Role of Agency Culture in Mainstreaming TSMO

3. Levers of Influence in Organizational and Agency Culture Change

Departments of Transportation, like other public sector organizations, have long-service employees who are deeply entrenched in the legacy culture. Some DOTs have maintained a culture focused on road and bridge construction, and TSMO is not viewed within the DOT with the same level of understanding or recognition. To change the culture, people within the organization should incorporate new policies or innovations into their daily routines. New behaviors need to become part of their daily routines until they become part of the norm, supplanting old behaviors. (Fernandez and Rainey 2006)

Four levers of influence on the behaviors of people within the organization and, in turn, the organization and its culture are:

• Leadership influence
• Employee engagement
• Employee awareness and understanding of the organization’s mission
• Quantifiable metrics

These methods can facilitate or impede change. The discussion below addresses these four levers of agency culture change and how they can mainstream TSMO.

Leadership Influence

Leaders, regardless of their position or rank, play a critical role in organizational change in the public sector. (Fernandez and Rainey 2006) The definition of a leader varies drastically by framework or perspective, but a broadly applicable definition is “an individual who significantly affects the thoughts, feelings and behavior of a significant number of individuals.” (Gardner and Laskin 1995, p. ix) This definition of leadership opens up the possibilities of a leader being at any level of an organization, field, or specialty area. This is relevant to transportation agencies, which may have both formal and informal leaders that shift roles throughout the agency. According to Gardner (1990) and Gardner and Laskin (1995), the six features of effective leaders, based on an assessment of great historical leaders include the following:

• Story—The leader must have a central story or message that others can follow.
• Audience—The audience must be ready and receptive to the leader’s story.
• Organization—There needs to be some type of institutional basis or structure for leadership to endure.
• Embodiment—The creator of the story must embody it (what is now called authenticity).
• Direct/indirect leadership—The leader begins as a specialist and then grows to a generalist because it is easier to move from indirect leadership (domain-specific expertise) to direct leadership (wide-ranging issues and generality).
• Expertise—The leader must be an expert in a domain to gain credibility (although that domain does not have to be the same one in which the individual eventually becomes a leader).

The role of senior leadership is often emphasized at the onset of change, while direct supervisors and junior leadership guide its implementation and longevity. (van der Voet et al. 2015) Leadership is responsible for supporting change by disseminating information and justifying the need for change to employees and stakeholders. To establish a foundation for change, leaders need to generate desire for something different from the status quo. (Denning 2007)

Transformational leadership is the primary leadership theory that is generally agreed to have the most positive effect on organizational change because those who follow it can articulate their vision and foster support among followers. (Bass 1990, van der Voet et al. 2015) Transformational leaders support organizational change because they follow the Four I’s—individual consideration, intellectual stimulation, inspirational motivation, and idealized influence. (Bass 1990, Riggio 2014) Basically, leaders provide employees with an appealing vision for change that is accepted because it is related to the employees’ interests and values, while also supporting those employees’ efforts. (van der Voet et al. 2015) By articulating outcomes and allowing frank discussions of perceived issues and factual inefficiencies that relate to the employee’s daily work, leaders connect the need for change to the employee and mitigate change resistance. (Cunningham and Kempling 2009) Connecting employees’ pride in the organization to the vision for change and improvement in the new iteration of the organization is an effective way to reduce resistance to change and increase employee support. (Fernandez and Rainey 2006)

Although aspects of leadership can influence change implementation and sustainability, leaders can also indirectly support change by identifying and supporting staff champions. (FHWA 2018) Staff members can be formal leaders (e.g., direct supervisors) or informal leaders who have been identified by formal leaders as highly respected individuals who have personal ties and can influence other employees. (Fernandez and Rainey 2006) These champions raise the profile of the envisioned change by informally discussing it in a positive light during face-to-face interaction (Cunningham and Kempling 2009) and being a visible example of someone adopting the change. (Schraeder et al. 2005)

Examples from the Field

Three common themes related to the role of leadership in mainstreaming TSMO and culture change emerged through interviews with several State DOTs:

