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Systems Operations as a Program: The Process & Institutional Dimensions. Steve Lockwood Parsons Brinckerhoff. “ The future has already arrived. It’s just not very evenly distributed ” William Gibson in Cyberpunk. What This Discussion Is Really About. Highway service deteriorating

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systems operations as a program the process institutional dimensions

Systems Operationsas a Program:The Process & Institutional Dimensions

Steve Lockwood

Parsons Brinckerhoff

slide2
“The future has already arrived.

It’s just not very evenly distributed”

William Gibson in Cyberpunk

Session VII: Systems Operations Institutional Dimensions

what this discussion is really about
What This Discussion Is Really About
  • Highway service deteriorating
  • In the next 10-15, years any widespread improvement in LOS will result from SO&M (not much new capacity)
  • Significant improvements in mobility, reliability, safety can be derived from maximizing the service from the existing network.
  • Several states have been establishing the SOP benchmarks!!
  • But many DOT SO&M activities appear to haves ubstantially plateaued well short of potential. SO&M potential remains largely untapped.
  • The problem is not lack of knowledge or technology: but lack of commitment to a systems operations mission, processes, and institutional arrangments

Session VII: Systems Operations Institutional Dimensions

learning objectives
Learning Objectives
  • Reconfirming Presumed Role of systems Owner/Operators (SDOTs) regarding Mobility
  • Understanding of Process and Institutional Weakness as barriers/opportunities for effectiveness
  • Understanding of Strategies for Change (process and institutional)towards a more effective operations

Session VII: Systems Operations Institutional Dimensions

topics messages covered
Topics (Messages!!) Covered
  • Driving forces for Change
  • Current System status
  • The unacknowledged leverage of systems operations
  • Relevance of systems operations and management
  • The Challenge/Dimensions of Change: Processes and Institutional
  • Operations Capability Maturity
  • Future Vision: The 21st Century Transportation Agency

Session VII: Systems Operations Institutional Dimensions

problems in my region self evaluation
PROBLEMS IN MY REGIONSELF-EVALUATION
  • A quick self-evaluation to see if any of the agencies represented can benefit from improved process and institutional arrangments
  • Depending on the outcome, we may be able to adjourn by lunch!!

Session VII: Systems Operations Institutional Dimensions

slide7
PROBLEMS IN MY REGION

SELF-EVALUATION

Session VII: Systems Operations Institutional Dimensions

what do you mean institutional
What do you mean “Institutional”?
  • Technology commodified -- However:
    • Policy commitment vague
    • Rarely a Core Program (part of other programs)
    • Business processes nonstandard, undocumented
    • Responsibility fragmented among units
    • Limited central accountability for performance
    • Informal relationship with other players (PSAs)
    • Unclear budgetary & staffing priority
    • Loose relationships with private providers
    • (We call these “institutional” issues)

Session VII: Systems Operations Institutional Dimensions

is there a problem what about performance
Is there a problem?What about Performance?
  • Customer Mobility (isn't that our business?) – Impact of SO&M
  • Performance Features
    • Traditional: Improved Capacity, Speed, Safety
    • Now: Maintenance of capacity, reliability (delay, disruption, congestion)
  • Continuous Improvement of Performance drives all relevant SO&M changes

Session VII: Systems Operations Institutional Dimensions

slide12
The Congestion Challenge

Session VII: Systems Operations Institutional Dimensions

slide13
Congestion

Congestion

…indicates...

…indicates...

Higher vehicle

Higher vehicle

Lower

Lower

speeds

speeds

densities

densities

…which leads to...

…which leads to...

…which leads to...

…which leads to...

More opportunities

More opportunities

Less severe

Less severe

For conflicts

for vehicle

-

-

vehicle

crashes

crashes

conflicts

…which causes...

…which causes...

Unexpected queues

Unexpected queues

Rubbernecking

Rubbernecking

Emergency

Emergency Maneuvers

vehicle maneuvers

…which produce...

…which produce...

…increased congestion...

