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Process%20Development%20and%20Integration%20for%20the%20Six-Year%20Program%20and%20the%20Statewide%20Transportation%20Improvement%20Plan%20%20Progress%20Report%20Department%20of%20Systems%20and%20Information%20Engineering%20and%20Center%20for%20Risk%20Management%20of%20Engineering%20Systems%20University%20of

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Title: Process%20Development%20and%20Integration%20for%20the%20Six-Year%20Program%20and%20the%20Statewide%20Transportation%20Improvement%20Plan%20%20Progress%20Report%20Department%20of%20Systems%20and%20Information%20Engineering%20and%20Center%20for%20Risk%20Management%20of%20Engineering%20Systems%20University%20of


1
Process Development and Integration for the
Six-Year Program and the Statewide Transportation
Improvement Plan Progress ReportDepartment of
Systems and Information Engineering and Center
for Risk Management of Engineering Systems
University of VirginiaNovember 19, 2003
2
Agenda
  • Background
  • Purpose
  • Progress review
  • Task 1 Recommendations for Public Involvement
  • Task 2 BPWin Process Model of SYIP and STIP
    Development
  • Task 3 BPWin Process Model of Amendment
    Process
  • Discussion

3
Background
  • STIP is a federal three year programming document
    and an abridgement of SYP
  • Lag of three months between the financial year of
    SYP and STIP
  • Process review report on the development process
    of STIP
  • Joint FHWA/FTA/VDOT/VDRPT, November 2002
  • Committee implementing recommendations of
    November report
  • Chairs Mr. Charles Rasnick, Mr. Kenneth Lantz
  • Procedure Chair Ms. Deborah Grant
  • Finance Chair Mr. Robert Hofrichter
  • Public Involvement/Education Mr. Ben Mannell

4
Purpose
  • Deploy analytical methodologies to support the
    SYIP/STIP committee
  • Provide research on other state processes for
    SYIP/STIP development
  • Provide a how-to document with recommendations
    for the SYIP/STIP update process

5
Tasks and Schedule
Tasks Duration (months) Start month End month
1. Evaluation of Public Involvement 12 1 12
2. BPWin Process Model of SYIP and STIP Development 4 1 4
3. BPWin Process Model of Amendment Process 4 3 6
6
Task 1 Recommendations for Public Involvement
7
Recommendations for Public Involvement
  • Review the 2003 pre-allocation hearings, CTB
    meetings, etc.
  • Review the recent VTRC public involvement report
    and other literature
  • Review progress of other states
  • Identify and characterize the relevant public
    involvement activities in the SYIP/STIP process
    model
  • Perform critical evaluation of the new public
    involvement process
  • Develop recommendations for evolution of the
    public involvement process for the SYIP
  • Develop recommendations on how the STIP can
    receive public comment as a separate document
    from the SYIP
  • Support the STIP/SYIP committee currently working
    on a public involvement plan
  • Review outcome of the recent process review on
    public involvement (FHWA)
  • Make recommendations for the evolving public
    involvement policy of VDOT (1995)

8
Public Hearing Schedule
Staunton, Bristol Not attended
9
Objectives of Public Outreach
  • The engineering focus group participants readily
    pointed out several broad objectives they thought
    VDOT needed to achieve in its public outreach
  • To meet all legal mandates for public involvement
    in transportation project (specifically, those of
    FHWA)
  • - To educate citizens about how government works
    (public affairs staff also emphasized this
    objective).

Source O'Leary, A.A., Kyte, C.A., Arnold, E.D.,
Perfater M.A. (2003) An Assessment of the
VirginiaDepartment of Transportation's Public
Involvement Practices and the Development of a
Public Involvement Toolkit Phase II
10
Citizens Information Needs and Preferences
  • VDOTs planning process is not well understood by
    citizens.
  • VDOTs project development process is not well
    understood by many citizens.
  • VDOTs public involvement processes (for planning
    and for project development) are not well
    understood by most citizens.
  • Most citizens indicated they wish to be updated
    quite often on the status of VDOT projects (i.e.,
    at least quarterly).

