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12C H A P T E R 1 Introduction and BackgroundThis report documents the work completed for the Strategic Highway Research Program (SHRP 2) Project C02 A Systems- Based Performance Measurement Framework for Highway Capacity Decision Making. The goal of SHRP 2 C02 is to cre- ate a state-of-the-art performance measures framework that individual transportation agencies and other public agen- cies can adapt to support the needs of both agencies and stakeholders in the decision-making process for major transportation capacity projects. The framework focuses on providing performance-related data that enable transporta- tion agencies to address the challenges most common in the expansion of highway capacity. It emphasizes performance measurement as a tool to place individual projects within a system context. Motivation and Objectives To meet the goal of the project, the research team focused on three key objectives: 1. To develop a framework to implement performance mea- surement through all stages of project developmentâfrom long-range planning through environmental review; 2. To systematically integrate environmental, economic, and community considerations into the analysis of highway expansions; and 3. To support the collaborative decision-making framework being developed by the SHRP 2 C01 team. Underlying the development of the performance measure- ment framework is an understanding of several clear motivat- ing factors for the overall SHRP 2 Capacity program effort. A Comprehensive Evaluation The SHRP 2 Capacity effort supports a comprehensive eval- uation of highway capacity expansion projects from the ear-liest stages of long-range planning and project development to reduce the frequency and severity of unforeseen issues and constraints. The performance measurement framework provides a source for a comprehensive evaluation of highway capacity projects by identifying performance measures across a wide range of planning factors (transportation, environmental, eco- nomic, community, and cost). These measures allow trans- portation agencies to review a large number of potential systems (transportation, development, natural environmental, etc.) that may be impacted by a transportation investment. A Consistent Evaluation Process The SHRP 2 Capacity effort supports a consistent evaluation of highway capacity expansion projects that can help to speed up the planning and project development process by making sure that work done in the planning stage is useful at later stages of project development. The performance measurement framework provides an opportunity to improve the consistency of decision making by organizing a set of performance measures used in decision making that are linked to each stage of the planning and proj- ect development process. Intended Users The primary users of the performance measurement frame- work are likely to be transportation agencies, especially state departments of transportation (DOTs) and metropolitan plan- ning organizations (MPOs), though large counties and cities also may find useful measures to help with transportation capacity planning. A secondary set of users includes natural resource agencies and land use permitting agencies (typically municipalities) that play a vital role in shaping transportation infrastructure projects.
13The performance measurement framework provides a vari- ety of information that will be useful for different individuals within the organization. Examples of key uses of the frame- work include: ⢠As a clearinghouse for information about key factors to address within capacity project development. The frame- work provides introductory material on a wide range of topics that can help educate all levels of transportation staff who will need to tackle challenges associated with a partic- ular project. For example, transportation practitioners with limited experience in water quality or ecosystem analysis can find key sources for information about these topics. ⢠As a source of performance measures. The primary purpose of the framework is to help practitioners in multiple disci- plines find and define performance measures. The frame- work helps organize their thinking about measures and provides clear definitions of these measures. Practitioners can easily select and refine measures to suit their individual needs. ⢠As a means to develop a consistent evaluation process across several phases of project development. Transportation agen- cies often establish analytic procedures to help identify and prioritize the transportation projects most worthy of con- struction. In long-range planning and in programming, state DOTs and MPOs examine the overall transportation system and make decisions about which programs and projects should be funded and at what levels. The frame- work provides information on how measures can be used at the various stages of the process to support these project identification and prioritization methodologies. Approach and Organization The SHRP 2 C02 research effort and performance measures framework development evolved through the research process. The research effort began with a broad-based examination of project prioritization processes at transportation agencies, gradually shifting into more targeted analysis of specific issues to be addressed by the performance measures framework. The first stage of the research effort involved a series of in-depth agency (DOTs and MPOs) interviews to document current practices in capacity project selection and decision making (see chapter 3 for further discussion). Initial find- ings indicated that many agencies had relevant approaches, but no single agency had developed an entire process that can inform the SHRP 2 C02 effort. As a result, the project team determined that the most effective approach would involve a simultaneous effort of two tasks: 1. Targeted background research with a focus on identifying a broad array of practices, processes, and measures across alarge number and types of agencies, rather than an in-depth examination of individual agencies; and 2. Development of a performance measures framework and ongoing testing of that framework against the research findings. This approach has allowed the project team to further tar- get the outreach to address specific questions as they have arisen in the course of developing the framework, while also helping to inform the evolution of the framework development process throughout. The remainder of this report describes the development of the framework and the research conducted: ⢠chapter 2 describes the background research that supported the development of the performance measures framework and its current status. ⢠chapter 3 introduces the Performance Measurement Frame- work and describes its several components. ⢠chapters 4 through 8 present information on each of the five areas of potential performance measurement identified as part of this effortâtransportation, environment, commu- nity, economics, and cost. These sections provide back- ground literature, performance factors and measures for considerations, and, for several areas, potential data collec- tion to consider. ⢠chapter 9 summarizes the links between the performance measurement framework and the collaborative decision- making process being developed as part of SHRP 2 Proj- ect C01. Web Tool The primary product of this research effort is a web tool. This tool includes a database of performance measures organized around the several planning factors identified in five broad areas (Table 1.1). Within each of these factors, the web tool provides descrip- tive information about the factor, performance measures to evaluate the factor, and case studies that illustrate the use of many of these measures. Many of the factors included in this framework are interrelated and many measures could be included in more than one area. To make the web tool more useful, measures have been applied to only a single factor. For each measure, the web tool provides a description of the measure, data that may be required to calculate the measure, the scale at which the measure is typically applied, and poten- tial uses of the measure at various stages of capacity project development (long-range planning, preprogram studies, pro- gramming, environmental review, and design and permitting). The case studies offer examples of recent efforts by agen- cies to employ measures in the specific factor areas. Many of the case studies are examples of more than one factor area,
14Transportation Environment Economics Community Cost Mobility Reliability Accessibility Safety Table 1.1. SHRP 2 C02 Performance Factors Ecosystems, Habitat, and Biodiversity Water Quality Wetlands Air Quality Climate Change Environmental Health Economic Impact Economic Development Land Use Archeological and Cultural Resources Social Environmental Justice Cost Cost-Effectivenessand are listed in each factor to which they apply. The case studies include a short description, the factor areas to which the case study applies, the agency responsible for the effort, and a link to more information, if available.The web tool will be updated as additional SHRP 2 Capac- ity program projects are completed that address performance measures within individual framework factor areas, such as economics and the environment.
