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NATIONAL
NCHRP REPORT 511
COOPERATIVE
HIGHWAY
RESEARCH
PROGRAM
Guide for Customer-
Driven Benchmarking of
Maintenance Activities
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TRANSPORTATION RESEARCH BOARD EXECUTIVE COMMITTEE 2003 (Membership as of October 2003)
OFFICERS
Chair: Genevieve Giuliano, Director, Metrans Transportation Center, and Professor, School of Policy, Planning, and Development,
University of Southern California, Los Angeles
Vice Chair: Michael S. Townes, President and CEO, Hampton Roads Transit, Hampton, VA
Executive Director: Robert E. Skinner, Jr., Transportation Research Board
MEMBERS
MICHAEL W. BEHRENS, Executive Director, Texas DOT
JOSEPH H. BOARDMAN, Commissioner, New York State DOT
SARAH C. CAMPBELL, President, TransManagement, Inc., Washington, DC
E. DEAN CARLSON, President, Carlson Associates, Topeka, KS
JOANNE F. CASEY, President and CEO, Intermodal Association of North America
JAMES C. CODELL III, Secretary, Kentucky Transportation Cabinet
JOHN L. CRAIG, Director, Nebraska Department of Roads
BERNARD S. GROSECLOSE, JR., President and CEO, South Carolina State Ports Authority
SUSAN HANSON, Landry University Professor of Geography, Graduate School of Geography, Clark University
LESTER A. HOEL, L. A. Lacy Distinguished Professor of Engineering, Department of Civil Engineering, University of Virginia
HENRY L. HUNGERBEELER, Director, Missouri DOT
ADIB K. KANAFANI, Cahill Professor and Chairman, Department of Civil and Environmental Engineering, University of California
at Berkeley
RONALD F. KIRBY, Director of Transportation Planning, Metropolitan Washington Council of Governments
HERBERT S. LEVINSON, Principal, Herbert S. Levinson Transportation Consultant, New Haven, CT
MICHAEL D. MEYER, Professor, School of Civil and Environmental Engineering, Georgia Institute of Technology
JEFF P. MORALES, Director of Transportation, California DOT
KAM MOVASSAGHI, Secretary of Transportation, Louisiana Department of Transportation and Development
CAROL A. MURRAY, Commissioner, New Hampshire DOT
DAVID PLAVIN, President, Airports Council International, Washington, DC
JOHN REBENSDORF, Vice President, Network and Service Planning, Union Pacific Railroad Co., Omaha, NE
CATHERINE L. ROSS, Harry West Chair of Quality Growth and Regional Development, College of Architecture, Georgia Institute of
Technology
JOHN M. SAMUELS, Senior Vice President, Operations, Planning and Support, Norfolk Southern Corporation, Norfolk, VA
PAUL P. SKOUTELAS, CEO, Port Authority of Allegheny County, Pittsburgh, PA
MARTIN WACHS, Director, Institute of Transportation Studies, University of California at Berkeley
MICHAEL W. WICKHAM, Chairman, Roadway Corporation, Akron, OH
MARION C. BLAKEY, Federal Aviation Administrator, U.S.DOT (ex officio)
SAMUEL G. BONASSO, Acting Administrator, Research and Special Programs Administration, U.S.DOT (ex officio)
REBECCA M. BREWSTER, President and COO, American Transportation Research Institute, Smyrna, GA (ex officio)
GEORGE BUGLIARELLO, Foreign Secretary, National Academy of Engineering (ex officio)
THOMAS H. COLLINS (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard (ex officio)
JENNIFER L. DORN, Federal Transit Administrator, U.S.DOT (ex officio)
ROBERT B. FLOWERS (Lt. Gen., U.S. Army), Chief of Engineers and Commander, U.S. Army Corps of Engineers (ex officio)
EDWARD R. HAMBERGER, President and CEO, Association of American Railroads (ex officio)
JOHN C. HORSLEY, Executive Director, American Association of State Highway and Transportation Officials (ex officio)
ROGER L. KING, Chief Applications Technologist, National Aeronautics and Space Administration (ex officio)
ROBERT S. KIRK, Director, Office of Advanced Automotive Technologies, U.S. Department of Energy (ex officio)
RICK KOWALEWSKI, Acting Director, Bureau of Transportation Statistics, U.S.DOT (ex officio)
WILLIAM W. MILLAR, President, American Public Transportation Association (ex officio)
MARY E. PETERS, Federal Highway Administrator, U.S.DOT (ex officio)
SUZANNE RUDZINSKI, Director, Transportation and Regional Programs, U.S. Environmental Protection Agency (ex officio)
JEFFREY W. RUNGE, National Highway Traffic Safety Administrator, U.S.DOT (ex officio)
ALLAN RUTTER, Federal Railroad Administrator, U.S.DOT (ex officio)
ANNETTE M. SANDBERG, Federal Motor Carrier Safety Administrator, U.S.DOT (ex officio)
WILLIAM G. SCHUBERT, Maritime Administrator, U.S.DOT (ex officio)
NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM
Transportation Research Board Executive Committee Subcommittee for NCHRP
GENEVIEVE GIULIANO, University of Southern California, MARY E. PETERS, Federal Highway Administration
Los Angeles (Chair) ROBERT E. SKINNER, JR., Transportation Research Board
E. DEAN CARLSON, Carlson Associates, Topeka, KS MICHAEL S. TOWNES, Hampton Roads Transit, Hampton, VA
LESTER A. HOEL, University of Virginia
JOHN C. HORSLEY, American Association of State Highway and
Transportation Officials
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NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM
NCHRP REPORT 511
Guide for Customer-
Driven Benchmarking of
Maintenance Activities
WILLIAM HYMAN
Booz Allen Hamilton
McLean, VA
S UBJECT A REAS
Planning and Administration · Maintenance
Research Sponsored by the American Association of State Highway and Transportation Officials
in Cooperation with the Federal Highway Administration
TRANSPORTATION RESEARCH BOARD
WASHINGTON, D.C.
