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11 Operational processes and the level to which they can influence programmatic needs vary widely from agency to agency. The L01 effort looked at a total of 10 case studies that included locations throughout the United States and United Kingdom. The case studies were selected to provide an in-depth review of how processes were integrated to improve reliability related to challenges in four areas: Incident Management, Work Zone Management, Special Event Management, and Weather Operations and Management. Although each of the case studies and its processes were unique, the research dis- covered a common pattern in each case studyâs process integration. Each case could be followed through the same seven-step process, which is shown in Figure 3.1. There also were other similar elements: ⢠The influences that initially caused the integration of the processes could be grouped in three broad categories; ⢠The importance of performance measures and the need to clearly document ben- efits were evident in each case study; and ⢠The obstacles to process integration were similar in nearly all case studies. Although all agencies do not follow each step shown in Figure 3.1, this flowchart presents the seven potential steps that may be taken to develop or change a process. Below are brief descriptions of each of the process development and integration steps, which are discussed in more detail in the subsections that follow. Step 1: Influences. At some point, it becomes apparent that a business process needs to be improved. The catalyst for action can be top down, event driven, or needs based. Examples of such influences for action are directives from senior management or elected officials, a significant natural disaster that exposes gaps in current agency processes or response plans, or just a recognized need for the improvement. 3 METHODOLOGY FOR ANALYZING AND INTEGRATING BUSINESS PROCESSES
12 GUIDE TO INTEGRATING BUSINESS PROCESSES TO IMPROVE TRAVEL TIME RELIABILITY Step 2: Define the Specific Reliability Goal. Goals focus the agencyâs efforts on the problem at hand regardless of any specific process. Defined goals help to develop benchmarks that an agency can use to determine how well the process is meeting the need. Goals such as reducing incident clearance time, providing 24/7 operations, or improving resource efficiency often require multiple processes to work together. Although an agency may not document the goal of a new process, it must define a goal or target for addressing a need before a decision can be made or an action taken. Step 3: Identify and Document Current Business Processes. Agencies considering changes in business processes often skip the step of thinking through current business processes in a systematic way to identify and document potential gaps or issues. This third step helps the agency identify key components or enablers that can promote a more efficient process. By using the BPMN modeling notation template (or similar process modeling tool) to document and represent the agencyâs process, stakeholders can see the connections between the different components of the process more easily. Step 4: Develop/Change and Implement Process. This step is driven by a particular influence identified in the first step. This step is usually initiated at the grassroots level of an organization by staff or advocates who are at the center of the activities involved. The implementation can be formal or informal, depending on the complexity of the process and the agencies involved. This is the core step toward process integration. Step 5: Assess Process. Once the new process has been implemented, it is assessed or evaluated against the identified goals. In an iterative approach with Step 4 (Develop/ Change and Implement Process), the process continues to be refined on the basis of performance against the goals. Step 6: Document Process. Agencies document their processes with varying degrees of complexity. Documentation can be as simple as an interagency agreement or as com- plex as a multivolume operations manual. Regardless of the type of documentation, Figure 3.1. Overview of integration approach.
