1. Module 9: Capability Maturity Model (CMM) and Self-Assessment
Regional Operations Forum
Franklin, TN
May 21-23, 2019 
Target time – 45 minutes
Overall description: ADD

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

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

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

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

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

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

8. Dimensions & Levels: CMM Self-Assessment Framework

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

10. Example of a CMM:

11. Different Version of CMM:

12. 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

13. 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

14. ROLF Participant Self-Evaluations Class Exercise