2004
www.TRB.org
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NATIONAL COOPERATIVE HIGHWAY RESEARCH NCHRP REPORT 511
PROGRAM
Systematic, well-designed research provides the most effective Project 14-13 FY'99
approach to the solution of many problems facing highway
administrators and engineers. Often, highway problems are of local ISSN 0077-5614
interest and can best be studied by highway departments ISBN 0-309-08786-4
individually or in cooperation with their state universities and
Library of Congress Control Number 2004100243
others. However, the accelerating growth of highway transportation
develops increasingly complex problems of wide interest to © 2004 Transportation Research Board
highway authorities. These problems are best studied through a
coordinated program of cooperative research. Price $30.00
In recognition of these needs, the highway administrators of the
American Association of State Highway and Transportation
Officials initiated in 1962 an objective national highway research
program employing modern scientific techniques. This program is
supported on a continuing basis by funds from participating
member states of the Association and it receives the full cooperation
and support of the Federal Highway Administration, United States NOTICE
Department of Transportation.
The project that is the subject of this report was a part of the National Cooperative
The Transportation Research Board of the National Academies
Highway Research Program conducted by the Transportation Research Board with the
was requested by the Association to administer the research
approval of the Governing Board of the National Research Council. Such approval
program because of the Board's recognized objectivity and reflects the Governing Board's judgment that the program concerned is of national
understanding of modern research practices. The Board is uniquely importance and appropriate with respect to both the purposes and resources of the
suited for this purpose as it maintains an extensive committee National Research Council.
structure from which authorities on any highway transportation
The members of the technical committee selected to monitor this project and to review
subject may be drawn; it possesses avenues of communications and
this report were chosen for recognized scholarly competence and with due
cooperation with federal, state and local governmental agencies, consideration for the balance of disciplines appropriate to the project. The opinions and
universities, and industry; its relationship to the National Research conclusions expressed or implied are those of the research agency that performed the
Council is an insurance of objectivity; it maintains a full-time research, and, while they have been accepted as appropriate by the technical committee,
research correlation staff of specialists in highway transportation they are not necessarily those of the Transportation Research Board, the National
matters to bring the findings of research directly to those who are in Research Council, the American Association of State Highway and Transportation
a position to use them. Officials, or the Federal Highway Administration, U.S. Department of Transportation.
The program is developed on the basis of research needs Each report is reviewed and accepted for publication by the technical committee
identified by chief administrators of the highway and transportation according to procedures established and monitored by the Transportation Research
departments and by committees of AASHTO. Each year, specific Board Executive Committee and the Governing Board of the National Research
areas of research needs to be included in the program are proposed Council.
to the National Research Council and the Board by the American
Association of State Highway and Transportation Officials.
Research projects to fulfill these needs are defined by the Board, and
qualified research agencies are selected from those that have
submitted proposals. Administration and surveillance of research
contracts are the responsibilities of the National Research Council
and the Transportation Research Board. Published reports of the
The needs for highway research are many, and the National
NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM
Cooperative Highway Research Program can make significant
contributions to the solution of highway transportation problems of are available from:
mutual concern to many responsible groups. The program,
however, is intended to complement rather than to substitute for or Transportation Research Board
duplicate other highway research programs. Business Office
500 Fifth Street, NW
Washington, DC 20001
and can be ordered through the Internet at:
Note: The Transportation Research Board of the National Academies, the
National Research Council, the Federal Highway Administration, the American
Association of State Highway and Transportation Officials, and the individual
http://www.national-academies.org/trb/bookstore
states participating in the National Cooperative Highway Research Program do
not endorse products or manufacturers. Trade or manufacturers' names appear
herein solely because they are considered essential to the object of this report. Printed in the United States of America
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The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished schol-
ars engaged in scientific and engineering research, dedicated to the furtherance of science and technology
and to their use for the general welfare. On the authority of the charter granted to it by the Congress in
1863, the Academy has a mandate that requires it to advise the federal government on scientific and techni-
cal matters. Dr. Bruce M. Alberts is president of the National Academy of Sciences.
