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ORGANIZATION AND STAFFING TEMPLATE This section discusses the organization and staffing element of institutional architec- ture (Table 2.3). Table 2.4 illustrates the levels and the objectives for the next steps to improvement. TABLE 2.3. ORGANIZATION AND STAFFING: OPERATIONS MATURITY FRAMEWORK Institutional Architecture Level 1 Level 2 Level 3 Elements Ad Hoc Rationalized Mainstreamed Culture/leadership Mixed, hero driven Championed/ Commitment to internalized across customer mobility disciplines Organization Fragmented, Aligned, trained Integrated and staffing understaffed Resource allocation Project level Criteria-based Sustainable budget program line item Partnerships Informal, unaligned Formal, aligned Consolidated 26 GUIDE TO IMPROVING CAPABILITY FOR SYSTEMS OPERATIONS AND MANAGEMENT

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TABLE 2.4. ORGANIZATION AND STAFFING: LEVELS AND OBJECTIVES FOR IMPROVEMENT Strategies to Level 1 Level 2 Level 3 Advance Level Ad Hoc Rationalized Mainstreamed 1. Establish top-level Leadership subordinate SO&M at top level of Integrated, with SO&M executive and top-level program management. organizational structure accountability absent. equivalency. From L1 to L2: SO&M with top From L2 to L3: SO&M at organizational management position. equivalency of other core programs. Establish first-tier executive in central Establish appropriate and parallel office and districts with program relationships and positions regarding responsibility, reporting directly to CEO. reporting relationships, chain of command, unit levels, authorities, and responsibility. 2. Establish appropriate Functions fragmented Functions consolidated Integrated. organizational and unclear. and aligned. structure From L1 to L2: SO&M organizational issues From L2 to L3: Efficient and appropriate identified. organizational structure established. Develop organizational concept of Implement appropriate structure of units operations, rationalizing roles and (custom tailored). relationships to key functions. 3. Determine core Needed core capabilities Aligned, trained. Key positions filled. competencies and unknown. training needs From L1 to L2: SO&M core capacities From L2 to L3: SO&M core capacities identified. staffed. Analyze program and organizational Develop recruitment, retention, training, needs to develop appropriate knowledge, and succession program to fill needed skill, and ability needs and position positions. descriptions. 4. Establish Accountability vague and Responsibilities clarified SO&M responsibilities accountability system conflicting. within SO&M. clarified within all DOT units. From L1 to L2: Clarified responsibilities. From L2 to L3: Organizational units and Use organizational structure and concept staff objectives clear. of operations to identify nature of Develop an approach to accountability- accountability in chain of command for related process and measures between units and individuals. top management and program managers in central office and districts. 27 GUIDE TO IMPROVING CAPABILITY FOR SYSTEMS OPERATIONS AND MANAGEMENT

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Organization and Staffing Strategy 1: Establish Top-Level SO&M Executive Structure Relationship to Program and Process Executive leadership at the central office and in the field needs to be equivalent to other programs' (capacity, maintenance) leadership for appropriate representation in policy, resource, staffing, and related decisions. Points of Departure (Levels of Capability) and Related Improvement Strategy Level 1: Leadership Subordinate and Top-Level Accountability Absent In a Level 1 organization, all core programs, by definition, require equivalent status and level of influence in statewide and district program development, including par- ticipation in policy and program development and resource allocation. This implies that SO&M management should be at the first tier of both headquarters and district management. The following strategies can help raise a Level 1 organization to Level 2: Establish first-tier executive responsibility in the central office for the SO&M pro- gram, reporting directly to the CEO (this executive may also have responsibility for other programs). Establish an assistant to district executives with appropriate reporting to both district executives and statewide program leadership (this executive may also have responsibility for other programs). Level 2: SO&M at Top Level of Program Management In a Level 2 organization, the status of the operations organization is equivalent in reporting relationships and chain of command, organizational unit levels, authorities, and responsibility at both the central office and districts. The following strategy can raise a Level 2 organization to Level 3: Establish appropriate reporting and chain-of-command relationships and full-time position status (parallel to construction and maintenance), organizational unit levels, authorities, and responsibility in both the central office and districts. Level 3: Integrated, with Organizational Equivalency In a Level 3 organization, a top-level management position with SO&M orientation is established in the central office and districts. Responsibility Reorganization at the top level may be a prerogative of the CEO within the central office, although state administration or legislative committee support or both may be necessary. 28 GUIDE TO IMPROVING CAPABILITY FOR SYSTEMS OPERATIONS AND MANAGEMENT

