Configuration Management for Transportation Management Systems
Handbook

Chapter 6 – Configuration Management Program: Making it Work in Your Agency

The previous chapters have provided a solid foundation in the CM process, with special emphasis on key areas such as planning and baselines. Section III focuses on implementing the CM process into a comprehensive program for a TMS. This chapter provides specific guidance and examples to help transportation professionals begin to implement or improve a CM program to manage change and maintain the integrity of a TMS.

Topics to be covered include:

• Establishing a CM program.
• Organizing for CM.
• Personnel.
• Budgeting considerations

Establishing a CM Program

One of the most frequent statements of individuals considering CM is "I don't know where to begin." Although this handbook does go into considerable depth concerning the various aspects and components of CM, the fact remains that it is possible—and advisable—to start small. Starting small will help an organization make better decisions as the CM program starts—even when the system is large. This section provides guidance on establishing a CM program and presents the experiences of two agencies.

Implementation Guidance

As with any new initiative, a champion must spearhead the establishment of a CM program. Sometimes, the champion faces a difficult battle, particularly due to cultural resistance within the agency. CM often is viewed as an expensive bureaucratic process with benefits that are hard to quantify. For this reason, the champion must educate decision makers and system staff on what CM is, and isn't, as well as describe the benefits of CM in a tangible manner. The champion also must secure funds or staff time to use in creating a CM plan for the program.

Once initial buy-in has been established, the next step is to create a CM plan. Depending on the complexity of the system, the plan may be developed in-house or by a consultant. Regardless of the developer, the agency must be actively involved in the entire plan development process.

Plan developers must think beyond the issues most directly related to CM: thoroughly understanding the management structure of the agency is also vital. As one transportation professional with extensive CM experience noted, "How resources are allocated to projects and ongoing operations and maintenance efforts within an agency should influence how the plan is developed. If resources are not under the control of the TMC system managers, the methodologies for accomplishing change control and other items may be different."

Once the plan is developed, the blueprint is in place to drive the program. The champion must make it clear to decision makers that the creation of the plan is but the first step in the program. Committing to CM means a long-term staff, budget, and procedural commitment.

An ideal way to implement CM is at the onset of the development of a new system. In this case the CM champion should use CM to manage initial system requirements and require development contractors to use CM throughout their activities. Early inclusion of CM allows for a natural progression of the CM program into the operations and maintenance stages of the system life cycle. It is not too late, however, to implement CM if a TMS already exists. The guidance provided in this section applies equally well to initiating CM for an established system.

Implementation Guidance Summary

• A CM champion is needed.
• Ideally, incorporate CM during the requirements and development phases.
• CM program begins with educating decision makers and staff on the realities of CM and the benefits of a CM program.
• Be sure all involved understand that CM is an ongoing program, not a short-term project.

Best Transportation Practices

The experiences of GDOT and Maryland State Highway Administration in establishing CM programs are described below.

Georgia NaviGAtor

The GDOT NaviGAtor CM plan and program were initiated in 1998 based on the desire to manage change in an effective, efficient manner. One particular member of the engineering staff took on the role of CM champion and promoted its adoption for the NaviGAtor system. There was very little institutional resistance to adopting CM because the benefits were perceived to be worth the resources required and because the risk of adverse effects of changing the system in an unregulated manner was determined to be too high.

Because few people at GDOT had any experience with CM, the agency found it necessary to hire a consultant. The initial consultant had significant CM experience, but knew very little about ITS. This consultant was replaced by one that was both familiar with ITS and a CM expert. The knowledge that he possessed was cited as invaluable to the establishment and maintenance of the NaviGAtor CM manual. The NaviGAtor CM manager noted, however, that even an expert will not produce an ideal document the first time. Agencies must be prepared to make revisions to the CM program and CM plan based on lessons learned during their use. There have been five major versions of the NaviGAtor CM manual, with both major and minor revisions occurring in between.

One of the initial challenges facing the NaviGAtor team during establishment of the CM program was baselining its existing system. Many meetings and personnel-hours were devoted to figuring out precisely which items and subsystems would fall under baselining. The actual collection of information, such as documentation, code, hardware, and so forth, required significant resources of personnel-hours and money as well.

