1. 1 Systems Operations as a Program: The Process & Institutional Dimensions Steve Lockwood Parsons Brinckerhoff

2. Session VII: Systems Operations Institutional Dimensions 2 “The future has already arrived. It’s just not very evenly distributed” William Gibson in Cyberpunk

3. Session VII: Systems Operations Institutional Dimensions 3 What This Discussion Is Really About What This Discussion Is Really About Highway service deteriorating Highway service deteriorating In the next 10-15, years any widespread improvement in LOS will result from SO&M (not much new capacity) In the next 10-15, years any widespread improvement in LOS will result from SO&M (not much new capacity) Significant improvements in mobility, reliability, safety can be derived from maximizing the service from the existing network. Significant improvements in mobility, reliability, safety can be derived from maximizing the service 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 haves ubstantially plateaued well short of potential. SO&M potential remains largely untapped. But many DOT SO&M activities appear to haves ubstantially plateaued well short of potential. SO&M potential remains largely untapped. The problem is not lack of knowledge or technology: but lack of commitment to a systems operations mission, processes, and institutional arrangments The problem is not lack of knowledge or technology: but lack of commitment to a systems operations mission, processes, and institutional arrangments

4. Session VII: Systems Operations Institutional Dimensions 4 Learning Objectives Reconfirming Presumed Role of systems Owner/Operators (SDOTs) regarding Mobility Reconfirming Presumed Role of systems Owner/Operators (SDOTs) regarding Mobility Understanding of Process and Institutional Weakness as barriers/opportunities for effectiveness Understanding of Process and Institutional Weakness as barriers/opportunities for effectiveness Understanding of Strategies for Change (process and institutional) towards a more effective operations Understanding of Strategies for Change (process and institutional) towards a more effective operations

5. Session VII: Systems Operations Institutional Dimensions 5 Topics (Messages!!) Covered A. Driving forces for Change B. Current System status C. The unacknowledged leverage of systems operations D. Relevance of systems operations and management E. The Challenge/Dimensions of Change: Processes and Institutional F. Operations Capability Maturity G. Future Vision: The 21 st Century Transportation Agency

6. Session VII: Systems Operations Institutional Dimensions 6 PROBLEMS IN MY REGION SELF-EVALUATION A quick self-evaluation to see if any of the agencies represented can benefit from improved process and institutional arrangments A quick self-evaluation to see if any of the agencies represented can benefit from improved process and institutional arrangments Depending on the outcome, we may be able to adjourn by lunch!! Depending on the outcome, we may be able to adjourn by lunch!!

7. Session VII: Systems Operations Institutional Dimensions 7 AFFECTING Weather disruption Crash/ brkdwn delays Road Construct Disruptions Special events Bottle- necks Arterial Signal timing Peak period delays Freeways 131-1112??7, 107-9 Arterials 12??14X Transit All 15-22 PROBLEMS IN MY REGION SELF-EVALUATION

8. PROGRAM MATURITY INDICATOR 1/2 YesNo 1. 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

9. PROGRAM MATURITY INDICATOR 2/2yesno 15. Program architecture Statewide and consistent regional system architectures (all regions) exist 16. Program costTotal 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 reportingTravel 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

10. Session VII: Systems Operations Institutional Dimensions 10 What do you mean “Institutional”? Technology commodified -- However: 1.Policy commitment vague 2.Rarely a Core Program (part of other programs) 3.Business processes nonstandard, undocumented 4.Responsibility fragmented among units 5.Limited central accountability for performance 6.Informal relationship with other players (PSAs) 7.Unclear budgetary & staffing priority 8.Loose relationships with private providers (We call these “institutional” issues)

11. Session VII: Systems Operations Institutional Dimensions 11 A.Is there a problem? What about Performance? Customer Mobility (isn't that our business?) – Impact of SO&M Customer Mobility (isn't that our business?) – Impact of SO&M Performance Features Performance Features Traditional: Improved Capacity, Speed, Safety Traditional: Improved Capacity, Speed, Safety Now: Maintenance of capacity, reliability (delay, disruption, congestion) Now: Maintenance of capacity, reliability (delay, disruption, congestion) Continuous Improvement of Performance drives all relevant SO&M changes Continuous Improvement of Performance drives all relevant SO&M changes

12. Session VII: Systems Operations Institutional Dimensions 12 The Congestion Challenge

13. Session VII: Systems Operations Institutional Dimensions 13 Driving Forces: Causes of Performance Loss

14. Session VII: Systems Operations Institutional Dimensions 14 Driving Forces: Loss of Mobility Non-recurring congestion

15. Session VII: Systems Operations Institutional Dimensions 15 Driving forces: Causes for Contexts (your bosses should know this) Driving forces: Causes for Contexts (your bosses should know this) Cause of Delay (%) Large Urban Areas > 1m* Small Urban Areas 0.1-1.0m Rural RECURRING CAUSES Network Demand > capacity 29-3720-260 Poor signal timing 4-57-132 TOTAL RECURRING 33-4232-332 NON- RECURRING CAUSES Crashes35-3619-2626 Breakdowns6-76-1025 Work zones 8-1926-2739 Weather5-67-107 Special events, Other 10 TOTAL NON- RECURRING 58-676798

16. Session VII: Systems Operations Institutional Dimensions 16 Impact of Best Practice Strategies - Impact of Best Practice Strategies - Portion of Delay In major metros by cause(%) Mainline Capacity 29-37% Poor signalization 4-5% Breakdowns/ crashes 40-45% Construction8-20% Weather5-7% Poor Information 2-5% Impact of Operations Strategy (Best Practice over Current Practice) on Total Delay Flow control/ramp metering 5-6% Traffic responsive signals 1% Incident management 5-6% WZ traffic management 1-2% Weather info 1% Traveler information 1%

17. Session VII: Systems Operations Institutional Dimensions 17 Loss of Performance: “Recapture Capacity” (your bosses should know this) Type of Cause Contribution to total delay Cause of Delay Basic Mitigation Strategy Recurring Causes 40-60% Mainline capacity shortfalls Interchange bottlenecks Poor signal timing Non-Recurring Causes 40-50% Breakdowns & Crashes Construction work Weather Lack of information Special events Capacity Increases Systems Management

18. Session VII: Systems Operations Institutional Dimensions 18 Tough Questions Are the above indications arguable? Are they meaningful? Are the above indications arguable? Are they meaningful? How well does senior SDOT management understand the causes of congestion? How well does senior SDOT management understand the causes of congestion?

19. Session VII: Systems Operations Institutional Dimensions 19 Congestion Strategy Leverage Recurring Signalization Signalization Ramp metering Ramp metering Geometrics Geometrics Freeway Operations Freeway Operations Traveler Info Traveler Info Non-Recurring Incident management Incident management Road weather management Road weather management Work zone traffic management Work zone traffic management Special events management Special events management Active Traffic Management Active Traffic Management

20. Session VII: Systems Operations Institutional Dimensions 20 Leverage: Effective SO&M “Effectiveness” related to measurable outcomes in terms of improvements in delay, disruption, safety “Effectiveness” related to measurable outcomes in terms of improvements in delay, disruption, safety Capabilities needed go beyond knowing strategies and ITS -- to Processes and Institutional preconditions for effectiveness Capabilities needed go beyond knowing strategies and ITS -- to Processes and Institutional preconditions for effectiveness How can they be put into place? How can they be put into place?

