnovation
Customer Service in Free Customer Service in Free Enterprise SocietyEnterprise Society
VS.
Message E: Dimensions of ChangeMessage E: Dimensions of Change(From a Product Entity to a Service Entity (From a Product Entity to a Service Entity (QUIZ)(QUIZ)
(Time out for a broader perspective)
Session VIII: Systems Operations as a Program31
Dimensions of Change: Dimensions of Change: SO&M is differentSO&M is different
Orientation to Orientation to customerscustomers and their service needs and their service needs
Focus on Focus on nownow rather than future rather than future
Focus on Focus on performance outcomesperformance outcomes not outputs not outputs
Emphasis on Emphasis on managingmanaging rather than development rather than development
A A service service (24 X 7)(24 X 7),, not an office (9-5) not an office (9-5)
Scaled to Scaled to triptrip – not just my jurisdiction – not just my jurisdiction
Session VIII: Systems Operations as a Program32
1.1. Scope:Scope:(Implications of (Implications of “Mainstreaming”“Mainstreaming”
More like the other programs reMore like the other programs re• Statewide & ComprehensiveStatewide & Comprehensive
• Needs drivenNeeds driven
• GeographyGeography
• ProblemsProblems
• NetworkNetwork
• Standardized, sustainable, alignedStandardized, sustainable, aligned
Effectiveness related to measurable outcomes in Effectiveness related to measurable outcomes in terms of improvements in delay, disruption, safetyterms of improvements in delay, disruption, safety
Actions taking place in Administrative TimeActions taking place in Administrative Time
PlanPlan
AccommodateAccommodateProgram in portfolioProgram in portfolio
Interagency Interagency coordinationcoordination
Plan and program Plan and program Systems engineeringSystems engineering
DeployDeployInfrastructure for Infrastructure for
situational situational awarenessawareness
Infrastructure Infrastructure for controlfor control
MaintainMaintain Asset ManagementAsset Management
Actions taking place in Operations Real timeActions taking place in Operations Real time
OperateOperate
Real time Real time mobilization of mobilization of program support program support
systemssystems
Interagency coordinated execution of event response activitiesInteragency coordinated execution of event response activities
Situation status reporting (internal and external)Situation status reporting (internal and external)
Performance monitoringPerformance monitoring
2. Business Processes: What’s Different 2. Business Processes: What’s Different About OperationsAbout Operations??
Session VIII: Systems Operations as a Program34
Basic Logic: Traceability between the strategies Basic Logic: Traceability between the strategies (that we know) and their effective application(that we know) and their effective application
Types of congestion and typical tactics to minimize
Barriers
Managed Change Strategies needed to achieveappropriate institutional architectures
Actions needed to develop and implement strategies
Institutional arrangements to support programs
Programs to mainstream needed processes
Session VIII: Systems Operations as a Program35
Institutional Preconditions to Institutional Preconditions to Realize SO&M StrategiesRealize SO&M Strategies
PlanProgram accommodation in portfolioPlanning and programming
Implement
Systems engineering technical capacity developmentRegional situational awareness
Operate
Real time mobilization of program support systemsInteragency operational managementCoordinated execution of event response activitiesSynergy among reinforcing strategiesPerformance monitoring
Sustain Asset Management
Session VIII: Systems Operations as a Program36
ITS SystemsITS Systems Procedures and ProtocolsProcedures and Protocols
• Lane/speed/ramp controlsLane/speed/ramp controls • Local acceptance, cooperationLocal acceptance, cooperation
• Systematic deployment of Systematic deployment of traffic responsive techtraffic responsive tech
• Inter-jurisdictional consistency and Inter-jurisdictional consistency and sharing sharing
• Full detection and Full detection and surveillancesurveillance • 24X7 response 24X7 response
• Formal IM programsFormal IM programs
• Workzone &Incident Traffic Workzone &Incident Traffic controlcontrol
• Upgrade standards beyond MUTCDUpgrade standards beyond MUTCD
• RWIS and driver infoRWIS and driver info • Prediction/advisory/control regimesPrediction/advisory/control regimes
• Special routing (guidance Special routing (guidance info)info)