Secondary

Secondary

crashes

crashes

Driving Forces:

Causes of Performance Loss

Session VII: Systems Operations Institutional Dimensions

driving forces loss of mobility
Driving Forces: Loss of Mobility

Non-recurring congestion

Session VII: Systems Operations Institutional Dimensions

driving forces causes for contexts your bosses should know this
Driving forces: Causes for Contexts(your bosses should know this)

Session VII: Systems Operations Institutional Dimensions

impact of best practice strategies
Impact of Best Practice Strategies -  

16

Session VII: Systems Operations Institutional Dimensions

loss of performance recapture capacity your bosses should know this
Loss of Performance:“Recapture Capacity”(your bosses should know this)

Capacity

Increases

Systems

Management

Session VII: Systems Operations Institutional Dimensions

tough questions
Tough Questions
  • Are the above indications arguable? Are they meaningful?
  • How well does senior SDOT management understand the causes of congestion?

Session VII: Systems Operations Institutional Dimensions

congestion strategy leverage
Recurring

Signalization

Ramp metering

Geometrics

Freeway Operations

Traveler Info

Non-Recurring

Incident management

Road weather management

Work zone traffic management

Special events management

Active Traffic Management

Congestion Strategy Leverage

Session VII: Systems Operations Institutional Dimensions

leverage effective so m
Leverage: Effective SO&M
  • “Effectiveness” related to measurable outcomes in terms of improvements in delay, disruption, safety
  • Capabilities needed go beyond knowing strategies and ITS -- to Processes and Institutional preconditions for effectiveness
  • How can they be put into place?

Session VII: Systems Operations Institutional Dimensions

slide21
Quiz
  • What SO&M strategy has the greatest potential impact on reducing delay?

Session VII: Systems Operations Institutional Dimensions

leverage gap between best and average practice
Leverage: Gap Between Best and Average Practice?

Session VII: Systems Operations Institutional Dimensions

competition with so m
Competition with SO&M???
  • What is the competition for improving service to system users
  • Will there be a major increase in rate of capacity expansion
  • In how many states is metro population and VMT growth exceeding new capacity
  • Does anyone are your DOT every talk about this?

Session VII: Systems Operations Institutional Dimensions

slide24
Message C: StatusSO&M Deployment Rate

55% in 2010

50%

44% in2010

Optimistic Projection

40%

Pessimistic Projection

30%

22% in ‘2000

20%

Installed

16% in ‘97

10%

6% in ‘90

1995

2000

2005

2010

1990

Year

Session VII: Systems Operations Institutional Dimensions

we have a general idea of state of play state by state
We have a general idea of state of play – state by state
  • Deployment
  • Range of strategies employed
  • Self-evaluation
  • Participation in federally supported initiatives
  • Level of performance measurement
  • General institutional arrangements
  • Current studies (SHRP2, NCHRP, AASHTO SO&M)

Session VII: Systems Operations Institutional Dimensions

is the glass half full or half empty
Is the Glass Half-full or Half empty??
  • Several states have made significant process in developing comprehensive programs – and have some state of the practice applications
  • Several states are working in that directions
  • Several states don’t feel the need to take a comprehensive approach
  • We can learn from each other

Session VII: Systems Operations Institutional Dimensions

slide27
Example stats

Session VII: Systems Operations Institutional Dimensions

slide28
Status:State of Play in State DOTs

Session VII: Systems Operations Institutional Dimensions

the right questions
The right questions
  • How is your DOT doing?
  • You should know where your states stands vis a vis your peers – and the state of the practice

(this is the definition of a professional)

Session VII: Systems Operations Institutional Dimensions

message d relevance we need to tell the story so m can make a real difference
Message D: RelevanceWe need to Tell the Story: SO&M Can Make a Real Difference

What transportation agencies (should) do?:

  • We are a just-in-time society, accustomed to service and accountability – even in Mobility
  • In most urban contexts very limited improvements from capacity are being made
  • Congestion management – as a major program -- is therefore essential to (at least) maintain level of service
  • Otherwise DOTs become increasingly irrelevant

Session VII: Systems Operations Institutional Dimensions

operational performance
Operational Performance

Session VII: Systems Operations Institutional Dimensions

reliability research the importance of institutional arrangements
Reliability Research: The Importance of Institutional Arrangements

SO&M Program Performance

A needs-responsive, performance-driven, comprehensive cost-effective statewide SO&M program

Program

A needs-responsive, performance-driven, comprehensive C/E statewide SO&M program

Program

A needs-responsive, performance-driven, comprehensive C/E statewide SO&M program

Necessary Processes

The business processes and systems required to facilitate program qualities above