21. Session VII: Systems Operations Institutional Dimensions 21 Quiz What SO&M strategy has the greatest potential impact on reducing delay? What SO&M strategy has the greatest potential impact on reducing delay?

22. Session VII: Systems Operations Institutional Dimensions 22 Leverage: Gap Between Best and Average Practice? Cause of Delay In metro areas %causeRelated Operations Strategy Best Practice Mainline S/D Mainline S/D29-37 Flow control (ATM) Flow control (ATM)-25% Poor sig ops Poor sig ops4-5 Traffic responsive Traffic responsive-35% Breakdowns/ crashes Breakdowns/ crashes40-45 SSP/Incident management SSP/Incident management-50% Construction Construction8-20 WZ traffic management WZ traffic management-30% Weather Weather5-7 RWIS, Decision supp RWIS, Decision supp-40% Poor Info/Misc Poor Info/Misc2-5 Traveler information Traveler information-50%

23. Session VII: Systems Operations Institutional Dimensions 23 Competition with SO&M??? What is the competition for improving service to system users What is the competition for improving service to system users Will there be a major increase in rate of capacity expansion Will there be a major increase in rate of capacity expansion In how many states is metro population and VMT growth exceeding new capacity In how many states is metro population and VMT growth exceeding new capacity Does anyone are your DOT every talk about this? Does anyone are your DOT every talk about this?

24. Session VII: Systems Operations Institutional Dimensions 24 1990 1995200020052010 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: Status SO&M Deployment Rate

25. Session VII: Systems Operations Institutional Dimensions 25 We have a general idea of state of play – state by state Deployment Deployment Range of strategies employed Range of strategies employed Self-evaluation Self-evaluation Participation in federally supported initiatives Participation in federally supported initiatives Level of performance measurement Level of performance measurement General institutional arrangements General institutional arrangements Current studies (SHRP2, NCHRP, AASHTO SO&M) Current studies (SHRP2, NCHRP, AASHTO SO&M)

26. Session VII: Systems Operations Institutional Dimensions 26 Is the Glass Half-full or Half empty?? Several states have made significant process in developing comprehensive programs – and have some state of the practice applications Several states have made significant process in developing comprehensive programs – and have some state of the practice applications Several states are working in that directions Several states are working in that directions Several states don’t feel the need to take a comprehensive approach Several states don’t feel the need to take a comprehensive approach We can learn from each other We can learn from each other

27. Session VII: Systems Operations Institutional Dimensions 27 Example stats

28. Session VII: Systems Operations Institutional Dimensions 28 FHWA Survey of Technology Strengths % “strong” Use TMC(s) to coordinate IM 43 Developed S & D infrastructure 30 Have two-way interagency voice comms 19 Provide data/video TMC-CAD integration? 11 Have specific IM policies and procedures 21 Have a real-time motorist information system 24 Status: State of Play in State DOTs

29. Session VII: Systems Operations Institutional Dimensions 29 The right questions How is your DOT doing? How is your DOT doing? You should know where your states stands vis a vis your peers – and the state of the practice You should know where your states stands vis a vis your peers – and the state of the practice (this is the definition of a professional)

30. Session VII: Systems Operations Institutional Dimensions 30 Message D: Relevance We need to Tell the Story: SO&M Can Make a Real Difference What transportation agencies (should) do?: We are a just-in-time society, accustomed to service and accountability – even in Mobility We are a just-in-time society, accustomed to service and accountability – even in Mobility In most urban contexts very limited improvements from capacity are being made In most urban contexts very limited improvements from capacity are being made Congestion management – as a major program -- is therefore essential to (at least) maintain level of service Congestion management – as a major program -- is therefore essential to (at least) maintain level of service Otherwise DOTs become increasingly irrelevant Otherwise DOTs become increasingly irrelevant

31. Session VII: Systems Operations Institutional Dimensions 31 Operational Performance

32. Session VII: Systems Operations Institutional Dimensions 32 Reliability Research: The Importance of Institutional Arrangements Program A needs-responsive, performance-driven, comprehensive C/E statewide SO&M program Processes The business processes and systems required to facilitate program qualities above Institutions The values, capabilities and arrangements and resources required to support and sustain of the required business process Program A needs-responsive, performance-driven, comprehensive C/E statewide SO&M program Processes The business processes and systems required to facilitate program qualities above Institutions The values, capabilities and arrangements and resources required to support and sustain of the required business process SO&M Program Performance A needs-responsive, performance-driven, comprehensive cost-effective statewide SO&M program Necessary Processes The business processes and systems required to facilitate program qualities above Supportive Institutional Arrangements The values, capabilities and arrangements and resources required to support and sustain of the required business process

33. Session VII: Systems Operations Institutional Dimensions 33 The Basic Elements of Improved SO&M Program A needs-responsive, performance-driven, comprehensive C/E statewide SO&M program Processes The business processes and systems required to facilitate program qualities above Institutions The values, capabilities and arrangements and resources required to support and sustain of the required business process

34. Session VII: Systems Operations Institutional Dimensions 34 Introduction 1. Performance Management of the existing highway system is central to maintaining mobility 2. Research indicates that performance is directly related to the “maturity” of key processes and institutional arrangments 3. Key actions are required from senior management 4. The SHRP2 L06 project developed a stepwise model of strategies to make the essential changes

35. Session VII: Systems Operations Institutional Dimensions 35 Point of Departure Point of Departure Highway congestion is increasing but conventional capacity solutions are constrained Highway congestion is increasing but conventional capacity solutions are constrained Managing performance of the existing system to its maximum effectiveness is imperative to maintain mobility Managing performance of the existing system to its maximum effectiveness is imperative to maintain mobility Recurring congestion is well understood, but greater commitment is needed to managing the other half of congestion related to delay/disruption from crashes and breakdowns, bad weather, & construction Recurring congestion is well understood, but greater commitment is needed to managing the other half of congestion related to delay/disruption from crashes and breakdowns, bad weather, & construction Managing this “non-recurring congestion” must capitalize on the full potential of NRC strategies Managing this “non-recurring congestion” must capitalize on the full potential of NRC strategies SHRP2 research indicates the performance management requires a distinct agency commitment, organization and staffing adjustments, sustainable resources and improved partnerships SHRP2 research indicates the performance management requires a distinct agency commitment, organization and staffing adjustments, sustainable resources and improved partnerships This research project developed a guide for systems operations performance management This research project developed a guide for systems operations performance management

36. Session VII: Systems Operations Institutional Dimensions 36 Loss of Performance: Recapture Capacity” Type of Cause Contribution to total delay Cause of Delay Basic Mitigation Strategy Recurring Causes 40-60% Mainline capacity shortfalls Interchange bottlenecks Poor signal timing Non-Recurring Causes 40-50% Breakdowns & crashes Construction work Weather Lack of information Special events Capacity Increases Systems Management

37. Session VII: Systems Operations Institutional Dimensions 37 Relevance: Program/Process/Institutional Program Program We known the conventional strategies We known the conventional strategies Are there deployment warrants (problem, function, geography, network Are there deployment warrants (problem, function, geography, network Aggressiveness of Application (compared to S.O.P) Aggressiveness of Application (compared to S.O.P) Comprehensive/consistent Comprehensive/consistent DOTs can now focus on programs, not just projects DOTs can now focus on programs, not just projects

