Preface

1. Process Development and Integration for the Six-Year Program and the Statewide Transportation Improvement PlanProgress SummaryJames H. Lambert <lambert@virginia.edu> (434) 982-2072www.virginia.edu/crmes/stipCenter for Risk Management of Engineering Systems and Department of Systems and Information Engineering University of VirginiaSeptember 10, 2004

2. Preface • SYIP/STIP business process spans many divisions and activities across VDOT • Need to focus and bound SYIP/STIP business process modeling that is supportive of current FHWA-VDOT initiatives • IDEF documentation should provide a basis for action and remedies to current process deficiencies

3. Abstract • The capstone team will develop business process models of Virginia’s highway and transit construction program with the integrated definition (IDEF) standard that is used across diverse applications of systems engineering. The team will interact with agency managers who are involved in process reengineering. The team will test and evaluate commercial software including Process Modeler ™ of Computer Associates, Inc. The effort of the team will have impact to the financial management of over 1500 construction projects and over a billion dollars of annual investment in transportation.

4. Process Modeling Methodology - IDEF3 • Capture description of a process and the network of relations that exists between processes • Record the raw data resulting from fact-finding interviews in systems analysis activities • Document the decision procedures affecting the states and life-cycle of critical shared data, particularly manufacturing, engineering, and maintenance product definition data • Manage data configuration and change control policy definition • Make system design and design trade-off analysis

5. Background – IDEF0 Example

6. Data Needs for IDEF3 • Activities • Objective • Title of responsible department/s • Inputs • Controls - consist of legislation, regulations, and policies related to the system • Mechanisms - refer to the elements that accomplish the actions of the process, such as people, manual or automated tools, established procedures for holding hearings, etc • Outputs • Key decisions • Impacted activities • Estimated duration • Related models/diagrams

7. Background – IDEF3 Example Source: http://www.idef.com/Downloads/pdf/Idef3_fn.pdf

8. Task 1 BPWin* Process Model of SYIP and STIP Development * Software Application of IDEF

9. Discussion of Process Models • Created Several Process Models • Used IDEF3 • Merged into one large process model • Some of activities had sub-activities Above: STIP Process Model Left: IDEF3 Description

10. STIP Development Process – Flow Diagram Source: Development and Financial Constraint of Virginia's STIP (2002). Joint FHWA/FTA/VDOT/VDRPT Process Review

11. STIP Development Process: IDEF Example - Tree Diagram View 1 2

12. STIP Development Process – IDEF Example – Sub-Process View

13. Revenue Forecasts – Flow Diagram Source: Development and Financial Constraint of Virginia's STIP (2002). Joint FHWA/FTA/VDOT/VDRPT Process Review

14. Revenue Forecasts: IDEF Example – IDEF View

15. STIP Development Process Revenue Forecast Highway Maintenance and Operating Fund Transportation Trust Fund/Priority Transportation Fund Planning and Engineering Estimates Drafting of the SYIP Tentative Program Secondary Roads ** Urban Programs ** MPO Process ** **Done by previous capstone group. Cannot find at moment. Other Processes Modeled

16. Task 2Case Study of Public Involvement

17. Mapping the Public Involvement Process • Using the joint process review by FHWA, FTA, VDOT, and VDRPT entitled Development and Financial Constraint of Virginia’s STIP, the processes central to public involvement are identified • November 2002 • Each road system has a differing process of public involvement • Tentative SYP Program • Secondary Roads • Urban Programs • MPO Planning • STIP Development Process

18. STIP Development Process Source: Development and Financial Constraint of Virginia's STIP (2002). Joint FHWA/FTA/VDOT/VDRPT Process Review

19. Tentative Program Source: Development and Financial Constraint of Virginia's STIP (2002). Joint FHWA/FTA/VDOT/VDRPT Process Review

20. Secondary Roads Source: Development and Financial Constraint of Virginia's STIP (2002). Joint FHWA/FTA/VDOT/VDRPT Process Review

21. Urban Programs Source: Development and Financial Constraint of Virginia's STIP (2002). Joint FHWA/FTA/VDOT/VDRPT Process Review

