1. Process Development and Integration for the Six-Year Program and the Statewide Transportation Improvement Plan Progress Summary James H. Lambert (434) Center for Risk Management of Engineering Systems and Department of Systems and Information Engineering University of Virginia April 27, 2004 (See supplement materials that update this progress report to July 21, 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. 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

4. Background – IDEF0 Example

5. Data Needs for IDEF3 Activities Objective
Title of responsible department/s
Inputs
Control
Mechanism
Key decisions
Impacted activities
Estimated duration
Related models/diagrams

6. Background – IDEF3 Example
Source:

7. Activity 1 BPWin* Process Model of SYIP and STIP Development
* Software Application of IDEF

8. IDEF Workbook

9. Discussion of Process Models
Created Several Process Models
Used IDEF3
Merged into one large process model
Some of activities had sub-activities
I created several process model using the BPWin software and the IDEF3 Standard. These IDEF standards are used by the Department of Defense and Chase Bank to assist is process modeling and decision making.
-It also allows for comparisons if one or more activities are changed, this could help with future recommendations.
The STIP process model describes the major steps taken to create the Federal Program
- Many of these steps have sub-activities, for instance Revenue Forecasting, which has the arrow pointing to it. You can see the revenue forecasting process model in your handout
-Each activity had its own Inputs, Outputs, Controls, Mechanisms, and Deadlines
Above: STIP Process Model
Left: IDEF3 Description

10. STIP Development Process – Flow Diagram
From FHWA document
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 View1
Created by Eric Issadore – Tree Diagram 2

12. STIP Development Process – IDEF Example – Sub-Process View
Another view of the IDEF worksheet

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 - Tree Diagram View

15. Other Processes Modeled
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

16. Activity 2 Case 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. Activity 3 Case 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. 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

30. 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

31. 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

32. 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.
There are is staff (Dirickson), one graduate student (Sarda), Prof. Lambert, and three undergraduate research assistants on the project since February 1

33. 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

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

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

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

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

38. Process Development and Integration for the Six-Year Program and the Statewide Transportation Improvement Program Materials (Cont.)
Progress Report, University of Virginia ( )
Progress Report, University of Virginia ( )
Revised STIP Proposal ( )
Materials from Joint FHWA,VTRC and VDOT meeting ( )
           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 ( )
            STIP-04 TimeLine
            FY04-06 STIP
            FY04-09 SYIP
Meeting with Mr. Murali Rao (Current STIP Poster, Current STIP Sub-Processes, Recommended STIP ) ( )
Culpeper Public Hearing Meeting ( )
Six Year Program - Report on Development, Monitoring, Implementation and Best Practices ( )
STIP - Massachusetts ( )
Lynchburg Public Hearing Meeting ( )
Presentation by James H. Lambert ( )
Changes In Work Plan ( )

39. Process Development and Integration for the Six-Year Program and the Statewide Transportation Improvement Program Materials (Cont.)
VDOT Home
  VDOT Organization Chart
  Projects and Plans
  Public Hearings Meetings and Events
  Fall 2003 Hearing Schedule
SYIP
  SYIP Public Hearings Powerpoint
  SYIP 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 ) 1 2 3
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

40. 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.
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

41. IDEF Worksheet Questions Webpage

42. IDEF Worksheet Questions Coding
<HTML>
<HEAD>
<TITLE>IDEF Worksheet Questions</TITLE>
</HEAD>
<BODY>
<H1>IDEF Worksheet Questions</H1>
<BASE HREF="
<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
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
component parts. It is a graphical language that assists in identifying the functions that are performed, the
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?)

43. IDEF Worksheet Questions Coding (Cont.)
For more information on IDEF please go to <a href="
<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=" 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 address:</b>
<INPUT TYPE="text" NAME="from" >
<b>Title of your position:</b>
<INPUT TYPE="text" NAME="position" >
<P> <b>Field 1: Name of Activity</b>
<br><font size ="2">Name or title for activity or function.</font>
<INPUT TYPE="text" NAME="activity"></p>

44. 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>
<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>
<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, exchange, etc.)</font>
<TEXTAREA NAME="mechanisms" WRAP="physical" ROWS=5 COLS=70></TEXTAREA>
<b>Field 5: Outputs</b> <br>
<font size="2">Something resulting from the process. Shows what an activity produces or creates.</font> <br>

