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PARTNERSHIPS TEMPLATE
This section discusses the partnership element of institutional architecture (Table 2.7).
Table 2.8 illustrates the levels and the objectives for the next steps to improvement.
TABLE 2.7. PARTNERSHIPS: 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 and Fragmented, Aligned, trained Integrated
staffing understaffed
Resource allocation Project level Criteria-based Sustainable budget
program line item
Partnerships Informal, Formal, aligned Consolidated
unaligned
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TABLE 2.8. PARTNERSHIPS: LEVELS AND OBJECTIVES FOR IMPROVEMENT
Strategies to Level 1 Level 2 Level 3
Advance Level Ad Hoc Rationalized Mainstreamed
1. Agreement on Informal unaligned Aligned objectives and Rationalized roles.
operational roles and relationships. roles.
procedures with PSAs From L1 to L2: Agreements on DOT/PSA From L2 to L3: Rationalized state DOT/PSA
roles and responsibilities. roles and responsibilities.
Rationalized roles and responsibilities in Formal interagency-level agreement to
light of agency priorities, resources, and develop cooperative approach respecting
effectiveness. the objectives of all parties.
2. Identify Limited interactions with Cooperative planning, Regional cooperative
opportunities for joint local government. programming, and mechanisms in place.
operations activities operations.
with local government From L1 to L2: Cooperative planning, From L2 to L3: Regional cooperative
and MPOs programming, and operations. mechanisms in place.
Cooperative interagency plan for Integrated strategies with role adjustments
operations (short and long range). for efficiency.
3. Develop procedures Inconsistent application Traffic impact-oriented Aggressive procedures
that accommodate of nominal procedures. procedures. to maximize mobility-
partners' goals and based performance
maximize mobility measurement activity or
(minimum disruption) outcome measurement.
From L1 to L2: Traffic impact-oriented From L2 to L3: Aggressive procedures to
procedures. maximize mobility.
Development of (new) concepts of Consistent applications of traffic-
operations and related procedures optimized approaches.
that minimize delay and disruption,
irrespective of conventional approaches.
4. Rationalize staff Inconsistent approach to Basic business model for Clarified, rationalized
versus outsourcing outsourcing. service delivery. business model
activities, for publicprivate
responsibilities, and partnerships.
oversight From L1 to L2: Basic business model for From L2 to L3: Clarified, rationalized
service delivery. business model for publicprivate
Policy on in-house staff roles in service partnerships.
delivery versus outsourcing or devolved Consistent approach to outsourcing
roles. regarding contracting procedures,
performance management, time frame of
contracts.
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Partnerships Strategy 1: Agreement on Operational Roles and
Procedures with Public Safety Agencies
Relationship to Program and Process
Effective delivery of key SO&M strategy applications requires close cooperation be-
tween DOTs and public safety agencies (PSAs). Cooperation involves shared priorities,
clear roles, and consensus practices that can substantially resolve issues with changes
in conventional procedures that may support DOT objectives without compromising
those of the partners.
Points of Departure (Levels of Capability) and Related Improvement Strategy
Level 1: Informal Unaligned Relationships
In a Level 1 organization, there is a modest level of SO&M cooperation and coordina-
tion between the state DOT and PSAs. Roles and procedures are informal, personal,
and subject to uncertainty with turnover.
The following strategies can help raise a Level 1 organization to Level 2:
· Conduct regional-level joint workshops to develop consensus on goals, best prac-
tices, and general procedures.
· Conduct co-training in field procedures and protocols.
· Establish regular debriefings related to major events.
Level 2: Aligned Objectives and Roles
In a Level 2 organization, there are formal, agency-level agreements regarding roles
and procedures.
The following strategies can raise a Level 2 organization to Level 3:
· Develop a formal interagency-level agreement (MOU) for the cooperative ap-
proach respecting the objectives of all parties and build it into agency policies and
plans (especially incident management, work zone traffic control).
· Establish policy evolving toward operations centers and possibly co-location of
partners.
· Cooperate with PSAs in support of necessary changes in state law to support im-
proved effectiveness of roles and procedures related to congestion and safety.
· Develop a joint formal commitment to procedural improvement based on perfor-
mance (such as application timeline targets).
Level 3: Rationalized Roles
At Level 3, roles of agencies are organized for maximum strategy effectiveness.
Responsibility
Some issues can be resolved at the regional level. Major changes in procedures (e.g.,
Incident Command System or towing) require top management peer-to-peer dialogue
supported by examples from other state contexts.
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Partnerships Strategy 2: Identify Opportunities for Joint
Operations Activities with Local Government and MPOs
Relationship to Program and Process
At the state-of-the-art level, most SO&M strategies involve both state and local gov-
ernment. An essential component of developing a program in a multijurisdictional
environment is a strong and institutionalized working relationship among state, local,
and regional entities (MPOs) that supports effective regional SO&M planning, pro-
gramming, and implementation.
Points of Departure (Levels of Capability) and Related Improvement Strategy
Level 1: Limited Interactions with Local Government
In a Level 1 organization, there is a modest level of SO&M cooperation and coordina-
tion between state and local governments (uneven, informal) in terms of developing
regional operations solutions and in terms of the capacity (fiscal, technical) of local
jurisdictions to play a significant role.
