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Kennedy Space Center's need to conduct real-time monitoring of Space Shuttle operations led to the development of Netlander Inc.'s JTouch system. The technology behind JTouch allows engineers to view Space Shuttle and ground support data from any desktop computer using a web browser. Companies can make use of JTouch to better monitor locations scattered around the world, increasing decision-making speed and reducing travel costs for site visits.
This paper reports preliminary and partial results of a flight experiment to address how General Aviation (GA) pilots use weather cues to make flight decisions. This research presents pilots with weather cue conditions typically available to GA pilots in visual meteorological conditions (VMC) and instrument meteorological conditions (IMC) today, as well as in IMC with a Graphical Weather Information System (GWIS). These preliminary data indicate that both VMC and GWIS-augmented IMC conditions result in better confidence, information sufficiency and perceived performance than the current IMC condition. For all these measures, the VMC and GWIS-augmented conditions seemed to provide similar pilot support. These preliminary results are interpreted for their implications on GWIS display design, training, and operational use guidelines. Final experimental results will compare these subjective data with objective data of situation awareness and decision quality.
NASA is considering the development of a Cooperative Human-Adaptive Traffic Simulation (CHATS), to examine and evaluate performance of the National Airspace System (NAS) as the aviation community moves toward free flight. CHATS will be specifically oriented toward simulating strategic decision-making by airspace users and by the service provider s traffic management personnel, within the context of different airspace and rules assumptions. It will use human teams to represent these interests and make decisions, and will rely on computer modeling and simulation to calculate the impacts of these decisions. The simulation objectives will be to examine: 1. evolution of airspace users and the service provider s strategies, through adaptation to new operational environments; 2. air carriers competitive and cooperative behavior; 3. expected benefits to airspace users and the service provider as compared to the current NAS; 4. operational limitations of free flight concepts due to congestion and safety concerns. This paper describes an operational concept for CHATS, and presents a high-level functional design which would utilize a combination of existing and new models and simulation capabilities.
NASA has long supported research on intelligent control technologies that could allow space systems to operate autonomously or with reduced human supervision. Proposed uses range from automated control of entire space vehicles to mobile robots that assist or substitute for astronauts to vehicle systems such as life support that interact with other systems in complex ways and require constant vigilance. The potential for pervasive use of such technology to extend the kinds of missions that are possible in practice is well understood, as is its potential to radically improve the robustness, safety and productivity of diverse mission systems. Despite its acknowledged potential, intelligent control capabilities are rarely used in space flight systems. Perhaps the most famous example of intelligent control on a spacecraft is the Remote Agent system flown on the Deep Space One mission (1998 - 2001). However, even in this case, the role of the intelligent control element, originally intended to have full control of the spacecraft for the duration of the mission, was reduced to having partial control for a two-week non-critical period. Even this level of mission acceptance was exceptional. In most cases, mission managers consider intelligent control systems an unacceptable source of risk and elect not to fly them. Overall, the technology is not trusted. From the standpoint of those who need to decide whether to incorporate this technology, lack of trust is easy to understand. Intelligent high-level control means allowing software io make decisions that are too complex for conventional software. The decision-making behavior of these systems is often hard to understand and inspect, and thus hard to evaluate. Moreover, such software is typically designed and implemented either as a research product or custom-built for a particular mission. In the former case, software quality is unlikely to be adequate for flight qualification and the functionality provided by the system is likely driven largely by the need to publish innovative work. In the latter case, the mission represents the first use of the system, a risky proposition even for relatively simple software.
This paper describes a successful research and operational collaboration between NASA scientists and NWS forecasters to improve severe stor m warnings using real-time data from a regional VHF total lightning mapping array (LMA). Key objectives of our research using LMA data ar e: a) Identification of intensifying and weakening storms using the time rate-of-change of total flash rate; b) Improved severe storm poten tial situational awareness; c) Evaluation of the potential of total f lash rate trend to improve severe storm probability of detection (POD ) and lead time; and d) Validation of mesoscale model forecasts of th understorm initiation. The LMA data are distributed for ingest and di splay in the WFO AWIPS decision support system, and archived at each WFO for case studies, event playbacks, and assessments using the NWS Warning Event Simulator. The Huntsville WFO has upgraded severe thund erstorm warnings to verified tornado warnings and avoided a false ala rm on a severe storm through the added information on storm growth, intensification, and decay that can be deduced from the magnitude and temporal trend of total flash rates. We present detailed case studies of the observed relationships between lightning activity and tornadi c storm development as determined by radar reflectivity and velocity fields, and thunderstorms forecast by the Weather Research and Foreca st (WRF) model. From these collaborative studies, forecasters can eva luate the added value of total lightning data within the forecast and warning decision-making process (http://weather.msfc.nasa.gov/sport) .