The National Academy of Engineering was established in 1964, under the charter of the National Acad-
emy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration
and in the selection of its members, sharing with the National Academy of Sciences the responsibility for
advising the federal government. The National Academy of Engineering also sponsors engineering programs
aimed at meeting national needs, encourages education and research, and recognizes the superior achieve-
ments of engineers. Dr. William A. Wulf is president of the National Academy of Engineering.
The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the
services of eminent members of appropriate professions in the examination of policy matters pertaining to
the health of the public. The Institute acts under the responsibility given to the National Academy of
Sciences by its congressional charter to be an adviser to the federal government and, on its own initiative,
to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the
Institute of Medicine.
The National Research Council was organized by the National Academy of Sciences in 1916 to associate
the broad community of science and technology with the Academy's purposes of furthering knowledge and
advising the federal government. Functioning in accordance with general policies determined by the Acad-
emy, the Council has become the principal operating agency of both the National Academy of Sciences and
the National Academy of Engineering in providing services to the government, the public, and the scientific
and engineering communities. The Council is administered jointly by both the Academies and the Institute
of Medicine. Dr. Bruce M. Alberts and Dr. William A. Wulf are chair and vice chair, respectively, of the
National Research Council.
The Transportation Research Board is a division of the National Research Council, which serves the
National Academy of Sciences and the National Academy of Engineering. The Board's mission is to promote
innovation and progress in transportation through research. In an objective and interdisciplinary setting, the
Board facilitates the sharing of information on transportation practice and policy by researchers and
practitioners; stimulates research and offers research management services that promote technical
excellence; provides expert advice on transportation policy and programs; and disseminates research
results broadly and encourages their implementation. The Board's varied activities annually engage more
than 4,000 engineers, scientists, and other transportation researchers and practitioners from the public and
private sectors and academia, all of whom contribute their expertise in the public interest. The program is
supported by state transportation departments, federal agencies including the component administrations of
the U.S. Department of Transportation, and other organizations and individuals interested in the
development of transportation. www.TRB.org
www.national-academies.org
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COOPERATIVE RESEARCH PROGRAMS STAFF FOR NCHRP REPORT 511
ROBERT J. REILLY, Director, Cooperative Research Programs
CRAWFORD F. JENCKS, Manager, NCHRP
CHRISTOPHER J. HEDGES, Senior Program Officer
EILEEN P. DELANEY, Managing Editor
ANDREA BRIERE, Associate Editor
KAMI CABRAL, Associate Editor
NCHRP PROJECT 14-13 PANEL
Field of Maintenance--Area of Maintenance of Way and Structures
LEONARD L. SCHULTZ, Maryland State Highway Administration (Chair)
JOHN P. BURKHARDT, Indianapolis Department of Public Works
KENNETH CHRISTMAN, Wappingers Falls, NY
LEONARD R. EVANS, Ohio DOT
JOSE-LUIS GUERRERO-CUSUMANO, Georgetown University
JOHN L. HOPKINS, II, Pleasant Gap, PA
LINEA K. LAIRD, Washington State DOT
BARBARA MARTIN, Montana DOT
JOHN SELMER, Iowa DOT
JAMES B. SORENSON, FHWA Liaison Representative
FRANK N. LISLE, TRB Liaison Representative
AUTHOR ACKNOWLEDGMENTS
This guide was prepared under NCHRP Project 14-13. The prime and contributed a technical memorandum. A large number of indi-
contractor was Booz Allen Hamilton. The subcontractor was Com- viduals in state and local agencies provided input by completing
pass USA. The Principal Investigator was William A. Hyman, survey questions, reviewing a draft of the guide, or both. Tricia
Senior Associate, Booz Allen Hamilton, and the Co-Principal Rosenthal and Luisa Medrano played a key role in the editing and
Investigator was Thomas Heffner, President, Compass USA. Three production, respectively, of the guide. Other valuable production
state transportation departments--California, Minnesota, and assistance was provided by Lorna Martin. Finally, the input and
Ohio--participated in a field test of the guide. Gary Niemi, Keith guidance of Chris Hedges, the Senior Program Officer, and the
Swearingen, and Al Bailey were particularly helpful. John Ruggerio NCHRP Project 14-13 Panel are gratefully acknowledged.