38. Session VII: Systems Operations Institutional Dimensions 38 Relevance: Technical Process Challenge (program level) Getting SO&M on an institutionalized sustainable path to improvement Getting SO&M on an institutionalized sustainable path to improvement Scope: Full range/core program Scope: Full range/core program Business Processes: Effective implementation, integration, documentation Business Processes: Effective implementation, integration, documentation Systems and Technology: Interoperable/standardized/cost effective Systems and Technology: Interoperable/standardized/cost effective Performance: Measured, utilized, reported Performance: Measured, utilized, reported

39. Session VII: Systems Operations Institutional Dimensions 39 Relevance : Supporting Institutional Challenge (program level) Developing arrangements that support the needed technical processes Developing arrangements that support the needed technical processes Culture: Understanding/committing to mobility Culture: Understanding/committing to mobility Organization/Staffing: aligned, professionalized Organization/Staffing: aligned, professionalized Resource Allocation: criteria-based, sustainable Resource Allocation: criteria-based, sustainable Partnerships: Aligned, Consolidated Partnerships: Aligned, Consolidated

40. Session VII: Systems Operations Institutional Dimensions 40 Intro to Items 1-8 to follow (We already know a lot about strategy applications) (We already know a lot about strategy applications) Following slides characterize key process and institutional dimensions essential for an effective program Following slides characterize key process and institutional dimensions essential for an effective program Then, the question is: what is the definition of improved processes? And what does it take to get there, insitutionally Then, the question is: what is the definition of improved processes? And what does it take to get there, insitutionally

41. Session VII: Systems Operations Institutional Dimensions 41 1.Scope: (Implications of “Mainstreaming”) More like the other programs re More like the other programs re Statewide & Comprehensive Statewide & Comprehensive Needs driven Needs driven Geography Geography Problems Problems Network Network Standardized, sustainable, aligned Standardized, sustainable, aligned Effectiveness related to measurable outcomes in terms of improvements in delay, disruption, safety Effectiveness related to measurable outcomes in terms of improvements in delay, disruption, safety

42. Session VII: Systems Operations Institutional Dimensions 42 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 time Communicating 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 oucomes Effectiveness 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.

43. Actions taking place in Administrative Time Plan Accommodate Program in portfolio Interagency coordination Plan and program Systems engineering Deploy Infrastructure for situational awareness Infrastructure for control Maintain Asset Management Actions taking place in Operations Real time Operate Real time mobilization of program support systems Interagency coordinated execution of event response activities Situation status reporting (internal and external) Performance monitoring 2. Business Processes: What’s Different About Operations ?

44. Session VII: Systems Operations Institutional Dimensions 44 Process Preconditions to Realize SO&M Strategies Scoping  Planning  Program accommodation in portfolio  Planning and programming Processes  Real time mobilization of program support systems  Interagency operational management  Coordinated execution of event response activities  Synergy among reinforcing strategies  Asset management Systems/ Tech  Systems engineering technical capacity development  Regional situational awareness Performance  Performance monitoring

45. Session VII: Systems Operations Institutional Dimensions 45 3. Systems and Technology Technology Selection Technology Selection Qualitative/quantitative Qualitative/quantitative Warranted applications consistency Warranted applications consistency Platform Standardization Platform Standardization Incremental Improvements (bite size) Incremental Improvements (bite size)

46. Session VII: Systems Operations Institutional Dimensions 46 Example ITS Systems Related Procedures and Protocols Lane/speed/ramp controls Lane/speed/ramp controls Local acceptance, cooperation Local acceptance, cooperation Systematic deployment of traffic responsive tech Systematic deployment of traffic responsive tech Inter-jurisdictional consistency and sharing Inter-jurisdictional consistency and sharing Standard project development process Standard project development process Full detection and surveillance Full detection and surveillance Effective technology deployment Effective technology deployment 24X7 response – TMC? 24X7 response – TMC? Formal IM programs Formal IM programs Workzone &Incident Traffic control Workzone &Incident Traffic control Upgrade standards beyond MUTCD Upgrade standards beyond MUTCD Coordination with law enforcement Coordination with law enforcement RWIS and driver info RWIS and driver info Prediction/advisory/control regimes Prediction/advisory/control regimes Special routing (guidance info) Special routing (guidance info) Liaisons with intermodal players Liaisons with intermodal players Beyond ITS: Balancing Procedures with Systems

47. Session VII: Systems Operations Institutional Dimensions 47 4. 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 Measures Output Measures Implementation feasibility (data, devices) Implementation feasibility (data, devices) Utilization: feedback and tailoring for continuous improvment Utilization: feedback and tailoring for continuous improvment Reporting and Accountability Reporting and Accountability

48. Session VII: Systems Operations Institutional Dimensions 48 Dashboarding Systems Operations (outputs or outcomes?)

49. Session VII: Systems Operations Institutional Dimensions 49 5. Culture and Leadership What is “culture”? (sounds like academic jargon) What is “culture”? (sounds like academic jargon) Think about shared engineering culture (mission, values/presumptions, training, standards, conventions, career style, public expectations) Think about shared engineering culture (mission, values/presumptions, training, standards, conventions, career style, public expectations) Who are the external stakeholders in capacity development vs. Operations? Who are the external stakeholders in capacity development vs. Operations?

50. Session VII: Systems Operations Institutional Dimensions 50 What are the characteristics of an operations culture? QUIZ

51. Session VII: Systems Operations Institutional Dimensions 51 What are the characteristics of an operations culture? QUIZ What about: What about: Explicit focus on mobility Explicit focus on mobility Developing public understanding Developing public understanding Orientation of Leaders Orientation of Leaders Acceptance by rest of agency Acceptance by rest of agency Incentives for change Incentives for change Laws, regulations to support effectiveness Laws, regulations to support effectiveness A core program A core program

52. Session VII: Systems Operations Institutional Dimensions 52 Legacy Stakeholders (their values) Facility mission perspective (in law) Facility mission perspective (in law) System development stakeholders System development stakeholders Industry, developers, unions Industry, developers, unions Organization around capital projects (design, construct, maintain) Organization around capital projects (design, construct, maintain) Focus on on-time/on-budget delivery Focus on on-time/on-budget delivery

53. Session VII: Systems Operations Institutional Dimensions 53 “External Authorizing Environment (Laws and Procedures)

54. Session VII: Systems Operations Institutional Dimensions 54 6. Organization and Staffing: Institutions Fragmented at two levels 6. Organization and Staffing: Institutions Fragmented at two levels Operational responsibility is fragmented at two levels -- internal (DOTs) and external (partners) Operational responsibility is fragmented at two levels -- internal (DOTs) and external (partners) Shared responsibilities for roadways Shared responsibilities for roadways Standard setting for safe operations Standard setting for safe operations Provision and maintenance of facilities Provision and maintenance of facilities Law enforcement Law enforcement Emergency response Emergency response Operational performance support Operational performance support

55. Session VII: Systems Operations Institutional Dimensions 55 Remember our Learning Objectives Reconfirming Presumed Role of systems Owner/Operators (SDOTs) regarding Mobility Reconfirming Presumed Role of systems Owner/Operators (SDOTs) regarding Mobility Understanding of Process and Institutional Weakness as barriers/opportunities for effectiveness Understanding of Process and Institutional Weakness as barriers/opportunities for effectiveness Understanding of Strategies for Change towards a more effective operations Understanding of Strategies for Change towards a more effective operations