The problem of aircraft concept selection has become increasingly difficult in recent years as a result of a change from performance as the primary evaluation criteria of aircraft concepts to the current situation in which environmental effects, economics, and aesthetics must also be evaluated and considered in the earliest stages of the decision-making process. This has prompted a shift from design using historical data regression techniques for metric prediction to the use of physics-based analysis tools that are capable of analyzing designs outside of the historical database. The use of optimization methods with these physics-based tools, however, has proven difficult because of the tendency of optimizers to exploit assumptions present in the models and drive the design towards a solution which, while promising to the computer, may be infeasible due to factors not considered by the computer codes. In addition to this difficulty, the number of discrete options available at this stage may be unmanageable due to the combinatorial nature of the concept selection problem, leading the analyst to arbitrarily choose a sub-optimum baseline vehicle. These concept decisions such as the type of control surface scheme to use, though extremely important, are frequently made without sufficient understanding of their impact on the important system metrics because of a lack of computational resources or analysis tools. This paper describes a hybrid subjective/quantitative optimization method and its application to the concept selection of a Small Supersonic Transport. The method uses Genetic Algorithms to operate on a population of designs and promote improvement by varying more than sixty parameters governing the vehicle geometry, mission, and requirements. In addition to using computer codes for evaluation of quantitative criteria such as gross weight, expert input is also considered to account for criteria such as aeroelasticity or manufacturability which may be impossible or too computationally expensive to consider explicitly in the analysis. Results indicate that concepts resulting from the use of this method represent designs which are promising to both the computer and the analyst, and that a mapping between concepts and requirements that would not otherwise be apparent is revealed.
Fault discovery in the complex systems consist of model based reasoning, fault tree analysis, rule based inference methods, and other approaches. Model based reasoning builds models for the systems either by mathematic formulations or by experiment model. Fault Tree Analysis shows the possible causes of a system malfunction by enumerating the suspect components and their respective failure modes that may have induced the problem. The rule based inference build the model based on the expert knowledge. Those models and methods have one thing in common; they have presumed some prior-conditions. Complex systems often use fault trees to analyze the faults. Fault diagnosis, when error occurs, is performed by engineers and analysts performing extensive examination of all data gathered during the mission. International Space Station (ISS) control center operates on the data feedback from the system and decisions are made based on threshold values by using fault trees. Since those decision-making tasks are safety critical and must be done promptly, the engineers who manually analyze the data are facing time challenge. To automate this process, this paper present an approach that uses decision trees to discover fault from data in real-time and capture the contents of fault trees as the initial state of the trees.
Models and simulations (M&S) are critical resources in the exploration of space. They support program management, systems engineering, integration, analysis, test, and operations and provide critical information and data supporting key analyses and decisions (technical, cost and schedule). Consequently, there is a clear need to establish a solid understanding of M&S strengths and weaknesses, and the bounds within which they can credibly support decision-making. Their usage requires the implementation of a rigorous approach to verification, validation and accreditation (W&A) and establishment of formal process and practices associated with their application. To ensure decision-making is suitably supported by information (data, models, test beds) from activities (studies, exercises) from M&S applications that are understood and characterized, ESMD is establishing formal, tailored W&A processes and practices. In addition, to ensure the successful application of M&S within ESMD, a formal process for the certification of analysts that use M&S is being implemented. This presentation will highlight NASA's Exploration Systems Mission Directorate (ESMD) management approach for M&S W&A to ensure decision-makers receive timely information on the model's fidelity, credibility, and quality.