Processes

The business processes and systems required to facilitate program qualities above

Processes

The business processes and systems required to facilitate program qualities above

Institutions

The values, capabilities and arrangements and resources required to support and sustain of the required business process

Institutions

The values, capabilities and arrangements and resources required to support and sustain of the required business process

Supportive Institutional Arrangements

The values, capabilities and arrangements and resources required to support and sustain of the required business process

32

Session VII: Systems Operations Institutional Dimensions

the basic elements of improved so m
The Basic Elements of Improved SO&M

Program

A needs-responsive, performance-driven, comprehensive C/E statewide SO&M program

Processes

The business processes and systems required to facilitate program qualities above

Institutions

The values, capabilities and arrangements and resources required to support and sustain of the required business process

Session VII: Systems Operations Institutional Dimensions

introduction
Introduction

Performance Management of the existing highway system is central to maintaining mobility

Research indicates that performance is directly related to the “maturity” of key processes and institutional arrangments

Key actions are required from senior management

The SHRP2 L06 project developed a stepwise model of strategies to make the essential changes

34

Session VII: Systems Operations Institutional Dimensions

point of departure
Point of Departure

Highway congestion is increasing but conventional capacity solutions are constrained

Managing performance of the existing system to its maximum effectiveness is imperative to maintain mobility

Recurring congestion is well understood, but greater commitment is needed to managing the other half of congestion related to delay/disruption from crashes and breakdowns, bad weather, & construction

Managing this “non-recurring congestion” must capitalize on the full potential of NRC strategies

SHRP2 research indicates the performance management requires a distinct agency commitment, organization and staffing adjustments, sustainable resources and improved partnerships

This research project developed a guide for systems operations performance management

35

Session VII: Systems Operations Institutional Dimensions

loss of performance recapture capacity
Loss of Performance: Recapture Capacity”

Capacity

Increases

Systems

Management

36

Session VII: Systems Operations Institutional Dimensions

relevance program process institutional
Relevance: Program/Process/Institutional
  • Program
    • We known the conventional strategies
      • Are there deployment warrants (problem, function, geography, network
      • Aggressiveness of Application (compared to S.O.P)
      • Comprehensive/consistent
    • DOTs can now focus on programs, not just projects

Session VII: Systems Operations Institutional Dimensions

relevance technical process challenge program level
Relevance: Technical Process Challenge (program level)
  • Getting SO&M on an institutionalized sustainable path to improvement
    • Scope: Full range/core program
    • Business Processes: Effective implementation, integration, documentation
    • Systems and Technology: Interoperable/standardized/cost effective
    • Performance: Measured, utilized, reported

Session VII: Systems Operations Institutional Dimensions

relevance supporting institutional challenge program level
Relevance : Supporting Institutional Challenge (program level)
  • Developing arrangements that support the needed technical processes
    • Culture: Understanding/committing to mobility
    • Organization/Staffing: aligned, professionalized
    • Resource Allocation: criteria-based, sustainable
    • Partnerships: Aligned, Consolidated

Session VII: Systems Operations Institutional Dimensions

intro to items 1 8 to follow
Intro to Items 1-8 to follow
  • (We already know a lot about strategy applications)
  • Following slides characterize key process and institutional dimensions essential for an effective program
  • Then, the question is: what is the definition of improved processes? And what does it take to get there, insitutionally

Session VII: Systems Operations Institutional Dimensions

scope implications of mainstreaming
Scope:(Implications of “Mainstreaming”)
  • More like the other programs re
      • Statewide & Comprehensive
      • Needs driven
      • Geography
      • Problems
      • Network
      • Standardized, sustainable, aligned
  • Effectiveness related to measurable outcomes in terms of improvements in delay, disruption, safety

Session VII: Systems Operations Institutional Dimensions

so what s different about so m
So What’s Different About SO&M?
  • Reactive to unpredictable events 24X7 .
  • corridor scale or network level.
  • teamwork and communications-intensive.
  • Involving uncontrolled “outsiders”
  • Requires situational awareness.
  • Communicating with users in real time
  • Mix of systems headquarters, TMC, and field activities.
  • Dynamic high technology and systems engineering.
  • Effectiveness judged only through performance oucomes
  • Processes for low cost and short development cycles.
  • Many activities can be outsourced .