• Liaisons with intermodal playersLiaisons with intermodal players
Beyond ITS: Balancing Procedures Beyond ITS: Balancing Procedures with Systemswith Systems
Session VIII: Systems Operations as a Program37
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 VIII: Systems Operations as a Program38
Beyond ITSBeyond ITS
First Generation – Building on Traffic EngineeringFirst Generation – Building on Traffic Engineering• Transportation System ManagementTransportation System Management• Congestion Management SystemsCongestion Management Systems
Second Generation – ITS FocusSecond Generation – ITS Focus• ITS Early Deployment PlansITS Early Deployment Plans• Long Range ITS Plans Long Range ITS Plans • Built Around ITS; but adds real time activitiesBuilt Around ITS; but adds real time activities• Emergency Response element addedEmergency Response element added
Third Generation – New BlendThird Generation – New Blend• Focus on System Operations and Management (SO&M)Focus on System Operations and Management (SO&M)• Emphasis on developing integrated core programEmphasis on developing integrated core program• Balance between systems and procedures/protocolsBalance between systems and procedures/protocols• Strategic, sustained development on performance targetsStrategic, sustained development on performance targets
Session VIII: Systems Operations as a Program39
4. Performance4. Performance
You have heard a lot about this.You have heard a lot about this. Key issues for capability maturity:Key issues for capability maturity:
• Output MeasuresOutput Measures
• Implementation feasibility (data, devices)Implementation feasibility (data, devices)
• Utilization: feedback and tailoring for Utilization: feedback and tailoring for continuous improvementcontinuous improvement
• Reporting and AccountabilityReporting and Accountability
Session VIII: Systems Operations as a Program40
Dashboarding Systems Operations Dashboarding Systems Operations (outputs or outcomes?)(outputs or outcomes?)
Session VIII: Systems Operations as a Program41
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 VIII: Systems Operations as a Program42
What are the characteristics of an What are the characteristics of an operations culture? QUIZoperations culture? QUIZ
Session VIII: Systems Operations as a Program43
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
Session VIII: Systems Operations as a Program44
Legacy StakeholdersLegacy Stakeholders
Facility mission perspective (in law)Facility mission perspective (in law)
System development stakeholdersSystem development stakeholders
Industry, developers, unionsIndustry, developers, unions
Organization around capital projects (design, Organization around capital projects (design, construct, maintain)construct, maintain)
Focus on on-time/on-budget deliveryFocus on on-time/on-budget delivery
Session VIII: Systems Operations as a Program45
““External Authorizing Environment External Authorizing Environment (Laws and Procedures)(Laws and Procedures)
Session VIII: Systems Operations as a Program46
DIMENSIONDIMENSION 2020THTH CENTURY CENTURY 2121STST CENTURY CENTURY
Mission and Mission and VisionVision System DevelopmentSystem Development Operating the systemOperating the system
Professional Professional OrientationOrientation Engineering expertiseEngineering expertise Performance ManagementPerformance Management
Authorizing Authorizing Environment Environment Development interestsDevelopment interests Users needsUsers needs
Jurisdictional Jurisdictional Roles Roles Minimal interactionMinimal interaction Continuous partneringContinuous partnering
Drivers of Drivers of ChangeChange Budget constrainedBudget constrained Learning basedLearning based
A Change in Basic Culture NeededA Change in Basic Culture Needed
Session VIII: Systems Operations as a Program47
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 VIII: Systems Operations as a Program48
External Legacy:External Legacy:Players in Highway OperationsPlayers in Highway Operations
State/Regional
ERentity
Fire & EMS
Local police State police
Local govt
State DOT
Private services
CoordinatedCoordinated services??services??
• Who is in charge of Who is in charge of “service” in customer terms“service” in customer terms
• What are the priorities of the What are the priorities of the players?players?
• Can law enforcement and Can law enforcement and life safety be less traffic life safety be less traffic disruptive?disruptive?