Many measurements were taken by test engineers from Hamilton Sundstrand, the prime contractor for the current EVA suit. Because the raw measurements needed to be converted to torques and combined into a final score, it was impossible to keep track of who was ahead in this phase. The final comfort and dexterity test was performed in a depressurized glove box to simulate real on-orbit conditions. Each competitor was required to exercise the glove through a defined set of finger, thumb, and wrist motions without any sign of abrasion or bruising of the competitor's hand. I learned a lot about arm fatigue! This was a pass-fail event, and both of the remaining competitors came through intact. After taking what seemed like an eternity to tally the final scores, the judges announced that I had won the competition. My glove was the only one to have achieved lower finger-bending torques than the Phase VI glove. Looking back, I see three sources of the success of this project that I believe also operate in other programs where small teams have broken new ground in aerospace technologies. These are awareness, failure, and trust. By remaining aware of the big picture, continuously asking myself, "Am I converging on a solution?" and "Am I converging fast enough?" I was able to see that my original design was not going to succeed, leading to the decision to start over. I was also aware that, had I lingered over this choice or taken time to analyze it, I would not have been ready on the first day of competition. Failure forced me to look outside conventional thinking and opened the door to innovation. Choosing to make incremental failures enabled me to rapidly climb the learning curve. Trusting my "gut" feelings-which are really an internalized accumulation of experiences-and my newly acquired skills allowed me to devise new technologies rapidly and complete both gloves just in time. Awareness, failure, and trust are intertwined: failure provides experiences that inform awareness and provide decision-making opportunities that build trust among team members and managers while opening minds to new pathways for development. All three are necessary for teams-large or small-to achieve big innovation.
A machine-vision system capable of detecting obstacles large enough to damage or trap a robotic vehicle is undergoing development. The system includes (1) a pattern generator that projects concentric circles of laser light forward onto the terrain, (2) a stereoscopic pair of cameras that are aimed forward to acquire images of the circles, (3) a frame grabber and digitizer for acquiring image data from the cameras, and (4) a single-board computer that processes the data. The system is being developed as a prototype of machine- vision systems to enable robotic vehicles ( rovers ) on remote planets to avoid craters, large rocks, and other terrain features that could capture or damage the vehicles. Potential terrestrial applications of systems like this one could include terrain mapping, collision avoidance, navigation of robotic vehicles, mining, and robotic rescue. This system is based partly on the same principles as those of a prior stereoscopic machine-vision system in which the cameras acquire images of a single stripe of laser light that is swept forward across the terrain. However, this system is designed to afford improvements over some of the undesirable features of the prior system, including the need for a pan-and-tilt mechanism to aim the laser to generate the swept stripe, ambiguities in interpretation of the single-stripe image, the time needed to sweep the stripe across the terrain and process the data from many images acquired during that time, and difficulty of calibration because of the narrowness of the stripe. In this system, the pattern generator does not contain any moving parts and need not be mounted on a pan-and-tilt mechanism: the pattern of concentric circles is projected steadily in the forward direction. The system calibrates itself by use of data acquired during projection of the concentric-circle pattern onto a known target representing flat ground. The calibration- target image data are stored in the computer memory for use as a template in processing terrain images. During operation on terrain, the images acquired by the left and right cameras are analyzed. The analysis includes (1) computation of the horizontal and vertical dimensions and the aspect ratios of rectangles that bound the circle images and (2) comparison of these aspect ratios with those of the template. Coordinates of distortions of the circles are used to identify and locate objects. If the analysis leads to identification of an object of significant size, then stereoscopicvision algorithms are used to estimate the distance to the object. The time taken in performing this analysis on a single pair of images acquired by the left and right cameras in this system is a fraction of the time taken in processing the many pairs of images acquired in a sweep of the laser stripe across the field of view in the prior system. The results of the analysis include data on sizes and shapes of, and distances and directions to, objects. Coordinates of objects are updated as the vehicle moves so that intelligent decisions regarding speed and direction can be made. The results of the analysis are utilized in a computational decision-making process that generates obstacle-avoidance data and feeds those data to the control system of the robotic vehicle.