Session VII: Systems Operations Institutional Dimensions

process preconditions to realize so m strategies
Process Preconditions to Realize SO&M Strategies

Session VII: Systems Operations Institutional Dimensions

3 systems and technology
3. Systems and Technology
  • Technology Selection
  • Qualitative/quantitative
  • Warranted applications consistency
  • Platform Standardization
  • Incremental Improvements (bite size)

Session VII: Systems Operations Institutional Dimensions

beyond its balancing procedures with systems
Beyond ITS: Balancing Procedures with Systems

Session VII: Systems Operations Institutional Dimensions

4 performance
4. Performance
  • You have heard a lot about this.
  • Key issues for capability maturity:
    • Output Measures
    • Implementation feasibility (data, devices)
    • Utilization: feedback and tailoring for continuous improvment
    • Reporting and Accountability

Session VII: Systems Operations Institutional Dimensions

dashboarding systems operations outputs or outcomes
Dashboarding Systems Operations (outputs or outcomes?)

Session VII: Systems Operations Institutional Dimensions

5 culture and leadership
5. Culture and Leadership
  • What is “culture”? (sounds like academic jargon)
  • Think about shared engineering culture (mission, values/presumptions, training, standards, conventions, career style, public expectations)
  • Who are the external stakeholders in capacity development vs. Operations?

Session VII: Systems Operations Institutional Dimensions

what are the characteristics of an operations culture quiz
What are the characteristics of an operations culture? QUIZ

Session VII: Systems Operations Institutional Dimensions

what are the characteristics of an operations culture quiz1
What are the characteristics of an operations culture? QUIZ
  • What about:
    • Explicit focus on mobility
    • Developing public understanding
    • Orientation of Leaders
    • Acceptance by rest of agency
    • Incentives for change
    • Laws, regulations to support effectiveness
    • A core program

Session VII: Systems Operations Institutional Dimensions

legacy stakeholders their values
Legacy Stakeholders (their values)
  • Facility mission perspective (in law)
  • System development stakeholders
  • Industry, developers, unions
  • Organization around capital projects (design, construct, maintain)
  • Focus on on-time/on-budget delivery

Session VII: Systems Operations Institutional Dimensions

external authorizing environment laws and procedures
“External Authorizing Environment (Laws and Procedures)

Session VII: Systems Operations Institutional Dimensions

6 organization and staffing institutions fragmented at two levels
6. Organization and Staffing:Institutions Fragmented at two levels
  • Operational responsibility is fragmented at two levels -- internal (DOTs) and external (partners)
  • Shared responsibilities for roadways
    • Standard setting for safe operations
    • Provision and maintenance of facilities
    • Law enforcement
    • Emergency response
    • Operational performance support

Session VII: Systems Operations Institutional Dimensions

remember our learning objectives
Remember our Learning Objectives
  • Reconfirming Presumed Role of systems Owner/Operators (SDOTs) regarding Mobility
  • Understanding of Process and Institutional Weakness as barriers/opportunities for effectiveness
  • Understanding of Strategies for Change towards a more effective operations

Session VII: Systems Operations Institutional Dimensions

internal legacy organizational scale state dot structure
Internal Legacy: (Organizational Scale) State DOT Structure
  • Organization (“standard” model?)
    • Decentralized (now)
    • Hierarchical
    • Central office functions
  • Traditional divisions:
    • Planning
    • design/construction
    • Maintenance
    • “Operations” (not system)

Session VII: Systems Operations Institutional Dimensions

internal legacy organizational scale can you find systems operations
Internal Legacy: (Organizational Scale) Can you find systems operations?

Session VII: Systems Operations Institutional Dimensions

slide58
Operations and Management as a “Core” Program

Maintenance

CHART Organization &

Work Flow Diagram

Districts

3,4,5,7

MSP

CHART BOARD

Deputy Administrator &

Chief Engineer for

Operations

Chair

Traffic

Information

Technology

Other MDOT

ITS Programs

MdTA

Director

Office of CHART &

ITS Development

Operations

Team

Integration

Team

ITS Development

Team

Administrative

Team

Traffic Operations

Division

Traffic Engineering

Design Division

TOD &

Office of

Maintenance

Session VII: Systems Operations Institutional Dimensions

outsourcing staff functions
Outsourcing staff functions
  • Factors
    • Staffing challenge (ex: TMCs, FSP)
    • Capabilities --Maintenance services (ITS infrastructure)
    • Possession of technology: Map Data, 511, traveler info services
    • Position in market: In-vehicle services
    • Other reasons??

