National Academies Press: OpenBook

Institutional Architectures to Improve Systems Operations and Management (2012)

Chapter: Appendix E - Example of Change Management Program for a State DOT

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Suggested Citation:"Appendix E - Example of Change Management Program for a State DOT." National Academies of Sciences, Engineering, and Medicine. 2012. Institutional Architectures to Improve Systems Operations and Management. Washington, DC: The National Academies Press. doi: 10.17226/14512.
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Page 84
Suggested Citation:"Appendix E - Example of Change Management Program for a State DOT." National Academies of Sciences, Engineering, and Medicine. 2012. Institutional Architectures to Improve Systems Operations and Management. Washington, DC: The National Academies Press. doi: 10.17226/14512.
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Page 84
Page 85
Suggested Citation:"Appendix E - Example of Change Management Program for a State DOT." National Academies of Sciences, Engineering, and Medicine. 2012. Institutional Architectures to Improve Systems Operations and Management. Washington, DC: The National Academies Press. doi: 10.17226/14512.
×
Page 85
Page 86
Suggested Citation:"Appendix E - Example of Change Management Program for a State DOT." National Academies of Sciences, Engineering, and Medicine. 2012. Institutional Architectures to Improve Systems Operations and Management. Washington, DC: The National Academies Press. doi: 10.17226/14512.
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Page 86

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Table E.1. Example of Change Management Program for a State DOT Agency Self-Evaluation-Based Implementation Issues/Needs Related Maturity Framework Strategies Responsibility A P P E N D I X E Example of Change Management Program for a State DOT 83 Agencywide goals and objectives do not clearly identify systems operations and management as core program with related strategies. Strategy: Revise agency goals and objectives to clearly prioritize system operations as leading service strategy. Draft by Operations Division with regions for top management consideration Operations Division with regions (via Statewide Operations Strategic Plan and regional plans) Immediate Action Priorities Update/clarify statewide mission, goals, objectives, and related per- formance measures applicable to all programs. Make business case for systems operations as a core program. Systematic identification of statewide baseline customer service improvement opportunities (safety, mobility, security) and potential benefits and incremental strategies for meeting those needs—as a framework for regional planning. Performance needs to be continuously measured. Strategy: Develop program for performance measurement for all system operations applications sufficient for use in measuring enhanced application strategy effectiveness, improving programs, and supporting accountability (internally and externally). Immediate Action Priorities Identify standard short-term surrogate measures (output and event data) that can be used to improve effectiveness of systems operations strategies until outcome measures (travel time) become available. Determine the small set of robust performance measures (outputs and outcomes) and data collection needs to be used statewide to improve operations procedures, internal investment decisions, and accountability, and for external traveler information systems. Introduce accountability process for assessing the effectiveness of operations activities between top management and those who control resources in Central Office and regions/districts. Develop program to implement use of performance data directly in planning and in fine-tuning strategy applications (after action analysis). Operations Division with regions Operations Division with regions System Operations Directorate with top management Operations Division with regions (continued on next page)

Immediate Action Priorities Clarify regional functions, roles, responsibilities, and accountability— technical and administrative—to support the evolving role of regions as service centers. Reduce inefficient fragmentation and improve alignment of roles, responsibilities, authority in Central Office (Operations Division, Traffic Engineering, and Security) and in regions. Additional Steps to Advanced Capabilities Establish regions as service centers with TMCs as regional/district operational focus and command posts (TOCs). Consolidate statewide incident management and emergency operations activities in Central Office (Emergency Response and Field Operations). 84 Table E.1. Example of Change Management Program for a State DOT (continued) Agency Self-Evaluation-Based Implementation Issues/Needs Related Maturity Framework Strategies Responsibility Additional Steps to Advanced Capabilities Establish process to incorporate performance measurement into standards as statewide traffic data on travel conditions become available. Develop approach for objective evaluation of ITS/operations proj- ects, both to identify cost-effective improvements and to compare with other nonoperations investments. Identify strategy to involve partners routinely in use of performance measurement as part of after-action analyses and strategy applica- tions improvements. Develop a statewide monitoring system to assemble and make avail- able real-time regional and statewide systems information (such as travel time, weather, and incidents) for reporting, coordination, and archiving for use in analysis and accountability. Expand performance monitoring and reporting beyond interstate system in key corridors. Operations Division with regions Operations Division with regions Operations Division with regions Operations Division with regions Operations Division with regions and MPOs Lack of clarity on where and to whom district/regions should go in Central Office for guidance, support, and assistance. The functional relationships among district level SO&M and related traffic engineering and maintenance responsibilities unclear with regard to district-level operations. Strategy: Organizational structure tailored to operations efficiency with authority levels appropriate to core program. Systems Operations Directorate Systems Operations Directorate and top-level management Operations Division with regions Operations Division Shortage of qualified systems operations technical expertise and no effective process for developing that expertise. Inadequate project definition and a lack of standards in the ITS project development process—including contracting and procurement support—are major burdens on regions. Strategy: Develop statewide position specifications, staffing, succession plans, and career incentives. Immediate Action Priorities Establish career path concepts and position descriptions for operations and develop mentoring activities and performance incentives for operations staff. Determine core capacities (KSAs) needed in Central Office and the regions and develop uniform position descriptions, potential training needs, and recruitment and retention measures. Expand program for technical training (management and technical) beyond emergency and incident management to the full range of operations functions. Includes an in-house “operations academy.” Strategy: Identify, develop, and document standardized and integrated project development process. Immediate Action Priority Develop and document an appropriate project development process—i.e., appropriate to typical systems operations projects— proceeding from commitment to budgeted projects through pro- curement, deployment. Should build on existing documented Agency Project Development Process. Systems Operations Directorate with regions Systems Operations Directorate with regions Systems Operations Directorate with regions Operations Division with regions and support from ASD and Scheduling and Contract Division (continued on next page)

