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Click to edit Master title stylePDH Certificate Information
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Email Reggie Gillum: [email protected]
The Transportation Research Board has met the standards and requirements of the Registered Continuing Education Providers Program. Credit earned on completion of this program will be reported to RCEPP. A certificate of completion will be issued to each participant. As such, it does not include content that may be deemed or construed to be an approval or endorsement by NCEES or RCEPP.
Click to edit Master title styleCambridge Systematics Presentation Team
Randy Halvorson: 952-920-8141, [email protected]
Erik Cempel: 312-665-0223, [email protected]
Anita Vandervalk: 850-219-6388, [email protected]
Kim Hajek: 512-691-8509, [email protected]
Kelsey Ahern: 512-691-8506, [email protected]
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Click to edit Master title styleAgenda
2:00 – 2:10 pm EST Purpose – Randy Halvorson
Research Approach – Randy Halvorson
2:10 – 2:45 pm EST Guide to Target Setting – Randy Halvorson/Erik Cempel
2:45 – 3:25 pm EST Guide to Data Management – Anita Vandervalk/Kim Hajek
3:25 – 3:30 pm EST Concluding Remarks and Additional Research Underway – Randy Halvorson
*Question and Answer Moderator – Kelsey Ahern
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Click to edit Master title stylePurpose of Research (Targets)
Describe Framework for Performance-Based Resource Allocation (PBRA)
Identify the role of performance measure targets within PBRA
Outline the steps for setting performance targets
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Click to edit Master title stylePurpose of Research (Data)
To provide a comprehensive description of the following components, which are needed to support (PBRA) decision-making
Data management
Information systems
Institutional arrangements
9
Click to edit Master title styleProject Approach
Interviewed 25+ public and private sector agencies on the use of performance measures and targets and their supporting data systems
Results compiled and documented in case studies
Lessons learned and best practices published in Guide for Target-Setting and Data Management
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Click to edit Master title stylePerformance Management Framework
PBRA takes place within an overall Management Framework
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Goals/Objectives
Performance Measures
Target Setting
Evaluate Programs and Projects
Allocate Resources
Budget and Staff
Measure and Report Results
Actual Performance Achieved
Qu
alit
y D
ata
Click to edit Master title styleInterrelationship Among Measures, Targets, Data
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Performance
measures and
targets are integral
elements in PBRA
Data
management
programs are
used to
organize data
support
functions
Measures and
targets are
supported by
data and
information
systems
Click to edit Master title stylePerformance Measure Target
Definition:
A specific value for a measure that an agency would like to achieve.
These values set a performance level for each organization measure.
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Click to edit Master title stylePerformance Measure Target
Example:
Goal Area – System Preservation
Performance Measure – International Roughness Index (IRI)
Target – 75% pavement good or better condition
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Click to edit Master title styleSteps For Target Setting
Establish a Performance
Management Framework
Evaluate the Factors
Influencing
Target Setting
Select the Appropriate
Approach to
Target Setting16
Making the choice – Part 1
Making the choice – Part 2
Providing the context
Click to edit Master title styleSteps For Target Setting
Establish Methods
for Achieving Targets
Track Progress
Towards Targets
Adjust Targets
Over Time17
Tracking investmentimpacts
Meeting the targets/making trade-offs
Refining the process
Click to edit Master title styleSteps For Target Setting
Establish a Performance
Management Framework
18
Goals/Objectives
Performance Measures
Target Setting
Evaluate Programs and Projects
Allocate Resources
Budget and Staff
Measure and Report Results
Actual Performance Achieved
Qu
alit
yD
ata
Providing the context
Click to edit Master title styleSteps For Target Setting
Evaluate the Factors Influencing
Target Setting
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Agency experience
Data availability
Financial resources
Stakeholder and public involvement
Political/legislative influence
Timeframe
Making the choice – Part 1
Click to edit Master title styleSteps For Target Setting
Select the Appropriate
Approach
to Target Setting
20
Edict
Expert Opinion
Benchmarking
Modeling
Hybrid/Collaboration
Making the choice –Part 2
Preferred Approach
Click to edit Master title styleSteps For Target Setting
Select the Appropriate
Approach
to Target Setting
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Hybrid/Collaboration - Preferred approach for final
selection
Target definition – specific value for a measure that an agency would like to achieve
Data- based classification of performance condition –develop a performance threshold table
Link performance condition to investment levels
Select specific target levels in collaboration with others
