1 based on FHWA Capability Maturity Model Workshops Transportation Systems Management and Operations (TSM&O) Organization and Staffing

2 Challenges Congestion and delay are increasing as economic and population growth continue but existing roadways have capacity constraints. A high value is placed on the reliability of the system. Reviewing the existing TSM&O versus state of practice: −Unsystematic −Pockets of excellence Opportunities Unexploited potential of aggressive, integrated, collaborative TSM&O applied to existing roadways. Agencies can develop the key capacities needed to improve TSM&O effectiveness.

3 Objective: “Mainstreaming” continuous improvement in TSM&O Process: Major program of SHRP2 research and over 40 FHWA-sponsored State DOT workshops Workshop Process: Agency staff self-evaluation and improvement plans, using capability maturity model (CMM) White Papers are available covering: State of the practice regarding agency capabilities Current agency approaches for improvement nizing_for_op.htm

4 Business Processes Organization and Staffing Culture Systems and Technology Performance Measurement “Capabilities” Business and technical processes support strategies Organization and relationships support processes Effective TSM&O Strategies Collaboration

5 Business Processes, including planning, programming and budgeting (resources) and project development and procurement; Systems and Technology, including use of systems engineering, concepts of operations, systems architecture standards, interoperability, and standardization Performance Measurement, including measures definition, data acquisition, analytics, communication and utilization. Culture, including technical understanding and business case, leadership, outreach, and program legal authority; Organization and Staffing, including programmatic status, organizational structure and accountability, staff capabilities, training/development, and recruitment and retention Collaboration, including relationships with public safety agencies, local governments, MPOs, and the private sector.

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10 Workshop findings will be presented Followed by three brief case examples Along the way – think of your questions or comments Type these into the webinar comment box

11 The summary in slides that follow will provide:  Typical state-of-play  Self-improvement actions suggested by workshop participants (in Implementation Plans)  Not a “how to” – but a descriptions of what TSM&O staff identify as key actions for improvement in Organization and Staffing  May help you think through applicable actions in your agency Remember: “state DOTs” differ widely in size, number of regions/districts, urban vs rural, etc.  No standard solutions (but there are peer agencies)

12 Program Status – Are there distinct agency objectives requiring a specific set of related, sustainable, accountable actions by agency units (managers and staff?) Organizational Structure – Does the disposition of responsibilities in the agency support the necessary coordinating and reporting relationships to promote effective/efficient activities? Staff Development – Are staffing needs defined and needed capabilities developed? Recruitment and Retention – Can the agency attract, access, and keep the needed staff capabilities?

13 DOT organization and staffing typically senior executive function –middle manager limited span of control Middle managers (those with direct day-to-day operational responsibility) lack authority to make changes Requires “managing up”: using facts, case, persuasion to stimulate changes and/or create an “authorizing environment”

14 Lack of identity for TSM&O as a formal DOT program. Rarely a separate “program” with top level representation, consolidated responsibility, clear management accountability, and/or full coordination. Often a collection of fragmented middle management activities, or possibly part of other activities. Limited planning, budgetary, performance functions and/or expectations for TSM&O management. Subsidiary staff status and career limitations.

15 Recognize the challenge of “managing up” to achieve changes in organization. Develop the business case for TSM&O as a formal program:  October 7th FHWA/NOCoE webinar on Business Processes. Identify and introduce features of standard state DOT programs. Make the case for top level (division) status for TSM&O program.

16 Rarely at top division level (like other “programs”) in organizational hierarchy. Operational (Transportation Management Centers) vs. engineering (Intelligent Transportation Systems) functions are often separate. Headquarters policy and programming are distant from regional day-to-day activities. Responsibility vs. authority: Silo-ing and divided responsibilities – who’s in charge?

17 Reorganize – alternative models: statewide stand-alone, distributed/integrated, or geographic-focused. Relate real-time “operations” and engineering functions. Clarify single point senior manager program responsibility and reporting lines (vertical, horizontal). Establish division-level status in headquarters for TSM&O. Clarify headquarters vs. region roles (for systems engineering, planning, budgeting, and public safety agency relationship). Use Concept of Operations to define structural needs.

18 TSM&O not seen as special “discipline.” Appropriate job descriptions, qualifications, classifications, (24 X7) career paths are not available. Agency-wide position constraints and impacts (freeze, reduction in workforce). Champion dependency:  informal influence;  dotted line (stealth) management; and  limited succession/mentoring – vulnerability to turnover. Training is primarily “on the job.” Reliance on outsourcing for special expertise.

19 Define core capacities and match with training needs and resources (note national research). Rationalize in-house vs. outsourcing for key capabilities and functions. Compare TSM&O position descriptions and levels with appropriate equivalent positions in other programs. Address PE requirement relevance. Consider TSM&O career path limitations and attractiveness. Support peer-to-peer activities.

20 Static staffing levels limits attention. Mix of laterals and external recruits. Union, civil service, job description, and Professional Engineer (PE) constraints. Limited training opportunities and unclear career paths. Difficulty in competing for specialized technical skills.

21 Determine in-house staff priorities (vs outsourcing.) Use the business case to support arguments for relaxing limitation on staffing. Review and compare positions, requirements, and compensation across program areas. Consider TSM&O career path limitations and attractiveness.

22 One Executive Summary (covers all dimensions) Six White Papers – one on each capability dimension

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24 Read the CMM reports and white papers Participate in FHWA state DOT Self-Evaluation Workshops and Regional Operations Forums Utilize NOCoE website to track developments and access resources Contact and communicate with corresponding staff in peer states

25 FHWA HQ office through your local FHWA Division offices or NOCoE