56. Session VII: Systems Operations Institutional Dimensions 56 Internal Legacy: (Organizational Scale) State DOT Structure Organization (“standard” model?) Organization (“standard” model?) Decentralized (now) Decentralized (now) Hierarchical Hierarchical Central office functions Central office functions Traditional divisions: Traditional divisions: Planning Planning design/construction design/construction Maintenance Maintenance “Operations” (not system) “Operations” (not system)

57. Session VII: Systems Operations Institutional Dimensions 57 Internal Legacy: (Organizational Scale) Can you find systems operations? CEO Design and construction designdistricts DE ADE Maintenance TMC Other ADEs Other DEs Maintenance Asset management Traffic & safety ITS Traffic Engineering Operations Snow & ice control Planning Admin & Finance Contract Services FSP Research & Technology Staff functions Staff functions

58. Session VII: Systems Operations Institutional Dimensions 58 Operations and Management as a “Core” Program CHART BOARD Deputy Administrator & Chief Engineer for Operations Chair Director Office of CHART & ITS Development Other MDOT ITS Programs Operations Team Integration Team ITS Development Team Administrative Team Information Technology Maintenance Districts 3,4,5,7 MSP Traffic MdTA Traffic Engineering Design Division Traffic Operations Division TOD & Office of Maintenance CHART Organization & Work Flow Diagram

59. Session VII: Systems Operations Institutional Dimensions 59 Outsourcing staff functions Factors Factors Staffing challenge (ex: TMCs, FSP) Staffing challenge (ex: TMCs, FSP) Capabilities --Maintenance services (ITS infrastructure) Capabilities --Maintenance services (ITS infrastructure) Possession of technology: Map Data, 511, traveler info services Possession of technology: Map Data, 511, traveler info services Position in market: In-vehicle services Position in market: In-vehicle services Other reasons?? Other reasons??

60. Session VII: Systems Operations Institutional Dimensions 60 7. Resources To what degree is funding a constraint To 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 capital? Do improvements in performance relate to capital? Is there a criteria basis for budget (like asset management)? Is there a criteria basis for budget (like asset management)? Is the funding sustainable, predictable? Is the funding sustainable, predictable?

61. Session VII: Systems Operations Institutional Dimensions 61 QUIZ: Resources How much is your state spending on all ITS, Freeway Ops, FSP, TMC Incident Management – per year? How much is your state spending on all ITS, Freeway Ops, FSP, TMC Incident Management – per year? How many of you are having staffing problems? How many of you are having staffing problems?

62. Session VII: Systems Operations Institutional Dimensions 62 Capital2007 Field and IM Equipment $3,855,000 Network Engineering $2,687,000 Leased Circuit Costs $1,000,000 CHART System and Network Connectivity $4,162,000 Plan., Develpmt, Engrg, & Coord. $3,000,000 CHART System Integration $3,100,000 Overhead $1,157,000 Total Capital $18,961,000 Staff and Operating Expenses Operations salaries, overhead, overtime, and expenses (staff 64) $6,324,742 Systems Maintenance: emergency, preventive, and routine maintenance $1,200,000 Administrative: supplies and contractual salaries and other expenses $260,000 Miscellaneous Operating Expenses :travel expenses and meals $40,000 Total Operating $7,816,276 Grand Total $26,777,000 Example Line Item Budget (CHART ’ 07)

63. Session VII: Systems Operations Institutional Dimensions 63 8. Partnerships (who?, why?) Coordinated services?? services?? Private services State DOT Local govt State police Local police Fire & EMS State/ Regional ER entity Who is in charge of “service” in customer terms Who is in charge of “service” in customer terms What are the priorities of the players? What are the priorities of the players? Can law enforcement and life safety be less traffic disruptive? Can law enforcement and life safety be less traffic disruptive?

64. Session VII: Systems Operations Institutional Dimensions 64 Agency Orientation Mission State DOT/ Authoritie s GPLG Traffic/Transportatio n Operations Dept) Law enforcement Fire and Emergency Private contract or Law enforcement LLHML Emergency response MMHHL MobilityHMLLL Responder safety HHHHH Minimal disruptions HMLLM Differences in Orientation Among Organizations

65. Session VII: Systems Operations Institutional Dimensions 65 How are are improvements in Operations limited by partner’s traditional roles (quiz) Differing Priorities Differing Priorities Time to respond and act Time to respond and act Geographic coverage Geographic coverage Integration across networks Integration across networks Jurisdictional fragmentation Jurisdictional fragmentation Differing Technologies Differing Technologies Capability and Funding levels Capability and Funding levels

66. Session VII: Systems Operations Institutional Dimensions 66 Types of “Partnerships”

67. Session VII: Systems Operations Institutional Dimensions 67 Message F: Operations Capability maturity -- Technical Process and Institutional Arrangements We need to move beyond the ad hoc stage to realize effectiveness We need to move beyond the ad hoc stage to realize effectiveness Deliberate change management strategies are required Deliberate change management strategies are required Must deal with Technical Processes and Institutional Arrangements Must deal with Technical Processes and Institutional Arrangements

68. Session VII: Systems Operations Institutional Dimensions 68 Transportation Service Public Agencies ????-driven (who’s the customer?) ????-driven (who’s the customer?) customer service based on ???? customer service based on ???? ????? suppliers/???? spurs better service ????? suppliers/???? spurs better service ???? rewards for success, innovation ???? rewards for success, innovation Service is sales driven Service is sales driven Price/service (performance) Price/service (performance) Competition spurs better service Competition spurs better service Tangible rewards for success, innovation Tangible rewards for success, innovation Customer Service in Free Enterprise Society VS. Dimensions of Change (From a Product Entity to a Service Entity (Time out for a broader perspective)

69. Session VII: Systems Operations Institutional Dimensions 69 Features of an Operations Capability Maturity Model Continuous improvement (effectiveness) requires replicable, consistent processes and a supportive institutional structure Continuous improvement (effectiveness) requires replicable, consistent processes and a supportive institutional structure There are critical dimensions that can’t be skipped There are critical dimensions that can’t be skipped For sustainable change “institutionalization” is essential (documentation and training) For sustainable change “institutionalization” is essential (documentation and training) Performance Levels are incremental combinations of processes and measurement Performance Levels are incremental combinations of processes and measurement Each level builds on organizational readiness of previous. Each level builds on organizational readiness of previous.