• Organizational structure and common forums. Several agencies noted some type of high‑level restructuring or the development of a TSMO committee or task force that facilitated communication at the leadership level as being key to implementing TSMO. For example, Florida DOT developed a TSMO‑specific task team and a leadership team to help ensure appropriate levels of structural change as part of the mainstreaming process. Florida DOT also adapted the central office of Traffic Engineering and Operations and Districts Office organizations to focus on and highlight TSMO roles and responsibilities. Similarly, Iowa DOT developed a TSMO steering committee that serves as a central place where representatives from every area of the agency come together around matters related to TSMO. It provides a central, coordinated point for TSMO matters and also allows for connections across the agency where TSMO benefits can be showcased.
• Leadership buy-in and public support. Some agencies noted the importance of leadership buy-in to gain traction. Ohio DOT specifically cited the strong buy-in from leadership to overcome resistance to change around agency culture. Washington State DOT noted that its leadership was publicly supportive of TSMO and culture-change initiatives. The agency’s leadership also recognized the need to effectively operate the system for the future using TSMO approaches (and adapting the current structure as needed). Texas DOT noted the value of leadership in defining TSMO, relating it to Texas DOT’s mission, and identifying areas that needed help overcoming skepticism around change. In Florida, the TSMO program at MetroPlan Orlando, the metropolitan planning organization (MPO) for the Orlando region, received a major boost from leadership through board members and a U.S. Congressmember who spoke at a TSMO committee meeting. All major metropolitan area MPOs in Florida have active TSMO committees that inform the regional ITS architectures, strategic plans, and funding decisions.
• Education and communication. Leadership happens at many levels, and often leaders need to be educated about new approaches, technologies, or systems. There can be resistance to something new that may not be well understood. Tennessee DOT’s leadership sent regional operations directors to a Regional Operations Leadership Forum, which fostered a better understanding of TSMO and generated buy-in on its usefulness. This would not have occurred without the most senior management mandating and supporting participation in this training. The TSMO Director at MetroPlan Orlando is bringing awareness and buy-in for TSMO to other MPOs in the Interstate 4 corridor of Florida by speaking at their board and executive director meetings to build collaboration for TSMO across the corridor.

Employee Engagement

Training and education are important when attempting to change an organization’s culture, especially when new tools or processes are introduced. No matter how effective a leader is, one cannot induce a sustainable change if employees are unsupportive of the change initiative and do not have a shared responsibility for its success. Employees should support the incorporation of TSMO into a DOT’s culture; otherwise, employees may revert to the legacy values and norms. DOTs can enable employee engagement and support for a particular change by presenting a strategic narrative, engaging managers, encouraging and recognizing employee voices, and establishing a sense of integrity represented in consistent organizational behavior. (MacLeod and Clark 2009)

One of the best ways to engage employees in the change process is to include them in the development of new policies and procedures. One suggestion is to ask employees to work in groups where they represent senior management and prepare a recommendation for how to adapt the envisioned change to their department. (Schraeder et al. 2005) This activity exposes participants to the challenges behind the change initiative and encourages them to take ownership over how it affects their daily work. (Schraeder et al. 2005) Another way to accomplish this is through internal surveys in which employees are able to provide feedback and new ideas. By empowering staff to take part in the change process, individual employees can have a positive impact on the way the department works and can be proud of those results. (National Academies 2010) Additionally, managers can include aspects of these changes in employee development goals and track their progress toward this change.

Training can play an important role in creating cultural changes by communicating the strategic narrative. Presenting the strategic narrative during training conveys the reasoning for change, motivates the desired behaviors, cultivates communication, and mitigates employee apprehension. (Lougee and Poitevin 2019) Schraeder et al. (2005) noted that the following topics can enhance awareness and promote cultural change among employees during formal training:

• Background—The impact on organizational effectiveness and the role of values, behaviors, and norms
• Development of the organizational culture—The role of leadership and the impact of internal and external environments
• Attributes of the current organizational culture—The impact of subcultures, communication processes, and decisionmaking processes
• Introducing the need for change—Benchmarking with other organizations, internal financial trends, trends on customer feedback, and a realistic overview of anticipated implications

Expanding training beyond a single organization is also an effective way to emphasize a cultural change. For example, TSMO is not conducted within a vacuum at a State DOT or MPO, and it is often helpful to include local agencies or other TSMO partners in TSMO training. Interagency TSMO efforts are more effective when all partner agencies understand TSMO and have integrated it into their processes. This training may also help MPOs consider TSMO as a key option in the metropolitan transportation planning process.