Cont’d
Click to edit Master title styleExample Application of Target Setting to Pavement
Goal Area – System Preservation
Performance Measure – International Roughness Index (IRI)
Target – 75% pavement good or better condition
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Click to edit Master title stylePavement target selection process (Step 3A)
Establish a data-based classification of performance condition (Performance Threshold Table)
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Click to edit Master title stylePavement condition target selection process (Step 3B)
Establish a relationship between performance measure and annual funding levels
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Source: Highway Economic Requirements System- 2008 FHWA C & P
Click to edit Master title stylePavement condition target selection (step 3C)
Develop a chart showing annual pavement condition
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0
10
20
30
40
50
60
70
80
90
100
2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015
Sy
ste
m H
igh
wa
y M
ile
s (%
)
Year
Target “% "Good”
Click to edit Master title stylePavement condition target selection (Step 3D)
Select specific target using collaborative process
Senior Agency Staff (i.e. Commissioner/Secretary and selected Division Heads)
Agency performance area experts (i.e. state and district pavement engineers)
Stakeholders (i.e. selected state and local elected officials, federal officials, freight haulers and the driving public)
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Click to edit Master title styleSteps For Target Setting
Establish Methods
for Achieving Targets
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Integration into daily routines
Incentives
Personnel performance appraisals
Quality control and support
Trade-off analysis
Meeting the targets/making trade-offs
Click to edit Master title styleSteps For Target Setting
Establish Methods
for Achieving Targets
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Trade-off analysis
Define measures of effectiveness
Assess current performance
Develop funding scenarios
Format results for comparison
Cont’d
Click to edit Master title styleSteps For Target Setting
Track Progress
Towards Targets
29
Annual Attainment Reports
Annual “Snapshot”
Tracking investment impacts
Click to edit Master title styleSteps For Target Setting
Adjust Targets Over Time
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Funding adjustments
Policy changes
Trade-offs over time
Refining the process
Click to edit Master title styleMn/DOT as Process Example for Implementing Targets within PBRA
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Step 1
Identify Investment Needs
Step 2
Project Future Revenues
Step 3
Set Investment Goals
Step 4
Develop Investment Plan
Step 5
Prioritize Unfunded Investment Needs
20-year Highway Investment Plan
STIP 2009-2012
Mid-Range HIP 2013-2018
Long-Range 2019-2028
Total Unfunded
Statewide High Priority
Investment Goals:Balanced Program
Investments to Meet Performance Targets
Regional and Community Improvement Priorites
Revenue Outlook
Legislative Direction (Chapter 152)
System Performance
Stakeholder Input
Highway Investment Plan Development Process
Click to edit Master title styleData Management Programs
Data Management Programs are used to:
Strengthen ability of data programs to support core business functions
Improve data quality throughout the organization
Protect data as an asset of the agency
Limit risks associated with loss of data and information
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Click to edit Master title styleData Management Programs Strengthen ability of data programs to support business functions -Alaska
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Click to edit Master title styleData Management Programs Link Business Functions to Data Programs - Virginia
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Click to edit Master title styleSteps For Implementing/Strengthening Data Management Programs
Establish Need for Data Management/
Data Governance
Establish Goals for
Data Management
Assess Current State of
Data Programs37
Click to edit Master title styleSteps For Implementing/Strengthening Data Management Programs
Establish Data Governance
Programs
Use Technology to
Support Data Management
Link Data to Planning,
Performance Measures, &
Target-Setting Process 38
Click to edit Master title styleStep 1: Establish Need for Data Management/Data Governance
Establish need for data management/data governance
Demonstrate Return on Investment (ROI)
Support Performance Measurement and Target Setting
Governance supports data management from policy, practical, technical perspectives
Data Management Maturity Model assesses progression from un-governed to a governed state
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“A strong Data Management program improves data quality and limits potential risks to the agency regarding the loss of critical data and information”
Click to edit Master title styleStep 1: Establish Need for Data Management/Data Governance
Relationship of Data Management, Governance, Stewardship
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Source: Modified from Figure 1 Data Governance Team, The Data Governance Maturity Model, White Paper, RCGInformation Technology, 2008.
