Institutional Architectures to Advance Operational

Strategies

Maryland Transportation Operations Summit

Steve LockwoodParsons Brinckerhoff

May 1, 2008

Applying Capability Maturity Model to SDOT Operations Programs

1. Identify Effective agencies

2. Determine the combination of capabilities evident in the more effective agencies

3. Determine the institutional architecture to support increased levels of maturity

4. Identify Change Strategies to achieve the supportive architecture

Operations Capability Maturity Levels

Ad Hoc

Managed

Integrated

Level 1

Level 2

Level 3

Ad hoc operation. Relationships not coordinated

Processes fully documented & staff trained

Fully coordinated, performance-driven

TransitioningAgencies (most)

Goal for the future

A few Leaders

SupportArch.

SupportArch.

SupportArch.

Major VariablesPreconditions

for Effective Systems Operations

• Planning/Programming

• Scope

• Concepts/procedures

• Technology and Systems

• Measurement

Institutional Architecture Dimensions

• Culture

• Leadership

• Authorization

• Resources

• Organizational Structure

• Technical capacities

• Partnerships

CAPABILITYLEVELS

Level 1Performed Ac Hoc

““We don’t know that we don’t know

Level 2Managed

We know that we don’t know”

Level 3Integrated

We work at what we don’t know”

Correlation between Operations Maturity LevelsAnd Institutional Architecture

SUPPORTIVEINSTITUTIONALARCHITECTURE

DimensionsArchitecture A

Ad Hoc to Managed Architecture B

Managed to IntegratedArchitecture CIntegrated to

Mainstreamed

Performance Criteria For Levels

Performance Criteria For Support

Improve improve

Organize Organize

The “Rules” of OCM• Continuous improvement (effectiveness) is

objective

• Improvement requires consistent processes (planning, budgeting, best technology), measurement, documentation and training

• The levels are incremental combinations of processes establishment and measurement

• Each level builds on that previous via establishing more supportive institutional arrangements.

• Current OCM level is based on the row with the

lowest score.

CAPABILITYLEVELS

CriteriaFor Levels

Level 1Performed Ac

Hoc

Level 2Managed

Level 3Integrated

Planning/Programming

Concepts/procedures/

Technology & Systems

Scope

Measurement

SUPPORTIVEINSTITUTIONALARCHITECTURE

DimensionsAd Hoc to Managed

Managed to

Integrated

Integrated to Mainstreamed

Culture

Leadership

Authorization

Organizational Structure

Technical capacities/processes

Partnerships

The Operations Maturity Levels Concept

Levels of Operations Maturity

CriteriaFor Levels

Exhibited in state DOTS Other Sectors

Level 1Performed Ac Hoc

Level 2Managed

Level 3Integrated/Predictable

Planning/Programming

No planning, strategic planning of increments

Integrated Program (D/O/M)

Concepts/procedures

procedures ad hoc/inconsistent

Basic conops documented

Basic concepts integrated into maintenance and construction

Technology and Systems

Inconsistent technologies @ project level

Qualitative Technology evaluation

Standardization

ScopeNarrow/ITS-project

based, TMC as

operator/integratorComprehensive integration (all

strategies) at SOP

Performance Measurement

None Some Output based Quantitative/outcome-based

General Capability Consciousness

Getting organized: project level activities,

siloed, hero-driven““We don’t know that

we don’t know”

Developing methods and processes, but un-

integrated“We know that we

don’t know”

Best practice installed, documented and measured within program framework“We work at what we don’t

know”

Institutional Architectures Associated with Capability Levels

ArchitecturalDimensions

Observed in State DOTs Other institutions

Supporting Transition from Ad Hoc to

Managed

Supporting Transition from Managed to

Integrated

Supporting Transition from Integrated to

Mainstreamed

CultureTechnical understanding

limitedOps understanding across

disciplinesCustomer Mobility

Management commitment

Leadership Champion-based Agency responsibility accepted Commitment at agency level

AuthorizationLegal authorities clarified Rationalization of

responsibilities (DOT, PSA, private)

Organization with mobility mission/authority

Resource Allocation

Project level funds, ad hoc, Multiyear Program funding Needs-based funding based on C/E

Organizational Structure

Horizontal consolidation Vertical/horizontal alignment (P/B/D/C/O/M)

Operations as equal Core program

Technical capacities/processes

Reliance on key individuals Core capacities established Core capacities institutionalized

Partnerships(law, fire, local

govt)

Non-DOT entities unaligned Relationships personal/informal Formal agreements

Institutional Architectures Supporting Capability Levels

Operations Capability Maturity Levels

Ad Hoc

Managed

Integrated

Level 1

Level 2

Level 3

Ad hoc operation. Relationships not coordinated

Processes fully documented & staff trained

Fully coordinated, performance-driven

TransitioningAgencies (most)

Goal for the future

A few Leaders

SupportArch.

SupportArch.

SupportArch.

Dimensions

Architecture Supporting Transition

from Ad Hoc to Managed

Architecture Supporting Transition

from Managed to Integrated

Architecture Supporting Transition from Integrated to Mainstreamed

Culture

Leadership

Authorization

Organizational Structure

Technical capacities/proce

sses

INSTITUTIONAL ARCHITECTURE

Partnerships

Market mechnanims

Education & Policy

Draw from private sector

Up-education

Reallocation legislation

Establish new organization

Establish top level division opxxxxxxxxxxx Training academy

Alignment Formal agreements

Outsource

Strategies to Improve Institutional Architecture(Examples Only)

The Potential of Operations Capability Maturity Model

• Shared vision of what is best practice

• A common language for discussing the state of play

• Vertical and horizontal management relationships

• Formalized, transparent (self) appraisal process

• Suits any type of organization by size, problems, • A framework for prioritizing change management

tactics

• Basis for benchmarking across organizations

CAPABILITYLEVELS

CriteriaFor Levels

Level 1Performed Ac

Hoc

Level 2Managed

Level 3Integrated

Planning/Programming

Concepts/procedures/

Technology & Systems

Scope

Measurement

SUPPORTIVEINSTITUTIONALARCHITECTURE

DimensionsAd Hoc to Managed

Managed to

Integrated

Integrated to Mainstreamed

Culture

Leadership

Authorization

Organizational Structure

Technical capacities/processes

Partnerships

The Operations Maturity Levels Concept