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1
THE INSTITUTIONAL
CAPABILITY MATURITY MODEL
The purpose of this guide is to support transportation agencies in developing institu-
tional arrangements suitable to the special demands of congestion management, now
emerging as a new transportation agency priority. In particular, the strategy conven-
tions appropriate to effective management of nonrecurring congestion (NRC) present
new challenges for agency policy, organization and staffing, resources, and partner-
ships, as well as for basic agency culture and leadership. This guide focuses on these
special institutional challenges in the form of a change management tool called the
Institutional Capability Maturity Model.
The background to the development of the guide is presented in the accompanying
SHRP 2 research report, Institutional Architectures to Improve Systems Operations
and Management (1). The guide is based on real-world experiences of transporta-
tion agencies, especially state departments of transportation (DOTs), across a range
of levels of application of the conventional strategies that focus on NRC, which is
responsible, on average, for about 50% of delays in metropolitan areas. The research
included a review of key features of the typical congestion management program activ-
ities and the technical and business processes that characterize the more effective pro-
grams. From this analysis, the institutional preconditions most supportive of the more
effective programs were identified and incorporated into the guide.
The guide structure is based on an adaptation of the Capability Maturity Model
widely used in the information technology industry to improve product quality and
reliability. The basic concepts were adapted to provide transportation agency manage-
ment with a tool to improve congestion management capabilities. The model starts
with agency self-evaluation to determine the current state of play and provides related
appropriate incremental strategies for evolving toward institutional arrangements
most supportive of congestion management. The rationale and structure of the Institu-
tional Capability Maturity Model used in this guide are described briefly below.
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