22. MPO Planning Source: Development and Financial Constraint of Virginia's STIP (2002). Joint FHWA/FTA/VDOT/VDRPT Process Review

23. Public Involvement Workbook

24. Public Involvement Toolkit A Public Involvement Toolkit should be implemented for the selection of Public Outreach techniques. Minnesota’s Public Involvement Toolkit VTRC’s Proposed Toolkit Source: VDOT and VTRC 2003 Phase II Report

25. Task 3Case Study of STIP Amendments

26. Tracking of STIP Amendments • Hundreds of amendments are processed each year to revise a current project in the STIP or to add a new project • The amendment process has no documented structure • We developed an IDEF model and associated flowchart to document all activities

27. Amendment Process Workbook

28. Flowchart of Amendment Process

29. Task 4IDEF Placement at VDOT

30. Data Management Division • According to the Data Administration website, under Data Modeling Requirements for COTS Systems there is a requirement for what Business Process Models would be acceptable into the Data Management Division • Business Process Model Business process models (BPM) provide a framework for identifying, defining, and organizing the functional strategies, rules and activities needed to manage and support the way an organization does, or wants to do business. It provides a graphical and textual framework for organizing activities into manageable groupings to facilitate their shared use and control throughout the agency. The BPM is required by PMLG “Redesign Core Business Process 2.5”. • The Computer Associate’s AllFusion program would fulfill these requirements and is an acceptable Business Process Model to be used by the Data Management Division

31. The Concurrent Engineering Process Flowchart to the right shows how the IDEF modeling could be used in the Management Services Division Found in Instruction and Information Memorandum on the fifth page at: http://www.extranet.vdot.state.va.us/locdes/electronic%20pubs/iim/IIM226.pdf Management Services Division

32. Progress since Initiation of Contract • Built hypertext Excel workbook according to IDEF standard • UVa extended the standard to accommodate additional graphical types of data that we are obtaining • Populated the above workbooks with text, timelines, interview transcripts, organizational charts; with initial focus on public involvement and amendment activities

33. Progress since Initiation of Contract (Cont.) • Loaded BPWin software (IDEF) to a UVa workstation, entered sample of data from hypertext spreadsheet • Interviewed Ben Mannell in Richmond, obtained STIP timeline and his description of activities • Interviewed Rob Walters at Biotech Center, obtained his description of certain activities • Interviewed Gene Wells in Richmond, obtained his description of the STIP amendment process • Attended Ben Mannell’s training session for VDOT employees and MPO staff, morning and afternoon sessions

34. Progress since Initiation of Contract (Cont.) • Made phone interview with Utah DOT staff who developed process model of interaction with MPO’s on their STIP, learned that they benefited from negotiated agreement of what activities would be performed by whom and by what calendar dates • In related activity, met with Chad Tucker (VDOT staff) et al. in Charlottesville regarding prioritization system for state highway plan • Interviewed Craig Ahlin, obtained his description of different controls on STIP amendments

35. Progress since Initiation of Contract (Cont.) • Made phone interview with Deborah Grant. Discussed the FMIS system and project approval. • Deborah Grant sent templates for the narratives of the STIP process and forms for the FMIS system, which have been posted to our website. • Conducted interview with Donald Silies, Administrator for the Scheduling and Contract Division with respect to the Advertisement Schedule. • Presented project at SIEDS Conference on April 16, 04 • Interviewed Jennifer DeBruhl in Richmond, obtained her experience with the November 2002 document • Jennifer DeBruhl sent the Financial Planning and Programming Sections from the National Highway Institute/National Transit Institute class

36. Progress since Initiation of Contract (Cont.) • Interviewed Ahmet Anday and Amy Costello in Richmond, obtained their description of the STIP Environmental Process • Amy Costello sent the VDOT Project Level Air Quality Study Program and the VDOT Transportation/Air Quality Conformity Process • Amy Costello also mailed the Richmond, Virginia Ozone Maintenance Area Transportation Conformity Analysis • Interviewed Michael Hester, obtained his description of the STIP Environmental Process • Michael Hester sent the Transportation & Mobility Planning Division STIP schedule as of June 1, 2004 • Meet with John Nahm, Dick Jones, Ellett Pollard, and Rob Walters at BioTech in Richmond, VA to discuss the project to date and its relevance to BioTech’s work.

