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CULTURE/LEADERSHIP TEMPLATE
This section discusses the culture/leadership element of institutional architecture
(Table 2.1). Table 2.2 illustrates the levels and the objectives for the next steps to
improvement.
TABLE 2.1. CULTURE/LEADERSHIP: OPERATIONS MATURITY FRAMEWORK
Institutional
Architecture Level 1 Level 2 Level 3
Elements Ad Hoc Rationalized Mainstreamed
Culture/ Mixed, Championed/ Commitment to
leadership hero driven internalized customer mobility
across disciplines
Organization and Fragmented, Aligned, trained Integrated
staffing understaffed
Resource allocation Project level Criteria-based Sustainable budget
program line item
Partnerships Informal, unaligned Formal, aligned Consolidated
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TABLE 2.2. CULTURE/LEADERSHIP: LEVELS AND OBJECTIVES FOR IMPROVEMENT
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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Culture/Leadership Strategy 1: Undertake Educational Program
Relationship to Program and Process
Often, stakeholders and transportation professionals have little knowledge of the
potential service impact of SO&M. Significant changes in program or process that
require resources, special authority, or custom-tailored approaches cannot be imple-
mented without gaining support both internally or externally. Internally, leadership
and other staff may have limited exposure to the strategies and are therefore unaware
of their customer service potential (compared with other ongoing agency investments)
or are not prepared to modify existing priorities, programs, and actions. Externally,
policy makers may also have limited exposure. Therefore, it is important to undertake
an educational program to create a broad understanding of SO&M and its potential
impact on congestion, as well as its cost-effectiveness.
Points of Departure (Levels of Capability) and Related Improvement Strategy
Level 1: Value of SO&M Not Yet Widely Appreciated
In a Level 1 organization, the impacts and benefits of SO&M strategies are not well
understood or quantified by agency staff or leadership. Therefore, there is limited sup-
port for devoting staffing and funding resources to SO&M, especially in competition
with other presumed state DOT priorities. Because the DOT or operating agency itself
is not aware of the impacts, there is not likely to have been an effort to expose policy
decision makers to them.
The following strategies can help raise a Level 1 organization to Level 2:
· Drill down via discussions and formal meetings within the agency regarding pro-
grammatic response to the importance of operational performance to the DOT mis-
sion and the role of SO&M and its potential to improve performance and customer
responsiveness. Build on the broad momentum regarding performance reporting and
accountability.
· Prepare and circulate existing technical and peer materials explaining roles and
benefits.
· Prepare illustrative analyses from examples within the state for external circula-
tion to policy and stakeholder groups.
Level 2: Role of SO&M in Providing Service Improvements Widely Understood
A Level 2 organization has a technical appreciation of potential performance lever-
age on recurring and nonrecurring congestion relative to other programs within the
agency. The role of SO&M is appreciated by policy makers and key stakeholders
(commission, governor's office, and legislative committees), including both expecta-
tions and willingness to support it at the level where there is active cooperation in
fostering improved SO&M.
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The following strategies can help raise a Level 2 organization to Level 3:
· Undertake a persuasive road show to communicate the importance of an SO&M
focus to customers (both public and specific stakeholder groups)--to demonstrate
their stakes in improved SO&M--by participating in meetings and conferences.
· Develop policy-maker briefings using understandable examples of the limitations
of capacity and the opportunities with SO&M.
· Develop regular aggressive public outreach programs (media) focused on benefits,
accomplishments, and issues.
Level 3: SO&M Fully Appreciated
In a Level 3 organization, SO&M is fully appreciated in terms of value and potential
within the agency and understood at policy, professional, and public levels. DOT focus
on SO&M becomes part of normal expectations in a Level 3 organization.
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Culture/Leadership Strategy 2: Exert Senior Leadership
Relationship to Program and Process
Middle management champions have limited leverage and span of control over insti-
tutional change. Furthermore, their position and career longevity are often limited.
Therefore, significant changes in program or process (see Strategy 3) are not possible
without continuous and aggressive senior management support and direction.
Points of Departure (Levels of Capability) and Related Improvement Strategy
Level 1: Lack of Management Priority
In a Level 1 organization, existing senior and middle management staffs are often
preoccupied with competing priorities (or lack technical knowledge regarding SO&M
[see Strategy 1]). At the same time, CEOs often come from an outside sector with little
understanding of the program. There is no visible leadership at the agency level to
mainstream SO&M.
The following strategies can help raise a Level 1 organization to Level 2:
· Develop and articulate support for operations and take visible steps to clarify
SO&M in statements of mission, vision, and values throughout the organization via
discussion and task forces at both the field and central-office levels.
· Indicate the relevance and role of SO&M with regard to capacity, safety, and
maintenance activities across internal divisions via targeted meetings and briefings.
· Select middle managers with SO&M background for program development.
Level 2: Visible Senior Support Agencywide
In a Level 2 organization, top management is visible in supporting and articulating
SO&M leverage, cost-effectiveness, and risks across disciplines in the DOT. Top man-
agement also supports strategic SO&M program development.
The following strategies can raise a Level 2 organization to Level 3:
· Take action at the top management level to include SO&M staff leadership in all
program discussions.
· Make a commitment to SO&M at the agency level in policy documents with ex-
plicit (internal and external) acknowledgment of risks of expanding and intensifying a
new mission (despite the lack of total control over outcomes because of partner differ-
ences and variations in demand).