Source O'Leary, A.A., Kyte, C.A., Arnold, E.D.,
Perfater M.A. (2003) An Assessment of the
VirginiaDepartment of Transportation's Public
Involvement Practices and the Development of a
Public Involvement Toolkit Phase II
11
Citizens Information Needs and Preferences Contd
  • Citizens want to know VDOTs realistic
    expectations for projects
  • Citizens continue to rely on the newspaper and
    written materials (e.g., newsletters) for
    notification about VDOT meetings and updates on
    VDOT plans and project.
  • Citizens (as well as VDOT staff and MPOs) rate
    the agencys more personal approaches to
    presenting project information positively
  • Citizens would like more feedback from VDOT about
    how their input is really used, and VDOT staff
    agree that this is a need.

Source O'Leary, A.A., Kyte, C.A., Arnold, E.D.,
Perfater M.A. (2003) An Assessment of the
VirginiaDepartment of Transportation's Public
Involvement Practices and the Development of a
Public Involvement Toolkit Phase II
12
Intra-Organizational Factors in VDOTs Public
Outreach
  • Many on the division staff involved in VDOTs
    public outreach do not believe their work is
    well-understood by other divisions or VDOT
    executives.
  • VDOT staff in the studys focus groups had
    different views about the required technical
    content of the agencys newspaper notices, as
    well as the best review process for them.

Source O'Leary, A.A., Kyte, C.A., Arnold, E.D.,
Perfater M.A. (2003) An Assessment of the
VirginiaDepartment of Transportation's Public
Involvement Practices and the Development of a
Public Involvement Toolkit Phase II
13
Sample of findings from previous efforts
  • Early and continuous public involvement in
    decision making
  • Frequent communications with citizens about plan
    or project status
  • Consistency in public communications from
    different parts of VDOT
  • Personalized communication approaches
  • More feedback to citizens about how their input
    has been used
  • More coordination of public outreach by different
    divisions or units in VDOT
  • More strategic communications planning and
    evaluation (for major projects, in particular)

Source O'Leary, A.A., Kyte, C.A., Arnold, E.D.,
Perfater M.A. (2003) An Assessment of the
VirginiaDepartment of Transportation's Public
Involvement Practices and the Development of a
Public Involvement Toolkit Phase II
14
The Toolkit of Outreach Techniques
  • Public Involvement Toolkit is a means of
    providing VDOT staff with techniques for public
    outreach
  • For example, a staff member could look up
    techniques for communicating with a small group
    of neighborhood residents very early in the
    project.
  • Or use information provided to help develop means
    of communicating information to a large workgroup
  • However, the toolkit does not address the issue
    of the staff member responsible for choosing the
    technique or who will provide feedback to the
    public
  • Depends of VDOT policy

Source O'Leary, A.A., Kyte, C.A., Arnold, E.D.,
Perfater M.A. (2003) An Assesment of the
VirginiaDepartment of Transportation's Public
Involvement Practices and the Development of a
Public Invovlement Toolkit Phase II
15
Survey Developed
Source Development and Financial Constraint of
Virginia's STIP (2002). Joint FHWA/FTA/VDOT/VDRPT
Process Review
16
Minnesotas Toolkit
Source Development and Financial Constraint of
Virginia's STIP (2002). Joint FHWA/FTA/VDOT/VDRPT
Process Review
17
Recommendations from Public Involvement Document
  • VDOT staff involved in public outreach should use
    the toolkit and the soon-to-be released FHWA
    electronic public involvement planning tool in
    selecting outreach techniques for specific plans
    or projects.
  • VDOTs Transportation Mobility Planning
    Division and the Office of Public Affairs should
    explore ways to increase the publics
    understanding of the planning process.
  • VDOTs Office of Public Affairs, LD Division,
    and other technical staff should explore ways to
    increase the publics understanding of the
    project development and project public
    involvement processes.
  • VDOTs LD Division and Office of Public Affairs
    should explore more effective ways to inform
    citizens about how their collective input has
    been used for project or plan development.