Session VII: Systems Operations Institutional Dimensions

7 resources
7. Resources
  • To what degree is funding a constraint
    • Are you spending well all you have?
    • Do improvements in performance relate to capital?
    • Is there a criteria basis for budget (like asset management)?
    • Is the funding sustainable, predictable?

Session VII: Systems Operations Institutional Dimensions

quiz resources
QUIZ: Resources
  • How much is your state spending on all ITS, Freeway Ops, FSP, TMC Incident Management – per year?
  • How many of you are having staffing problems?

Session VII: Systems Operations Institutional Dimensions

slide62
Example Line Item Budget

(CHART ’07)

Session VII: Systems Operations Institutional Dimensions

8 partnerships who why
8. Partnerships (who?, why?)
  • Who is in charge of “service” in customer terms
  • What are the priorities of the players?
  • Can law enforcement and life safety be less traffic disruptive?

Session VII: Systems Operations Institutional Dimensions

slide64
Differences in Orientation Among Organizations

Session VII: Systems Operations Institutional Dimensions

how are are improvements in operations limited by partner s traditional roles quiz
How are are improvements in Operations limited by partner’s traditional roles (quiz)
  • Differing Priorities
  • Time to respond and act
  • Geographic coverage
  • Integration across networks
  • Jurisdictional fragmentation
  • Differing Technologies
  • Capability and Funding levels

Session VII: Systems Operations Institutional Dimensions

types of partnerships
Types of “Partnerships”

Session VII: Systems Operations Institutional Dimensions

message f operations capability maturity technical process and institutional arrangements
Message F: Operations Capability maturity -- Technical Process and Institutional Arrangements
  • We need to move beyond the ad hoc stage to realize effectiveness
  • Deliberate change management strategies are required
  • Must deal with Technical Processes and Institutional Arrangements

Session VII: Systems Operations Institutional Dimensions

transportation service public agencies
Dimensions of Change

(From a Product Entity to a Service Entity

Transportation Service Public Agencies

(Time out for a broader perspective)

Customer Service in Free Enterprise Society

  • ????-driven (who’s the customer?)
  • customer service based on ????
  • ????? suppliers/???? spurs better service
  • ???? rewards for success, innovation
  • Service is sales driven
  • Price/service (performance)
  • Competition spurs better service
  • Tangible rewards for success, innovation

VS.

Session VII: Systems Operations Institutional Dimensions

features of an operations capability maturity model
Features of an Operations Capability Maturity Model
  • Continuous improvement (effectiveness) requires replicable, consistent processes and a supportive institutional structure
  • There are critical dimensions that can’t be skipped
  • For sustainable change “institutionalization” is essential (documentation and training)
  • Performance Levels are incremental combinations of processes and measurement
  • Each level builds on organizational readiness of previous.

Session VII: Systems Operations Institutional Dimensions

relevance technical process challenge
Relevance: Technical Process Challenge
  • Getting SO&M on an institutionalized sustainable path to improvement
    • Scope: Full range/core program
    • Business Processes: Effective implementation, integration, documentation
    • Systems and Technology: Interoperable/standardized/cost effective
    • Performance: Measured, utilized, reported

Session VII: Systems Operations Institutional Dimensions

relevance supporting institutional challenge
Relevance : Supporting Institutional Challenge
  • Developing arrangements that support the needed technical processes
    • Culture: Understanding/committing to mobility
    • Organization/Staffing: aligned, professionalized
    • Resource Allocation: criteria-based, sustainable
    • Partnerships: Aligned, Consolidated

Session VII: Systems Operations Institutional Dimensions

the potential of operations capability maturity model
The Potential of Operations Capability Maturity Model
  • Shared vision of best practice
  • A common analytical language
  • Vertical and horizontal management relationships
  • Formalized, transparent (self) appraisal process
  • Suits any type of organization by size, problems,
  • Framework to prioritize change management tactics
  • Basis for benchmarking across organizations