Maryland CHART II System

The CM program for the CHART II system was initiated by the current system administrator based on his CM experience gained in software development. A primary reason for initiating the CM program was that the system administrator held the belief that CM is just "the right way to do it." New executive leadership within the organization and a desire to make the system more capable of undergoing change smoothly meant that the idea of CM for CHART II encountered little resistance. Once establishment of a CM program had been approved, consultants were hired to develop the CM plan, with significant oversight and involvement of the system administrator.

Organizing for CM

The success of CM is solely dependent on how well an agency organizes itself to institute the required polices and processes. This section addresses the issue of organizing staff to successfully carry out a CM program. Three primary subjects are covered:

1. CM Administration.
2. CM Manager.
3. Configuration Control Board (CCB).

CM Administration

This subsection describes administrative structures that effectively support CM in transportation agencies. Most agencies have several personnel with various responsibilities in the CM program. A typical agency's program is overseen by the CM manager and is staffed by a team of technical and administrative personnel. In most cases outside consultants act as CM facilitators or advisors to assist with the operation of the CM program.

CM administration is crucial to the proper functioning of the CM program. Whether CM managers, CM facilitators or the CCB, all play important roles in the decision-making process. The CM administration is responsible for such considerations as:

• Assessing proposed system changes.
• Determining the fate of proposed changes.
• Ensuring all staff is familiar with the CM program.
• Providing necessary resources for the CM program.
• Training relevant staff in the CM program.
• Modifying the CM program based on assessed need.
• Controlling changes to the CM plan.

Because of these important responsibilities, managers must exercise care in choosing personnel to be part of the CM administrative bodies. As discussed in the "Implementation Guidance" section, personnel should come from a wide variety of backgrounds with skills in numerous areas.

Implementation Guidance

Effective CM administration starts at the top. The TMS facility/system manager must play an active role in the CM program. In most cases this individual serves on the CCB and, in some cases, serves as the CM manager. In all cases, the TMS facility/system manager must fully support the program and become involved on critical change decisions.

Depending on the size of the system and complexity of the CM program, the CM administration may be comprised of a large or small group of individuals. Regardless of the administration's size, the roles of each individual within the CM administration must be well understood. The CM plan should specify the responsibilities of each person involved in the CM decision-making process. The Georgia NaviGAtor team member responsibility chart is an excellent example and illustrated in figure 6.1 in the "Best Transportation Practices" subsection.

Another important factor to consider when establishing the CM administrative structure is that decision makers should come from a variety of specialties and areas of focus. In order for the CM program to be as effective as possible, it is ideal to include personnel from across the spectrum of departments, such as planning, management, technical/design, operations and maintenance, and financial. Doing so ensures that no areas are overlooked during the application of the CM program and reduces the chances of the CM activities of one group overlapping or conflicting with those of another. Roles essential to CM administration are:

• CM manager.
• CM facilitator or advisor.
• Technical experts.
• Respective project managers.
• Document specialists.

Implementation Guidance Summary

• The TMS system/facility manager must play an active role in CM administration.
• The roles of all personnel must be clearly defined and the relationships among them must be understood.
• The CM plan should clearly state specific tasks and requirements of all personnel involved in CM administration.
• The personnel involved in the administration of a CM program must have a variety of focus areas including: management, planning, financial, and technical.

Best Transportation Practices

Georgia NaviGAtor

The Georgia NaviGAtor CM plan describes in detail the personnel responsible for making decisions related to its CM program. According to the plan, personnel working within the CM program has two responsibilities: 1) to act as members of the configuration control board and 2) to act as general administrators on routine issues that may arise, but do not require CCB action. The administrative issues include items such as budgeting, planning, and the recommendations of new procedures. Table 6.1 specifies the duties of key administrative personnel:

Southern California Priority Corridor

Because the Southern California Priority Corridor involves multiple regions and jurisdictions working together, the organization for CM decision-making is different than typical CM programs. The project director in the Priority Corridor's Project Office leads the CM program. Several tasks and positions have been specified to be part of the CM program administration. Figure 6.1 describes these roles:

Staffing has been devoted to each of these areas to help ensure that the system is properly managed.

