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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). (continued on next page) 83

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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 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. (continued on next page)

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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 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. (continued on next page)

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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 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.