Click to edit Master title styleStep 1: Establish Need for Data Management/Data Governance
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Figure 1.2 Data Governance Maturity Model
Reward
Low
High
Think Locally,
Act Locally
Think Globally,
Act Locally
Think Globally,
Act Collectively
Think Globally,
Risk
High
Low
Act Globally
Undisciplined Reactive Proactive Governed
People, Policies, Technology Adoption
Source: Data Governance Maturity Model, DataFlux Corporation, 2007.
Data Governance Maturity Model
Click to edit Master title style
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Step 1: Establish Need for Data Management/Data GovernanceMaturity Model Matrix
Click to edit Master title styleStep 1: Establish Need for Data Management/Data Governance – Example
Washington State DOT
Data Council - set standards for data architecture, data modeling, etc.
Data Stewardship Council – address data issues across the department
Two types of data stewardship
Business stewardship – executives, managers, business operations
Technical stewardship – system architects, database administrators
Partnership of business and technical stewards strengthens data governance
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Click to edit Master title styleStep 2: Establish Goals for Data Management
Establish goals for data management
Use brainstorming sessions with data program stakeholders
Identify business objectives of the agency
Identify business functions/services that support business objectives
Identify which business functions are supported by which data programs
Establish data collection and use policies
Establish data action plans to address needs and gaps in data and information
Establish risk management program to protect valuable data program assets
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Click to edit Master title styleStep 2: Establish Goals for Data Management
Success factors
Start small with achievable goals
Use a data business plan
Manage expectations
Use Business-Use Case Models
Identify champions
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Click to edit Master title styleStep 2: Establish Goals for Data ManagementExample - MNDOT
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Mn/DOTData Business Plan
Framework
SELECTED EMPHASIS AREAS & OBJECTIVES
MISSION
STRATEGIC DIRECTIONS
POLICIES
BUSINESS PROCESSES
Provide the highest quality, dependable, multi-modal transportation system through ingenuity, integrity,
alliance, and accountability.
1. Traveler Safety
2. Infrastructure Preservation
6. & 7. Mobility
Plan ProduceOperate / Maintain
Support
Click to edit Master title styleStep 3: Assess Current State of Data Programs
Assess current state of data programs
Health Assessment
Highlight critical deficiencies and develop strategies to address the deficiencies
Surveys
Focus Groups
Workshops
Research Studies
Risk Management identifies and prioritizes the risks associated with current data programs
Risk prioritization matrix
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Click to edit Master title styleStep 3: Assess Current State of Data Programs
Risk prioritization matrix
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Data Program
Value Ranking
(Essential, Helpful, Not
Needed)
Addresses Key
Performance Measures
Used To Meet
Federal Mandate
Used To Meet State
Mandate
Used to Support One or More
Defined Business
Emphasis Areas
Risk Level
Associated With Data Program
Program A
Program B
Program C
…
Program Z
Click to edit Master title styleStep 3: Assess Current State of Data Programs
Evaluating Data Programs
Accuracy
Timeliness
Completeness
Validity
Coverage
Accessibility
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Click to edit Master title styleStep 3: Assess Current State of Data ProgramsExample -
Minnesota DOT (MNDOT)
Surveys - Used to assess strengths/weaknesses of current data programs
Focus groups – Used to prioritize needs/gaps identified in surveys
Data Program Workshops – Used to propose solutions to address needs/gaps in data programs that support investments and resource allocation
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Click to edit Master title styleStep 4: Establish Data Governance Programs
Develop a Data Governance Model
Data Governance Framework
Data Governance Participants
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Click to edit Master title styleStep 4: Establish Data Governance Programs -General Data Governance Framework
Data Governance Framework Data
Governance Board
Strategic Vision, Mission, Goals
For Data
Agency Data Programs
Data Users and
Stakeholders
Data Steward and
Custodians
Division(s) Mission(s) and
Goals
Click to edit Master title styleStep 4: Establish Data Governance Programs
Define roles and responsibilities of Data Governance participants:
Stewards
Business Owners
Stakeholders
Communities of Interest
Custodians (IT)
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Click to edit Master title styleStep 4: Establish Data Governance Programs
Develop Data Governance Handbook or Manual