The Land Information System (LIS; http://lis.gsfc.nasa.gov; Kumar et al., 2006; Peters- Lidard et al.,2007) is a flexible land surface modeling framework that has been developed with the goal of integrating satellite- and ground-based observational data products and advanced land surface modeling techniques to produce optimal fields of land surface states and fluxes. As such, LIS represents a step towards the next generation land component of an integrated Earth system model. In recognition of LIS object-oriented software design, use and impact in the land surface and hydrometeorological modeling community, the LIS software was selected ase co-winner of NASA's 2005 Software of the Year award. LIS facilitates the integration of observations from Earth-observing systems and predictions and forecasts from Earth System and Earth science models into the decision-making processes of partnering agency and national organizations. Due to its flexible software design, LIS can serve both as a Problem Solving Environment (PSE) for hydrologic research to enable accurate global water and energy cycle predictions, and as a Decision Support System (DSS) to generate useful information for application areas including disaster management, water resources management, agricultural management, numerical weather prediction, air quality and military mobility assessment. LIS has evolved from two earlier efforts North American Land Data Assimilation System (NLDAS; Mitchell et al. 2004) and Global Land Data Assimilation System (GLDAS; Rodell al. 2004) that focused primarily on improving numerical weather prediction skills by improving the characterization of the land surface conditions. Both of GLDAS and NLDAS now use specific configurations of the LIS software in their current implementations. In addition, LIS was recently transitioned into operations at the US Air Force Weather Agency (AFWA) to ultimately replace their Agricultural Meteorology (AGRMET) system, and is also used routinely by NOAA's National Centers for Environmental Prediction (NCEP)/Environmental Modeling Center (EMC) for their land data assimilation systems to support weather and climate modeling. LIS not only consolidates the capabilities of these two systems, but also enables a much larger variety of configurations with respect to horizontal spatial resolution, input datasets and choice of land surface model through "plugins,". As described in Kumar et al., 2007, and demonstrated in Case et al., 2008, and Santanello et al., 2009, LIS has been coupled to the Weather Research and Forecasting (WRF) model to support studies of land-atmosphere coupling the enabling ensembles of land surface states to be tested against multiple representations of the atmospheric boundary layer. LIS has also been demonstrated for parameter estimation as described in Peters-Lidard et al. (2008) and Santanello et al. (2007), who showed that the use of sequential remotely sensed soil moisture products can be used to derive soil hydraulic and texture properties given a sufficient dynamic range in the soil moisture retrievals and accurate precipitation inputs. LIS has also recently been demonstrated for multi-model data assimilation (Kumar et al., 2008) using an Ensemble Kalman Filter for sequential assimilation of soil moisture, snow, and temperature. Ongoing work has demonstrated the value of bias correction as part of the filter, and also that of joint calibration and assimilation. Examples and case studies demonstrating the capabilities and impacts of LIS for hydrometeoroogical modeling, assimilation and parameter estimation will be presented as advancements towards the next generation of integrated observation and modeling systems.
Product Lifecycle Management (PLM) is an outcome of lean thinking to eliminate waste and increase productivity. PLM is inextricably tied to the systems engineering business philosophy, coupled with a methodology by which personnel, processes and practices, and information technology combine to form an architecture platform for product design, development, manufacturing, operations, and decommissioning. In this model, which is being implemented by the Engineering Directorate at the National Aeronautics and Space Administration's (NASA's) Marshall Space Flight Center, total lifecycle costs are important variables for critical decisionmaking. With the ultimate goal to deliver quality products that meet or exceed requirements on time and within budget, PLM is a powerful tool to shape everything from engineering trade studies and testing goals, to integrated vehicle operations and retirement scenarios. This paper will demonstrate how the Engineering Directorate is implementing PLM as part of an overall strategy to deliver safe, reliable, and affordable space exploration solutions. It has been 30 years since the United States fielded the Space Shuttle. The next generation space transportation system requires a paradigm shift such that digital tools and knowledge management, which are central elements of PLM, are used consistently to maximum effect. The outcome is a better use of scarce resources, along with more focus on stakeholder and customer requirements, as a new portfolio of enabling tools becomes second nature to the workforce. This paper will use the design and manufacturing processes, which have transitioned to digital-based activities, to show how PLM supports the comprehensive systems engineering and integration function. It also will go through a launch countdown scenario where an anomaly is detected to show how the virtual vehicle created from paperless processes will help solve technical challenges and improve the likelihood of launching on schedule, with less hands-on labor needed for processing and troubleshooting. Sustainable space exploration solutions demand that all lifecycle phases be optimized. Adopting PLM, which has been used by the automotive industry for many years, for aerospace applications provides a foundation for strong, disciplined systems engineering and accountable return on investment by making lifecycle considerations variables in an iterative decision-making process. This paper combines the perspectives of the founding father of PLM, along with the experience of Engineering leaders who are implementing these processes and practices real-time. As the nation moves from an industrial-based society to one where information is a valued commodity, future NASA programs and projects will benefit from the experience being gained today for the exploration missions of tomorrow.