· Establish a succession plan for SO&M leadership at the central-office and regional
levels.
Level 3: Stable SO&M Leadership
In a Level 3 organization, SO&M is understood and supported by stable career leader-
ship as a key mission.
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Responsibility
The CEO and immediate headquarters executive staff (division heads), as well as dis-
trict leadership, can undertake this strategy within their span of influence over staff.
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Culture/Leadership Strategy 3: Establish Formal Core Program
Relationship to Program and Process
If SO&M is not a program, improvements in capabilities are uncertain, management
responsibilities are unclear, the organization framework is subsidiary to other pro-
grams, and key processes are outside the conventional framework. Resource competi-
tion is informal, and internal and external performances are not judged. The role of
the DOT in relation to other partners in service delivery is unclear.
Points of Departure (Levels of Capability) and Related Improvement Strategy
Level 1: Vague Mission and SO&M Subsidiary to Other Programs
In a Level 1 organization, SO&M is a set of activities conducted by certain districts,
based on district leadership priorities and inclination. The mission is vague regarding
SO&M, and SO&M activities are parts of other programs. There is no DOT-wide
strategy, budget, or accountability.
The following strategies can help raise a Level 1 organization to Level 2:
· Update the mission in light of the SO&M business case for mobility; current ca-
pacity expansion limitations; and increased congestion, incidents, and emergencies.
· Consider development of an SO&M policy board to legitimize and guide the pro-
gram and to budget with policy, with the board being composed of agency division
heads and external industry and other stakeholder members.
· Articulate a formal SO&M policy and develop a strategic plan for SO&M, includ-
ing all standard features of a formal program (e.g., management, budget, objectives,
authorities).
Level 2: SO&M as a Formal Mission and Program with Supporting Policy
In a Level 2 organization, SO&M activities are established as a formal program with
all program attributes of capital and maintenance tailored to the special needs of
operations.
The following strategies can raise a Level 2 organization to Level 3:
· Articulate a business model regarding the roles and relationships of the DOT, its
partners, users, and other stakeholders and the value proposition regarding the state
DOT role in discussions at the agency level and with external partners and policy
makers.
· Introduce SO&M as a formal core DOT program with remaining key features
of a core program: mission and policy, strategic plan and program, eligible funding,
budget, and transparent criteria.
· Expand the program to all regions--urban and rural.
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Level 3: New Transportation Agency Business Model
In a Level 3 organization, the new state DOT business model accepts maintaining the
operational level of service as a program objective and is fully mobilized, program-
matically, for continuous improvement.
Responsibility
CEO action is required to lead these changes, most of which are top down.
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Culture/Leadership Strategy 4: Rationalize Transportation
Agency Authority
Relationship to Program and Process
Effective SO&M requires highly coordinated real-time actions among several partners
(public safety, other state agencies, local governments, and private service providers) if
on-the-road activities are to be conducted in a manner that minimizes disruption and
maximizes customer service. In many cases, the DOT's highway service management
role is unclear or unnecessarily confined to legacy roles that limit leverage on opera-
tions because of presumed legal constraints or the lack of necessary authorities (such
as quick incident access and clearance).
Points of Departure (Levels of Capability) and Related Improvement Strategy
Level 1: SO&M Ambitions Limited by Legacy Assumptions
In a Level 1 organization, the DOT role, especially in the field, is based on accepting
existing or presumed legal constraints or traditions regarding roles of partners in areas
relating to incident response and traffic management, such that the full benefits of
SO&M strategies cannot be realized. Issues are left to resolution on a personal basis
in the field.
The following strategies can help raise a Level 1 organization to Level 2:
· Identify and describe opportunities to generate support for changes in state law
and regulations regarding the roles of the state DOT in traffic and incident manage-
ment in relation to other state agencies and private-sector players to improve effective
traffic management.
· Review and publicize national best practice regarding interagency roles and their
advantages.
· Seek partner consensus--at the agency and association top-management level--
for procedural improvements or legislative reform initiative, if necessary.
Level 2: Effective Span-of-Control Needs Identified
In a Level 2 organization, the DOT works with partners to identify common interests
and means of rationalizing roles that meet a range of interests.
The following strategies can raise a Level 2 organization to Level 3:
· Legitimize SO&M and partner role rationalization via policy development initia-
tives with policy makers.
· Seek legislation or regulatory clarification--including reallocation of authority
that may improve operations.
· Develop new formal agreements and contracts as appropriate with external agency
partners.
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Level 3: Effective Span of Control Negotiated
In a Level 3 organization, the roles of public- and private-sector players are rational-
ized through legislation, regulation, and new contractual agreements.
Responsibility
Top management works with policy makers in cooperation with other service pro
viders, public (PSAs) and private (e.g., contracted Transportation Management Center
[TMC] operators, safety service patrol providers, asset managers, towing and recovery
entities).
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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 b eyond
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:
· Identify long-range ideal practice concepts as targets for improvement.
· Identify basic performance measures, both activity based (to start) and outcome
based (ultimately).
· Establish a standardized performance-based continuous improvement process, in-
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:
· Support a culture of continuous improvement with clear policy and incentives for
an individual's and unit's performance or innovation.
· Set incremental performance improvement targets, measure effectiveness, and im-
prove approaches to all services, both in office and in field.
· Use performance to determine program modifications and resource allocation.
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.
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