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54 Capability Improvement formal budgeting. There is a parallel progression for all the Strategies at Each Level strategies. Table 7.1 illustrates how the strategies relate to the criteria levels. The interpretation of strategies changes with successive lev- els. The differences reflect the increasingly managed, formal- ized, and mainstreamed status achieved in the movement Basic Guidance Steps from one level to the next. There is a logical sequence to the For use as guidance in improving SO&M effectiveness, the focus of each element of institutional architecture to reach Institutional Capability Maturity Model is presented in a series the next level of capability. For example, regarding resources, of steps and strategy matrices, one for each element. The use of moving from Level 1 to 2 may involve a systematic determina- the model is a stepwise process. tion of needs, whereas moving from Level 2 to 3 may involve The general directions for use follow. Table 7.1. Basic Maturity Strategies for Each Institutional Element Criteria for Each Level Level 1 Level 2 Level 3 Strategies for Elements Ad Hoc Rationalized Mainstreamed Culture/leadership Undertake educational program regarding SO&M Mixed, hero driven Championed/internalized Mobility committed as customer service across disciplines Exert visible senior leadership Establish formal core program Rationalize state DOT authority Internalize continuous improvement as agency mode/ethic Organization/staffing Establish top-level SO&M executive structure Fragmented, understaffed Aligning, trained Integrated Establish appropriate organizational structure Identify core capacities Determine, allocate responsibility, accountability, and incentives Resource allocation Develop program-level budget estimate Project level Criteria-based program Sustainable budget line item Introduce SO&M as a top-level agency budget line item Develop acceptance of sustainable resourcing from state funds Develop methodology for trade-offs Partnerships Agree on operational roles and procedures with PSAs Informal, unaligned Formal, aligned Consolidated Identify opportunities for joint operations activities with local government/MPOs Develop procedures that accommodate partners' goals and maximize mobility (minimum disruption) Rationalize staff versus outsourcing activities, responsibilities, and oversight

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55 Table 7.2. Basic Institutional Capability Maturity Elements and Levels Institutional Level 1 Level 2 Level 3 Elements Ad Hoc Rationalized Mainstreamed Culture/ Mixed, hero driven Championed/ Commitment to leadership internalized across customer mobility disciplines Organization Fragmented, Aligned, trained Integrated and staffing understaffed Resource Project level Criteria-based Sustainable budget allocation program line item Partnerships Informal, unaligned Formal, aligned Consolidated Step 1 mine the priority strategy based on the current circumstances and the amount of change needed to get to the next level. Identify the element of interest (culture/leadership, organi- zation/staffing, resource allocation, partnerships, as shown in Table 7.2). Note that all elements are necessary, but the agency Step 4 may be at a higher level of maturity in certain elements. Review each general strategy table for guidance to move to Priority focus should be on the element at the lowest level of next level: Level 1 to Level 2 or Level 2 to Level 3. Following maturity. each general strategy table are separate numbered and detailed strategies in a standard format for each element. Figure 7.1 shows an example of a strategy for Culture/Leadership. The Step 2 strategies include the following: Self-evaluate the agency's current level of maturity to deter- Relationship to program and process; mine the point of departure (see Table 7.2). Use the model Identification of how the institutional change supports criteria for each element to determine the agency's current improved SO&M business processes and more effective level of maturity. strategy applications; The points of departure (levels of capability); Additional criteria/descriptions for the user to determine Step 3 current level; On the Levels and Objectives for Improvement table, identify Description of the ultimate target level (Level 3); the target level and inspect the numbered strategies for each Capability improvement strategies; element to move up to the next level. Table 7.3 shows an Strategies for moving from Level 1 to Level 2 or from Level 2 example of the table for Culture/Leadership. Each element has to Level 3; and several associated maturity improvement strategies. Deter- Responsibilities.

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56 Table 7.3. Example of Levels and Objectives for Improvement Table for Culture/Leadership Strategies to Level 1 Level 2 Level 3 Advance Level Ad Hoc Rationalized Mainstreamed 1. Undertake Value of SO&M not yet Role of SO&M in providing SO&M fully appreciated. educational program widely appreciated. service improvements widely understood. From L1 to L2: Role of SO&M in providing From L2 to L3: SO&M fully appreciated. service improvements widely understood. Undertake persuasive "road show" Drill down regarding the relevance of to communicate new DOT focus to operational performance to the DOT customers--policy makers and the public. customer service mission. 2. Exert senior Lack of management Visible senior support Stable SO&M leadership. leadership priority. agencywide. From L1 to L2: Visible senior support From L2 to L3: Stable SO&M leadership. agencywide. Identify and accept risks associated with Exert senior management leadership expanding and intensifying new mission. visibly throughout organization and across disciplines regarding SO&M leverage and cost-effectiveness. 3. Establish formal SO&M is a set of ad hoc SO&M is a formal mission New state DOT business core program activities. and program with model. supporting policy. From L1 to L2: SO&M is a formal mission From L2 to L3: New state DOT business and program with supporting policy. model. Update mission in light of SO&M Introduce SO&M as formal core DOT business case for mobility in light of program, at the same level as project minimum new capacity. development and maintenance. 4. Rationalize SO&M ambitions Effective span-of-control Effective span of control transportation limited by legacy needs identified. negotiated. agency authority assumptions. From L1 to L2: Effective span-of-control From L2 to L3: Effective span of control needs identified. negotiated. Identify and describe opportunities to Legitimize SO&M and partner role rationalize current presumed legal or rationalization via policy and legislative regulatory constraints regarding DOT's initiatives. activities. 5. Internalize Limited progress Adoption of continuous Continuous continuous orientation. progress concept. improvement approach improvement as internalized. agency mode or ethic From L1 to L2: Adoption of continuous From L2 to L3: Continuous improvement progress concept. approach internalized. Develop concepts of continuous Support culture of continuous improvement improvement with examples toward with clear targets and incentives for achieving performance-driven best individuals and units. practice.

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57 Culture/Leadership Strategy 5: Internalize Continuous Improvement as Agency Mode or Ethic Relationship to Program and Process With an objective of building toward best practices, cost-effective process and program improvements are necessarily incremental. Continuing improvement to and beyond the state of best practice requires development and management of a continuous im- provement process built around performance measurement, analysis, and procedural improvement. Points of Departure (Levels of Capability) and Related Improvement Strategy Level 1: Limited Progress Orientation In a Level 1 organization, activities are started (set and forget) without regard to the potential for improving effectiveness through learning and are likely to plateau at modest levels, given the lack of performance feedback and improvement. Lack of ideal performance measurement often is used as an excuse for business-as-usual approaches. The following strategies can help raise a Level 1 organization to Level 2: based (ultimately). - cluding documentation, performance monitoring and measurement, postevent brief- ing, and process adjustments. Level 2: Adoption of Continuous Progress Concept In a Level 2 organization, the DOT is broadly committed to improving SO&M in terms of both technologies and procedures on a continuous incremental basis. The following strategies can raise a Level 2 organization to Level 3: an individual's and unit's performance or innovation. - prove approaches to all services, both in office and in field. Level 3: Continuous Improvement Approach Internalized In a Level 3 organization, the presumption is that continuous improvement is desirable and sustainable. Responsibility This strategy must be initiated in a top-down manner and be a shared approach in- volving all staff. Figure 7.1. Example strategy for Culture/Leadership.