An additional consideration is that new technologies or trends in processes or management are often already part of a change movement. Finding a way to link mainstreaming TSMO efforts to these trends can allow for contextual benefits in instituting new policies, changing behaviors (e.g., if another program results in updated training materials, then including TSMO-related changes is not as difficult), or enhancing performance metrics.

Examples from the Field

Recommendations from several State DOTs to enhance employee engagement coalesce into several themes:

• Connect to something familiar. For staff without exposure to or familiarity with TSMO, it may seem like something that is completely different and separate from their daily duties. It may also be seen as a burden of “extra work” in addition to their normal duties. Maryland DOT State Highway Administration (SHA) focused their employee engagement on connecting TSMO to what staff were already doing in their day-to-day duties and explaining how TSMO could support those efforts.
• Clear definitions for overcoming resistance. Texas DOT worked toward employee engagement by clearly defining TSMO, articulating what it means in various aspects, demonstrating how it relates, and highlighting how it can help improve performance. Maryland DOT SHA is also translating the TSMO language into terminology that can be incorporated into agency-wide communications. Maryland DOT SHA rolled out an agency-wide TSMO directive and is developing documents that detail how TSMO strategies and concepts can be embedded in various planning, engineering, construction, operations, and maintenance activities that various offices and district personnel perform on a day-to-day basis. Maryland DOT SHA TSMO actively engages various levels of staff and management across the organization through townhalls and seminars to discuss collaboration opportunities.
• Education and communication. Florida DOT spends a fair amount of time on the basic activities of training and outreach to work with staff across the agency on TSMO. Several TSMO training courses are published on Florida DOT’s training portal. Topics include ITS construction engineering and inspection, traffic signals, and system engineering. Personnel from Florida DOT’s Traffic Engineering and Operations Office regularly attend statewide meetings of other disciplines to share TSMO updates and to learn about needs that could be addressed through TSMO. The Florida DOT TSMO Leadership Team and Task Team include representatives of all modes and many technical disciplines. Iowa DOT had to overcome resistance to TSMO being viewed as a fad and is developing a 5-minute TSMO video for all new staff as well as a TSMO curriculum to help with overall acceptance of TSMO as something that staff understand from the beginning as part of the agency’s approach. Pennsylvania DOT started a training committee to understand gaps and needs related to TSMO and developed a transportation management center boot camp that can fit into the larger theme of TSMO throughout the agency. Washington State DOT developed a TSMO website as an educational tool and delivered various training for staff. As previously mentioned, Tennessee DOT sent leadership staff to Regional Operations Forums to educate key staff and overcome skepticism.
• Tap into something that causes change and excitement. Agencies use the linkages between TSMO and connected and automated vehicles (CAV) to engage a broader base with TSMO. Florida DOT ties in strategic planning for mainstreaming TSMO as a component that also works with their CAV program planning. CAV garners attention and excitement, and mainstreaming TSMO can piggyback on CAV momentum. Florida DOT TSMO champions convey to others in the agency and their partners that mainstreaming TSMO is the basis for future CAV planning, policy, and deployments. TSMO leaders can also connect TSMO to an agency leadership priority, such as asset management, for increased exposure and support.
• TSMO liaison roles. Several State DOTs have assigned TSMO Coordinators to communicate and coordinate with other departments or divisions regarding TSMO. For example, Michigan DOT has a TSMO champion in each of its seven regions. Similarly, Ohio DOT has a designated TSMO Coordinator in each of its 12 districts. These liaisons help incorporate TSMO into planning and deployment activities in the regions.