Maryland CHART II System

The CHART II plan describes the CM Office as the central, organizing body for the system's CM activities. The CMO assures that the standards and procedures specified in the plan are adhered to, helps establish and maintain baselines approved by the CCB, and aids in problem resolution and change management. The CMO also must create configuration status reports and is responsible for the baseline reviews and audits. The CMO administers the software library and a library of documentation for all project deliverables.

The plan specifies two major boards central to the CM program. The first, the CCB, is discussed in chapter 3. The other board is the CHART II Level B Problem Review Board. Level B changes are those done to development baseline items or other items specified by the Project Manager. This board meets when necessary to address all Level B problems. The CMO is responsible for the organization of the meetings and the tracking of all Level B problems. The members of this board include:

• Task manager (chairperson).
• The CM Office.
• Quality assurance representative.
• System test manager.
• Development manager.
• Database designer.

Richmond, VA Smart Traffic Center

The Richmond Smart Traffic Center CM plan calls for two major boards to help administer the CM program: the CCB and the Issue Mediation Board. The CCB is discussed in chapter 3. Each of the boards is comprised of personnel from VDOT and from the prime and subcontractors. Personnel from VDOT chair both boards.

The IMB exists to resolve problems regarding software changes that cannot be solved by the CCB. It is made up of three persons, one chairperson from VDOT and one person from each of the contractors working for the Smart Traffic Center. Project level management personnel staff the IMB.

CM Manager

This section introduces the essential position of CM manager. The primary responsibilities of the CM manager are to direct the CM program, chair the CCB, and oversee the execution of all CCB decisions.

Implementation Guidance

An active CM manager is essential to an effective CM program. Having one individual who is ultimately responsible for the execution of the CM plan and policies centralizes the program and is preferable to having to rely on the CCB for program delivery. In essence, the CM manager may be considered the executive branch of government, while the CCB or other boards could be considered the legislative branch. The manager is responsible for verifying that all new policies and procedures determined by the boards are followed as closely as possible. When it is not possible to follow these procedures due to technical or other reasons, the manager is called on to determine a solution that will work within the CM program.

In large-scale CM programs, it usually is necessary to devote an entire position to the role of CM manager. In smaller programs the CM manager often has other responsibilities. (For example, in many cases the CM manager also is the TMS system/facility manager). The CM manager does not need to be a highly technical individual. Detailed technical review can, and in most cases should, be carried out by engineering staff. A successful CM manager is an individual with an appreciation for technical considerations and who has a sound understanding of personnel, operations, and budgeting issues within the TMS.

The CM manager should not be allocated to a consultant or contractor member of the CM team. Given that the agency is the owner and ultimately responsible for the TMS, the CM manager must be an agency staff member. The CM manager may be assisted by consultants, but final decisions and responsibility for TMS change control must rest with the CM manager.

Implementation Guidance Summary

• A CM manager, employed by the transportation agency, must be formally established to lead the CM program.
• The CM manager will be the chair of the CCB.
• The CM manager should be an individual with an appreciation for technical considerations and who has a sound understanding of personnel, operations, and budgeting issues within the TMS.

Best Transportation Practices

Georgia NaviGAtor

In the Georgia NaviGAtor CM plan, the CM manager is the overall director of CM activities. The plan describes the position's particular duties in detail. These duties are described in general in figure 6.1 in the previous subsection. The CM manager is responsible for leading all CCB meetings and presenting all System Change Requests to the CCB. If there is disagreement over what should be done regarding a certain SCR, then the CM manager will lead the discussion until a consensus is reached. If special circumstances need to be discussed at one of the meetings, the manager may select additional personnel to attend the meetings.

In summary, the primary responsibilities of the CM manager are, as stated in the NaviGAtor CM manual:

1. Scheduling CCB meetings in conjunction with the program manager.
2. Updating and issuing status reports.
3. Assigning change assessment resolution team leader if required.
4. Tracking the progress of assessment team to assure timely progress.
5. Managing data repositories.
6. Managing and revising CCB related CM procedures.
7. Assuring SCR and related information is complete and accurate.
8. Requesting additional personnel to attend CCB meetings if needed.
9. Assuring operational disciplines of the CCB CM process are being followed.