The following strategies can help raise a Level 1 organization to Level 2:
· Develop an interagency task force on SO&M at appropriate geographic levels
(region, corridor).
· Prepare a cooperative interagency plan for phased improvement of operations
(short and long range).
· Execute agency-level formal agreements with local governments and MPOs regarding
rationalized roles and responsibilities in cooperative delivery of SO&M-related services.
· Standardize cooperation mechanisms on a statewide basis.
Level 2: Cooperative Planning, Programming, and Operations
In a Level 2 organization, SO&M is included in the MPO regional plan and programs.
Active regional task forces focus on operations issues.
The following strategies can raise a Level 2 organization to Level 3:
· Pursue reorganization of federal and state funding categories and responsibilities
at the regional level to include operations.
· Develop multijurisdictional programs (interlocal) for funding and operating non-
state facilities and for integrated corridors.
· Consider use of state funds, cost sharing, and technology transfer to incentivize
regional cooperation.
· Share or consolidate real-time operational coordination and oversight via TMC,
co-location, and staffing.
Level 3: Regional Cooperative Mechanisms in Place
At Level 3, there is an integrated SO&M program at the regional level.
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Responsibility
The district level has the lead responsibility for planning and programming, with sup-
port from headquarters.
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Partnerships Strategy 3: Develop Procedures That Accommodate
Partners' Goals and Maximize Mobility (Minimum Disruption)
Relationship to Program and Process
Nominal applications of SO&M strategies--based on narrow roles, mixed priorities,
traditional roles, limited ITS--are likely to have little impact on performance.
Points of Departure (Levels of Capability) and Related Improvement Strategy
Level 1: Inconsistent Application of Nominal Procedures
In a Level 1 organization, there is a lack of agreed-on concepts of operations for all
strategy applications and no consistent effort to measure and improve effectiveness.
The following strategies can help raise a Level 1 organization to Level 2:
· Develop external stakeholder (system users) support for substantial improvements
in congestion-related procedures and protocols.
· Develop (new) concepts of operations and related procedures that minimize delay
and disruption and are beyond conventional roles and practices.
· Agree with partners (e.g., PSAs, local governments) to commit to continuous
improvement.
Level 2: Traffic Impact-Oriented Procedures
In a Level 2 organization, there is agreement among partners (public and private) on
improved procedures, with performance-based benchmarking against best practice.
The following strategies can raise a Level 2 organization to Level 3:
· Identify and analyze state-of-practice procedures for strategy applications and
commit to apply traffic-optimized approaches.
· Develop a mechanism to maintain awareness of industry best practice and new
developments beyond existing conventions.
· Cultivate DOT partners' willingness to modify traditional approaches to achieve
minimal disruption via demonstrated payoffs in cost, safety, and mobility.
Level 3: Aggressive Procedures to Maximize Mobility-Based Performance
Measurement Activity or Outcome Measurement
At Level 3 there is acceptance of a performance-driven process of refinement and up-
grading of procedures.
Responsibility
The responsibility should be developed on a statewide basis, although individual dis-
tricts can take the lead.
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Partnerships Strategy 4: Rationalize Staff Versus Outsourcing
Activities, Responsibilities, and Oversight
Relationship to Program and Process
Efficient organizational planning is dependent on a clear business model regarding the
role of the public and private sectors--including the roles in relation to in-house staff
and the approach to managing outsourced activities to meet DOT objectives.
Outsourcing may be considered as a strategy to increase or maintain SO&M in
light of staffing or hiring constraints. The private sector may possess unique technol-
ogy, cost advantages, or management capabilities.
Points of Departure (Levels of Capability) and Related Improvement Strategy
Level 1: Inconsistent Approach to Outsourcing
In a Level 1 organization, the DOT uses outsourcing without clear policy or strate-
gic context regarding the impact on retention of core competencies and without the
special skills or procedures needed to manage outsourcing. The existing outsourcing
arrangements may lack consistency, performance orientation, and clear interagency
understanding.
The following strategies can help raise a Level 1 organization to Level 2:
· Identify issues and options regarding outsourcing (TMC, service safety patrol,
towing and recovery, asset management, private data) to meet overall agency techni-
cal, staffing, and management objectives and core capacity retention.
· Develop policy on in-house staff roles in service delivery versus outsourcing or
devolving roles.
Level 2: Basic Business Model for Service Delivery
In a Level 2 organization, essential core agency capabilities have been identified and
a consistent statewide performance management approach to outsourced services has
been developed.
The following strategies can raise a Level 2 organization to Level 3:
· Establish a consistent statewide approach to outsourcing with regard to procure-
ment, contracting procedures, performance management, and time frame of contracts.
· Identify and develop a sustainable business model regarding field activity roles
(state personnel versus external) that considers all factors of cost, core capacity, ac-
countability, and so forth.
Level 3: Clarified, Rationalized Business Model for PublicPrivate Partnerships
At Level 3, the DOT has a clear and sustainable business model regarding in-house
versus outsourced roles and how they are managed.
Responsibility
The central office is responsible for this strategy.
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