70. Session VII: Systems Operations Institutional Dimensions 70 Relevance: Technical Process Challenge Getting SO&M on an institutionalized sustainable path to improvement Getting SO&M on an institutionalized sustainable path to improvement Scope: Full range/core program Scope: Full range/core program Business Processes: Effective implementation, integration, documentation Business Processes: Effective implementation, integration, documentation Systems and Technology: Interoperable/standardized/cost effective Systems and Technology: Interoperable/standardized/cost effective Performance: Measured, utilized, reported Performance: Measured, utilized, reported

71. Session VII: Systems Operations Institutional Dimensions 71 Relevance : Supporting Institutional Challenge Developing arrangements that support the needed technical processes Developing arrangements that support the needed technical processes Culture: Understanding/committing to mobility Culture: Understanding/committing to mobility Organization/Staffing: aligned, professionalized Organization/Staffing: aligned, professionalized Resource Allocation: criteria-based, sustainable Resource Allocation: criteria-based, sustainable Partnerships: Aligned, Consolidated Partnerships: Aligned, Consolidated

72. Session VII: Systems Operations Institutional Dimensions 72 The Potential of Operations Capability Maturity Model Shared vision of best practice Shared vision of best practice A common analytical language A common analytical language Vertical and horizontal management relationships Vertical and horizontal management relationships Formalized, transparent (self) appraisal process Formalized, 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 tactics Framework to prioritize change management tactics Basis for benchmarking across organizations Basis for benchmarking across organizations

73. Session VII: Systems Operations Institutional Dimensions 73 Discussion

74. Session VII: Systems Operations Institutional Dimensions 74 Institutional Guidance: Alternative Paths for Consideration 1. Internal incremental change -- regarding those architectural dimensions under the span of control of top management 2. Major Reorganization with internal change in priorities and related (may require outside political support 3. Capitalizing on a major event to make permanent changes (special event, major disruption, natural disaster) 4. Consolidation of functions among public agencies in the form of a new operating entity

75. Session VII: Systems Operations Institutional Dimensions 75 Message G: Vision Ambitious 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 congestion manage congestion allocate capacity allocate capacity provide new services provide new services Highway transportation will be transformed in the long run Highway transportation will be transformed in the long run

76. Session VII: Systems Operations Institutional Dimensions 76 VISION 1. Highway service reliable 2. At any V/C, less delay 3. Good travel information 4. Premium services available 5. Crashes reduced 6. Erratic behavior suppressed 7. Traveler assurance services 8. Special Truck facilities ACHIEVED BY All-Incident management ATM: Control of flow, speed, lane use Probe-based real time information Separate, priced, speed limit service V2V crash avoidance Automated enforcement In-vehicle navigation, Concierge Automated regulatory Enforcement Vision: Services Anticipated Future Leverage Bottom Line: SO&M is just getting Started

77. Session VII: Systems Operations Institutional Dimensions 77 Meanwhile (as committed secret agents of the future): Guerilla Tactics for Change Insist on technical truth regarding service to customers Insist on technical truth regarding service to customers Expertise is the scarce resource: Start training staff now Expertise 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 support Get 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 synergies Capitalize on cross-program synergies Work with geography Work with geography $$$$ is not the problem, sustainable $ is $$$$ is not the problem, sustainable $ is Push for innovation – generate sizzle Push for innovation – generate sizzle Be ready for – and capitalize on – external events!! Be ready for – and capitalize on – external events!!

78. Session VII: Systems Operations Institutional Dimensions 78 Remember: Our Learning Objectives Understanding of the Role of Systems Operations and Management within the Transportation system Understanding of the Role of Systems Operations and Management within the Transportation system Understanding of Institutional Issues and their leverage on Operations Understanding of Institutional Issues and their leverage on Operations Understanding of Strategies for Change towards a more operations oriented institutional context Understanding of Strategies for Change towards a more operations oriented institutional context

79. Session VII: Systems Operations Institutional Dimensions 79 Institutional Capabilities Is there a recipe? Yes, Finally there is: Is there a recipe? Yes, Finally there is: Preconditions to program effectiveness & continuous progress Preconditions to program effectiveness & continuous progress Lessons from Asset Management & from other sectors (esp. IT) Lessons from Asset Management & from other sectors (esp. IT) The Capability Maturity Model The Capability Maturity Model Adaptation to SO&M strategies Adaptation to SO&M strategies Adaptation to SO&M Program Adaptation to SO&M Program

80. Session VII: Systems Operations Institutional Dimensions 80 Relevance: How to Close the Gap between “Best” and “Average “ Practice? Changes in processes and organization/institutions will move the SO&M “program” in the direction of improved effectiveness and efficiency Changes in processes and organization/institutions will move the SO&M “program” in the direction of improved effectiveness and efficiency Changes may be proactive, deliberate and incremental Changes may be proactive, deliberate and incremental Changes may be (often are) in response to major events that focus on SO&M Changes may be (often are) in response to major events that focus on SO&M

81. Session VII: Systems Operations Institutional Dimensions 81 Mainstreaming a Management System: No Mystery -- SDOTs have done it before The Asset Management Process : Asset inventory Asset inventory Condition assessment with a life-cycle orientation Condition assessment with a life-cycle orientation Investment analysis with predictive models Investment analysis with predictive models Planning, programming, and budgeting Planning, programming, and budgeting Program implementation Program implementation Performance objectives and performance monitoring Performance objectives and performance monitoring

82. Session VII: Systems Operations Institutional Dimensions 82 Statewide Systems Operations Program (SSOP) Development Approach Capability Maturity Model (CMM) is used to establish a system for Continuous Improvement (CI) Capability Maturity Model (CMM) is used to establish a system for Continuous Improvement (CI) State of PlayNext Level of CapabilityBest Practice Target and a Strategy to reach next levels of Capability and Recommend Immediate a Strategy to reach next levels of Capability and Recommend Immediate Actions for improving Operations system-wide Actions for improving Operations system-wide

83. Session VII: Systems Operations Institutional Dimensions 83 A Framework for Managing Institutional Factors Responds to conventional observation of agency managers that barriers are “institutional” (what ever that is!!) Responds to conventional observation of agency managers that barriers are “institutional” (what ever that is!!) Makes concrete fuzzy generalizations about “institutional” issues Makes concrete fuzzy generalizations about “institutional” issues Draws on accumulated wisdom & experience of agency management veterans Draws on accumulated wisdom & experience of agency management veterans Organizes industry wisdom into a framework that can be used to improve outcomes Organizes industry wisdom into a framework that can be used to improve outcomes 83

84. Session VII: Systems Operations Institutional Dimensions 84 Features of CMM 1. Continuous improvement (effectiveness) requires replicable, consistent processes and a supportive institutional structure 2. There are critical dimensions that can’t be skipped 3. For sustainable change “institutionalization” is essential (documentation and training) 4. Performance Levels are incremental combinations of processes and measurement 5. Each level builds on organizational readiness of previous. 6. This is not evaluation: it is for strategizing!!

85. Session VII: Systems Operations Institutional Dimensions 85 Research: Adaptation of the “Capability Maturity Model” 1. Continuous improvement (effectiveness) requires replicable, consistent processes and a supportive institutional structure 2. Review of best practice indicates there are critical dimensions that can’t be skipped 1. For sustainable change “institutionalization” is essential (documentation and training) 2. Performance levels are incremental combinations of processes and measurement 3. Each level builds on organizational readiness of previous 4. This is not evaluation: it is for strategizing!!