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Organization and Staffing Strategy 2: Establish Appropriate Organizational Structure Relationship to Program and Process Organizational structure supports efficient and effective program delivery in the field through clear and efficient disposition of responsibilities and capabilities, with appro- priate authority at district and central-office levels and between them. Points of Departure (Levels of Capability) and Related Improvement Strategy Level 1: Functions Fragmented and Unclear In a Level 1 organization, SO&M units are fragmented and responsibilities are unclear at the central-office, division, or branch level and at the district level, with unclear divi- sion of authority, responsibility, and support. Coordination and provision of service to districts is difficult. The following strategies can help raise a Level 1 organization to Level 2: Develop an organizational concept of operations for key processes, roles, key functions, and geography within and between levels (central office, districts, TMCs) regarding responsibilities, scope, chain of command, span of control, and vertical and horizontal relationships. (Note: There is no standard model--organizational struc- tures can vary in how they mediate between function and turf.) Clarify boundaries between central-office and district responsibilities and identify central-office support functions needed from a district point of view. Level 2: Functions Consolidated and Aligned In a Level 2 organization, the functions and related responsibilities and authorities have been clarified and established (e.g., ITS, systems operations, traffic engineering, TMC management, contracting, asset management). The following strategies can raise a Level 2 organization to Level 3: To achieve management control and accountability, consolidate central-office di- visions or units and reporting relationships that are directly responsible for real-time performance. Document roles with related procedures within the central office and districts and between them. Level 3: Integrated In a Level 3 organization, an efficient and appropriate organizational structure has been established. Responsibility CEO and senior SO&M management are in consultation. 29 GUIDE TO IMPROVING CAPABILITY FOR SYSTEMS OPERATIONS AND MANAGEMENT

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Organization and Staffing Strategy 3: Determine Core Competencies and Training Needs Relationship to Program and Process SO&M requires technical specialties regarding planning, engineering, TMC, field op- erations, and contract management. The management of SO&M is also a specialty requiring a broad acquaintance with both the state of the practice and with state DOT administration. Points of Departure (Levels of Capability) and Related Improvement Strategy Level 1: Needed Core Capabilities Unknown In a Level 1 organization, there is no identification of needed core capabilities; staffing plan or job specifications and key capacities may be missing or their need simply not recognized. The following strategies can help raise a Level 1 organization to Level 2: Determine essential core technical, SO&M (TMC or field), and management capabilities needed in the central office and districts. Consider options of internal staffing versus outsourcing for key functions on the basis of a clear business model regarding interagency/partner roles. Assess training resource potential (internal and external) and establish formal ac- tivity related to position requirements. Level 2: Aligned, Trained In a Level 2 organization, SO&M has been professionalized via identification of needed core capabilities, a program to develop and retain the needed capabilities, and a clear succession path. The following strategies can raise a Level 2 organization to Level 3: Develop a clear plan regarding recruitment and training versus outsourcing. Establish a succession path, certification, and performance incentives for technical and management staff that are parallel and equivalent to those of other core program areas. Develop a human resources dimension for SO&M, including career options and conditions of employment that will attract and retain technical specialties. Level 3: Key Positions Filled In a Level 3 organization, SO&M has been professionalized. Responsibility This strategy requires task forces of senior staff from headquarters and district man- agement with possible support from industry associations and training entities. 30 GUIDE TO IMPROVING CAPABILITY FOR SYSTEMS OPERATIONS AND MANAGEMENT

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Organization and Staffing Strategy 4: Establish Accountability System Relationship to Program and Process As a service focused on system performance--much of it in real time--the SO&M program must justify its claim on resources through performance accountability, at the scale of the entire DOT and its component units. Points of Departure (Levels of Capability) and Related Improvement Strategy Level 1: Accountability Vague and Conflicting In a Level 1 organization, there is little if any accountability for the service impacts of SO&M activities within TMCs and districts or between districts and central-office management. The following strategies can help raise a Level 1 organization to Level 2: Use organizational structure and concept of operations to identify the nature of performance accountability in the chain of command for units and individuals. Scan (survey) internal customers to determine the clarity of responsibility among stakeholders. Identify reasonable performance measures (beyond project development measures) for staff and units. Level 2: Responsibilities Clarified Within SO&M A Level 2 organization has clarified performance accountability in the chain of com- mand based on program, unit, and individual responsibilities related to SO&M effec- tiveness. Both units and the DOT, overall, are prepared to report performance publicly. The following strategies can raise a Level 2 organization to Level 3: Develop reporting systems within districts and with top management and program managers in the central office and districts. Use performance measures and incentives to improve measurable performance of both key unit activities and strategic applications. Report performance to the public in a manner that displays status over time and report current DOT improvement activities in response. Level 3: SO&M Responsibilities Clarified Within All DOT Units A Level 3 organization accepts accountability for its SO&M activities (recognizing that the DOT does not control all the variables that affect performance). Responsibility Responsibility falls to senior management and unit leaders in cooperation. 31 GUIDE TO IMPROVING CAPABILITY FOR SYSTEMS OPERATIONS AND MANAGEMENT