Improving NDOT's Organizational Capabilities Through CMM

Overview

NDOT’s use of the Capability Maturity Model (CMM) self-assessment has saved lives by improving traffic incident management, saved time through efficient planning, and saved money by optimizing resource allocation and fostering collaboration with stakeholders. The assessments identify opportunities for improvement, streamline decision-making, and encourage external collaboration, leading to enhanced safety, efficiency, and cost-effectiveness.

In this case study you will learn:

1. How NDOT has used CMM self-assessments since 2011 to identify program improvements.
2. How CMM assessments led to tailored plans and a target of Level 3 TSMO maturity by 2024, fostering collaboration with stakeholders.
3. How NDOT’s approach inspired other organizations like RTC of Southern Nevada to undertake CMM assessments for institutional improvements.

Background

Figure 1 demonstrates Nevada Department of Transportation’s (NDOT) journey with Capability Maturity Model (CMM) self-assessment for past years and future planning. NDOT first used the CMM self-assessment in 2011. Since then, the agency has been undertaking recurring assessments to identify opportunities, translating the findings into specifications and roadmaps to organization improvements. In addition, NDOT used the Active Traffic Management (ATM) Capability Maturity Framework (CMF) to identify and assess organization capabilities, needs, and gaps for statewide expansion of ATM as part of their Intelligent Transportation Systems (ITS) and ATM Master Plan. Following this successful strategy-specific maturity assessment, NDOT planned to conduct a Traffic Incident Management (TIM) CMF self-assessment to improve the Statewide TIM Program capabilities.

TSMO Planning, Strategies and Deployment

Recognizing Transportation Systems Management and Operations’ (TSMO) importance, NDOT conducted first CMM in 2011, identifying critical processes and institutional arrangements, tailoring them to the unique features of TSMO applications. This raised internal awareness of TSMO’s value.

NDOT held second CMM self-assessment in 2014 (Appendix 1) to further tailor actions for TSMO Program Planning. Participants included the Federal Highway Administration (FHWA) and internal stakeholders. Under FHWA and American Association of State Highway and Transportation Officials (AASHTO) supervision, and through research conducted by the Second Strategic Highway Research Program (SHRP 2), NDOT became one of the first agencies to conduct a self-assessment workshop. Under the Program Plan’sProgrammatic Elements, NDOT developed an implementation actions roadmap (Figure 2) featuring timeframes based on the 2014 CMM findings and demonstrated CMM dimensions and TSMO capabilities’ anticipated improvements.

NDOT adopted a recurring schedule of CMM self-assessments (Figure 3) within the TSMO Program Plan for continuous application of the self-assessment framework, along with an update cycle of other plan elements.

• The NDOT TSMO Program Plan was formally adopted in 2020, and NDOT conducted their third CMM self-assessment (Appendix 2 – 2020 CMM tech memo) in preparation for the TSMO Implementation Planning phase. NDOT expanded participation to external stakeholders and reviewed and adjusted targeted action items for the Implementation Planning phase based on the TSMO maturity level across all six dimensions. NDOT then developed several TSMO Plans:
• TSMO Staffing and Workforce Development Plan – identified strategies to recruit, train, and retain a TSMO workforce and opportunities to integrate TSMO into local educational institutions
• TSMO Stakeholder Engagement Plan – adapted the FHWA framework for TSMO collaboration to statewide application of structure, processes, products, resources, and performance measures with general and project-specific approaches
• TSMO Planning and Financial Resources Processes and Procedures Plan –identified TSMO integration opportunities, and developed TSMO-specific planning and financial processes, procedures, and strategies
• TSMO Performance Management Program Plan – reviewed and identified agency-wide and TSMO-specific performance measures for alignment, taking a 3-tiered approach to performance management (Figure 4)

Figure 5 shows comparison between 2014 and 2020 CMMs and increase in Program maturity in 6 years.