Employee Awareness and Understanding of the Organization's Mission

Culture change is supported when organizations and agencies ensure that employees understand the organization's mission, purpose, and goal agreements. Organizations and agencies do this in many ways, including adjusting their internal materials to reinforce their dedication to a mission and overall cultural change.

While articulating that the envisioned change is important, organizations should go a step beyond articulation and update structures and systems to correspond with the envisioned change. Clear vision, mission, and policy statements are essential for ensuring continuity of implementation. Policy ambiguity can sow confusion and lead to different interpretations throughout the organization. (Fernandez and Rainey 2006) Agencies can ensure that employees understand the organization’s mission, purpose, and goals by producing and distributing consistent internal materials that reinforce the agency’s dedication to a mission or overall cultural change. Having clear, understandable goals and objectives readily available to all employees may help keep long‑term projects and day-to-day tasks aligned with the agency’s mission. (Smart Growth America 2012)

An agency’s mission sets the foundation for all of its policies and decisionmaking frameworks. This usually sets the direction of the overall organization, and then program plans flow down from this framework.

Examples from the Field

Below are examples of areas in which DOTs have advanced employee awareness about TSMO:

• Plans and manuals. One way to increase employee awareness of TSMO is to incorporate it into long-range plans, strategic plans, mission statements, and other guiding documentation that employees will likely encounter. Developing a TSMO program plan is another approach to ensure that staff understand TSMO is vital to the organizational mission. Communicating the new mission demonstrates the importance of the change and ensures its consistent adoption. Florida DOT includes TSMO in all relevant manuals and guides and highlights safety and mobility goals supported by TSMO throughout the Florida Transportation Plan. Iowa DOT developed a TSMO strategic plan and a TSMO program plan that align with the DOT’s overarching strategic plan. Ohio DOT developed its own TSMO program plan and articulated a business case for TSMO. Pennsylvania DOT is incorporating TSMO language into various Pennsylvania DOT publications and is developing a series of guidebooks to address the planning, design, construction, maintenance, and operations aspects of TSMO. Texas DOT has included TSMO in its strategic plan, mission statement, and agency goals. Tennessee DOT has a TSMO plan entitled Traffic Operations Program Plan.
• Roadshows, websites, webinars, and other communication venues. Several DOTs (e.g., Florida DOT and Iowa DOT) noted the use of a roadshow to meet with various divisions around the agency and make the case about the importance of TSMO and what is being done by each agency. Personnel from Florida DOT’s Traffic Engineering and Operations Office regularly attend statewide meetings of other disciplines to share TSMO updates and to learn about needs that could be addressed through TSMO. The Florida DOT TSMO Leadership Team and Task Team include representatives of all modes and many technical disciplines. Washington State DOT developed a TSMO website that describes TSMO and various TSMO strategies and incorporated use of the website into some grant application processes.
• Job descriptions. Job descriptions and personnel-related documentation are a fundamental aspect of staff understanding. If TSMO is in the job description, then staff and leadership should be aware of TSMO from the beginning of a staff member’s tenure with that position. Along with onboarding training, the job description is crucial to early exposure to the central role of TSMO. Maryland DOT incorporated TSMO in the job description for its Deputy Director, who serves as the agency’s TSMO Program Manager. The agency has hired mid-level managers who are required to understand and have experience with the TSMO program. Similarly, Tennessee DOT has included TSMO in job descriptions for managers and operators. Washington State DOT has developed TSMO‑specific job descriptions and career paths.

Quantifiable Metrics

Quantifiable metrics are vital to the iterative process of improvement and culture change. These measures are also critical to making the argument for TSMO (i.e., business case) to initially resistant leadership or staff who want to hold onto traditions and may not initially see the benefits of a particular change or policy; engineers and business people alike want to see numbers and how they affect the bottom line. The use of metrics to illustrate the effectiveness of TSMO is key to convincing agency decisionmakers to prioritize and mainstream TSMO in their organizations. Data‑driven methods, such as goal matrices, key performance indicators, and quantitative metrics, are tools that organizations and agencies can use to support the value of the mission or to change goals.