Session VIII: Systems Operations as a Program49
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 VIII: Systems Operations as a Program50
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 VIII: Systems Operations as a Program51
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 VIII: Systems Operations as a Program52
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 VIII: Systems Operations as a Program53
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 VIII: Systems Operations as a Program54
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 VIII: Systems Operations as a Program55
Quiz AnswerQuiz Answer
No one knowsNo one knows
However, we know what you are spending on However, we know what you are spending on snow and ice control (5-10% of total annual snow and ice control (5-10% of total annual delay)delay)
More aggressive states: $40-70M (not More aggressive states: $40-70M (not including snow/ice control)including snow/ice control)
Session VIII: Systems Operations as a Program56
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 VIII: Systems Operations as a Program57
8. Partnerships (who?, why?)8. Partnerships (who?, why?)
Local govtLocal govt MPOsMPOs Toll authoritiesToll authorities State and Local law enforcementState and Local law enforcement Emergency responseEmergency response Private sector by custom (towing)Private sector by custom (towing) Commercial Service ProvidersCommercial Service Providers
Session VIII: Systems Operations as a Program58
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)
Session VIII: Systems Operations as a Program59
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 VIII: Systems Operations as a Program60
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 VIII: Systems Operations as a Program61
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 VIII: Systems Operations as a Program62
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 VIII: Systems Operations as a Program63
How to Close the Gap?How to Close the Gap?
Top and middle managers need some Top and middle managers need some guidance re guidance re what changes in processes and what changes in processes and organization/institutions will result in the organization/institutions will result in the capability to move the SO&M “program” in capability to move the SO&M “program” in the direction of improved effectiveness and the direction of improved effectiveness and efficiencyefficiency• Changes may be proactive, deliberate and incrementalChanges may be proactive, deliberate and incremental
• Changes may be (often are) in response to major events Changes may be (often are) in response to major events that focus on SO&Mthat focus on SO&M
Session VIII: Systems Operations as a Program64
A Promising Approach:A Promising Approach:Capability Maturity as Structure for Change Capability Maturity as Structure for Change managementmanagement
IT Industry origin/utilizationIT Industry origin/utilization
A technique for evaluating the effectiveness of an organization’s A technique for evaluating the effectiveness of an organization’s processesprocesses
Defined in terms of five levelsDefined in terms of five levels
Objectives include:Objectives include:• Repeatability Repeatability
• EffectivenessEffectiveness
• Performance measurementPerformance measurement
• OptimizationOptimization
Session VIII: Systems Operations as a Program65
Applying the Capability Maturity ModelApplying the Capability Maturity Model
ServiceDelivery
Acquisition
ITDevelopment
CMM
CMMFor
DOTs•Software Industry•Carnegie Mellon•DOD•Wider Applications
Graphic stolen from Phil Tarnoff
Session VIII: Systems Operations as a Program66
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 VIII: Systems Operations as a Program67
Maturity Levels Full IT VersionMaturity Levels Full IT Version
Incomplete
Performed
Managed
Established
Predictable
Level 0
Level 1
Level 2
Level 3
Level 4
Disorganized
Ad hoc operation. Relationships not coordinated
Processes fully documented & staff trained
Fully coordinated operation. Performance data systematically collected and applied
Strong sense of teamwork, with full understanding of processes and performance objectives
Most of today’s agencies
Goal for the future
Session VIII: Systems Operations as a Program68
Interpretation of Levels (Phil)Interpretation of Levels (Phil)