Maryland CHART II System

The Maryland CHART II CM plan does not specifically mention a CM manager, but calls for a project manager to be responsible for promoting the CM activities and for ensuring that the goals of the CM program are met. The project manager is the chair of the CCB and has final approval on CCB issues. In addition, the plan describes the duties of the task manager. The task manager is a contractor-provided manager that ensures that the CM program is applied during projects and that all components of the plan are carried out as specified.

Configuration Control Board (CCB)

The CCB is one of the most important aspects of a CM program and is responsible for all of the major change decisions that will affect the system. The CCB is chaired by the CM manager and is usually aided by a CM facilitator or CM advisor (often consultants with CM expertise—see chapter 9). The board meets on a regular basis, typically monthly or bimonthly to evaluate all proposed changes to the system and to determine a course of action.

Personnel

The fact that the effectiveness of a CM program depends on the people involved cannot be stated too often. The purpose of this section is to describe the attributes an agency should look for when selecting or recruiting members for a CM team.

Implementation Guidance

The good news concerning personnel involved in a CM program is that the program generally does not require a host of highly educated technical geniuses. In fact, as seen in chapter 3, CM is largely concerned with a commitment to using a common sense and rigorous approach to documentation. The following knowledge, skills, and abilities (KSAs) are desirable in any staff member associated with the CM program.

• Detail oriented.
• Commitment to teamwork.
• Excellent communication skills (verbal and written).
• Organized.
• Knowledge of basic systems engineering process.
• Knowledge of CM basics.
• Knowledge of project management basics.

Beyond these basic KSAs, personnel recommendations are presented for the CM manager position, CM facilitator, and the CCB.

CM Manager

The CM manager should have a solid background in TMSs and the functioning of a transportation agency. The CM manager preferably will have prior experience in CM or else should receive significant training before initiation of the CM program. Because the CM manager runs the CM program, he or she must possess overarching knowledge of the entire program and the concepts involved with CM in general. The CM manager spends more time than any other staff member devoted to the CM program (ranging from 10 to 40 hours per week depending on its scope).

CM Facilitator

The CM facilitator is typically a consultant or contractor with prior CM expertise. The facilitator must have detailed CM experience to be of value to the TMSs CM program. The CM facilitator, together with the CM manager, should be responsible for training all other personnel, including the members of the CCB. For this reason, the facilitator should have a strong working knowledge of the tools in which staff will be trained and of the specific procedures and policies that the staff is to follow.

It is strongly suggested that an agency require the CM facilitator be CMII certified. CMII is an approach to CM developed by the Institute of Configuration Management (www.icmhq.com [Link no longer active]). In order to receive CMII Certification, one must complete the following six 2-day courses:

• Configuration Management & the CMII Model.
• Structured Configuration and Process Information.
• Key Elements of Change Management.
• Closed-Loop and Fast Track Change Process.
• CMII Operating Standards and Legal Liabilities.
• CMII Assessment, Implementation and Application.

CCB Members

CCB members, other than the CM manager and the CM facilitator, will require significant training in terms of CM policies and the processes involved with CM, such as filling out and evaluating change requests. Board members also require training in the use of the CM tools. Training CCB members typically requires several days, and board members can expect to spend a few hours per week devoted to CCB matters.

Implementation Guidance Summary

• Consider basic KSAs described in this subsection when selecting any staff member to be involved in CM program.
• CM manager must have strong TMS experience. CM experience is preferable, but in-depth training can be used as a substitute.
• CM facilitator must have experience with CM programs.
• Consider requiring the CM facilitator to be CMII Certified.

Best Transportation Practices

Given that CM is still relatively new to transportation agencies, very few CM-specific personnel practices are documented. General information obtained through interviews with transportation professionals is provided in this section.

Administrative Capabilities

Transportation professional agreed that the key to success in CM is strong administrative capabilities. The professionals stated that they generally look for well-organized, strong administrators for CM positions, and then seek to provide them CM-specific training to provide CM knowledge.

Resources to Support More Formal KSA Development

In the event that an agency progresses to a point where formal CM-specific position descriptions are appropriate to develop, it is important to remember that these positions require having a strong domain foundation in transportation management. To support this effort, transportation professionals recommended using the final report of the project TMC Operator Requirements Matrix, currently being completed as part of the TMC Pooled Fund Program. This project has developed full position descriptions for the following transportation management-related positions. Information from these descriptions should be included in a CM position as appropriate.