Session VII: Systems Operations Institutional Dimensions

discussion
Discussion

Session VII: Systems Operations Institutional Dimensions

institutional guidance alternative paths for consideration
Institutional Guidance: Alternative Paths for Consideration
  • Internal incremental change -- regarding those architectural dimensions under the span of control of top management
  • Major Reorganization with internal change in priorities and related (may require outside political support
  • Capitalizing on a major eventto make permanent changes (special event, major disruption, natural disaster)
  • Consolidation of functions among public agencies in the form of a new operating entity

Session VII: Systems Operations Institutional Dimensions

message g vision ambitious long term opportunities
Message G: VisionAmbitious Long-Term Opportunities
  • SO&M is entering a new era…
  • New range of functions:
    • manage congestion
    • allocate capacity
    • provide new services
  • Highway transportation will be transformed in the long run

Session VII: Systems Operations Institutional Dimensions

vision services anticipated future leverage
VISION

1. Highway service reliable

2. At any V/C, less delay

3. Good travel information

4. Premium services available

5. Crashes reduced

6. Erratic behavior suppressed

7. Traveler assurance services

8. Special Truck facilities

ACHIEVED BY

All-Incident management

ATM: Control of flow, speed, lane use

Probe-based real time information

Separate, priced, speed limit service

V2V crash avoidance

Automated enforcement

In-vehicle navigation, Concierge

Automated regulatory Enforcement

Vision: ServicesAnticipated Future Leverage

Bottom Line: SO&M is just getting Started

Session VII: Systems Operations Institutional Dimensions

meanwhile as committed secret agents of the future guerilla tactics for change
Meanwhile(as committed secret agents of the future):Guerilla Tactics for Change
  • Insist on technical truth regarding service to customers
  • Expertise is the scarce resource: Start training staff now
  • Establish conops with all partners – otherwise ………..
  • Get planners’ buy-in – they will support
  • Technology should not get ahead of procedures and protocols
  • Capitalize on cross-program synergies
  • Work with geography
  • $$$$ is not the problem, sustainable $ is
  • Push for innovation – generate sizzle
  • Be ready for – and capitalize on – external events!!

Session VII: Systems Operations Institutional Dimensions

remember our learning objectives1
Remember: Our Learning Objectives
  • Understanding of the Role of Systems Operations and Management within the Transportation system
  • Understanding of Institutional Issues and their leverage on Operations
  • Understanding of Strategies for Change towards a more operations oriented institutional context

Session VII: Systems Operations Institutional Dimensions

institutional capabilities
Institutional Capabilities
  • Is there a recipe? Yes, Finally there is:
    • Preconditions to program effectiveness & continuous progress
    • Lessons from Asset Management & from other sectors (esp. IT)
  • The Capability Maturity Model
    • Adaptation to SO&M strategies
    • Adaptation to SO&M Program

Session VII: Systems Operations Institutional Dimensions

relevance how to close the gap between best and average practice
Relevance: How to Close the Gap between “Best” and “Average “ Practice?
  • Changes in processes and organization/institutions will move the SO&M “program” in the direction of improved effectiveness and efficiency
    • Changes may be proactive, deliberate and incremental
    • Changes may be (often are) in response to major events that focus on SO&M

Session VII: Systems Operations Institutional Dimensions

mainstreaming a management system no mystery sdots have done it before
The Asset Management Process:

Asset inventory

Condition assessment with a life-cycle orientation

Investment analysis with predictive models

Planning, programming, and budgeting

Program implementation

Performance objectives and performance monitoring

Mainstreaming a Management System:No Mystery -- SDOTs have done it before

Session VII: Systems Operations Institutional Dimensions

statewide systems operations program ssop development
State of Play

Next Level of Capability

Best Practice Target

Statewide Systems Operations Program (SSOP) Development

Approach

  • Capability Maturity Model (CMM) is used to establish a system for Continuous Improvement (CI)

and

  • a Strategy to reach next levels of Capability and Recommend Immediate
  • Actions for improving Operations system-wide

Session VII: Systems Operations Institutional Dimensions

a framework for managing institutional factors
A Framework for Managing Institutional Factors

83

Session VII: Systems Operations Institutional Dimensions

Responds to conventional observation of agency managers that barriers are “institutional” (what ever that is!!)

