Guide to Improving Capability for Systems Operations and Management (2011) / Chapter Skim
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Pages 13-44
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From page 13... ...
13 BASIC GUIDANCE STEPS For use as guidance in improving the effectiveness of systems operations and management (SO&M) , the Institutional Capability Maturity Model is presented in a series of steps and strategy matrices, one for each element (culture/leadership, organization and staffing, resource allocation, partnerships)
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From page 14... ...
14 GUIDE TO IMPROVING CAPABILITY FOR SYSTEMS OPERATIONS AND MANAGEMENT Step 4 Review each general strategy table for guidance to move to the next level: Level 1 to Level 2, or Level 2 to Level 3. Following each general strategy table are separate numbered detailed strategies in a standard format.
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From page 15... ...
TABLE 2.1. CULTURE/LEADERSHIP: OPERATIONS MATURITY FRAMEWORK Institutional Architecture Elements Level 1 Ad Hoc Level 2 Rationalized Level 3 Mainstreamed Culture/ leadership Mixed, hero driven Championed/ internalized across disciplines Commitment to customer mobility Organization and staffing Fragmented, understaffed Aligned, trained Integrated Resource allocation Project level Criteria-based program Sustainable budget line item Partnerships Informal, unaligned Formal, aligned Consolidated
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From page 16... ...
Undertake educational program Value of SO&M not yet widely appreciated. Role of SO&M in providing service improvements widely understood.
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From page 17... ...
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.
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From page 18... ...
18 GUIDE TO IMPROVING CAPABILITY FOR SYSTEMS OPERATIONS AND MANAGEMENT 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.
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From page 19... ...
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]
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From page 20... ...
20 GUIDE TO IMPROVING CAPABILITY FOR SYSTEMS OPERATIONS AND MANAGEMENT Responsibility The CEO and immediate headquarters executive staff (division heads) , as well as district leadership, can undertake this strategy within their span of influence over staff.
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From page 21... ...
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.
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From page 22... ...
22 GUIDE TO IMPROVING CAPABILITY FOR SYSTEMS OPERATIONS AND MANAGEMENT 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, programmatically, for continuous improvement. Responsibility CEO action is required to lead these changes, most of which are top down.
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From page 23... ...
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.
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From page 24... ...
24 GUIDE TO IMPROVING CAPABILITY FOR SYSTEMS OPERATIONS AND MANAGEMENT Level 3: Effective Span of Control Negotiated In a Level 3 organization, the roles of public- and private-sector players are rationalized through legislation, regulation, and new contractual agreements. Responsibility Top management works with policy makers in cooperation with other service providers, public (PSAs)
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From page 25... ...
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)
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TABLE 2.3. ORGANIZATION AND STAFFING: OPERATIONS MATURITY FRAMEWORK Institutional Architecture Elements Level 1 Ad Hoc Level 2 Rationalized Level 3 Mainstreamed Culture/leadership Mixed, hero driven Championed/ internalized across disciplines Commitment to customer mobility Organization and staffing Fragmented, understaffed Aligned, trained Integrated Resource allocation Project level Criteria-based program Sustainable budget line item Partnerships Informal, unaligned Formal, aligned Consolidated
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From page 27... ...
From L2 to L3: Organizational units and staff objectives clear. Develop an approach to accountabilityrelated process and measures between top management and program managers in central office and districts.
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From page 28... ...
. 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.
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From page 29... ...
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 division of authority, responsibility, and support. Coordination and provision of service to districts is difficult.
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From page 30... ...
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.
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From page 31... ...
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.
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From page 32... ...
TABLE 2.5. RESOURCE ALLOCATION: OPERATIONS MATURITY FRAMEWORK Institutional Architecture Elements Level 1 Ad Hoc Level 2 Rationalized Level 3 Mainstreamed Culture/leadership Mixed, hero driven Championed/ internalized across disciplines Commitment to customer mobility Organization and staffing Fragmented, understaffed Aligned, trained Integrated Resource allocation Project level Criteria-based program Sustainable budget line item Partnerships Informal, unaligned Formal, aligned Consolidated
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From page 33... ...
2. Introduce SO&M as a top-level agency budget line item Outside of standard budgeting process.
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From page 34... ...
and Related Improvement Strategy Level 1: Ad Hoc Project Funding In a Level 1 organization, SO&M strategy applications are often at the project level and funded on an ad hoc, unpredictable basis, or are buried in other projects (capital or maintenance) and subject to other priorities.
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From page 35... ...
and Related Improvement Strategy Level 1: Outside of Standard Budgeting Process In a Level 1 organization, funding levels for SO&M are unpredictable -- and typically not known in the aggregate -- because funding is from multiple sources at the project levels. There is often no knowledge of the level of funding for comparison with potential benefits -- or in comparison with other programs.
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From page 36... ...
and Related Improvement Strategy Level 1: SO&M Lacks Clear Position in State Funding In a Level 1 organization, resources are suballocated from other program categories. The following strategies can help raise a Level 1 organization to Level 2: • Develop a clear DOT position on SO&M (mission, vision, strategy, long- and short-range needs estimates)
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From page 37... ...
Points of Departure (Levels of Capability) and Related Improvement Strategy Level 1: SO&M Cost-Effectiveness Ignored Across Programs In a Level 1 organization, there is no rational analysis that relates performance to type of investment.
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From page 38... ...
TABLE 2.7. PARTNERSHIPS: OPERATIONS MATURITY FRAMEWORK Institutional Architecture Elements Level 1 Ad Hoc Level 2 Rationalized Level 3 Mainstreamed Culture/leadership Mixed, hero driven Championed/ internalized across disciplines Commitment to customer mobility Organization and staffing Fragmented, understaffed Aligned, trained Integrated Resource allocation Project level Criteria-based program Sustainable budget line item Partnerships Informal, unaligned Formal, aligned Consolidated
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From page 39... ...
From L1 to L2: Basic business model for service delivery. Policy on in-house staff roles in service delivery versus outsourcing or devolved roles.
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From page 40... ...
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 coordination between the state DOT and PSAs.
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From page 41... ...
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 coordination between state and local governments (uneven, informal) in terms of developing regional operations solutions and in terms of the capacity (fiscal, technical)
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From page 42... ...
42 GUIDE TO IMPROVING CAPABILITY FOR SYSTEMS OPERATIONS AND MANAGEMENT Responsibility The district level has the lead responsibility for planning and programming, with support from headquarters.
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From page 43... ...
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.
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From page 44... ...
• 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.
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