1. NETWORK SYSTEMS TECHNICIAN
2. TRAFFIC SIGNAL TECHNICIAN I
3. TRAFFIC SIGNAL TECHNICIAN II
4. TRAFFIC COMMUNICATION TECHNICIAN I
5. TRAFFIC COMMUNICATION TECHNICIAN II
6. SENIOR TRAFFIC SIGNAL TECHNICIAN
7. SENIOR INTELLIGENT TRANSPORTATION SYSTEM (ITS) TECHNICIAN
8. TRAFFIC SYSTEMS ENGINEERING SUPERVISOR
9. OPERATOR I

Budgeting Considerations

Before any CM planning or activity can be started, sufficient resources must be available to complete the task. This section addresses CM program costs, which are broken down into two main categories: initial costs and ongoing costs. Initial costs occur when CM is first being implemented – primarily during the planning phase. An ongoing cost is one required for the day-to-day activities of CM. Examples of ongoing costs include paying personnel for the time spent in CCB meetings and the cost of retaining an outside CM consultant.

Implementation Guidance

CM plan development requires significant resources as an agency begins a CM program. Depending on the complexity of the TMS and scale of the CM program, the cost of plan development may vary greatly. Plan development can involve roughly one month of full-time effort, at a minimum, for a "simple" CM program to one year of full-time effort for a complex program.

Finally, an agency must keep in mind that the costs for CM plan development will include a significant amount of staff time devoted to the effort.

Once the CM plan is complete and an agency begins the CM process, ongoing costs are necessary to support the program. CM experts stated that generally an agency can expect to devote roughly 5 to 8 percent of the initial system cost on CM annually. This cost includes staff, consultant, and associated CM tool expenses.

The CM processes often require additional tools (see chapter 8) to track configuration items through the TMS life cycle. Associated costs include the initial purchase of the tool, ongoing annual license fees (usually10 to15 percent of initial cost), and staff time devoted to using the tool. An additional ongoing cost to keep in mind is the cost of staff training during the system life cycle. Training will be required at different points throughout the life cycle as the system and the CM program are enhanced. The use of new tools, as well as new CM program processes, requires staff training. Available resources for CM training are described in chapter 9.

Providing concrete recommendations on budget requirements for a CM program is extremely difficult, particularly given the significant differences in TMS needs and alternatives for CM program "delivery." The general guidance provided in this chapter is intended to help transportation professionals consider key issues as they embark on the budgeting process. The experiences of transportation agencies, provided in the next section, also can help with this process.

Implementation Guidance Summary

• Expect CM planning to require between 1 – 12 person months of effort.
• Annual costs of a CM program are generally 5 – 8 percent of initial system cost.
• Ongoing CM costs include staff time, consultant support, tool purchase/maintenance fees, and training.

Best Transportation Practices

Georgia NaviGAtor

The costs associated with development of the NaviGAtor CM program were relatively high, which is not surprising given the complexity of its system and CM program. Development of the CM plan took a full-time consultant about a year and required about 50 hours of staff time. The agency also created two positions to facilitate CM: the CM manager and documentation control manager. The CM manager is a G-14 level position with a pay range of $27,000-49,000. The documentation control manager is a G-12 level position with a pay range of $22,000-42,000. The agency also hired an outside consultant to help with its CM activities. The consultant works full time doing NaviGAtor CM work, which includes establishing baselines and conducting training. The cost of the consultant was not made available to the study team, although it was stated that normal consulting fees were a good estimation.

Richmond, VA Smart Travel Center

The Richmond STCs CM costs can be broken down similarly to NaviGAtor's costs. During development the CM plan required staff time of less than 10 hours and took 2 consultants 40 hours each. The CM manager estimates that the agency spends $5,000 per month for in-house personnel CM activities, and $20,000 per month for CM consultants and contractors. Unlike the NaviGAtor program, Richmond does not have any specific outlays for CM tools. The tools are covered in its consultant expenditures.

Maryland CHART II System

The Maryland CHART II System CM program controls software and the related documentation. According to the system administrator, the CM plan took a full-time consultant two weeks to develop. The system administrator spends about four hours monthly on CM, and a CM consultant works full-time. As with Richmond STC the consultant maintains the software and is responsible for providing the CM tools.