Following the 2020 CMM, NDOT developed their Statewide ITS and ATM Master Plan and included an ATM-CMF, conducted in 2022 with participation from NDOT districts and statewide stakeholders (Figure 6). Findings were incorporated into the qualitative recommendations of the ITS and ATM Master Plan’s deployment recommendations, targeting improvements specific to ATM organizational capabilities (Appendix 3 - ATM-CMF technical memo).

Communications Planning and Execution

Prior to conducting CMM workshops, NDOT scheduled multiple meetings with stakeholders through leveraging their TSMO Steering Committee (TSC) meetings. These meetings occur quarterly and are intended to provide an opportunity for stakeholder’s education, knowledge share, and presentation of next steps for statewide TSMO implementation.

In 2020, NDOT used the TSC meeting to conduct three virtual CMM workshops. Although it was challenging, NDOT decided to conduct virtual workshops to maximize participation of key stakeholders. NDOT then used the TSC as a platform to communicate the CMM results, discuss, and achieve consensus on next steps.

Following this success, NDOT used the same methodology in conducting the ATM-CMF workshop. For this workshop, NDOT included key internal and external stakeholders, operations and maintenance staff, and senior leadership of all partners to ensure inclusion of stakeholders at all levels.

Through the TSC meeting in April 2023, NDOT communicated their plan for conducting the next CMM self-assessment in 2024, encouraging all stakeholders’ participation. The 2024 CMM will further expand the participation to all regional and local agencies such as metropolitan planning organizations (MPO), counties, and cities in alignment with the recurring schedule of CMM self-assessment (Figure 3).

Currently, NDOT is also working on organizing a TIM-CMF including participation from TIM Program stakeholders such as law enforcement, emergency/first responders, consultants, towing companies, etc. This will be conducted in collaboration with the FHWA.

Outcome, Learnings and Public Benefit

• The 2011 and 2014 CMM results enabled NDOT to accurately organize improvements in all six CMM dimensions and create the Programmatic Elements and Actionable ItemsRoadmap.
• Using the 2020 CMM results, NDOT tailored and modified TSMO Implementation Planning phase tasks. By setting a target of Level 3 in TSMO maturity for 2024 and including external stakeholders, NDOT communicated the importance of working collaboratively, identified stakeholders’ roles and responsibilities, and created actions items for the next steps in the TSMO Program’s statewide implementation.
• Through the 2020 CMM self-assessment’s granular analysis, NDOT demonstrated and communicated stakeholder groups’ assessment of the six key dimensions (Figure 7). The need to focus on specific audiences, and in what areas, was a major finding from a TSMO culture perspective.
• NDOT developed an innovative and granular methodology for their 2020 CMM, which was also adopted to the ATM-CMF, and used a combination of questionnaires (a list of specific questions regarding capabilities under each dimension) and single self-assessment questions. Figure 8 presents the comparison between CMM levels of maturity from the questionnaire versus self-assessment, showing that in five dimensions participants gave NDOT a higher maturity level on the questionnaire than on the self-assessment.
• Per 2020 assessment results, NDOT Traffic Operations Division is the most versed with TSMO activities. They have laid the foundation for specific strategies, performance metrics, and business processes and completed action items already established. Other divisions, such as Planning and Design, were familiar with the benefit of TSMO per their responses to the Culture dimension. This can be considered a “grass-roots” improvement, enabling participants to provide an educated review of other dimensions.
• A future goal of Level 3 maturity has been established for NDOT. While the Traffic Operations Division will likely accomplish this first, NDOT’s CMM assessment results will only reflect this if all divisions and stakeholders are considered in all aspects of program implementation.
• Through the 2020 assessment, NDOT suggested action items to further enhance the TSMO Program and support implementation. Figure 9 shows how each action item supports one or more existing statewide goals and transportation planning documents.
• The 2022 ATM-CMF was another successful example of internal and external collaboration and collectively identify level of maturity and focus areas within the ITS and ATM MasterPlan.
• Following NDOT’s success, RTC of Southern Nevada was encouraged to conduct their own CMM assessment and develop a regional business case. The RTC completed their internal CMM in 2022 and identified institutional, organizational, and procedural actions.