Dedicated, committed sources of funding are needed so that districts (regions) can prioritize and plan. Budget allocation process for SO&M capital, operating, and maintenance is unclear, hampering development of regional SO&M programs. 85 Table E.1. Example of Change Management Program for a State DOT (continued) Agency Self-Evaluation-Based Implementation Issues/Needs Related Maturity Framework Strategies Responsibility State government-wide procurement and information systems guidelines and requirements inappropriate to ITS projects. The value/role of ITS in operations and maintenance is not adequately understood by many in agency’s administration/construction arena. The life-cycle cost implications of ITS are not well- recognized in the budgeting process. Conduct analysis of procurement options available; review model processes employed by other DOTs and NCHRP 3-77, ITS Procurement Guidelines. Determine areas where revisions and simplifications are needed. Strategy: Integrate systems operations ITS infrastructure improvements into other construction/maintenance projects through consideration in their development process. Immediate Action Priorities Refine the process for including systems operations measures in construction/maintenance projects by clarifying input of both traffic engineering and other work zone traffic measures into the Agency Project Development Process—consistent with the recent Federal Rule on Work Zone Safety and Mobility. Explicitly address ITS upgrading and maintenance in long-term budgeting. Systems Operations Directorate Systems Operations Directorate and districts No consistent policy on the role and type of outsourcing regarding costs and retention of core capacity. The roles and relationships among the various outsourcing contractors, agency, and the PSA community are not clearly defined. Strategy: High level of formal systems operations coordination among agency, PSAs, and private service providers. Immediate Action Priority Identify issues and options in refined/rescoped approach to out- sourcing TMCs, safety service patrol, and asset management to meet overall agency technical, staffing, and management objectives regarding staffing levels and core-capacity retention. Additional Steps to Advanced Capabilities Operations Division with regions Systems Operations DirectorateConduct broad comparison across a range of issues—including cost, staffing limitations, flexibility, performance management, access to technology, etc. Refine/rescope approach to outsourcing in terms of contracting procedures, performance management, and time frame of contracts. Review business model for agency future role and related core capacities and liabilities regarding type and extent of in-house versus outsourced responsibilities. Strategy: Identify, develop, and document standardized and integrated programming, budgeting, and resource allocation processes. Immediate Action Priorities Establish system operations as a top-level agency budget line item to be treated administratively in a manner equivalent to other major budget categories. Develop and standardize transparent and criteria-driven budgeting and resource allocation process for systems operations, involving districts, regions, and Central Office perspectives in regional budget development. Develop a statewide plan for ITS and systems operations that combines a rollup of regional plans with statewide special systems needs. These should include mid- and long-term needs-based estimates of resource requirements to upgrade the program to acceptable service standards. Top-level management policy Top-level management policy Top-level management policy Operations Division based on regional plans and statewide programs (continued on next page)

86 Table E.1. Example of Change Management Program for a State DOT (continued) Agency Self-Evaluation-Based Implementation Issues/Needs Related Maturity Framework Strategies Responsibility Additional Steps to Advanced Capabilities Include operations infrastructure needs in maintenance budgeting at the statewide and regional levels. Ensure that resource allocation accounts for special legacy maintenance burden, megaprojects, and issues of donor–donee districts. Develop and standardize process for incorporation of ITS into highway projects. Systems Operations Directorate Task force to develop standardized approach Task force to develop process

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TRB’s second Strategic Highway Research Program (SHRP 2) Report S2-L06-RR-1: Institutional Architectures to Improve Systems Operations and Management examines a large number of topics concerning organizational and institutional approaches that might help transportation agencies enhance highway operations and travel time reliability.

The same project that produced SHRP 2 Report S2-L06-RR-1 also produced SHRP 2 Report S2-L06-RR-2: Guide to Improving Capability for Systems Operations and Management.

An e-book version of this report is available for purchase at Google, iTunes, and Amazon.

An article on SHRP 2 Report S2-L06-RR-1 was published in the January-February 2013 issue of the TR News.

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