Data Governance Charter
Data management policy
Data governance framework
Roles of data governance participants
Glossary
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Click to edit Master title styleStep 4: Establish Data Governance Programs
Develop Data Catalog
List of data programs
List of business data owners
List of data stewards
Access to data standards and definitions
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Click to edit Master title styleStep 4: Establish Data Governance Programs
Develop Business Terms Glossary
Standard definitions of commonly used business terms
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Click to edit Master title styleStep 4: Establish Data Governance Programs –Alaska Data Governance Framework
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Alaska DOT&PF Data Governance Framework, Overview
IT SERVICES BUSINESS UNITS
ADOT&PF
1. ASD/IS Data Custodians
2. Program Dev. Div. Programmers
• State Enterprise Technology Services (ETS)
• State Data Standards
• State Data Governance Structure
Agency Goals
(Performance Measures
and Targets)
Data Governance Council
(Division Director(s),
Section Directors)
Program Development Division Goals
Core Data Systems
Core Business Programs
Business Data
Owners
(Section Directors, staff)
COIs and
Working Groups
Click to edit Master title styleStep 5: Use Technology to Support Data Management
Use of Business Intelligence tools support executive decision-making and data sharing within the agency
Geographic Information System (GIS)
Dashboards and Scorecards
Knowledge Management Systems
Bidding, Auctions, and Cost Management Solutions
Invest in staff through training opportunities to increase ROI
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Click to edit Master title styleStep 5: Use Technology to Support Data Management - Example Hennepin County, Minnesota
Strong executive support from County Administrator
Dashboards
Provide visual display of performance for county programs based on targets and goals
Balanced scorecards
Track Key Performance Indicators (KPIs) for county programs
Align staff around common goals and strategies
Serve as essential decision-making tool
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Click to edit Master title styleStep 5: Use Technology to Support Data Management – Balanced Scorecard
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Click to edit Master title styleStep 6: Link Data to Planning, Performance Measures, and Target-Setting Processes
Fully integrate data management processes with agency performance measures and target-setting processes by doing the following:
Do not use one size fits all approach
Link performance measures and targets to budget allocations
Include objectives regarding resource allocation in the agency Business Plan
Use external data sharing agreements to obtain data for performance measures that the agency does not collect internally
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Click to edit Master title styleStep 6: Link Data to Planning, Performance Measures, and Target-Setting Processes
Revise or stop using targets if data not available to support the target(s)
Arrange performance measures (PMs) in a hierarchical order (i.e., federal, state, local PMs)
Incorporate customer satisfaction as a measure in setting performance targets
Reward business areas that consistently meet targets and goals
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Click to edit Master title styleStep 6: Example Alaska Department of Transportation and Public Facilities
Planning – Support Planning mission and goals through use of a data business plan
Performance Measures – Develop performance measures using data systems identified in the data business plan
Target-setting – Identify data needed to develop targets and performance measures
“by 2020 to reduce the 3-year moving average of traffic fatalities per 100 million vehicle miles traveled (VMT) by 3% per year”
Link Planning, Performance Measures, Target-setting to support budget and resource allocation decision-making at ADOT&PF
63
Click to edit Master title style.
Risk Management
Information Technology
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Additional Research Underway
Click to edit Master title styleAdditional Research Underway for NCHRP 8-70 – Risk Management
Literature review and case studies
Identify elements of risk management
Describe application to PBRA
Produce a primer which recommends best approaches for use of risk management in PBRA
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Click to edit Master title styleAdditional Research Underway for NCHRP 8-70 – Data Management
Literature review and case studies
Identify Information Technology (IT) issues affecting data sharing
Discuss how these issues negatively or positively affect data sharing
Produce a primer which recommends best IT approaches for data sharing and access to support Performance-based resource allocation in transportation agencies
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