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9 Table ES.3. Correlation between Process Maturity Levels and Institutional Architectural Levels Program and Process Level 1 Level 2 Level 3 Capabilities Transitioning Mature Integrated Scoping Narrow and Needs based and Full range core program opportunistic standardized Technical processes Informal, Planned, mainstreamed Integrated, undocumented documented Technology and systems Project oriented, Rational quantitative Standardized C/E development qualitative evaluation systems/platforms Performance measurement Outputs reported Outcomes used Performance accountability Institutional Architecture Level 1 Level 2 Level 3 Elements Ad Hoc Rationalized Mainstreamed Culture/leadership Mixed, hero driven Championed/ Customer mobility internalized across committed disciplines Organization and staffing Fragmented, Aligning, trained Professionalized understaffed Resource allocation Project level Criteria-based program Sustainable budget line item Partnerships Informal, unaligned Formal, aligned Consolidated managed, formalized, and mainstreamed status achieved in the movement from one level to the next. There is a logical sequence to the focus of each element of institutional architecture to reach the next level of capability. For example, regarding resources, moving from Level 1 to Level 2 may involve a systematic determination of needs, whereas moving from Level 2 to Level 3 may involve formal budgeting. There is a parallel progression for all the strategies. Key strategies asso- ciated with each institutional architecture category are shown in Table ES.5. Using the Model as Guidance For use as guidance in improving institutional maturity, the above strategies for transitioning from one level of maturity to the next are presented in a series of steps and strategy matrices. In devel- oping the detailed guidance framework, the four standard rules of maturity models are applied: Each incremental level of maturity within a given element of institutional architecture estab- lishes the basis for the agency's ability to progress to the next higher level of effectiveness. Levels cannot be skipped. Each level of technical and business processes needs specific institutional support. The overall level of maturity for an organization is defined by the lowest level of institutional maturity of any element. The Guide to Improving Capability for Systems Operations and Management (Parsons Brinckerhoff et al., 2011) is presented in a series of tables that allow the user to define the agency point of departure. The tables indicate the next logical step in maturity in terms

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10 Table ES.4. Criteria for Institutional Capability Maturity Levels of Capability Maturity Level 1 Level 2 Level 3 Elements Ad Hoc Rationalized Mainstreamed Culture/ Mixed, hero driven Championed/internalized Commitment to leadership Operations value not across disciplines customer mobility widely appreciated Visible agency leader- Customer mobility (lack of message). ship citing operations service commitment Middle management leverage, cost- accepted as formal heroes promote effectiveness, core program. program. and risks. Clear legal authority Full legal authority not Customer outreach for operations roles; established. and feedback. actions among trans- portation agency, pub- lic safety agencies (PSAs), local govern- ment clarified. Organization Fragmented, Aligned, trained Integrated and staffing understaffed Transportation Top-level manage- Legacy roles: Some Management Center ment position with fragmentation of key (TMC) focus with ver- operations orientation functions and bound- tical and horizontal established in central aries, both horizontally authority or responsi- office and districts. and vertically. bility alignment for Professionalization Hero driven: Reliance operations for the life and certification of on key individual for of a project. operations core technical knowledge Accountability to top capacity positions and champions for management. including performance leadership. Core capacities estab- incentives. lished with knowledge, skill, ability specifica- tions, training, and performance incen- tives in clear career paths. Resource Project level Criteria-based program Sustainable budget allocation Resource allocation at Budget allocation for line item project level, ad hoc, operations driven by Operations is a formal, unpredictable, buried, transparent criteria visible, and sustain- invisible. on effectiveness and able line item in Apparent limited eligi- life-cycle needs agency's budget-- bility of existing funds basis. capital, operating, and for operations. Funding levels based maintenance. on relationship to Trade-offs between identified needs. operations and capital expenditures consid- ered as part of the planning process. Partnerships Informal, unaligned Formal, aligned Consolidated Nontransportation Rationalization of High level of operations entities unaligned with responsibilities by coordination (memo- transportation objec- formal agreements randums of under- tives, procedures across institutions standing) among relying on informal (transportation owner/operators with personal basis. agency, PSAs, TMC consolidation. Outsourcing to private private). Outsourcing perfor- sector used for iso- Outsourcing revised mance managed while lated functions. to meet agency maintaining agency's technical, staffing, core capacities. and management objectives.

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11 Table ES.5. Basic Maturity Strategies for Institutional Elements Criteria for Levels Level 1 Level 2 Level 3 Strategies for Elements Ad Hoc Rationalized Mainstreamed Culture/leadership Mixed, hero driven Championed/ Commitment to Undertake educational program on internalized customer SO&M as customer service. across mobility Exert visible senior leadership. disciplines Establish formal core program. Rationalize state DOT authority. Internalize customer service performance as ethic. Commit to continuous improvement as agency mode. Organization and staffing Fragmented, Aligned, trained Integrated Establish top-level SO&M executive understaffed structure. Establish appropriate organizational structure. Identify core capacities. Determine and allocate responsibility, accountability, and incentives. Resource allocation Project level Criteria-based Sustainable Develop program-level budget program budget estimate. line item Introduce SO&M as a top-level agency budget line item. Develop acceptance of sustainable resourcing from state funds. Use performance and life-cycle costs as resource allocation tool. Develop methodology for trade-offs. Partnerships Informal, unaligned Formal, aligned Consolidated Agree on operational roles and procedures with PSAs. Identify opportunities for joint operations activities with local government/metropolitan planning organizations (MPOs). Develop procedures that accommodate partners' goals and maximize mobility (minimum disruption). Rationalize staff versus outsourcing activities, responsibilities, and oversight. of (a) the criteria for each level of each strategy and (b) the steps to move to the next level. The general directions for using the guide and the steps used in the guide are as follows: Step 1. Identify the element of interest (culture/leadership, organization and staffing, resource allocation, or partnerships). Note that all elements are necessary, but the state DOT may be at a higher level of maturity in certain elements. Priority focus should be on the element at the lowest level of maturity. Step 2. Self-evaluate the agency's current level of maturity to determine the point of departure (current level). Use the model criteria for each element to determine the agency's current level of maturity.