LevelLevel NameName CharacteristicsCharacteristics
11 IncompleteIncomplete Ad hoc processesAd hoc processes
22 PerformedPerformed Procedures defined & Procedures defined & trackedtracked
33 ManagedManaged Process is managed & Process is managed & measuredmeasured
44 EstablishedEstablished Continuous analysisContinuous analysis
Session VIII: Systems Operations as a Program69
Identifying a LevelIdentifying a Level
CharacteristicCharacteristic Level 1Level 1 Level 2Level 2 Level 3Level 3 Level 4Level 4
PeoplePeople
ProcessProcess
TechnologyTechnology
MeasurementMeasurement
Example:Example: Application to Incident Management Application to Incident Management
CharacteristicCharacteristic Level 1Level 1 Level 2Level 2 Level 3Level 3 Level 4Level 4
PeoplePeopleFire fightingFire fighting
UncoordinatedUncoordinated
TrainedTrained
Expectations Expectations understoodunderstood
Work as Work as integrated integrated teamsteams
Strong sense of Strong sense of teamworkteamwork
ProcessProcess Few stable Few stable processesprocesses
Processes Processes documented documented and stableand stable
Integrated with Integrated with other other organizational organizational processesprocesses
Understood & Understood & systematically systematically improvedimproved
TechnologyTechnologyIntro of new Intro of new technology is technology is riskyrisky
Technology Technology used to used to support stable support stable activitiesactivities
New New technologies technologies evaluated evaluated qualitativelyqualitatively
New technologies New technologies are evaluated are evaluated quantitativelyquantitatively
MeasurementMeasurement Ad Hoc data Ad Hoc data collectioncollection
Performance Performance measured measured selectivelyselectively
Performance Performance systematically systematically measured for measured for all processesall processes
Data used to Data used to understand and understand and improve the improve the processprocess
Session VIII: Systems Operations as a Program71
Internal to DOTInternal to DOT External to DOTExternal to DOT
TechnicalTechnical
processesprocesses
1.1. ScopeScope
2.2. Business ProcessesBusiness Processes
3.3. Systems & TechnologySystems & Technology
4.4. Performance Performance measuresmeasures
InstitutionalInstitutional
arrangementsarrangements
1.1. Culture/leadershipCulture/leadership
2.2. Organization/StaffingOrganization/Staffing
3.3. ResourcesResources
4.4. PartnershipsPartnerships
Dimensions of Change: Adapting CMM to State DOT Operations
Session VIII: Systems Operations as a Program72
Structuring the Operations Maturity Model for Structuring the Operations Maturity Model for operations: technical processes and Institutional operations: technical processes and Institutional Architecture (three-level approach)Architecture (three-level approach)
Goal for the future
Ad Hoc
Managed
Integrated
Level 1
Level 2
Level 3
Ad hoc operation. Relationships not coordinated
Processes fully documented & staff trained
Fully coordinated, performance-driven
TransitioningAgencies (most)
A few Leaders
SupportArch.
SupportArch.
SupportArch.
Session VIII: Systems Operations as a Program73
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 VIII: Systems Operations as a Program74
Basic Basic Dimensions Dimensions
L-1L-1TRANSITIONINGTRANSITIONINGGetting organized: Getting organized:
unique ad hoc activities unique ad hoc activities at project levelat project level””
ScopeScope Narrow and Opportunistic
Business Business processesprocesses
Informal, undocumented
Technology Technology and systemsand systems
Project oriented, Qualitative evaluation
PerformancePerformanceOutputs reported
Levels of Technical Process Maturity
Session VIII: Systems Operations as a Program75
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
ScopeScope Narrow and Opportunistic
Needs-based and Standardized
Business Business processesprocesses
Informal, undocumented
Planned, mainstreamed
Technology Technology and systemsand systems
Project oriented, Qualitative evaluation
Platforms based quantitative evaluation
PerformancePerformance Outputs reported Outcomes used
Levels of Technical Process Maturity
Session VIII: Systems Operations as a Program76
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 VIII: Systems Operations as a Program77
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.