86. Session VII: Systems Operations Institutional Dimensions 86 A Capability Maturity Framework facilitates strategy development Institutional arrangments and relationships key to effective processes/program Institutional arrangments and relationships key to effective processes/program Key institutional elements identified – the ones related to effective programs Key institutional elements identified – the ones related to effective programs Each element can be present at various levels of achievement (“maturity”) – exhibited by agencies today Each element can be present at various levels of achievement (“maturity”) – exhibited by agencies today Agencies can identify their current status Agencies can identify their current status The “model” indicates next steps The “model” indicates next steps

87. Session VII: Systems Operations Institutional Dimensions 87 The Concept of Continuous Improvement PROCESSES—THE "HOW" DIMENSION BASIC ELEMENTS STATE-OF-PLAY NEXT LEVEL OF CAPABILITY BEST-PRACTICE TARGET Business Processes InformalPlannedInternalized Technology and Systems Un-integratedStandardizedIntegrated PerformanceOutputsOutcomesAccountability PROGRAM SCOPE—THE "WHAT" DIMENSION BASIC ELEMENTS STATE-OF-PLAY NEXT LEVEL OF CAPABILITY BEST-PRACTICE TARGET Needs-driven Ad hoc Analyzed User impact-related Application Aggressiveness NominalState-of-the-practicePerformance-driven Comprehensive/ConsistentOpportunisticStandardizedComprehensive ORGANIZATIONAL /INSTIUTIONAL ARRANGEMENTS — THE "WHO" DIMENSION BASIC ELEMENTS STATE-OF-PLAY NEXT LEVEL OF CAPABILITY BEST-PRACTICE TARGET Operations Culture Capacity legacy Internalized Mobility committed Organization and Staffing FragmentedAlignedProfessionalized Resource Allocation Project-levelCriteria-basedSustainable PartnershipsInformalFormalConsolidated

88. Session VII: Systems Operations Institutional Dimensions 88 Operations Capability Maturity Levels 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 Transitioning Agencies (most) A few Leaders Support Arch. Support Arch. Support Arch.

89. Session VII: Systems Operations Institutional Dimensions 89 Interpretation of Levels for SO&M LevelNameCharacteristics 1 Ad Hoc Non-standard/informal 2Managed Process is managed & measured 3IntegratedPerformance-driven

90. Session VII: Systems Operations Institutional Dimensions 90 Operations Capability Maturity Levels 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 Transitioning Agencies (most) A few Leaders Support Arch. Support Arch. Support Arch.

91. Session VII: Systems Operations Institutional Dimensions 91 The Operations Capability Framework: Key Elements Business & Technical Process Capabilities: Business & Technical Process Capabilities: Scope of Activities Scope of Activities Business Processes Business Processes Technology/Systems Technology/Systems Performance Measurement Performance Measurement Institutional/Organizational Arrangements: Institutional/Organizational Arrangements: Culture/Leadership Culture/Leadership Organization/Staffing Organization/Staffing Resources Resources Partnerships Partnerships

92. Session VII: Systems Operations Institutional Dimensions 92 Transition States Leading states PROCESS/CAPABILITYLEVELS Reflecting agencies ability to perform effectively Criteria For Levels Level 1 Performed Ac Hoc Getting organized: unique activities at project level, siloed, hero-driven Level 2 Managed Developing methods and processes: Capabilities developed at the unit level but program unstable Level 3 Integrated Best practice installed and measured consistently within program framework Scope Concepts/procedures/protocols Technology and Systems Measurement Transition organizations Leading organizations Levels of Technical Process Maturity

93. Session VII: Systems Operations Institutional Dimensions 93 Basic Dimensions L-1TRANSITIONING Getting organized: unique ad hoc activities at project level” L-2MANAGED Developing and processes: capabilities at the strategy level, but un-integrated L-3INTEGRATED Best practice integrated, documented and measured consistently within program framework Scope Narrow and Opportunistic Needs-based and Standardized Full range Core Program” Business processes Informal, undocumented Planned, mainstreamed Integrated and Documented Technology and systems Project oriented, Qualitative evaluation Platforms based quantitative evaluation Standardized C/E systems/platforms Performance Outputs reportedOutcomes used Performance Accountability DOT operations program maturity: technical processes and capabilities

94. Session VII: Systems Operations Institutional Dimensions 94 Operations Capability Maturity Levels 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 Transitioning Agencies (most) A few Leaders Support Arch. Support Arch. Support Arch.

95. Session VII: Systems Operations Institutional Dimensions 95 Basic Dimensions I-1LEGACY-BASED Hero-driven--on regional basis I-2RESTRUCTURING Supports transition from Managed to Integrated I-3SUPPORTIVE Supports Transition from Integrated to Mainstreamed Operations Culture Mixed, unfamiliar— Event/Hero-driven Championed/Internal ized across disciplines Mobility Committed Organization, management and staffing Fragmented, Understaffed Aligning, trainedProfessionalized Resource allocation to Operations Project -level Criteria-based program Sustainable Budget Line Item Partnerships Informal, unalignedFormal, alignedConsolidated Organization/institutional arrangements Supporting capability levels Supporting capability levels

96. Session VII: Systems Operations Institutional Dimensions 96 Dimensions LEGACY-BASED Activities initiated on regional basis RESTRUCTURING Supports transition from Managed to Integrated SUPPORTIVE Supports Transition from Integrated to Mainstreamed Operations Culture Legacy—Hero-driven  Operations acknowledged,(including value of reliability) but without strategic commitment or top level leadership  Adherence to legacy roles among transportation and public safety entities Championed/Internalized across disciplines  Visible agency leadership citing Operations leverage, cost-effectiveness and risks across disciplines --  Rationalization of responsibilities by formal agreements across institutions (transportation agency, PSAs, private) Mobility Committed  Customer mobility service commitment accessibility accepted as core program  Clear legal authority for operations roles, actions among transportation agency, PSAs, Local government clarified Organization and staffing for Operations Fragmented, Understaffed  Some fragmentation of key functions and boundaries - horizontal and vertical  Reliance on key individual for technical knowledge and champions for leadership Aligning, trained  TMC focus with Vertical/horizontal authority/responsibility alignment for operations including P/B/D/C/O/M  Core capacities established with KSA specs, training and performance incentives Professionalized  Top level management position with operations orientation established in central office and districts  Professionalization and certification of operations core capacity positions Resource allocation to Operations Project -level  Funds at project level, ad hoc, unpredictable  Ad hoc resource allocation with operations as secondary priority Criteria-based program  Budget allocation for operations driven by transparent criteria on life cycle needs basis  Operations claim on agencies’ resources for mobility support established on timing, extent, cost-effectiveness Sustainable Budget Line Item  Operations is formal visible sustainable line item in agencies’ budget -- capital, operating and maintenance  Trade-offs between operations and capital expenditure considered as part of the planning process Partnerships for Operations Informal, unaligned  Non-transportation entities unaligned with transportation objectives, procedures relying on informal personal basis  Private sector utilized for isolated functions Formal, aligned  Transportation agencies assert leadership in partnerships via formal written, agreements with PSA, EM,  Private sector capabilities in technology, management tapped Consolidated  High level of operations coordination among owner/operators: state, local private with TMC consolidation  Clear outsourcing role developed, while maintaining agencies’ core capacities – PROCESS AND INSTITUTIONAL ARCHITECTURE DIMENSION DETAILSDimensionsL-1 TRANSITIONING” L-2MANAGEDL-3INTEGRATEDScope Narrow and Opportunistic  Ad hoc operations activities based on regional initiatives, with limited central office support  Narrow/ITS-project based, low hanging fruit Needs-based and Standardized  Operations as needs mobility- based multi-strategy program  Standardized agency programs or strategies related to specific problems, desired outcomes Full range Core Program  Full staged program of synergizing functionalities  Operations as key trade-off investment with other improvements in terms of “mobility management” Business processes Informal, undocumented  Projects/issues handled on fire fight basis with only modest formal regional/district planning i(but no standard template)  Minimal conops, architecture; procedures ad hoc/no consistency Planned  Strategic planning and budgeting of staged improvements including maintenance and construction implications  Architectures and related processes developed, including major communications structure Integrated and Documented  Integrated operations-related planning, budgeting, staffing, deployment and maintenance both within operations and with SW and metro planning  Full documentation of key conops, architecture, procedures and protocols Technology and systems Qualitative, opportunistic  Technologies selected at project level  Limited understanding of operating platform needs Evaluated platforms  Basic stable technology for existing strategies evaluated on qualitative basis  Identification of standardized, statewide interoperable operating platforms and related procurement procedures Standardized, interoperable  Systematic evaluation/application of best available technology/p[procedure combinations  Standard technology platforms developed/maintained Performance Outputs reported  Measurement of outputs only with limited analysis/remediation  Output measures reported Outcomes used  Outcome measures measured developed and used for improvement  Outcome measures reported Performance Accountability  Continuous improvement perspective adopted (requires intra and interagency after action analysis  Accountability and benchmarking at unit and agency level via regular outcome performance reporting – internal and public PROOF OF CONCEPT