The Land Information System (LIS; http://lis.gsfc.nasa.gov) is a flexible land surface modeling framework that has been developed with the goal of integrating satellite-and ground-based observational data products and advanced land surface modeling techniques to produce optimal fields of land surface states and fluxes. As such, LIS represents a step towards the next generation land component of an integrated Earth system model. In recognition of LIS object-oriented software design, use and impact in the land surface and hydrometeorological modeling community, the LIS software was selected as a co-winner of NASA?s 2005 Software of the Year award.LIS facilitates the integration of observations from Earth-observing systems and predictions and forecasts from Earth System and Earth science models into the decision-making processes of partnering agency and national organizations. Due to its flexible software design, LIS can serve both as a Problem Solving Environment (PSE) for hydrologic research to enable accurate global water and energy cycle predictions, and as a Decision Support System (DSS) to generate useful information for application areas including disaster management, water resources management, agricultural management, numerical weather prediction, air quality and military mobility assessment. LIS has e volved from two earlier efforts -- North American Land Data Assimilation System (NLDAS) and Global Land Data Assimilation System (GLDAS) that focused primarily on improving numerical weather prediction skills by improving the characterization of the land surface conditions. Both of GLDAS and NLDAS now use specific configurations of the LIS software in their current implementations.In addition, LIS was recently transitioned into operations at the US Air Force Weather Agency (AFWA) to ultimately replace their Agricultural Meteorology (AGRMET) system, and is also used routinely by NOAA's National Centers for Environmental Prediction (NCEP)/Environmental Modeling Center (EMC) for their land data assimilation systems to support weather and climate modeling. LIS not only consolidates the capabilities of these two systems, but also enables a much larger variety of configurations with respect to horizontal spatial resolution, input datasets and choice of land surface model through "plugins". LIS has been coupled to the Weather Research and Forecasting (WRF) model to support studies of land-atmosphere coupling be enabling ensembles of land surface states to be tested against multiple representations of the atmospheric boundary layer. LIS has also been demonstrated for parameter estimation, who showed that the use of sequential remotely sensed soil moisture products can be used to derive soil hydraulic and texture properties given a sufficient dynamic range in the soil moisture retrievals and accurate precipitation inputs.LIS has also recently been demonstrated for multi-model data assimilation using an Ensemble Kalman Filter for sequential assimilation of soil moisture, snow, and temperature.Ongoing work has demonstrated the value of bias correction as part of the filter, and also that of joint calibration and assimilation.Examples and case studies demonstrating the capabilities and impacts of LIS for hydrometeorological modeling, assimilation and parameter estimation will be presented as advancements towards the next generation of integrated observation and modeling systems
Risk assessment is used in many industries to identify and manage risks. Initially developed for use on aeronautical and nuclear systems, risk assessment has been applied to transportation, chemical, computer, financial, and security systems among others. It is used to gain an understanding of the weaknesses or vulnerabilities in a system so modification can be made to increase operability, efficiency, and safety and to reduce failure and down-time. Risk assessment results are primary inputs to risk-informed decision making; where risk information including uncertainty is used along with other pertinent information to assist management in the decision-making process. Therefore, to be useful, a risk assessment must be directed at specific objectives. As the world embraces the globalization of trade and manufacturing, understanding the associated risk become important to decision making. Applying risk assessment techniques to a global system of development, manufacturing, and transportation can provide insight into how the system can fail, the likelihood of system failure and the consequences of system failure. The risk assessment can identify those elements that contribute most to risk and identify measures to prevent and mitigate failures, disruptions, and damaging outcomes. In addition, risk associated with public and environment impact can be identified. The risk insights gained can be applied to making decisions concerning suitable development and manufacturing locations, supply chains, and transportation strategies. While risk assessment has been mostly applied to mechanical and electrical systems, the concepts and techniques can be applied across other systems and activities. This paper provides a basic overview of the development of a risk assessment.