Makes concrete fuzzy generalizations about “institutional” issues

Draws on accumulated wisdom & experience of agency management veterans

Organizes industry wisdom into a framework that can be used to improve outcomes

features of cmm
Features of CMM
  • Continuous improvement (effectiveness) requires replicable, consistent processes and a supportive institutional structure
  • There are critical dimensions that can’t be skipped
  • For sustainable change “institutionalization” is essential (documentation and training)
  • Performance Levels are incremental combinations of processes and measurement
  • Each level builds on organizational readiness of previous.
  • This is not evaluation: it is for strategizing!!

Session VII: Systems Operations Institutional Dimensions

research adaptation of the capability maturity model
Research: Adaptation of the “Capability Maturity Model”

Continuous improvement (effectiveness) requires replicable, consistent processes and a supportive institutional structure

Review of best practice indicates there are critical dimensions that can’t be skipped

For sustainable change “institutionalization” is essential (documentation and training)

Performance levels are incremental combinations of processes and measurement

Each level builds on organizational readiness of previous

This is not evaluation: it is for strategizing!!

85

Session VII: Systems Operations Institutional Dimensions

a capability maturity framework facilitates strategy development
A Capability Maturity Framework facilitates strategy development

Institutional arrangments and relationships key to effective processes/program

Key institutional elements identified – the ones related to effective programs

Each element can be present at various levels of achievement (“maturity”) – exhibited by agencies today

Agencies can identify their current status

The “model” indicates next steps

86

Session VII: Systems Operations Institutional Dimensions

the concept of continuous improvement
The Concept of Continuous Improvement

Session VII: Systems Operations Institutional Dimensions

operations capability maturity levels
A few Leaders

Integrated

Transitioning

Agencies (most)

Level 3

Managed

Fully coordinated, performance-driven

Level 2

Ad Hoc

Level 1

Processes fully documented & staff trained

Support

Arch.

Ad hoc operation. Relationships not coordinated

Support

Arch.

Support

Arch.

Operations Capability Maturity Levels

Goal for the future

Session VII: Systems Operations Institutional Dimensions

interpretation of levels for so m
Interpretation of Levels for SO&M

Session VII: Systems Operations Institutional Dimensions

operations capability maturity levels1
A few Leaders

Integrated

Transitioning

Agencies (most)

Level 3

Managed

Fully coordinated, performance-driven

Level 2

Ad Hoc

Level 1

Processes fully documented & staff trained

Support

Arch.

Ad hoc operation. Relationships not coordinated

Support

Arch.

Support

Arch.

Operations Capability Maturity Levels

Goal for the future

Session VII: Systems Operations Institutional Dimensions

the operations capability framework key elements
The Operations Capability Framework: Key Elements

Business & Technical Process Capabilities:

Scope of Activities

Business Processes

Technology/Systems

Performance Measurement

Institutional/Organizational Arrangements:

Culture/Leadership

Organization/Staffing

Resources

Partnerships

91

Session VII: Systems Operations Institutional Dimensions

slide92
Levels of

Technical Process Maturity

Transition States

Transition organizations

Leading states

Leading organizations

Session VII: Systems Operations Institutional Dimensions

slide93
DOT operations program maturity:

technical processes and capabilities

Session VII: Systems Operations Institutional Dimensions

operations capability maturity levels2
A few Leaders

Integrated

Transitioning

Agencies (most)

Level 3

Managed

Fully coordinated, performance-driven

Level 2

Ad Hoc

Level 1

Processes fully documented & staff trained

Support

Arch.

Ad hoc operation. Relationships not coordinated

Support

Arch.

Support

Arch.

Operations Capability Maturity Levels

Goal for the future

Session VII: Systems Operations Institutional Dimensions

slide95
Organization/institutional arrangements

Supporting capability levels

Session VII: Systems Operations Institutional Dimensions

slide96

PROCESS AND INSTITUTIONAL ARCHITECTURE DIMENSION DETAILS

PROOF OF CONCEPT

Session VII: Systems Operations Institutional Dimensions

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PROOF OF CONCEPT

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Session VII: Systems Operations Institutional Dimensions

the implications of ocm
The Implications of OCM
  • Continuous improvement (effectiveness) requires replicable, consistent processes as baseline for next step
  • Within a large agency, this requires documentation and training
  • The levels are incremental combinations of processes establishment and measurement
  • Each one builds on that previous via establishing organizational readiness.
  • OCM level is based on the row with the lowest score.