37. Progress since Initiation of Contract (Cont.) • Interviewed Frank Dunn via phone on Project Development • Dick Jones emailed Data Modeling Requirements for COTS Systems • Interviewed Dick Jones via phone on how to navigate the Data Administration's website • Interviewed Bill Pulkowski via phone on document tracking systems used by SCC that might be useful for VDOT • Created a draft of the final report

38. Ongoing Future Efforts • Develop recommendations to improve the current modeled processes • Continue data collection for IDEF model • Model more of the STIP/SYIP processes • Integrate IDEF model with data models of IT Division

39. Project Website (www.virginia.edu/crmes/stip) Source: www.virginia.edu/crmes/stip

40. Process Development and Integration for the Six-Year Program and the Statewide Transportation Improvement ProgramMaterials Updated Final Report for this Project (9-07-04) - RKJ DRAFT of the Final Report for this Project (7-14-04) - RKJ *Updated 9-03-04 AllFusion Program Screenshots (9-02-04) - RKJ DCC Work Flow Diagram sent by Bill Pulkowski (9-01-04) - RKJ Bill Pulkowski Phone Interview and email from SCC (9-01-04) - RKJ Concurrent Engineering Process Flowchart for Capstone Team to turn into IDEF (8-30-04) - RKJOriginal Document Data Modeling Requirements for COTS Systems (8-30-04) - RKJ Project Development Chart created from Dick Jones 8/13 Interview (8-27-04) - RKJ Dick Jones Phone Interview (8-23-04) - RKJ Action Items to do after Monday August 23rd (8-13-04) - RKJ Dick Jones Email, Data Modeling Requirements for COTS Systems (8-13-04) - RKJ Amy Costello Email, Project Life Cycle, Links (8-13-04) - RKJ Frank Dunn Interview on Project Development (8-13-04) - RKJ Progress Since Initiation of Contract (8-12-04) - RKJ Action Items from July 21st Meeting with BioTech (7-26-04) - RKJ Progress Report presented to BioTech (7-23-04) - RKJ Notes from meeting with BioTech (7-22-04) - RKJ *Updated 7-27-04

41. Process Development and Integration for the Six-Year Program and the Statewide Transportation Improvement ProgramMaterials (Cont.) Transportation & Mobility Planning Division STIP schedule as of June 1, 2004 (Draft) (6-28-04) - RKJ STIP Development Process in AllFusion Program (6-24-04) - RKJ *Need CA AllFusion Program to open document Ahmet Anday and Amy Costello Interview (6-23-04) - RKJ IDEF Worksheet Questions asked during Interviews (6-14-04) - RKJ Financial Planning Section from the National Highway Institute/National Transit Institute class taught by Jennifer DeBruhl (6-11-04) - RKJ Programming Section from the National Highway Institute/National Transit Institute class taught by Jennifer DeBruhl (6-11-04) - RKJ Jennifer DeBruhl Interview (6-09-04) - RKJ IDEF Worksheet Update - Compilation of Previous Worksheets (6-04-04) - RKJ *Updated 6-25-04 Success with CA AllFusion- Document describing SRAs success with the AllFusion Program (6-03-04) - RKJ Example of AllFusion Project - Created by Voluntary Interindustry Commerce Standards (6-03-04) - RKJ Information on AllFusion Process Modeler - (6-03-04) - RKJ IDEF Worksheet Update - Construction Process - RTS - 5/6/04 Craig Ahlin Interview (05-06-04) Progress Report Presentation - April 27th meeting (4-27-04) SIEDS 2003 - Conference Presentation (4-16-04)