provided methodological expertise on data envelopment analysis
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This report provides state and local roadway maintenance managers with guidance
FOREWORD on how to evaluate and improve their agency's performance through a process called
By Christopher J. Hedges "customer-driven benchmarking." The objective of benchmarking is to identify, eval-
Staff Officer uate, and implement best practices by comparing your agency's performance with those
Transportation Research of other agencies. Customer-driven benchmarking defines best practices as those prac-
Board tices that provide the highest levels of customer satisfaction, measured by customer sur-
veys and other performance indicators. This guide leads the user through the bench-
marking process, providing details on how to select partners, establish performance
measures, use those measures to assess performance, and implement best practices. The
guide is accompanied by a primer that promotes and encourages the use of customer-
driven benchmarking. The primer, which is geared toward senior executives, summa-
rizes the main concepts, success factors, and potential benefits that can be accrued by
an agency willing to implement customer-driven benchmarking.
The use of performance measures for transportation agencies is currently receiv-
ing a great deal of attention from senior executives in the public sector. Of the perfor-
mance measures currently in use or under consideration, customer satisfaction has
become a major driver for strategic performance measurement in state departments of
transportation (DOTs). The users of the transportation system are becoming more dis-
cerning and vocal in their expectations, and they increasingly demand better value and
performance from the DOT.
Traditional maintenance management systems focus on efficiency and cost and
measure performance in terms of resources used. This guide provides the means to
evaluate roadway maintenance activities by the extent to which they meet customer
needs. The nature and extent of roadway maintenance can have a significant impact on
customer satisfaction through activities such as snow and ice control, pavement resur-
facing, replacement of worn signs and pavement markings, and management of road-
side vegetation and litter removal.
One effective means of measuring performance is benchmarking. Benchmarking
can be used to improve any activity performed by an organization, including highway
maintenance activities. A key component of any benchmarking effort is obtaining
agreement among the participants regarding the performance measures that will be
used to compare the effectiveness of the agency's current practice with those of other
organizations. In this case, the performance measures are related to the requirements
and expectations of the agency's customers.
Under NCHRP Project 14-13, a research team from Booz Allen Hamilton devel-
oped a step-by-step guide for the implementation of customer-driven benchmarking of
maintenance activities. The guide begins by outlining the key concepts, success fac-
tors, use of performance measures, and selection of benchmarking partners. The rest of
the guide provides the "how to" steps needed to implement customer-driven bench-
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marking in a state or local highway agency. An appendix provides a very useful com-
pendium of customer-oriented performance measures.
The guide is accompanied by a primer, which is intended to educate senior man-
agement on the principles and benefits of customer-driven benchmarking. Also avail-
able is the research team's final report, which contains detailed information about the
research approach and findings and recommendations for the promotion and education
necessary to optimize the benefits of customer-driven benchmarking and to make it an
accepted and commonplace practice. The final report is available on the NCHRP web-
site as NCHRP Web Document 58.
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CONTENTS 1 INTRODUCTION TO THE GUIDE
7 CHAPTER 1 Introduction to Benchmarking
What Is Benchmarking?, 7
What Is Customer-Driven Benchmarking?, 8
How Do You Recognize Best Performances and Practices?, 10
Why Benchmark? What Are the Benefits?, 12
Prerequisites for Customer-Driven Benchmarking, 13
Scope of Customer-Driven Benchmarking, 15
Who Is Involved?, 17
Getting Started, 19
Rewards and Recognition, 24
Benchmarking Myths, 25
Critical Success Factors, 26
29 CHAPTER 2 Selecting Benchmarking Partners
Criteria for Selecting Partners, 31
Determining the Organizational Level at Which to Benchmark, 35
Number of Benchmarking Partners, 36
Negotiating a Customer-Driven Benchmarking Partners Agreement, 37
Enrolling Benchmarking Units in Each Organization, 44
45 CHAPTER 3 Measurement
Types of Measures, 45
Outcomes, 48
Commonly Recognized Measures, 56
A Catalog of Measures, 66
Resource Measures, 70
Hardship Factors, 73
Output Measures, 76
79 CHAPTER 4 Steps of Customer-Driven Benchmarking
An Overview of the Steps, 79
Step 1: Select Partners, 82
Step 2: Establish Measures, 85
Step 3: Measure Performance, 124
Step 4: Identify Best Performances and Practices, 134
Step 5: Implement and Continuously Improve, 175
179 REFERENCES
187 APPENDIX A Draft Benchmarking Agreement
191 APPENDIX B Catalog of Benchmarking Measures
217 APPENDIX C Guidance on Designing and Administering Surveys
221 APPENDIX D Assessing Value Added to Customers
239 APPENDIX E Surveys Administered by the States to Their Customers
WS-1 APPENDIX F Blank Worksheets
