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C H A P T E R 7 The Institutional Capability Maturity Model as the Structure for Guidance Guidance for improving institutional maturity is presented in The Improvement Strategies the Guide to Improving Capability for Systems Operations and Management. In this chapter, the structure of the guide is For each of the four elements of institutional architecture, outlined based on the institutional maturity framework there is a set of generic strategies that can be used to make the required adjustments. The generic strategies have their developed in Chapter 6. For further elaboration of the basic own related tactics associated with each level of maturity. Key strategies for advancing in maturity for each of the elements, strategies associated with each institutional architecture refer to the guide. The stepwise process used in the guide is category are outlined below and further broken down in sub- illustrated at the strategy summary level. The complete strat- sequent tables. egy templates are included in the guide. Culture/Leadership Strategies The Institutional Capability Undertake educational inreach/outreach. Maturity Model Exert senior leadership. Establish formal core program. The model is designed to identify changes in a transportation Rationalize transportation agency legal authorities for agency's institutional characteristics that will be more sup- facility management. portive of the business processes that are required for effective Internalize continuous improvement as agency mode/ SO&M. The goal of the model is to support mainstreaming ethic. of the key business processes that are necessary for effective Organization and Staffing Strategies SO&M, which may differ from those developed for the existing Establish top-level SO&M executive structure. capital and maintenance programs. The institutional archi- Establish appropriate organizational structure. tecture must support documented, reliable, consistent, and Identify core capacities for SO&M. integrated processes that are based on rational evaluation and Determine allocation of responsibility, accountability, performance-driven improvements on a continuous basis. and incentives. The elements of the institutional dimension and their levels Resource Allocation Strategies of increasing maturity (in terms of supporting more effective Develop program-level budget estimate. programs) were presented in the previous chapter. Each incre- Introduce SO&M as a top-level agency budget line item. mental level of maturity within a given element of institutional Develop acceptance of sustainable resourcing from state architecture establishes the basis for the agency's ability to funds. progress to the next higher level of effectiveness. The follow- Develop methodology for trade-offs. ing should be noted: Partnerships Strategies Agree on operational roles and procedures with PSAs. Levels cannot be skipped. Identify opportunities for joint operations activities with Each level of business processes needs specific institutional local government/MPOs. support. Develop procedures that accommodate partners' goals The overall level of maturity for an organization is defined and maximize mobility (minimum disruption). by the element of institutional architecture at the lowest Rationalize staff versus outsourcing activities, responsi- level. bilities, and oversight (business model). 53