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C H A P T E R 3 Theory on Process-Related Organizations and Change Management In this chapter, the contributions from organizational devel- Relationships Between Business Processes opment theory and change management in the private sector and Institutional Architecture are described for a better understanding of institutions with That "institutional issues pose more of a challenge than tech- a real-time operational orientation and to establish a frame- nical ones" (DeBlasio, 1994) has been expressed in various work for change management. studies regarding SO&M. However, the content of this com- There are two key challenges in the development of guid- mon observation has received only modest investigation and ance regarding institutional architecture: analysis. There have been few systematic analyses of trans- portation agencies--including state DOTs--that looked · Identifying the relationship between effective programs broadly at the relationships among programs, processes, and and the process and institutional characteristics that are institutions. Nevertheless, guidance for the improvement of more versus less supportive; and institutional architecture in support of improved business · Structuring an approach to incremental institutional change process and program effectiveness requires the develop- based on identification of key change elements and a process ment of an analytic framework for institutional architecture to manage the change. that highlights considerations relevant to incorporating an operations-oriented function into a capital project develop- As a background to the analysis and related guidance devel- ment institutional legacy. opment, a survey of previous research, in both the transpor- While there has been considerable attention to specific tation and the organizational development literature, was business processes (such as systems engineering, procure- undertaken. From this review, potential contributions from ment, and planning), a framework to address the connections theory and practice were identified in the form of characteris- among specific processes and institutional elements on a sys- tics of service versus product organizations. tematic basis has received only modest attention. This layer is recognized in the formal ITS architecture as the "nontechni- Previous Institutional cal" layer and designated for policies, funding incentives, Research Within the working arrangements, and jurisdictional structures that Transportation Arena include planning for operations and associated collabora- tions (U.S. Department of Transportation, FHWA, 2009d). The unique requirements of SO&M were first recognized After the Intermodal Surface Transportation Efficiency Act within the National ITS Architecture created in the early 1990s, of 1991 (ISTEA), USDOT sponsored a set of investigations of which introduced a framework consisting of three layers: these nontechnical project development barriers in federally transportation, communications, and institutional. The trans- funded operational tests and models deployment initiatives. portation and communications layers are technical layers in The issues were first addressed in a broad state-DOT context which the actual ITS architecture components reside. Most of in The Changing State DOT (Lockwood, 1998). The Intelligent the earlier efforts with an institutional focus were concerned Transportation Primer also includes a chapter by Lockwood-- with barriers to ITS technology-intensive project implementa- The Institutional Challenge: An Aggressive View--that tion at a time when the technology itself was a major challenge addresses institutional issues (Lockwood, 2000b). At the to staff capacities. same time, a set of Case Studies in Project Planning and 26