The United States Army is investing in simulations as a way of providing practice for leader decision making. Such simulations, grounded in lessons learned from deployment experienced leaders, place less experienced and more junior leaders in challenging situations they might soon be confronted with. And given increased demands on the Army to become more efficient, while maintaining acceptable levels of mission readiness, simulations offer a cost effective complement to live field training. So too, the design parameters of such a simulation can be made to reinforce specific behavior responses which teach leaders known theory and application of effective (and ineffective) decision making. With this in mind, the Center for Army Leadership (CAL) determined that decision-making was of critical importance. Specifically, the following aspects of decision-making were viewed as particularly important for today's Army leaders: 1) Decision dilemmas, in the form of equally appealing or equally unappealing choices, such that there is no clear "right" or "wrong" choice 2) Making decisions with incomplete or ambiguous information, and 3) Predicting and experiencing second- and third-order consequences of decisions. It is decision making in such a setting or environment that Army leaders are increasingly confronted with given the full spectrum of military operations they must be prepared for. This paper details the approach and development of this decision making simulation.
The advanced inspection system is an autonomous control and analysis system that improves the inspection and remediation operations for ground and surface systems. It uses optical imaging technology with intelligent computer vision algorithms to analyze physical features of the real-world environment to make decisions and learn from experience. The advanced inspection system plans to control a robotic manipulator arm, an unmanned ground vehicle and cameras remotely, automatically and autonomously. There are many computer vision, image processing and machine learning techniques available as open source for using vision as a sensory feedback in decision-making and autonomous robotic movement. My responsibilities for the advanced inspection system are to create a software architecture that integrates and provides a framework for all the different subsystem components; identify open-source algorithms and techniques; and integrate robot hardware.
The Advanced Concepts Office (ACO) at NASA, Marshall Space Flight Center is expanding its current technology assessment methodologies. ACO is developing a framework called TAPP that uses a variety of methods, such as association mining and rule learning from data mining, structure development using a Technological Innovation System (TIS), and social network modeling to measure structural relationships. The role of ACO is to 1) produce a broad spectrum of ideas and alternatives for a variety of NASA's missions, 2) determine mission architecture feasibility and appropriateness to NASA's strategic plans, and 3) define a project in enough detail to establish an initial baseline capable of meeting mission objectives ACO's role supports the decision-making process associated with the maturation of concepts for traveling through, living in, and understanding space. ACO performs concept studies and technology assessments to determine the degree of alignment between mission objectives and new technologies. The first step in technology assessment is to identify the current technology maturity in terms of a technology readiness level (TRL). The second step is to determine the difficulty associated with advancing a technology from one state to the next state. NASA has used TRLs since 1970 and ACO formalized them in 1995. The DoD, ESA, Oil & Gas, and DoE have adopted TRLs as a means to assess technology maturity. However, "with the emergence of more complex systems and system of systems, it has been increasingly recognized that TRL assessments have limitations, especially when considering [the] integration of complex systems." When performing the second step in a technology assessment, NASA requires that an Advancement Degree of Difficulty (AD2) method be utilized. NASA has used and developed or used a variety of methods to perform this step: Expert Opinion or Delphi Approach, Value Engineering or Value Stream, Analytical Hierarchy Process (AHP), Technique for the Order of Prioritization by Similarity to Ideal Solution (TOPSIS), and other multi‐criteria decision-making methods. These methods can be labor-intensive, often contain cognitive or parochial bias, and do not consider the competing prioritization between mission architectures. Strategic Decision-Making (SDM) processes cannot be properly understood unless the context of the technology is understood. This makes assessing technological change particularly challenging due to the relationships "between incumbent technology and the incumbent (innovation) system in relation to the emerging technology and the emerging innovation system." The central idea in technology dynamics is to consider all activities that contribute to the development, diffusion, and use of innovations as system functions. Bergek defines system functions within a TIS to address what is actually happening and has a direct influence on the ultimate performance of the system and technology development. ACO uses similar metrics and is expanding these metrics to account for the structure and context of the technology. At NASA technology and strategy is strongly interrelated. NASA's Strategic Space Technology Investment Plan (SSTIP) prioritizes those technologies essential to the pursuit of NASA's missions and national interests. The SSTIP is strongly coupled with NASA's Technology Roadmaps to provide investment guidance during the next four years, within a twenty-year horizon. This paper discusses the methods ACO is currently developing to better perform technology assessments while taking into consideration Strategic Alignment, Technology Forecasting, and Long Term Planning.
