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42 · Red: Projects move to red parameters when: approach and the second is a comprehensive performance Project experiences a significant scope change from the tracking program. Scoping Report. The team approach is motivating and engaging and provides Project falls 40+ days behind schedule. more accountability. By eliminating handoffs, it saves time. Project experiences 10+ change orders. Through active engagement and cross-training, it builds a There is municipal/civil unrest concerning the project. strong and experienced workforce--one capable of acceler- Project cost estimate exceeds programmed amount by ating both programs and individual projects. It fosters coop- more than 12 percent. erative planning, design, and decision making, which further strengthens MaineDOT's ability to team and work with the Figure 5 shows additional information on the criteria, deci- public, elected officials, other stakeholders, and other state sion making, and issues associated with each category. and local agencies, as well as important federal agencies. The purpose of this dashboard is to uphold accountability, Comprehensive performance tracking is critical. In devel- keep projects in the green, move projects from yellow to green, oping the dashboard system, MaineDOT has the ability to and learn from projects in the red. improve its project delivery process by having a standard The extent of oversight that projects receive has to do with method by which projects are continually monitored and which category a particular project is in. Project managers are reviewed. This standard helps ensure that projects do not fall responsible for providing regular status updates to MaineDOT behind schedule, become neglected, or become mismanaged. management. The project managers and their teams make In summary, accountable teams and performance tracking all decisions about projects categorized as green. The overall of its efficient bridge program are MaineDOT's path towards BTIP and BMAP are managed by a Workplan Management an expedited project delivery system. Team (WMT), made up of MaineDOT management officials. When projects move into the yellow category, the project man- ager and other key team members must meet with the WMT. Maryland The meeting determines why this shift occurred, and whether Performance Measures for Program Delivery the project can move back into the green category. If it moves back into green, basic scoping assumptions are likely to change. Maryland is a small state, ranked 42nd in the nation in If a project moves into the red category, the project manager area. (37) However, with an estimated 2008 population of and key team members will meet with senior management at over 5.6 million, it is the fifth densest state in the United a monthly meeting and discuss how it happened. Senior man- States. (38) Maryland is geographically quite complex and is agement will decide if the project is to be shelved or moved roughly divided into three areas. The western part, bordered back into the green (along with revised scoping assumptions). by West Virginia and Pennsylvania, is mostly rural. Central Maryland, including Baltimore and the Washington, D.C. suburbs, is quite urbanized and dense. Eastern Maryland, Environmental "Streamlining" defined by the Chesapeake Bay, is primarily agricultural and Changes in the Environmental Office at MaineDOT have enjoys a large amount of tourist traffic primarily destined to had the net effect of informally "streamlining" the environ- the Eastern Shore. mental review process that often slows down projects in the Maryland's per capita VMT is nearly the same as the U.S. pipeline. The Environmental Office maintains strong rela- average, with nearly 75 percent of it occurring in urbanized tionships with state and federal environmental agencies. areas. (45) But surprisingly, Maryland's annual VMT has These relationships help expedite the review process by build- remained nearly constant since 2005 at approximately ing understanding and credibility between these agencies and 56.5 billion. (45) MaineDOT. Key permitting questions are resolved early on. There are 29,265 centerline miles of roadway in the State For instance, does a project need a permit, or can a permit be of Maryland. Of this total, SHA maintains 5,243 centerline avoided early on by changing the design? As Bridge Program miles. (46) Although this represents less than 20 percent of the officials stated: "Rule No. 1 is to stay out of the water." (43) total roadway miles in the state, these highways account for Finally, a MaineDOT waterway and wildlife crossing policy is approximately 70 percent of the total VMT in the state. (46) being developed to help project developers better understand The 5,243 miles of highways maintained by SHA are catego- these environmental issues. rized for funding purposes as primary and secondary high- ways. The state primary systems consist of approximately 1,288 miles of state-maintained routes, or 25 percent of the Lessons Learned and Conclusions total state-maintained road mileage. (46) The secondary system There are two overall lessons learned from the MaineDOT is a network of state routes that serve interregional and local- case study that are useful to other states. One is the team ized traffic. This network consists of 3,955 miles (75.45 percent)
