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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
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