13 GUIDE TO INTEGRATING BUSINESS PROCESSES TO IMPROVE TRAVEL TIME RELIABILITY it should capture the roles, responsibilities, objectives, and expected outcomes of the process. Step 7: Institutionalize Process. The seventh step of business process integration may consist of adopting operational activities and processes, implementing formal traffic policies, establishing training, or other actions. Institutionalization requires the buy-in and support of upper management, as well as additional stakeholders who have a vested interest in the outcomes of the business process. This step will have a direct impact on the long-term survival of a process within an organization. STEP 1: INFLUENCES Analysis of the case studies presented in Integrating Business Processes to Improve Travel Time Reliability (2) and feedback from participants at the L01 project work- shop (1) suggested that influences on business processes can be grouped into three broad categories, depending on the event or directive that initiated the process change or process development (Table 3.1). TABLE 3.1. TIER LEVELS FOR PROCESS INFLUENCES Tier Description of Influence Case Studies Tier 1: Big Directive (Top Down) Big-directive influences are typically legislative requirements or management-level directives. Broad external factors such as safety concerns, economic parameters, or larger governmental accountability initiatives also may drive the influence. Big-directive influences tend to greatly accelerate process development, integration, and change and also increase accountability of those responsible for implementing. ⢠WSDOT Joint Operations Policy Statement and Instant Tow Program ⢠NCDOT Traffic and Safety Operations Committee ⢠Kansas Speedway Special Event Traffic Management Tier 2: Event Driven Event-driven influences are caused by a specific event or hazard that prompts a need for improving process integration. The initial event can prompt change, but if the event does not recur, momentum or support for the change can erode over time. ⢠MDOT Work Zone Traffic Control Modeling ⢠NDOT I-80 Winter State-Line Closures Tier 3: Needs Based/ Opportunity Based (Grassroots) Needs-based/opportunity-based influences evolve over time according to recurring needs. These types of changes typically affect day- to-day operations and begin at the grassroots level of an organization. ⢠Florida Road Rangers Freeway Service Patrol Program ⢠The Palace at Auburn Hills Special Event Traffic Management ⢠San Pablo Avenue Signal Retiming ⢠AZTech Regional Archived Data Server ⢠United Kingdom Active Traffic Management
14 GUIDE TO INTEGRATING BUSINESS PROCESSES TO IMPROVE TRAVEL TIME RELIABILITY It is difficult to relate a specific influenceâtop down, event driven, or needs basedâto a spe- cific impact on travel time reliability. However, the types of influences can have a direct impact on the timeline and resources dedicated to process change. There is no single right way to start process integration, and the selected case studies provide examples of successful process integration using all three types of influ- ences. Figure 3.2 shows the influence as the first step in the development or modifica- tion of a business process. STEP 2: DEFINE THE SPECIFIC RELIABILITY GOAL Clearly defined goals provide benchmarks by which an agency can measure its success, particularly in the case of specific reliability goals. Goals can be established throughout process development, implementation, assessment, and documentation. Most impor- tant, performance against the established goals can support institutionalization of the process. In recent years, agencies have begun to adopt more performance measures and goals to demonstrate the need for projects and the effectiveness or impact of com- pleted projects. Performance measures also apply to evaluating the employees of the organization. Nevada Department of Transportation I-80 Corridor Local staff members from NDOT were encouraged to investigate alternative solutions to disseminating road condition information based on a serious crash in eastern California that created significant delays and stranded travelers for several hours in locations where amenities were not available. De ne the Speci c Reliability Goal Develop / Change Process Assess Process Implement Process Document Process Identify and Document Current Business Processes Institutionalize Process In uences Operational Integration Programmatic Integration Figure 3.2. Step 1: Influences.
15 GUIDE TO INTEGRATING BUSINESS PROCESSES TO IMPROVE TRAVEL TIME RELIABILITY Establishing goals that align with the agencyâs mission can drive the development of effective processes to improve the performance of the employees, projects, pro- grams, and ultimately the agency. Figure 3.3 illustrates that defining a specific reliabil- ity goal is done after the process is initiated by an influence. STEP 3: IDENTIFY AND DOCUMENT CURRENT BUSINESS PROCESSES Even in the absence of formal documentation of existing processes, typically existing conditions and processes are known to some extent. However, more often than not, the documentation step is overlooked in assessing current operational processes. There are risks in not documenting the existing or baseline processes. Without documentation, an agency runs a higher risk of overlooking critical roles, available resources, or operational activities that may be essential enablers of a more efficient process. Although this information may be known by staff members, documentation ensures that the knowledge will remain available as staff changes. Figure 3.4 repre- sents the step for identifying and documenting existing business processes. North Carolina Department of Transportation Traffic and Safety Operations Committee The NCDOT Work Zone Traffic Control (WZTC) section regularly establishes goals, ob- jectives, and strategies for all projects. A committee is formed for projects defined as significant so the impacts and effectiveness of the work zone plans can be continuously monitored throughout construction. Strategies are developed in response to some of the issues observed. Figure 3.3. Step 2: Define the specific reli- ability goal.