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43 Decision Making Issues o Senior management makes Projects in Red Require Senior o What happens from when shelving decision at monthly Management Decision to Shelve project moves to the red until meetings with presentation by or Send to Green next monthly meeting? appropriate team members. o DOT accountability o How does this move to red o If return to green, revised scope o Learning from red is primary goal happen now? report, schedule, estimate, o Are parameters realistic for agreement, etc. is prepared. Move-to-Red Parameters move to shelf? o Projects in red undergo a quasi- o Significant $$$ scope change o What process should be in o 40+ days behind schedule value engineering assessment place to learn from the red? o 10+ change orders for continuous improvement. o Municipal/civil unrest (warren/ o How is accountability o WMT monitors/reports on light dunstan) maintained? status and bottom line. o Cost estimate more than 12% over programmed amount Decision Making Issues o Program manager, project o Who are appropriate manager, other key team Yellow Results in Decision-Maker decision makers? members, scope developers, Performance Meeting o How does this move to o Consensus on why project moved WMT meet on project. yellow happen now? to yellow o Performance meeting leads to o Cause within/without DOT control o Is this too complex? recommendation to move to red o Recommendation to decision- o Parameters need to be or green. makers appropriate to avoid o Senior PD/Planning designees proliferation of meetings consider recommendation and Move-to-Yellow Parameters o What happens when make decision. o Minor $$$ scope change from projects return to yellow o If green, revised scope report, report after having already been schedule, estimate, agreement, o 2540 days behind schedule returned to green? etc. is prepared. o 59 change orders o Municipal unrest o WMT monitors/reports on light status and bottom line. Decision Making o Project management team Only Projects in Green Kicked off Issues makes all decisions. o Complete Scoping Report with o Items outside o Accurate reporting information signatures from appropriate parties (Planning and PD PM) management team in system becomes a top affecting schedule o Milestones and schedule established performance measure for o Municipal agreements in place o Accurate reporting is project and program managers. o Sufficient funding for identified scope essential for process to o PMs document parameter work. status on weekly basis even to Remain-in-Green Parameters o Capability for report "no change." o Scope stays consistent with report management report by o Little involvement from WMT. o Estimated amounts stay within 7% of green criteria. programmed amount o Criteria flexible by o 4 or fewer change orders program? o Project schedule stays within 25 days of original schedule Figure 5. BTIP/BMAP process: Managing the work plan.
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44 of the total state-maintained roadways and provides feeder ment of transportation in other states. Not surprisingly, over and support functions to the primary system. (46) half of MDOT's capital program is allocated to SHA. (50) Transit in urban areas includes subway, light rail, and bus. While MDOT as a whole reduced its total number of posi- Commuter rail connects Washington, D.C. to Baltimore. The tions by 7.6 percent since 1992 (50), SHA in particular has Washington Metro subway and bus system serves Montgomery become more streamlined, reducing staff by about 25 percent. and Prince George's counties. Long-haul passenger rail service SHA is overseen by an administrator with three deputies: is provided by Amtrak. operations, administration, and planning/engineering. SHA's Maryland's geography is strategically located along the capital investment, bridge, geometric, and ROW divisions are eastern seaboard and is poised to grow its economy which centralized, reducing redundancy and improving streamlin- is based in traditional manufacturing, wholesale and retail ing between the agencies. trade, transportation, financial services, agriculture, and Interviewed SHA officials noted that they were organized in government contracting. Growth in these areas in the last a manner that values the role of individuals in the organization. decade has increased Maryland's gross state product from Unlike some of the other case study DOTs, SHA has moved $162 billion to $273 billion in 2008. (47) This translates to toward specialization of individuals. In the view of those inter- a robust economy in which the median household income is viewed, this has allowed staff in various areas to develop a level ranked the third highest at $66,500, well above the national of competency in their subject area that shortens the length average. (48) of time they are involved with a given project, leading directly This growth has been supported by a multimodal transporta- to that project's acceleration. Other perceived benefits of spe- tion network that the Maryland Department of Transportation cialization include the following: (MDOT) is committed to enhancing and maintaining. Mary- · Provides one point of contact for key subject areas land's projections that freight movement will increase dramat- · Creates a