The change effort should be connected to other facets of the organization, especially performance evaluation and reward systems, which may help determine the state of progress, both from a baseline point and also throughout the change. (Bass 1990) Measurement is an important aspect of the change process—both to assess before and after changes as well as to assess what is working and what is not. These measurements may allow employees to focus on continuous, iterative improvement. (Cunningham and Kempling 2009)

An agency would benefit from setting clear criteria for State transportation projects where possible and evaluate current project delivery processes. (Smart Growth America 2012) It is beneficial to identify a limited number of achievable, measurable objectives related to performance. “Having readily available data and information about the performance of both the agency and the transportation system can help the public and stakeholder understand the progress that agencies are making to address performance and the challenges that transportation agencies face.” (National Academies 2010) There are numerous types of metrics used in assessing performance, including return on investment, return on assets, and benefit-cost analysis, that are relevant to TSMO.

Transportation agencies can explore data on human capital management, which may take on increased importance as the transportation workforce goes through increasingly drastic changes in skills and needs. With an increase in data analytical needs within transportation agencies and the pivot towards more customer-focused and “softer” skills, data related to relevant skills of applicants and current employees in these domains should gain importance. These skills would be related to emerging positions in DOTs, such as traffic data scientist, statistician, and telecommunications manager. (Fecheyr-Lippens and Tanner 2015, Szymkowski et al. 2019)

As noted in the Balanced Scorecard approach discussed earlier, best practices for culture change try to tie strategies to performance measures and data. Proper data and performance metrics allow one to answer questions related to strategy success potential and weaknesses. Also, strategies should provide a framework for interpreting data and measures that should be targeted. The coordination of these two components may improve the chances of successfully and efficiently changing an agency culture.

Examples from the Field

State agencies provided examples of quantifiable metrics within certain themes:

• Performance measures and outcomes. DOTs are becoming more aware of the importance of performance measures that are inward looking, as well as tangible outcome measures in areas of TSMO, to complement measures often related to construction project completion. Portland’s 2035 Regional Transportation Plan includes a new focus on performance measures and outcomes as well as a complementary Transportation Performance Management Plan. (FHWA 2010) Iowa DOT conducted an evaluation and found that they had nearly 200 performance measures, as well as a TSMO business case related to the utility of these performance measures in various other aspects of strategic planning and management. To streamline and focus these to be more useful, Iowa DOT is completing an analysis of operations performance measures to identify critical measures and a process to track and report on these measures.
• Reporting and dashboards. With all the data that are now available, as well as new performance metrics continually being added, it is necessary for a clean, comprehensive, and easily usable way to report information to management and other users. Incorporating TSMO into existing reports institutionalizes TSMO and aids in mainstreaming TSMO and raising awareness of its benefits and key role in moving people and goods. Arizona DOT’s TSMO division uses a scorecard to track approximately 30 performance metrics in areas such as systems maintenance and systems management. Ohio DOT is building a dashboard to track all the program numbers and performance measures identified in its TSMO program plan. Pennsylvania DOT has a district executive scorecard with different performance measures based on the needs of executives and other users, with tailorable output. Additional TSMO-related measures are also being considered. Texas DOT is creating traffic management system status reports for all five metropolitan districts showing the results of TSMO activities, which is an example of institutionalizing TSMO at the reporting level.
• Inward-looking metrics. Examples in transportation are more limited than in other industries, as noted in earlier sections, but metrics should not just be outward facing. Continuous assessments of internal performance and goal achievement facilitate making changes and improvements iteratively based on results and trends. DOTs are often focused on outputs, but there is a growing recognition of the need to put more emphasis on outcomes (i.e., determining the impact of actions). Focusing on outward-only metrics while potentially overlooking internal checks and balances can lead to costly errors and negative press that are often avoidable. (For a recent DOT example, see Sommerhauser 2017.) The District of Columbia DOT has conducted performance accountability reports to determine how well it is meeting its objectives. Similarly, Arizona DOT has 20 performance metrics with specific targets and goals that are reported monthly for internal assessments, with varying levels of red, green, and yellow categories on a reporting scale.