97. Session VII: Systems Operations Institutional Dimensions 97 INSTITUTIONAL DIMENSIONS AD HOC Legacy-basedRATIONALIZEDRestructuringMAINSTREAMED Fully Supportive Operations Culture Legacy—Hero-driven  Operations acknowledged, including value of reliability) but without strategic commitment or top level leadership  Adherence to legacy roles among transportation and public safety entities Championed/Internalized across disciplines  Visible agency leadership citing Operations leverage, cost-effectiveness and risks across disciplines --  Rationalization of responsibilities by formal agreements across institutions (transportation agency, PSAs, private) Mobility Committed  Customer mobility service commitment accessibility accepted as core program  Clear legal authority for operations roles, actions among transportation agency, PSAs, Local government clarified Organization and Staffing for Operations Fragmented, Understaffed  Some fragmentation of key functions and boundaries - horizontal and vertical  Reliance on key individual for technical knowledge and champions for leadership Aligning, trained  TMC focus with Vertical/horizontal authority/responsibility alignment for operations including P/B/D/C/O/M  Core capacities established with KSA specs, training and performance incentives Professionalized  Top level management position with operations orientation established in central office and districts  Professionalization and certification of operations core capacity positions Resource Allocation to Operations Project -level  Funds at project level, ad hoc, unpredictable  Ad hoc resource allocation with operations as secondary priority Criteria-based program  Budget allocation for operations driven by transparent criteria on life cycle needs basis  Operations claim on agencies’ resources for mobility support established on timing, extent, cost-effectiveness Sustainable Budget Line Item  Operations is formal visible sustainable line item in agencies’ budget -- capital, operating and maintenance  Trade-offs between operations and capital expenditure considered as part of the planning process Partnerships for Operations Informal, unaligned  Non-transportation entities unaligned with transportation objectives, procedures relying on informal personal basis  Private sector utilized for isolated functions Formal, aligned  Transportation agencies assert leadership in partnerships via formal written, agreements with PSA, EM,  Private sector capabilities in technology, management tapped Consolidated  High level of operations coordination among owner/operators: state, local private with TMC consolidation  Clear outsourcing role developed, while maintaining agencies’ core capacities PROCESS DIMENSIONS L-1 TRANSITIONING” L-2MANAGEDL-3INTEGRATEDScope Narrow and Opportunistic  Ad hoc operations activities based on regional initiatives, with limited central office support  Narrow/ITS-project based, low hanging fruit Needs-based and Standardized  Operations as needs mobility- based multi- strategy program  Standardized agency programs or strategies related to specific problems, desired outcomes Full range Core Program  Full staged program of synergizing functionalities  Operations as key trade-off investment with other improvements in terms of “mobility management” Business Processes Informal, undocumented  Projects/issues handled on fire fight basis with only modest formal regional/district planning i(but no standard template)  Minimal conops, architecture; procedures ad hoc/no consistency Planned  Strategic planning and budgeting of staged improvements including maintenance and construction implications  Architectures and related processes developed, including major communications structure Integrated and Documented  Integrated operations-related planning, budgeting, staffing, deployment and maintenance both within operations and with SW and metro planning  Full documentation of key conops, architecture, procedures and protocols Technology and Systems Qualitative, opportunistic  Technologies selected at project level  Limited understanding of operating platform needs Evaluated platforms  Basic stable technology for existing strategies evaluated on qualitative basis  Identification of standardized, statewide interoperable operating platforms and related procurement procedures Standardized, interoperable  Systematic evaluation/application of best available technology/p[procedure combinations  Standard technology platforms developed/maintained Performance Outputs reported  Measurement of outputs only with limited analysis/remediation  Output measures reported Outcomes used  Outcome measures measured developed and used for improvement  Outcome measures reported Performance Accountability  Continuous improvement perspective adopted (requires intra and interagency after action analysis  Accountability and benchmarking at unit and agency level via regular outcome performance reporting – internal and public PROOF OF CONCEPT

98. Session VII: Systems Operations Institutional Dimensions 98 ORGANIZATION/INSTITUTIONAL ELEMENT LEVELS NEEDED TO SUPPORT IMPROVED PROCESS/PROGRAM Basic Dimensions AD HOC Legacy/Hero-drivenRATIONALIZED Structuring for transition MAINSTREAMED Fully Integrated Operations culture Mixed, unfamiliar— Event/Hero-driven Championed/Internal ized across disciplines Mobility Committed Organization, management and staffing Fragmented, Understaffed Aligned, trained Professionalized Resource allocation to Operations Project -level Criteria-based program Sustainable Budget Line Item Partnerships Informal, unaligned Formal, aligned Consolidated

99. Session VII: Systems Operations Institutional Dimensions 99 The Implications of OCM Continuous improvement (effectiveness) requires replicable, consistent processes as baseline for next step Continuous improvement (effectiveness) requires replicable, consistent processes as baseline for next step Within a large agency, this requires documentation and training Within a large agency, this requires documentation and training The levels are incremental combinations of processes establishment and measurement The levels are incremental combinations of processes establishment and measurement Each one builds on that previous via establishing organizational readiness. Each one builds on that previous via establishing organizational readiness. OCM level is based on the row with the lowest score. OCM level is based on the row with the lowest score.

100. Session VII: Systems Operations Institutional Dimensions 100 Operations Capability Maturity Levels 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 Transitioning Agencies (most) A few Leaders Support Arch. Support Arch. Support Arch.

