Organizing for TSMO
Case Study 7: Integrating the Capability Maturity Model into Agency Processes

Chapter 1 - Introduction

Historically, transportation agencies have managed congestion primarily by funding major capital projects that focused on adding capacity to address physical constraints such as bottlenecks. Operational improvements were typically an afterthought and considered after the new infrastructure was already added to the system. Given the changing transportation landscape that includes increased customer expectations, a better understanding of the sources of congestion, and constraints in resources, alternative approaches were needed. Transportation systems management and operations (TSMO) provides such an approach to overcome these challenges and address a broader range of congestion issues to improve overall system performance. With agencies needing to stretch transportation funding further and demand for reliable travel increasing, TSMO activities can help agencies maximize the use of available capacity and implement solutions with a high benefit-cost ratio. This approach supports agencies' abilities to address changing system demands and be flexible for a wide range of conditions.

Effective TSMO efforts require full integration within a transportation agency and should be supported by partner agencies. This can be achieved by identifying opportunities for improving processes, instituting data-driven decision-making, establishing proactive collaboration, and performing activities leading to development of performance optimization processes.

Through the second Strategic Highway Research Program (SHRP2), a national partnership between the Federal Highway Administration (FHWA), the American Association of State Highway and Transportation Officials (AASHTO), and the Transportation Research Board, (TRB), a self-assessment framework was developed based on a model from the software industry. The SHRP2 program developed a framework for agencies to assess their critical processes and institutional arrangements through a capability maturity model (CMM). The CMM uses six dimensions of capability to allow agencies to self-assess their implementation of TSMO principles²:

1. Business processes - planning, programming, and budgeting.
2. Systems and technology - systems engineering, systems architecture standards, interoperability, and standardization.
3. Performance measurement - measures definition, data acquisition, and utilization.
4. Culture - technical understanding, leadership, outreach, and program authority.
5. Organization and workforce - programmatic status, organizational structure, staff development, recruitment, and retention.
6. Collaboration - relationships with public safety agencies, local governments, metropolitan planning organizations (MPO), and the private sector.

Within each capability dimension, there are four levels of maturity (performed, managed, integrated, and optimized), as shown in Figure 1. An agency uses the CMM self-assessment to identify their level of maturity in each dimension, to determine their strengths and weaknesses, and to determine actions they can take to improve their capabilities.

Purpose of Case Studies

In the first 10 years of implementation of the TSMO CMM, more than 50 States and regions used the tool to assess and improve their TSMO capabilities. With the many benefits experienced by these agencies, FHWA developed a series of case studies to showcase leading practices to assist other transportation professionals in advancing and mainstreaming TSMO into their agencies. The purposes of the case studies are to:

• Communicate the value of changing the culture and standard practices towards TSMO to stakeholders and decision-makers.
• Provide examples of best-practices and lessons learned by other State and local agencies during their adoption, implementation, and mainstreaming of TSMO.

These case studies support transportation agencies by showing a wide range of challenges, opportunities, and results to provide proof for the potential benefits of implementing TSMO. Each case study was identified to address challenges faced by TSMO professionals when implementing new or expanding existing practices in the agency and to provide lessons learned.

Identified Topics of Importance

The topic of integrating the CMM into agency processes is important for many reasons. The assessment provides agencies with a baseline for their current TSMO maturity and identifies next steps for improvement. The CMM dimensions provide agencies with a framework for TSMO program development and provides transparency to how each dimension is interrelated to the other.

The agencies highlighted for this case study used the CMM assessment to identify strengths and opportunities for improvement in their respective programs. The assessment highlights activities and best practices these organizations performed to mature their TSMO programs.

Interviews

Agencies were selected for each case study based on prior research indicating that the agency was excelling in particular TSMO capabilities. Care was taken to include a diversity of geographical locations and agency types (departments of transportation, cities, and MPOs) to develop case studies that other agencies could easily relate to and learn from. Interviews were conducted with selected agencies to collect information on the topic for each case study.

Description of Integrating the Capability Maturity Model

CMM is a valuable resource to help agencies identify opportunities to improve their TSMO activities. It is used during a self-assessment process to evaluate strengths, weaknesses, and action steps for advancing TSMO capabilities. FHWA, through the SHRP2 program, has collaborated with over 50 State departments of transportation and agencies to complete CMM assessments. This has been a catalyst for initiating or continuing development of many agencies' TSMO program planning efforts.

Discussions that arise when completing the CMM assessment can help form consensus within an agency or among multiple agencies. With a unified understanding and framework for considering challenges, agencies are able to openly collaborate along the same strategic direction.

Some agencies have used CMM as a guide to complete TSMO program planning. CMM dimensions help highlight TSMO elements being successfully performed or where gaps may exist that should be addressed; it offers direction for where enhancements can be made. The identified TSMO elements are then incorporated into TSMO planning documents, processes, or institutional arrangements.

A CMM assessment can be completed periodically to check on the progress of activities for a TSMO program. Implementing consistent reviews of the overall program will establish a culture of continuous improvement. It is important to develop action items during each CMM assessment to make appropriate modifications to challenges or opportunities experienced in the implementation of a TSMO program.