Source O'Leary, A.A., Kyte, C.A., Arnold, E.D.,
Perfater M.A. (2003) An Assessment of the
VirginiaDepartment of Transportation's Public
Involvement Practices and the Development of a
Public Involvement Toolkit Phase II
18
Recommendations (cont)
  • VDOT should provide the 4.0 FTEs recommended for
    an Outreach Section in the Office of Public
    Affairs as soon as the budget situation permits.
  • VDOT should consider creating a task group of
    engineering project managers from the LD
    Division and staff of the Office of Public
    Affairs to identify ways to maximize the quality
    and consistency of newsletters for the public.
  • VDOT should periodically commission broad
    assessments (such as the SMC communications audit
    (Siddall, Matus and Coughter Consultants, 2002b)
    to assess the effectiveness of communications
    among agency staff and between VDOT, the public,
    local officials, and legislators.

Source O'Leary, A.A., Kyte, C.A., Arnold, E.D.,
Perfater M.A. (2003) An Assessment of the
VirginiaDepartment of Transportation's Public
Involvement Practices and the Development of a
Public Involvement Toolkit Phase II
19
Mapping the Public Involvement Process
  • Using the joint process review by FHWA, FTA,
    VDOT, and VDRPT entitled Development and
    Financial Constraint of Virginias 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

20
STIP Development Process
21
Tentative Program
22
Secondary Roads
23
Urban Programs
24
MPO Planning
25
Task 2BPWin Process Model of SYIP and STIP
Development
26
BPWin Process Model of SYIP and STIP Development
  • Document SYIP and STIP relationships to other
    databases and activities to include FMS II, PPMS,
    cost estimation system, etc.
  • Describe a calendar-based process model for SYIP
    and STIP development using BPWin software
  • Review the current iSYP functions and help menus
  • Review and benefit from ITAD application of BPWin
    to cost estimation
  • Describe the STIP/SYIP business processes using
    BPWin (IDEF0 and IDEF3)
  • Build on the process descriptions of
  • the 11/02 FHWA/VDOT/VDRPT report on 'Development
    and Financial Constraint of Virginia's STIP' and
  • the latest version of the STIP calendar
  • Seek additional detail of activities, which may
    be required for the BPWin process model
  • Support ITAD adding a STIP module to the ISYP
    system by December/January
  • Demonstrate that the BPWin process model supports
    IT development of the electronic STIP environment
    (e-STIP)

27
Business Process Modeling
  • IDEF Integrated Definition
  • Used to analyze business processes
  • IDEF0
  • IDEF3
  • Software used AllFusion Process Modeler
    (formerly known as BPWin)

28
Process Modeling Methodology IDEF0
  • Procedure Activity decomposition
  • Design Model decisions and activities of a
    system
  • Use Aids in communicating and analyzing
    functional perspective of a system
  • Sequence of activities cannot be depicted

Source http//www.idef.com http//www.oliver.efz
g.hr/vbosilj/iceis2000.pdf
29
Process Modeling Methodology IDEF0
  • Basic modeling unit ICOM model

Source http//www.cit.gu.edu.au/noran/Docs/UMLvs
IDEF.pdf
30
Process Modeling Methodology IDEF0
  • Inputs - consumed or transformed by the process
  • Outputs - created through the consumption or
    transformation of inputs of process
  • Controls - guide the process such as guidelines,
    regulations, policies
  • Mechanisms - accomplish the actions of the
    process such as people, manual or automated tools

Source http//www.cit.gu.edu.au/noran/Docs/UMLvs
IDEF.pdf
31
Process Modeling Methodology IDEF3
  • Procedure Process based decomposition
  • Design Scenario-driven process flow modeling
  • Use Captures precedence and causality relations
    between situations and events
  • Sequence of activities is depicted

