Module 9 Capability Maturity Model CMM and Self

Module 9: Capability Maturity Model (CMM) and Self -Assessment Regional Operations Forum Franklin, TN May 21 -23, 2019

Session Purpose Introduce CMM Provide understanding of: Why is it important? What are the benefits? How do we do one? Self-Assessment Exercise

Why Bother? • Why are agencies capabilities important? • Why do we care where we are at today?

Needed: A Self Assessment Tool 1. Capabilities (6) for Effective TSM&O program 2. Incremental levels of capability improvement 3. Self-evaluation approach – strengths & weakness 4. Rules of application to determine actions 5. Scalability: CMM works for statewide, regional, corridor

The Dimensions Defined 1. Business processes planning/programming/$/project dev. 2. Systems & Technology - systems engineering, conops/arch, 3. Performance - measurement/data/utilization 4. Culture - understanding/formalization/leadership 5. Organization and workforce - structure/accountability 6. Collaboration - public/public & public/private

Applicability of CMM • Improve effectiveness of program of strategy applications –all scales: – Statewide program – Regional/district program – Corridor program

Generic Levels of Capability Maturity Goal for the Future LEVEL 4 LEVEL 3 Most Agencies Today Integrated LEVEL 2 Managed LEVEL 1 Performed • Activities & relationships ad hoc • Champion-driven • Processes developing • Staff training • Limited accountability • Process documented • Performance measured Organization/ partners aligned • Program budgeted Optimize • d. Performance-based improvement • Formal program • Formal partnerships

Dimensions & Levels: CMM Self-Assessment Framework

How Self-assessment works Key staff assesses current agency capability or Individual’s assessment (POV) For each dimension 1. Assess strengths and weaknesses in that dimension 2. Review weaknesses and compare with criteria for levels of capability – determine current level 3. Develop actions to get to next level (as defined by criteria for that level 4. Identify actions to get to next level 5. Develop action plan (starting with the lowest level as highest priority)

Example of a CMM:

Different Version of CMM:

23 State DOTs - Results General Findings of Capability Levels • Most agencies: Capabilities between “performed” or “managed” 1. 5 out of 4 • Collaboration and Systems/Technology: Strongest dimensions • Organization/Staffing and Culture: Wide variation • Performance Measurement and Business Processes: Increasing awareness • Within each dimension: Gaps between best and average practice • Individual States: Progress across dimensions is uneven

CMM Assessment • It is a SELF-Assessment • It is applicable at the DOT level, Region, and partner agencies – we are doing it as a Region • It is being used by agencies to improve their TSM&O Programs • The lowest capability dimension can hold you back • You are using it in this Regional Operations Forum

ROLF Participant Self-Evaluations Class Exercise