It is well documented that government agencies do not have the same incentive as the private sector to focus on process effectiveness and continual improvement of those processes. It is also well documented whenever government agencies fail to deliver efficient, effective, consistent, and fair services to the citizens. In spite of the various "reinventing government" and "effectiveness initiatives" of the past decades, and in spite of the efforts on the part of many agencies to improve, government in general still lags behind industry in creating a culture of effective processes and systems. While the tragic events that unfolded recently in Flint, Michigan, teach us that running government "like a business" does not always take the needs of the citizenry into account, there are many lessons and techniques from the private sector that government agencies can use to improve. The incentive to improve, while mandated by various administrations1, needs to come from within the workforce, in order to effectively take root. The best, most effective incentive is to reduce, control or eliminate risk. Government agencies face some of the same risks as the private sector, while some are unique. While ISO 310002 has been around since 2009, risk has taken on increased visibility within the private sector with the advent of the emphasis on risk-based thinking in ISO 9001:20153. The relationship between risk-based thinking and effective processes is simple and direct. Those processes that are well thought out and standardized (i.e. Plan-Do-Check-Act), will have taken into account the applicable policy, statutory, regulatory, safety, quality and technical parameters, which may not occur to someone performing the process with minimal experience or training; and thus protect the employees, the public and the agency from statutory and regulatory violations; delay in providing services; non-delivery of services; harm to public or employee safety and health; cost overruns; breaches in security; loss of confidence in government; failure of publicly funded projects; damage to the environment; ethics violations, and the list goes on; with local, national and even international consequences. The Plan-Do-Check-Act process, also known as the "process approach" can be used at any time to establish and standardize a process, and it can also be used to check periodically for "process creep" (i.e., informal, unauthorized changes that have occurred over time), any necessary updates and improvements. While ISO 9001 compliance is not mandated for all government agencies, if interpreted correctly, it can be useful in establishing a framework and implementing effective management systems and processes.4 Another method that can be used to evaluate effectiveness is the scorecard definitions in Mallory's Process Management Standard5 as a basis for evaluating work on the process level on effective, and continuously improved and improving processes. With processes on the lower end of the scale, agencies are vulnerable to a great many risks, with employees and managers making up many of the rules as they go, leading to the above listed negative results. Without clear guidance for nominal operations, off-nominal situations can, and do, increase the likelihood of chaos. In an increasingly technical environment, with inter-agency communication and collaboration becoming the norm, agencies need to come to grips with the fact that processes can become rapidly outdated, and that the technical community should take on an increased role in the maturation of the agency's processes. Industry has long known that effective processes are also efficient, and process improvement methods such as Kaizen, Lean, Six Sigma, 5S, and mistake proofing lead to increased productivity, improved quality, and decreased cost. Again, government agencies have different concerns, but inefficiencies and mistakes can have dire and wide reaching consequences for the public that they serve. While no one goes to work planning to cause harm, it is up to agencies to establish upper level systems, which make establishment and compliance with processes possible. Again, Mallory provides us with a Systems Management Standard6, similar to the Process Management Standard, with a scale of 0-5 for systems effectiveness and maturity. Deming determined that "eighty-five percent of the reasons for failure are deficiencies in the systems and process rather than the employee. The role of management is to change the process rather than badgering individual employees to do better." 7 It is not just the working level employees who need effective processes, but the mid-and upper level managers as well. A disciplined management culture sets the tone for the employees, aids both routine and off-nominal decision-making, and incorporates risk -based thinking into the systems and processes as a matter of normal activity. Figure 1, illustrates the relationship between ineffective and effective processes and risk, through the use of the "stoplight" colors that are commonly used to show serious situations (red), situations which may be improving or deteriorating depending on trends (yellow), and situations that are under control and continuously improved (green).