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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 15 GUIDE TO IMPROVING CAPABILITY FOR SYSTEMS OPERATIONS AND MANAGEMENT

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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. 16 GUIDE TO IMPROVING CAPABILITY FOR SYSTEMS OPERATIONS AND MANAGEMENT

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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. 17 GUIDE TO IMPROVING CAPABILITY FOR SYSTEMS OPERATIONS AND MANAGEMENT

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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. 18 GUIDE TO IMPROVING CAPABILITY FOR SYSTEMS OPERATIONS AND MANAGEMENT

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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. 19 GUIDE TO IMPROVING CAPABILITY FOR SYSTEMS OPERATIONS AND MANAGEMENT

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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. 20 GUIDE TO IMPROVING CAPABILITY FOR SYSTEMS OPERATIONS AND MANAGEMENT

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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. 21 GUIDE TO IMPROVING CAPABILITY FOR SYSTEMS OPERATIONS AND MANAGEMENT

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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. 22 GUIDE TO IMPROVING CAPABILITY FOR SYSTEMS OPERATIONS AND MANAGEMENT

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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. 23 GUIDE TO IMPROVING CAPABILITY FOR SYSTEMS OPERATIONS AND MANAGEMENT

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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). 24 GUIDE TO IMPROVING CAPABILITY FOR SYSTEMS OPERATIONS AND MANAGEMENT

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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. 25 GUIDE TO IMPROVING CAPABILITY FOR SYSTEMS OPERATIONS AND MANAGEMENT