Basic Basic Dimensions Dimensions
I-1I-1LEGACY-BASEDLEGACY-BASED
Hero-driven--on Hero-driven--on regional basisregional basis
Operations Culture
Mixed, unfamiliar—Event/Hero-driven
Organization, management and staffing
Fragmented, Understaffed
Resource allocation to Operations
Project -level
Partnerships Informal, unaligned
Organization/institutional arrangementsOrganization/institutional arrangements supporting capability levelssupporting capability levels
Basic Dimensions
I-1LEGACY-BASED
Hero-driven--on regional basis
I-2RESTRUCTURING
Supports transition from Managed to Integrated
Operations Culture
Mixed, unfamiliar—Event/Hero-driven
Championed/Internalized across disciplines
Organization, management and staffing
Fragmented, Understaffed
Aligning, trained
Resource allocation to Operations
Project -levelCriteria-based program
Partnerships Informal, unaligned Formal, aligned
Organization/institutional arrangementsOrganization/institutional arrangements Supporting capability levelsSupporting capability levels
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
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
Basic Basic 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 for and staffing for OperationsOperations
Fragmented, UnderstaffedFragmented, UnderstaffedSome fragmentation of key functions Some fragmentation of key functions and boundaries - horizontal and vertical and boundaries - horizontal and vertical Reliance on key individual for technical Reliance on key individual for technical knowledge and champions for knowledge and champions for leadershipleadership
Aligning, trainedAligning, trainedTMC focus with Vertical/horizontal TMC focus with Vertical/horizontal authority/responsibility alignment for authority/responsibility alignment for operations including P/B/D/C/O/Moperations including P/B/D/C/O/MCore capacities established with KSA specs, Core capacities established with KSA specs, training and performance incentivestraining and performance incentives
ProfessionalizedProfessionalizedTop level management position with Top level management position with operations orientation established in central operations orientation established in central office and districts office and districts Professionalization and certification of Professionalization and certification of operations core capacity positions operations core capacity positions
Resource Resource allocation to allocation to OperationsOperations
Project -levelProject -levelFunds at project level, ad hoc, Funds at project level, ad hoc, unpredictableunpredictableAd hoc resource allocation with Ad hoc resource allocation with operations as secondary priorityoperations as secondary priority
Criteria-based programCriteria-based programBudget allocation for operations driven by Budget allocation for operations driven by transparent criteria on life cycle needs basistransparent criteria on life cycle needs basisOperations claim on agencies’ resources for Operations claim on agencies’ resources for mobility support established on timing, extent, mobility support established on timing, extent, cost-effectivenesscost-effectiveness
Sustainable Budget Line ItemSustainable Budget Line ItemOperations is formal visible sustainable line Operations is formal visible sustainable line item in agencies’ budget -- capital, operating item in agencies’ budget -- capital, operating and maintenanceand maintenanceTrade-offs between operations and capital Trade-offs between operations and capital expenditure considered as part of the planning expenditure considered as part of the planning processprocess
Partnerships for Partnerships for OperationsOperations
Informal, unalignedInformal, unalignedNon-transportation entities unaligned Non-transportation entities unaligned with transportation objectives, with transportation objectives, procedures relying on informal personal procedures relying on informal personal basisbasisPrivate sector utilized for isolated Private sector utilized for isolated functionsfunctions
Formal, alignedFormal, alignedTransportation agencies assert leadership in Transportation agencies assert leadership in partnerships via formal written, agreements partnerships via formal written, agreements with PSA, EM, with PSA, EM, Private sector capabilities in technology, Private sector capabilities in technology, management tappedmanagement tapped
ConsolidatedConsolidatedHigh level of operations coordination among High level of operations coordination among owner/operators: state, local private with TMC owner/operators: state, local private with TMC consolidation consolidation Clear outsourcing role developed, while Clear outsourcing role developed, while maintaining agencies’ core capacitiesmaintaining agencies’ core capacities
Session VIII: Systems Operations as a Program83
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 VIII: Systems Operations as a Program84
PROCESS/PROCESS/CAPABILITYCAPABILITY
LEVELSLEVELS
Level 1Level 1TransitioningTransitioning
““We don’t know that We don’t know that we don’t knowwe don’t know
Level 2Level 2ManagedManaged
We know that we don’t We know that we don’t know”know”
Level 3Level 3IntegratedIntegrated
We work at what We work at what we don’t knowwe don’t know””
DimensionsDimensions
Correlation btwn Operations Maturity LevelsAnd Institutional Architecture
SUPPORTIVESUPPORTIVEORGANIZATIONAL/ORGANIZATIONAL/
INSTITUTIONALINSTITUTIONALARCHITECTUREARCHITECTURE
Ad Hoc (legacy) Ad Hoc (legacy) Restructuring to Restructuring to SupportiveSupportive
Architecture CArchitecture CSupportiveSupportive
(Mainstreamed)(Mainstreamed)
DimensionsDimensions
Performance Criteria For Levels
Performance Criteria For Support
PROCESS/PROCESS/CAPABILITYCAPABILITYLEVELSLEVELS
CriteriaCriteriaFor LevelsFor Levels
Level 1Level 1Performed Ac Performed Ac HocHoc
Level 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
Session VIII: Systems Operations as a Program86
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 VIII: Systems Operations as a Program87