101. Session VII: Systems Operations Institutional Dimensions 101 ORGANIZATION/INSTITUTIONAL ELEMENT LEVELS NEEDED TO SUPPORT IMPROVED PROCESS/PROGRAM Basic Dimensions AD HOC Legacy/Hero-drivenRATIONALIZED Structuring for transition MAINSTREAMED Fully Integrated Operations culture Mixed, unfamiliar— Event/Hero-driven Championed/Internal ized across disciplines Mobility Committed Organization, management and staffing Fragmented, Understaffed Aligned, trained Professionalized Resource allocation to Operations Project -level Criteria-based program Sustainable Budget Line Item Partnerships Informal, unaligned Formal, aligned Consolidated

102. Session VII: Systems Operations Institutional Dimensions 102 Basic Dimensions LEGACY-BASEDRESTRUCTURINGSUPPORTIVE Culture Culture Mixed, unfamiliar— Hero-driven Championed/Intern alized 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 Change Management Strategies (Examples) Legislation Reallocation Consolidation Education & policy Training Academy Line Item budget Formal Agreements Outsourcing

103. Session VII: Systems Operations Institutional Dimensions 103 PROCESS/CAPABILITYLEVELS Criteria For Levels Level 1 Performed Ac Hoc Level 2 Managed Level 3 Integrated Scope Business Process/Capabilities Systems and Technology Performance Measurement ORGANIZATIONAL/INSTITUTIONALARCHITECTURE Dimensions Ad Hoc to Managed Managed to Integrated Supportive for to Mainstreaming Culture/Leadership Organization/Staffing Resource Allocation Partnerships Correlation btwn Operations Maturity Levels And Institutional Architecture

104. Session VII: Systems Operations Institutional Dimensions 104 Strategies to Improve Institutional Maturity Culture/Leadership  Undertake educational program re SO&M as customer service  Exert visible senior leadership  Establish formal core program  Rationalize state DOT authority  Internalize continuous improvement as agency mode/ethic Organization/Staffing  Establish top-level SO&M executive structure  Establish appropriate organizational structure  Identify core capacities  Determine/allocate responsibility, accountability and incentives Resource Allocations  Develop program-level budget estimate  Introduce SO&M as a top level agency budget line item  Develop acceptance of sustainable resourcing from state funds  Develop methodology for trade-offs Partnerships  Agree on operational roles and procedures with PSAs  Identify opportunities for joint operations activities with local government/MPOs  Develop procedures that accommodate partners ’ goals and maximize mobility (minimum disruption)  Rationalize staff versus outsourcing activities, responsibilities and oversight

105. Session VII: Systems Operations Institutional Dimensions 105 The Guidance Scheme

106. Session VII: Systems Operations Institutional Dimensions 106 The Potential of Operations Capability Maturity Model Shared vision of best practice Shared vision of best practice A common analytical language A common analytical language Vertical and horizontal management relationships Vertical and horizontal management relationships Formalized, transparent (self) appraisal process Formalized, 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 tactics Framework to prioritize change management tactics Basis for benchmarking across organizations Basis for benchmarking across organizations

107. Session VII: Systems Operations Institutional Dimensions 107 Basic Dimensions LEGACY-BASEDRESTRUCTURING/ TRANSITION SUPPORTIVE MAINSTREAMED Culture Mixed, unfamiliar— Hero-driven Championed/Interna lized across disciplines Mobility Committed Organization/ Staffing Fragmented, Understaffed Aligning, trainedProfessionalized Resource allocation Project -level Criteria-based program Sustainable Budget Line Item Partnerships Informal, unaligned Formal, alignedConsolidated Degree of DOT “Management”: Leverage on Change Legislation Reallocation Consolidation Education & policy Training Academy Line Item budget Formal Agreements Outsourcing

108. Session VII: Systems Operations Institutional Dimensions 108 Change Management: Alternative Paths for Consideration 1. Internal incremental change -- regarding those architectural dimensions under the span of control of top management 2. Major Reorganization with internal change in priorities and related (may require outside political support 3. Capitalizing on a major event to make permanent changes (special event, major disruption, natural disaster) 4. Consolidation of functions among public agencies in the form of a new operating entity

109. Session VII: Systems Operations Institutional Dimensions 109 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?

110. Session VII: Systems Operations Institutional Dimensions 110 DOT OPERATIONS PROGRAM MATURITY –PROCESSES AND CAPABILITY L1L2L3 Operations Activities (program ) Scope Narrow and Opportunistic -- 4 Needs-based and Standardized -- 6 Full-range core program 1 Business Process used to develop Operations Program Informal, undocumented -- 4 Planned, documented -- 6 Integrated and Documented -- 1 Systems and Technology Development Qualitative, opportunistic -- 1 Evaluated platforms -- 5 Standardized, interoperable -- 2 Performance Measurement and Reporting Outputs reported -- 6 Outcomes used -- 1 Performance Accountability -- 1 ORGANIZATION/INSTITUTIONAL ARRANGEMENTS FOR SYSTEMS OPERATIONS L1L2L2 Operations Culture Legacy—Hero-driven -- 5 Agency Championed -- 4 Mobility Committed -- 1 Organization and Staffing for Operations Fragmented, Understaffed -- 3 Aligning, trained -- 4 Professionalized -- 1 Resource Allocations for Operations Project -level -- 2 Criteria-based program -- 3 Sustainable Budget Line Item -- 1 Partnerships (Public Safety, Local Gov’t) for Operations Informal, unaligned -- 2 Formal, aligned -- 3 Consolidated -- 2 Division Survey

111. Session VII: Systems Operations Institutional Dimensions 111 Institutionalization Get it StartDone 1. Improvement in performance articulated in policy 2. Leverage of SO&M widely understood 3. SO&M program development responsibility identified 4. Line item budget/slots for SO&M-related resources 5. Technical leadership at agency and key region positions 6. Formal statewide relationship with PSAs 7. Basic laws and policy in place 8. Existing basic ITS infrastructure in place 10. Traffic eng., safety, ITS, etc. consolidated 11. System performance tracked 12. Consistent Statewide ConOps in place QUIZ: Self Assessment re your agency

112. Session VII: Systems Operations Institutional Dimensions 112 FHWA Role? FHWA FHWA Policy/program priority? Policy/program priority? Division Accountability? Division Accountability? To Top SDOT Management To Top SDOT Management Clarify service stakes Clarify service stakes Exploit legislative justification (performance) Exploit legislative justification (performance) Clarify benefits and costs Clarify benefits and costs To SDOT Program Managers To SDOT Program Managers Help self-evaluate level of capability and barriers Help self-evaluate level of capability and barriers Showcase best practice for peers Showcase best practice for peers Reach SDOT district management Reach SDOT district management

113. Session VII: Systems Operations Institutional Dimensions 113 Meanwhile (as committed secret agents of the future): Guerilla Tactics for Change Insist on technical truth regarding service to customers Insist 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 support Get planners’ buy-in – they will support Expertise is the scarce resource: Start training staff now Expertise is the scarce resource: Start training staff now Push for organizational equivalency and accountability Push 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 useful Performance measurement can be incremental and useful Be ready for – and capitalize on – external events!! Be ready for – and capitalize on – external events!!

114. Session VII: Systems Operations Institutional Dimensions 114 Vision: Emerging Institutional Arrangements

115. Session VII: Systems Operations Institutional Dimensions 115 21st CENTURY DOT Other state agencies Private sector Informed customers Local government Public safety agencies OUTSOURCE /PRIVATIZE DEVOLVE 20TH CENTURY DOT EFFICIENCY COMPLEXITY CO-DELIVER Vision: Partnerships Future of State DOTs

116. Session VII: Systems Operations Institutional Dimensions 116 Vision: Big Cultural Shift & Change in Priorities Demand Management Maintenance System Expansion Systems Management Maintenance System Expansion Demand Management Systems management 2OTH CENTURY DOT 21ST CENTURY DOT

117. Session VII: Systems Operations Institutional Dimensions 117 DIMENSION 20 TH CENTURY 21 ST CENTURY Mission and Vision System development Operating the system for Users Professional Orientation Engineering expertise Performance Management Jurisdictional Roles Separate spans Consolidated (new authorities) Sector Roles Public template Public Management Relationship with Users Vehicles independent + advice VII Drivers of Change Budget constrained Learning enterprise Vision: The 21 st Century Operations-Oriented DOT Vision: The 21 st Century Operations-Oriented DOT