42. Process Development and Integration for the Six-Year Program and the Statewide Transportation Improvement ProgramMaterials (Cont.) Notes from Deborah Grant Interview - 4/14/04 - ELI Deborah Grant Interview - Federal Aid FMIS (4-13-04) - ELI Deborah Grant Interview - Right of Way Template (4-13-04) - ELI Deborah Grant Interview - Preliminary Engineering Estimate Template (4-13-04) - ELI Deborah Grant Interview - Team District Assignments (4-13-04) - ELI Deborah Grant Interview - Blank Construction FMIS Document - (4-13-04) - ELI Deborah Grant Interview - Blank PE-1 Template - (4-13-04) - ELI Deborah Grant Interview - Blank RW-201 Template - (4/13/04) - ELI SIEDS 2004 - Conference Poster (4-12-04) SIEDS 2004 - Conference Paper (4-12-04) Notes from March 24th meeting with VDOT (4-4-04) Progress Report Presentation - March 24th meeting (3-24-04) Vision for Integrated STIP - Charlie Rasnick Email Transcript (03-19-04) Supplementary Emails Explaining the Vision for an Integrated STIP (03-19-04) Progress Report, University of Virginia (02-24-04) IDEF Worksheet - STIP Process (02-23-04) IDEF Worksheet - STIP Process (03-04-04) IDEF Worksheet - Amendment Process (02-24-04) IDEF Worksheet - Amendment Process (03-09-04)

43. Process Development and Integration for the Six-Year Program and the Statewide Transportation Improvement ProgramMaterials (Cont.) Progress Report, University of Virginia (01-23-04) Progress Report, University of Virginia (11-19-03) Revised STIP Proposal (11-18-03) Materials from Joint FHWA,VTRC and VDOT meeting (11-17-03) STIP Procedures Memorandum of Agreement  Evaluation of Public Participation in Virginia, Review by FHWA, 2002 Public Involvement Techniques for Transportation Decision-making-1996 (FHWA site) Assessment of VDOT's Public Involvement Practices -- Final Report, June 2003 Materials from STIP Committee Meeting (10-21-03) STIP-04 TimeLine FY04-06 STIP FY04-09 SYIP Meeting with Mr. Murali Rao (Current STIP Poster, Current STIP Sub-Processes, Recommended STIP ) (10-15-2003) Culpeper Public Hearing Meeting (10-09-2003) Six Year Program - Report on Development, Monitoring, Implementation and Best Practices (10-07-2003) STIP - Massachusetts (10-06-2003) Lynchburg Public Hearing Meeting (09-30-2003) Presentation by James H. Lambert (09-15-2003) Changes In Work Plan (07-07-2003)

44. Process Development and Integration for the Six-Year Program and the Statewide Transportation Improvement ProgramMaterials (Cont.) VDOT Home VDOT Organization Chart Projects and Plans Public Hearings Meetings and Events Fall 2003 Hearing Schedule SYIP SYIP Public Hearings Powerpoint SYIP 2004-2009 Report SYIP Update Public Hearings Fall 2003 Information Projects in the SYIP STIP Citizen's Guide STIP Amendment Process Draft Letters (provided by Gene Wells 03-03-04) 123 CAPSTONE Team Readings STIP FY-05 Timeline STIP and TIP Development Process, Utah DOT - Coordination with MPO, UTA, FHWA and UDOT, September 2001 AllFusion Process Getting Started Guide AllFusion Process Modeler Methods Guide FAQ on TIP Development and Financial Constraint of Virginia's STIP - Joint FHWA/FTA/VDOT/VDRPT Process Review, November 2002

45. Interviews Conducted since Initiation of Contract • Interviewed Ben Mannell in Richmond, obtained STIP timeline and his description of activities • Interviewed Rob Walters at Biotech Center, obtained his description of certain activities • Interviewed Gene Wells in Richmond, obtained his description of the STIP amendment process • Attended Ben Mannell’s training session for VDOT employees and MPO staff, morning and afternoon sessions • Made phone interview with Utah DOT staff who developed process model of interaction with MPO’s on their STIP, learned that they benefited from negotiated agreement of what activities would be performed by whom and by what calendar dates • In related activity, met with Chad Tucker (VDOT staff) et al. in Charlottesville regarding prioritization system for state highway plan • Interviewed Craig Ahlin, obtained his description of different controls on STIP amendments • Made phone interview with Deborah Grant. Discussed the FMIS system and project approval.