G. Change Management: How Does G. Change Management: How Does (Needed) Change Happen? (Needed) Change Happen?
New leadership (from outside?)New leadership (from outside?) Internal champions (middle management heroes)Internal champions (middle management heroes) Natural disastersNatural disasters Major incidentMajor incident Special fundingSpecial funding Gradual realizationGradual realization Any combination of the above!!Any combination of the above!!
Session VIII: Systems Operations as a Program88
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 VIII: Systems Operations as a Program89
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 VIII: Systems Operations as a Program90
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 VIII: Systems Operations as a Program91
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 VIII: Systems Operations as a Program92
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 VIII: Systems Operations as a Program93
VISIONVISION1. 1. Highway service reliableHighway service reliable
2. At any V/C, less delay2. At any V/C, less delay
3. Good travel information 3. Good travel information
4. Premium services available 4. Premium services available
5. Crashes reduced5. Crashes reduced
6. Erratic behavior suppressed6. Erratic behavior suppressed
7. Traveler assurance services7. Traveler assurance services 8. Special Truck facilities8. Special Truck facilities
ACHIEVED BYACHIEVED BYAll-Incident managementAll-Incident management
ATM: Control of flow, speed, lane ATM: Control of flow, speed, lane useuse
Probe-based real time informationProbe-based real time information
Separate, priced, speed limit serviceSeparate, priced, speed limit service
V2V crash avoidanceV2V crash avoidance
Automated enforcementAutomated enforcement
In-vehicle navigation, ConciergeIn-vehicle navigation, Concierge
Automated regulatory EnforcementAutomated regulatory Enforcement
Vision:Vision:Anticipated Future LeverageAnticipated Future Leverage
Bottom Line: SO&M is just getting StartedBottom Line: SO&M is just getting Started
Vision: Big Cultural Shift &Vision: Big Cultural Shift &Change in PrioritiesChange in Priorities
DemandManagement
Maintenance
System Expansion
SystemsManagement
Maintenance
System Expansion
DemandManagemen
t
Systemsmanagement
2OTHCENTURY
DOT
21STCENTURY
DOT
Session VIII: Systems Operations as a Program95
21st CENTURY
DOT
Other state agencies
Private sector
Informed customers
Localgovernment
Public safety agencies
OUTSOURCE /PRIVATIZE
DEVOLVE
20TH CENTURY DOT
EFFICIENCY
COMPLEXITY
CO-DELIVER
Vision:Vision:Future of State DOTsFuture of State DOTs
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Vision: Vision: Emerging Institutional ArrangementsEmerging Institutional Arrangements
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DIMENSIONDIMENSION 2020THTH CENTURY CENTURY 2121STST CENTURY CENTURY
Mission and Mission and VisionVision System DevelopmentSystem Development Operating the systemOperating the system
Professional Professional OrientationOrientation Engineering expertiseEngineering expertise Performance ManagementPerformance Management
Authorizing Authorizing Environment Environment Development interestsDevelopment interests Users needsUsers needs
Jurisdictional Jurisdictional Roles Roles Minimal interactionMinimal interaction Continuous partneringContinuous partnering
Drivers of Drivers of ChangeChange Budget constrainedBudget constrained Learning basedLearning based
The 21The 21stst Century Operations-Oriented Century Operations-Oriented DOTDOT
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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
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Learning ObjectivesLearning Objectives
Understanding of the Understanding of the RoleRole of Systems of Systems Operations and Management within the Operations and Management within the Transportation systemTransportation system
Understanding of Understanding of Institutional IssuesInstitutional Issues and and their leverage on Operationstheir leverage on Operations
Understanding of Understanding of Strategies for Change Strategies for Change towards a more operations oriented institutional towards a more operations oriented institutional contextcontext
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Good Luck!!!!Good Luck!!!!