Source http//www.idef.com http//www.oliver.efz
g.hr/vbosilj/iceis2000.pdf
32
Process Modeling Methodology IDEF3
  • Basic modeling unit Unit of Behavior (UOB)
  • Logic junctions AND, OR, Exclusive OR
  • Links between activities
  • Precedence
  • Relational
  • Object flow

Source http//www.idef.com http//www.oliver.efz
g.hr/vbosilj/iceis2000.pdf
33
STIP Development Process
Source Development and Financial Constraint of
Virginia's STIP (2002). Joint FHWA/FTA/VDOT/VDRPT
Process Review
34
STIP Development Process IDEF0 View
35
Revenue Forecasts
Source Development and Financial Constraint of
Virginia's STIP (2002). Joint FHWA/FTA/VDOT/VDRPT
Process Review
36
Revenue Forecasts IDEF0 View
37
Data needs for IDEF0
  • Activities
  • Objective
  • Title of responsible department/s
  • Inputs
  • Control
  • Mechanism
  • Key Decisions
  • Impacted Activities
  • Estimated Duration

38
Activity Building IDEF0
39
Activity Properties IDEF0
40
Activity Properties IDEF0
41
Responsible people MPO staff Mechanism Solicits
public involvement in the development of draft
TIP Information used to develop MPO statement of
priorities for pre-allocation hearing
MPOs Develop Draft TIP
Pre-allocation Hearing
Approval of drafted TIP
Air Quality
Demonstrate Conformity
Mechanism Conformity testing Responsible
People Technical Committee and MPO
MPOs Adopt Final TIP
42
Six Year Budget
Mechanism Allocation of construction and
non-construction cost to the draft program based
on requirements on Code of Virginia
Draft Program
Responsible Persons VDOT Updating PPMS
Project Cost Estimates
Outputs from Project Cost Estimates as Inputs to
Draft Program
Mechanism First cost estimate generated based on
1993 review of award costs of projects
statewide. Constantly adjusted to keep up with
inflation and business process changes into
Preliminary engineering, right-of-way and
construction based on historical trends of
similar projects.
43
Responsible Persons CTB
Pre-allocation Hearings
Responsible Persons Assistant Commissioner of
Finance Secretary of Transportation
Mechanism Final figures received from Financial
Planning and Debt Management Division and program
adjusted as necessary.
Inputs Priorities developed by citizens and
elected officials.
Agency/CTB Review
Tentative Program
Revisions incorporated into tentative program
Output from tentative program Statewide and
District summaries provided to CTB for approval.
May result in minor changes. Following approval,
document is made available to public via internet
for comments.
Mechanism Review district-by-district. Financial
Planning and Debt Management Division runs the
cash forecast.
44
Final Public Hearing
Output Final changes made to the tentative
program by VDOT management. Final document is
prepared for CTB meeting
Mechanism Hearings held in two locations Salem
(western district) Richmond (eastern district)
CTB Approval of Final Program
Approved program is posted on the internet.
Final Program
Cash Forecast
45
Financial Constraint Demo
Mechanism Documenting revenues from the various
funding categories
STIP sent to Federal Agencies
MPO develop final TIP
46
Task 3BPWin Process Model of Amendment Process
47
BPWin Process Model of Amendment Process
  • Review the recent MOA addressing the amendment
    process
  • Characterize in BPWin the IDEF0 and IDEF3
    activities that constitute the amendment process
  • Identify the process methods to track changes and
    document continued financial constraint as
    changes are made
  • Provide narrative documentation of the amendment
    process
  • Identify opportunities to improve or support the
    amendment process
  • Identify and prioritize those activities of the
    amendment process that are candidates for
    automation by ITAD et al.
  • Use the BPWin result to describe evolution of the
    current process to a process that utilizes the
    iSYP/STIP database to generate understandable
    documentation of what is being changed--the
    revised table C from the STIP document, etc.

48
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