Session VII: Systems Operations Institutional Dimensions

operations capability maturity levels3
A few Leaders

Integrated

Transitioning

Agencies (most)

Level 3

Managed

Fully coordinated, performance-driven

Level 2

Ad Hoc

Level 1

Processes fully documented & staff trained

Support

Arch.

Ad hoc operation. Relationships not coordinated

Support

Arch.

Support

Arch.

Operations Capability Maturity Levels

Goal for the future

Session VII: Systems Operations Institutional Dimensions

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Change Management Strategies (Examples)

Education

& policy

Legislation

Training

Academy

Outsourcing

Line Item budget

Reallocation

Formal

Agreements

Consolidation

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Correlation btwn Operations Maturity Levels

And Institutional Architecture

Session VII: Systems Operations Institutional Dimensions

strategies to improve institutional maturity
Strategies to Improve Institutional Maturity

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The Guidance

Scheme

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Session VII: Systems Operations Institutional Dimensions

the potential of operations capability maturity model1
The Potential of Operations Capability Maturity Model
  • Shared vision of best practice
  • A common analytical language
  • Vertical and horizontal management relationships
  • Formalized, transparent (self) appraisal process
  • Suits any type of organization by size, problems,
  • Framework to prioritize change management tactics
  • Basis for benchmarking across organizations

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Degree of DOT “Management”:

Leverage on Change

Education

& policy

Legislation

Training

Academy

Outsourcing

Line Item budget

Reallocation

Formal

Agreements

Consolidation

Session VII: Systems Operations Institutional Dimensions

change management alternative paths for consideration
Change Management: Alternative Paths for Consideration
  • Internal incremental change -- regarding those architectural dimensions under the span of control of top management
  • Major Reorganization with internal change in priorities and related (may require outside political support
  • Capitalizing on a major eventto make permanent changes (special event, major disruption, natural disaster)
  • Consolidation of functions among public agencies in the form of a new operating entity

Session VII: Systems Operations Institutional Dimensions

where is my state quiz
Where is my state? (QUIZ)
  • Technical Process Dimensions:
    • Any at level 1?
    • A dimension at 2?
  • Institutional Dimensions:
    • Any at level 2?
  • What is your biggest challenge?

Session VII: Systems Operations Institutional Dimensions

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Division Survey

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QUIZ: Self Assessment re your agency

Session VII: Systems Operations Institutional Dimensions

fhwa role
FHWA Role?
  • FHWA
    • Policy/program priority?
    • Division Accountability?
  • To Top SDOT Management
    • Clarify service stakes
    • Exploit legislative justification (performance)
    • Clarify benefits and costs
  • To SDOT Program Managers
    • Help self-evaluate level of capability and barriers
    • Showcase best practice for peers
    • Reach SDOT district management

Session VII: Systems Operations Institutional Dimensions

meanwhile as committed secret agents of the future guerilla tactics for change1
Meanwhile(as committed secret agents of the future):Guerilla Tactics for Change
  • Insist on technical truth regarding service to customers
  • Technology should not get ahead of procedures and protocols
  • Standardize and document process (planning, proj dev, procure, etc)
  • Get planners’ buy-in – they will support
  • Expertise is the scarce resource: Start training staff now
  • Push for organizational equivalency and accountability
  • Establish conops with all partners – otherwise ………..
  • $$$$ is not the problem, sustainable $ is: push for line item
  • Performance measurement can be incremental and useful
  • Be ready for – and capitalize on – external events!!

Session VII: Systems Operations Institutional Dimensions

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Vision: Emerging Institutional Arrangements

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EFFICIENCY

20TH CENTURY DOT

COMPLEXITY

OUTSOURCE /PRIVATIZE

CO-DELIVER

DEVOLVE

Public safety agencies

21st CENTURY DOT

Private sector

Local

government

Other state agencies

Informed customers

Vision: PartnershipsFuture of State DOTs

Session VII: Systems Operations Institutional Dimensions

vision big cultural shift change in priorities
Vision: Big Cultural Shift &Change in Priorities

Systems

management

System Expansion

2OTH

CENTURY

DOT

21ST

CENTURY

DOT

Demand

Management

Systems

Management

System Expansion

Demand

Management

Maintenance

Maintenance

Session VII: Systems Operations Institutional Dimensions

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Vision: The 21st Century Operations-Oriented DOT

Session VII: Systems Operations Institutional Dimensions

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