45. IDEF Worksheet Questions Coding (Cont.)
<TEXTAREA NAME="outputs" WRAP="physical" ROWS=5 COLS=70></TEXTAREA>
<br>
<b>Field 6: Objective</b><br>
<font size="2">The goal of the function or activity.</font> <br>
<TEXTAREA NAME="objective" WRAP="physical" ROWS=5 COLS=70></TEXTAREA>
<b>Field 7: BPwin Diagrams</b> <br>
<font size="2">Link to the activity in BPwin format.</font> <br>
<INPUT TYPE="file" NAME="bpwinfile">
<b>Field 8: Title of Responsible Person(s)</b> <br>
<font size="2">Person(s) in charge of the function or activity. <br>
<INPUT TYPE="text" NAME="responsible">
</font> <br>
<b>Field 9: Key Decisions</b> <br>
<font size="2">Possible choices for the outcome of the activity or function.

46. IDEF Worksheet Questions Coding (Cont.)
<TEXTAREA NAME="decisions" WRAP="physical" ROWS=5 COLS=70></TEXTAREA>
<br>
</font> <b>Field 10: Duration</b> <br>
<font size="2">Time/length of the activity.</font> <br>
<INPUT TYPE="textarea" NAME="duration" VALUE="">
<b>Field 11: Transcripts/Interviews</b> <br>
<font size="2">Link to a document that shows an outline description of the
activity, interview, or a memo on the activity.</font> <br>
<INPUT TYPE="file" NAME="transcriptsfile">
<b>Field 12: External Links</b><br>
<font size="2">Links to sites outside the CRMES website that are pertinent to the activity.<br>
<TEXTAREA NAME="links" WRAP="physical" ROWS=5 COLS=70></TEXTAREA>
</font> <br>
<b>Field 13: Diagrams/Models</b> <br>
<font size="2">Diagram showing detail of the activity.</font> <br>
<INPUT TYPE="file" NAME="diagramsfile">

47. IDEF Worksheet Questions Coding (Cont.)
<br>
<b>Field 14: Reviews</b> <br>
<font size="2">Notes or reports available on the activity.</font> <br>
<INPUT TYPE="file" NAME="reviewsfile">
<b>Field 15: Potential Recommendation</b> <br>
<font size="2">Any recommendations on how to improve the activity.<br>
<TEXTAREA NAME="recommendations" WRAP="physical" ROWS=5 COLS=70></TEXTAREA>
</font> <br>
<b>Field 16: Miscellaneous</b><br>
<font size="2">Any other information or files available on the activity that did not fit into the fields above.<br>
<TEXTAREA NAME="miscellaneous" WRAP="physical" ROWS=5 COLS=70></TEXTAREA>
<input type="file" name="miscellaneousfile">
</font>
<p></p>
<input type="submit" value="Submit Questionnaire">
</form>

48. IDEF Worksheet Questions Coding (Cont.)
<p>Please contact Professor Lambert with any further questions:
</p>
<ul>
<li> <a
<li>Office Phone: </li>
<li>Office Assistant Phone: </li>
</ul></BODY>
</HTML>
</html>

49. Using the IDEF Model to Improve Business Processes of the Transportation Agencies: Methodology for Transferring the Six-Year Improvement Program (SYIP) into the Statewide Transportation Improvement Program (STIP) on the State Level: A continuation of the Development and Financial Constraint of Virginia’s STIP Outline (DRAFT)
Abstract: A quick review of what the document is presenting.
Introduction: A review of Development and Financial Constraint of the Virginia’s STIP and the role that the University of Virginia plays in this project by transferring the previous document into IDEF format.
Background on IDEF: A detailed review on the literature written on IDEF modeling and a review on other projects that have used the IDEF modeling for their business.
Development of Methodology:
IDEF Worksheet: A description of the IDEF worksheet and its purpose.
AllFusion Program: Description of the program created by CA and its purpose in this project.
Application: Description of the project and how VDOT will apply this project to their STIP.
Review of Jennifer DeBruhl’s interview: A detailed description of why the Development and Financial Constraint of the Virginia’s STIP was written and for what purpose.
Focus on Sub-Processes (Environmental, Construction, etc.)
Conclusions: Overall review of what this document presented.
Recommendations: Recommendations for VDOT.
References: Any documents, websites, or books used in this document.
Appendix A: Methodology of Web-Page: Description of how the IDEF Worksheet Questions webpage was created and the code that went into creating it.
Appendix B: IDEF Worksheet: Print out of the worksheet used.
Appendix C: AllFusion Program: Print out of the IDEF models created.

50. www.virginia.edu/crmes/stip/IDEF Worksheet.xls