16 GUIDE TO INTEGRATING BUSINESS PROCESSES TO IMPROVE TRAVEL TIME RELIABILITY STEP 4: DEVELOP/CHANGE AND IMPLEMENT PROCESS Operational integration includes developing or changing a process (Step 4), imple- menting it (Step 4), and then assessing its effectiveness (Step 5). This sequence of ac- tivities can begin after any of the first three steps. The develop/change, implement, and assess activity cycle is iterative and will be repeated until the process successfully meets the predetermined goal. The research suggests that some of the most successful and innovative solutions focused on specific needs have been designed and implemented at the grassroots level, although the motivation for a process change can come from any of the influences discussed in Step 1. The personnel most closely connected to the need have the stron- gest incentive to develop an effective solution to meet the need. Their proximity to the operations often drives a continuous refinement of processes to improve the daily functions and appropriately address the defined need. The Palace of Auburn Hills Before determining a new event management plan for the facility, the Auburn Hills Police Department, The Palace of Auburn Hills, the Road Commission for Oakland County, and MDOT assessed the current traffic management plans and road network in the vicinity of the facility. Figure 3.4. Step 3: Identify and document current business processes.
17 GUIDE TO INTEGRATING BUSINESS PROCESSES TO IMPROVE TRAVEL TIME RELIABILITY Implementing or modi- fying current practices, coor- dinating with other agencies, and recommending more efficient systems to support operations are all elements of operational process inte- gration. Often, certain pro- cesses become ingrained into a broader operations strategy. Processes that need to be implemented upstream, or are dependent on man- agement from one or more divisions or agencies for support, call for a more formal approach to implementation. It is important during process integration to involve all of the appropriate stake- holders. Buy-in is important from those who will provide inputs into the process and those who are affected by the process. All stakeholders are critical, whether they are in the field or in a central office, and their input should be an integrated part of the over- all process. Figure 3.5 illustrates the location of the process development and change, as well as process implementation activities within the business process integration flowchart. North Carolina Department of Transportation Traffic and Safety Operations Committee The NCDOT Committee looks at processes continuously throughout the life of a con- struction project. Each issue that arises within the construction project is analyzed by the committee, and a strategy is proposed to mitigate the issue. Solutions are monitored and adjusted as needed until an effective result is achieved. Figure 3.5. Step 4: Develop/change and implement process.
18 GUIDE TO INTEGRATING BUSINESS PROCESSES TO IMPROVE TRAVEL TIME RELIABILITY STEP 5: ASSESS PROCESS Some level of assessment is important to determine the effectiveness of a process. This step is one element of the three-part operational integration loop that continuously adapts and evaluates business processes, along with developing/changing and imple- menting the process (Step 4). The assessment often is commensurate with the complexity of the process and may occur with limited documentation or formality. However, it is important to determine a measure of success, a method for continuous evaluation, and the data needed for the evaluation. The evaluation and measured benefits will provide a means of communi- cating the effectiveness of the process in question with senior managers. Measuring effectiveness or outcomes also provides an opportunity to periodically evaluate the effectiveness of various business processes and modify or change elements of the process if needed. Figure 3.6 shows that the assessment step is within the itera- tive operational integration stage. Figure 3.6. Step 5: Assess process. UK Active Traffic Management In the United Kingdom, the Highways Agency monitored the impacts of an Active Traffic Management (ATM) deployment on the roadway network. A survey was conducted to evaluate the effectiveness of the ATM measures and the overall use of the corridor. The results showed an improved journey time and decreased accident rate. Such benefits have helped to gain support of Government Ministers and industry.
19 GUIDE TO INTEGRATING BUSINESS PROCESSES TO IMPROVE TRAVEL TIME RELIABILITY It is important that quantifiable benefits are identified and measured against pre- implementation conditions. Mapping the process also can prove to be a valuable tool for assessing effectiveness. Process mapping forces the participants to think through each step and the way agencies and staff members interact with each other. Through this project, the BPMN approach proved to be a reliable method for developing con- sistent diagrams of each case study. STEP 6: DOCUMENT PROCESS Once a process is established and refined, it is important to document and accurately capture the steps involved. Documentation typically occurs once the process has been implemented and proved effective. It provides detailed steps of the business process, the evaluation process, and the stated benefits and lessons learned. It also should in- clude the roles and responsibilities of the stakeholders involved. The documentation includes the performance measures associated with the overall process. Documenta- tion of these elements assists the agency in demonstrating performance against the goals established as part of Step 2. The documentation process also assists with updates and future modifications to a process. Changes can be due to technological, political, infrastructure, or organiza- tional influences; all of these influences need to be captured. Complete documentation of the established procedural steps and evaluation methods makes maintenance of the process easier for the agency and stakeholders. Not documenting a new or changed process involves the same risks as noted in Step 3 (Identify and Document Current Business Processes), including an increased possibility of overlooking critical elements and the risk of losing information when staff leaves. Not all agencies want to invest the time required to prepare detailed process models for all of their operational activities. They would prefer to document only the key steps, relationships, information exchanges, and other factors when there is a need to do so. This can be achieved through developing internal memorandums, informal memorandums of understanding (MOU), or more formal intergovernmen- tal agreements to document roles, responsibilities, objectives, and expected outcomes. Documentation Examples The Palace of Auburn Hills documents its processes through evaluation meetings. WSDOT and the UK Highways Agency produce performance monitoring reports that state the benefits and lessons learned from the process. The WSDOT JOPS Agreement documents the performance measures developed as a result of the agreement as a way to assist the agency in defining how data are collected and reported. The MTC produces a report at the end of the process that is then incorporated into an annual report provided to the Federal Highway Administration (FHWA).