46. Interviews Conducted since Initiation of Contract (Cont.) • Conducted interview with Donald Silies, Administrator for the Scheduling and Contract Division with respect to the Advertisement Schedule. • Interviewed Jennifer DeBruhl in Richmond, obtained her experience with the November 2002 document • Interviewed Ahmet Anday and Amy Costello in Richmond, obtained their description of the STIP Environmental Process • Interviewed Michael Hester, obtained his description of the STIP Environmental Process • Meet with John Nahm, Dick Jones, Ellett Pollard, and Rob Walters at BioTech in Richmond, VA to discuss the project to date and its relevance to BioTech’s work. • Interviewed Frank Dunn via phone on Project Development • Interviewed Dick Jones via phone on how to navigate the Data Administration's website • Interviewed Bill Pulkowski via phone on document tracking systems used by SCC that might be useful for VDOT

47. IDEF Worksheet Questions Webpage www.virginia.edu/crmes/stip/IDEFform.htm

48. IDEF Worksheet Questions Coding <HTML> <HEAD> <TITLE>IDEF Worksheet Questions</TITLE> </HEAD> <BODY> <H1>IDEF Worksheet Questions</H1> <BASE HREF="http://www.virginia.edu/crmes/stip/"> <p>The purpose of this document is to describe what parameters we need from you about each of your activities <br> and/or roles that go into the STIP/SYIP integration. Please <br> complete one of these forms for each of your activites and/or roles.</p> <p>Each row on the worksheet represents a new IDEF0 (Integrated Definition for Function Modeling) activity. <br> IDEF0 is the technique that breaks down the activities or functions of the organization or system into its <br> component parts. It is a graphical language that assists in identifying the functions that are performed, the <br> various elements needed to perform those functions, and what is efficient and inefficient about the system <br> under study. (i.e. What are the roles you have in generating the STIP?) <br>

49. IDEF Worksheet Questions Coding (Cont.) For more information on IDEF please go to <a href="http://www.idef.org">www.idef.org</a></p> <p><img src="idef.gif" width="351" height="176"> <br> <strong><font size="2">Figure 1: IDEF0 Description - Description of IDEF0 Format of Mapping</font></strong></p> <p>The columns contain the IDEF0 standards as well as supplementary material. <br> <hr width="600" align="left"><FORM action="http://www.virginia.edu/crmes/stip/cgi-bin/uploadform.pl" METHOD="post" enctype="multipart/form-data"> <P> <b>Your name:</b> <font size="1">First</font> <INPUT TYPE="text" NAME="firstname" > <font size="1" face="Times New Roman, Times, serif">Last</font> <input type="text" name="lastname"> </P> <P> <b>Your email address:</b> <INPUT TYPE="text" NAME="from" > </P> <P> <b>Title of your position:</b> <INPUT TYPE="text" NAME="position" > </P> <P> <b>Field 1: Name of Activity</b> <br><font size ="2">Name or title for activity or function.</font> <br> <INPUT TYPE="text" NAME="activity"></p>

50. IDEF Worksheet Questions Coding (Cont.) <P><b>Field 2: Inputs</b> <br> <font size="2">Something consumed or modified in the process. (i.e. schedules, costs, drafts)</font> <br> <TEXTAREA NAME="inputs" WRAP="physical" ROWS=5 COLS=70></TEXTAREA> <br> <br> <b>Field 3: Controls</b> <br> <font size="2">A constraint on the operation of the process. Represents the objects that govern the manner <br> in which inputs are transformed yet are not themselves transformed by the activity. Consists <br> of legislation, regulations, and policies related to the system. (i.e. codes, restrictions)</font> <br> <TEXTAREA NAME="controls" WRAP="physical" ROWS=5 COLS=70></TEXTAREA> <br> <br> <b>Field 4: Mechanisms</b> <br> <font size="2">Something used to perform the process, but is not itself consumed. The elements that accomplish <br> the actions of the process, such as people, manual or automated tools, established procedures for <br> holding hearings, etc. (i.e. software applications, email exchange, etc.)</font> <br> <TEXTAREA NAME="mechanisms" WRAP="physical" ROWS=5 COLS=70></TEXTAREA> <br> <br> <b>Field 5: Outputs</b> <br> <font size="2">Something resulting from the process. Shows what an activity produces or creates.</font> <br>