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24 Identification of the institutional characteristics that appear that differentiate service and operations-oriented organizations to be essential in the development, support, and sustainment from those with a project or product focus (in addition, key of the key process features. concepts from the process improvement literature suggested a framework for change management). The primary focus of this report is the institutional frame- A general range in transportation agency SO&M program work. Processes (business and technical) are identified as part effectiveness was derived from information available about of the research, but only to clarify the needed institutional various transportation agency program activities, processes, architecture. Neither program nor process-specific guidance and effectiveness. Certain states were clustered into a group is presented. appearing to have more fully developed programs--which are called mature states--and a group with SO&M activities transitioning toward fuller programs, called transitioning Study Methodology states. A survey of selected state DOTs (from both groups) The overall methodology used to identify the chain of influence was conducted to determine relationships between program between institutional architecture and program effectiveness effectiveness and key business process and institutional factors. follows and is described in Chapters 3 through 7. The core of The survey questionnaire was structured around the basic this analysis was the identification of traceable relationships hypothesis and the indications from the organizational devel- from the more effective transportation agency SO&M pro- opment literature. grams to institutional architecture through the medium of The conclusions from the survey and research identify- business processes. A general hypothesis was developed that ing the key variables of SO&M-related business processes institutional architecture is related to the level of consistency by essential to effective programs and that related most closely which agency business processes support effective programs-- to more effective processes were documented as the basis and specifically the business processes that support SO&M for determining the features of institutional architecture programs (see Figure 2.4). needed to support these processes (which, in turn, enable A review of organizational development theory was used to effective programs and structured into a capability maturity assist in pinpointing key process and institutional features model form). INSTITUTIONAL FRAMEWORK The values, capabilities, arrangements, and resources to support and sustain the program qualities below. PROCESSES The business processes and systems required to facilitate required business processes. PROGRAM A needs-responsive, performance- driven, comprehensive, cost-effective, statewide SO&M program. Figure 2.4. Basic hypothesis.

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25 Organizational Background and Change Hypothesis & Management Methodology Theory Self- Assessments and Interviews Institutional Process Architecture Findings Findings The Capability Maturity Model Managing Alternative Institutional Institutional Change Models Report Guidance Figure 2.5. Study methodology. The process levels indicated were then used in combination and illustrated in which the guidance can be applied ranging with interview indications and the insights of organization from incremental to event driven (Chapter 8). development theory and relevant international practice to Alternative institutional models to incremental change were identify and structure institutional elements into incremental reviewed and detailed guidance was prepared that focused on capability maturity model processes. the specific set of strategies needed to transition each of the A guidance framework for institutional change, based on four key elements to the next level of maturity. These strategies self-evaluation and change management opportunities, was are presented in the accompanying guide. See Figure 2.5 for developed. Overall, change management scenarios were defined an illustration of this methodology.