20 GUIDE TO INTEGRATING BUSINESS PROCESSES TO IMPROVE TRAVEL TIME RELIABILITY Operational manuals can provide another mechanism for capturing details of the pro- cess without involving too much investment. Figure 3.7 illustrates that documentation occurs after a process has been implemented and determined to be acceptable. STEP 7: INSTITUTIONALIZE PROCESS Institutionalization is the final step in the successful integration of business processes. It is the way in which a new or changed process is incorporated into existing policies or management programs. It typically starts from higher levels in an organization and often requires a certain level of senior-management support. Institutionalizing the process translates it into a core process in the organization that can survive changes in management and personnel. The most successful examples of business processes rely on linking them to firmly established agency goals, objec- tives, or mission-critical activities; this helps establish the priority among multiple operational entities. Figure 3.7. Step 6: Document process. Washington State Joint Operations Policy Statement The governorâs office requested that WSDOT and the Washington State Patrol (WSP) report jointly on performance monitoring and accountability goals related to incident response and clearance time. These reports were compiled and incorporated into the Government Management Accountability Performance program being implemented in Washington State. This joint reporting and responsibility enabled Washington State to deliver an effective Incident Response Program.
21 GUIDE TO INTEGRATING BUSINESS PROCESSES TO IMPROVE TRAVEL TIME RELIABILITY Institutionalization requires more than adopting operational activities or processes and is very dependent on buy-in and ongoing support by agency leaders. In some instances, policy or legislative action might be required, such as to implement formal traffic policies (i.e., âmove overâ laws) or divisional reporting strategies. Other divi- sions or departments not directly involved in operations, such as procurement, infor- mation technology, human resources, communications/public information, or others, depending on the specific objective, also might need to become involved. For processes to transcend individual divisions and operating units or to be solidified across multiple agencies requires that benefits and outcomes be tangible and directly related to each agency and the individual operating unit. To become ingrained in the institutional culture, whether through resource man- agement, training, procurement practices, or other programmatic functions, processes must demonstrate continued and sustained benefit over time rather than a one-time successful outcome. This establishes a need for a strong and well-communicated per- formance management program that goes beyond merely reporting on performance and incorporates outcomes into regularly scheduled policy and process reviews. A process can be institutionalizedâor institutionalized furtherâat any time, not just when it is first developed and implemented. Strategies and considerations for suc- cessfully institutionalizing an integrated process include the following: ⢠Formal documentation that is available and accessible. A signed MOU is a good start, but if it is hidden in a file cabinet, it is likely to be forgotten. It is important that agreements be based on operational need and that those agreement terms are made known to key individuals and groups that are directly affected. Advocates (or âcham- pionsâ) change, and through formal shared documentation, the process is less likely to be lost if an advocate moves out of a position. ⢠Sustainability of the process is key, and so is the sustainability of agreements or documentation that might have been developed in support of it. MOUs, interagency agreements, or other documents that require more formal approval have a better chance of outlasting informal agreements. ⢠Performance management programs can provide an important back-check and justification for continued support of integrated and institutionalized processes. A performance management approach goes beyond monitoring and reporting on key performance indicators. It uses those outcomes to better inform management and pro- grammatic decisions. Figure 3.8 shows that institutionalization is the final step in the integration of busi- ness processes. The most successful examples of business processes rely on linking them to firmly established agency goals, objectives, or mission-critical activities.
22 GUIDE TO INTEGRATING BUSINESS PROCESSES TO IMPROVE TRAVEL TIME RELIABILITY Figure 3.8. Step 7: Institutionalize process.
