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A P P E N D I X E
Example of Change Management Program
for a State DOT
Table E.1. Example of Change Management Program for a State DOT
Agency Self-Evaluation-Based Implementation
Issues/Needs Related Maturity Framework Strategies Responsibility
Agencywide goals and objectives Strategy: Revise agency goals and objectives to clearly prioritize system operations as leading service
do not clearly identify systems strategy.
operations and management
as core program with related Immediate Action Priorities
strategies. Update/clarify statewide mission, goals, objectives, and related per- Draft by Operations Division with
formance measures applicable to all programs. Make business case regions for top management
for systems operations as a core program. consideration
Systematic identification of statewide baseline customer service Operations Division with regions
improvement opportunities (safety, mobility, security) and potential (via Statewide Operations Strategic
benefits and incremental strategies for meeting those needs--as a Plan and regional plans)
framework for regional planning.
Performance needs to be Strategy: Develop program for performance measurement for all system operations applications sufficient for
continuously measured. 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 Operations Division with regions
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 Operations Division with regions
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 System Operations Directorate with
of operations activities between top management and those who top management
control resources in Central Office and regions/districts.
Develop program to implement use of performance data directly Operations Division with regions
in planning and in fine-tuning strategy applications (after action
analysis).
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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 Operations Division with regions
standards as statewide traffic data on travel conditions become
available.
Develop approach for objective evaluation of ITS/operations proj- Operations Division with regions
ects, both to identify cost-effective improvements and to compare
with other nonoperations investments.
Identify strategy to involve partners routinely in use of performance Operations Division with regions
measurement as part of after-action analyses and strategy applica-
tions improvements.
Develop a statewide monitoring system to assemble and make avail- Operations Division with regions
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 Operations Division with regions
system in key corridors. and MPOs
Lack of clarity on where and to Strategy: Organizational structure tailored to operations efficiency with authority levels appropriate to core
whom district/regions should program.
go in Central Office for
guidance, support, and Immediate Action Priorities
assistance. Clarify regional functions, roles, responsibilities, and accountability-- Systems Operations Directorate
The functional relationships technical and administrative--to support the evolving role of regions
among district level SO&M as service centers.
and related traffic Reduce inefficient fragmentation and improve alignment of roles, Systems Operations Directorate
engineering and maintenance responsibilities, authority in Central Office (Operations Division, and top-level management
responsibilities unclear with Traffic Engineering, and Security) and in regions.
regard to district-level
operations. Additional Steps to Advanced Capabilities
Establish regions as service centers with TMCs as regional/district Operations Division with regions
operational focus and command posts (TOCs).
Consolidate statewide incident management and emergency Operations Division
operations activities in Central Office (Emergency Response and
Field Operations).
Shortage of qualified systems Strategy: Develop statewide position specifications, staffing, succession plans, and career incentives.
operations technical
expertise and no effective Immediate Action Priorities
process for developing that Establish career path concepts and position descriptions for Systems Operations Directorate
expertise. operations and develop mentoring activities and performance with regions
incentives for operations staff.
Determine core capacities (KSAs) needed in Central Office and the Systems Operations Directorate
regions and develop uniform position descriptions, potential training with regions
needs, and recruitment and retention measures.
Expand program for technical training (management and technical) Systems Operations Directorate
beyond emergency and incident management to the full range of with regions
operations functions. Includes an in-house "operations academy."
Inadequate project definition Strategy: Identify, develop, and document standardized and integrated project development process.
and a lack of standards in
Immediate Action Priority
the ITS project development
process--including Develop and document an appropriate project development Operations Division with regions
contracting and procurement process--i.e., appropriate to typical systems operations projects-- and support from ASD and
support--are major burdens proceeding from commitment to budgeted projects through pro- Scheduling and Contract Division
on regions. curement, deployment. Should build on existing documented
Agency Project Development Process.
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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 Conduct analysis of procurement options available; review model Systems Operations Directorate
procurement and information processes employed by other DOTs and NCHRP 3-77, ITS
systems guidelines and Procurement Guidelines. Determine areas where revisions and
requirements inappropriate simplifications are needed.
to ITS projects.
The value/role of ITS in Strategy: Integrate systems operations ITS infrastructure improvements into other construction/maintenance
operations and maintenance projects through consideration in their development process.
is not adequately understood
by many in agency's Immediate Action Priorities
administration/construction Refine the process for including systems operations measures in Systems Operations Directorate
arena. construction/maintenance projects by clarifying input of both and districts
The life-cycle cost implications traffic engineering and other work zone traffic measures into the
of ITS are not well- Agency Project Development Process--consistent with the recent
recognized in the Federal Rule on Work Zone Safety and Mobility.
budgeting process. Explicitly address ITS upgrading and maintenance in long-term
budgeting.
No consistent policy on the role Strategy: High level of formal systems operations coordination among agency, PSAs, and private service
and type of outsourcing providers.
regarding costs and retention
of core capacity. Immediate Action Priority
The roles and relationships Identify issues and options in refined/rescoped approach to out- Operations Division with regions
among the various sourcing TMCs, safety service patrol, and asset management to
outsourcing contractors, meet overall agency technical, staffing, and management objectives
agency, and the PSA regarding staffing levels and core-capacity retention.
community are not clearly
defined. Additional Steps to Advanced Capabilities
Conduct broad comparison across a range of issues--including Systems Operations Directorate
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 Top-level management policy
capacities and liabilities regarding type and extent of in-house
versus outsourced responsibilities.
Dedicated, committed sources Strategy: Identify, develop, and document standardized and integrated programming, budgeting, and
of funding are needed so resource allocation processes.
that districts (regions) can
prioritize and plan. Immediate Action Priorities
Budget allocation process for Establish system operations as a top-level agency budget line item Top-level management policy
SO&M capital, operating, to be treated administratively in a manner equivalent to other major
and maintenance is unclear, budget categories.
hampering development of Develop and standardize transparent and criteria-driven budgeting Top-level management policy
regional SO&M programs. 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 Operations Division based on
combines a rollup of regional plans with statewide special systems regional plans and statewide
needs. These should include mid- and long-term needs-based programs
estimates of resource requirements to upgrade the program to
acceptable service standards.
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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 Systems Operations Directorate
the statewide and regional levels.
Ensure that resource allocation accounts for special legacy Task force to develop standardized
maintenance burden, megaprojects, and issues of donordonee approach
districts.
Develop and standardize process for incorporation of ITS into Task force to develop process
highway projects.