stable, streamlined process ically in the next decade will impact the roads and highways as · Ensures that tasks are executed correctly the first time, well. It is expected that Maryland's freight industry will grow thereby reducing backtracking by 120 percent statewide between the years 2000 and 2030. (49) · Provides each technical specialty with the ability to track Currently, approximately 82 percent of freight tonnage moves the project's schedule on the highways. Maryland is also a "through" state for freight · Builds trust among review agencies by allowing them to movement, with half of the tonnage simply passing through. work with the same SHA personnel all the time. They feel a As a result, the state experiences more wear and tear on its sense of consistency and confidence when they don't have to aging infrastructure. walk a new SHA project manager from square one through the entire process for every project. Organizational Structure SHA had at one point experimented with the concept of The organization of the MDOT is unique among the eight keeping one project manager on a project from scoping through states studied, in that the transportation secretary oversees six construction. However, a key problem kept recurring: Proj- separate modal administrations as shown in Figure 6. ect managers would be promoted to a different position or The last of these modal agencies, SHA, received the most leave the agency, resulting in the need for project handoffs attention in this study, as it has jurisdiction over the state's to a new project manager. As a result, SHA began to move highway network, similar to the role played by the depart- toward project specialization. Source: Maryland Transportation Plan, 2009 Figure 6. Organizational chart for the Maryland Department of Transportation.
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45 Sources Local Uses Govt's & Other General 1% Fund 15% Debt Sales and Motor Federal Service Use Tax Fuel Aid 5% MDOT 6% Taxes 17% Opera- 20% ting Expendi- Bonds Vehicle tures 6% Titling 43% MDOT Taxes Operating Capital 18% Registra- 11% Expendi- tions & tures MVA Fees 37% 16% Corporate Income Taxes 5% Figure 7. Sources and uses of the Transportation Trust Fund. Transportation Trust Fund infrastructure through a stable source of revenue. By having such secure funding, MDOT is able to ensure projects travel Securing funding is obviously a critical component for from design through completion. timely project completion. Maryland's method of funding projects is notable and has been adopted by other states. A cen- tralized, dedicated fund is set up for all of the state's transporta- Maryland Transportation Plan tion needs. This fund is separate from the state's General Fund, MDOT recognizes that long-term planning is essential for which supplies funding for other government programs. Rev- the population growth, diversifying economy, and changing enues are not earmarked; fund allocations are made with input environment that are imminent. The vision for a sustainable from local elected officials. Sources of funds include taxes, fees, preserved environment and a safe and reliable highway sys- and federal aid, as shown in Figure 7. Bonds are issued to sup- tem is outlined in a 20-year plan. The Maryland Transporta- port the cash flow requirements of a given capital program in tion Plan (MTP) is only one of three documents that define a a manner mindful of debt coverage requirements. framework of policies and priorities that help guide trans- The Trust Fund gives the state a great amount of the flexi- portation investments across all modes. (51) Figure 8 illus- bility required to meet the needs of a diverse transportation trates that the State Report on Transportation also comprises Figure 8. Relationships of the State Report on Transportation documents.
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46 the Consolidated Transportation Program, a short-term, six- ecosystems of the state. Their priority under the governor's year plan that defines a list of funded projects, and the Attain- Smart, Green and Growing initiative is to promote smart ment Report, a product of MDOT's performance measure growth so that developments occur in areas where infra- program. structure already exists. It is a balanced approach to preserv- In developing the MTP, the MDOT used an intense pub- ing natural resources, optimizing the use of existing facilities, lic outreach effort to gather information. It involved state, reducing the cost to taxpayers, and increasing quality of life. regional, and local agencies to ensure that its strategic plan- Context-sensitive solutions play a large role in project devel- ning efforts could correlate with the state efforts. Citizens opment and, like many other states, Maryland struggles to bal- and stakeholder groups were contacted through interviews, ance the cost and time involved in incorporating CSS against facilitated meetings, interactive websites, newsletters, and accelerating project delivery. online surveys allowing countless citizens, many of whom would not have been included in traditional settings, to par- ticipate in the statewide issues. (51) Their contributions and A Standard Operating Procedure a broad-based approach identified six critical challenges: of Thinking Beyond the Pavement (a) transportation and the economy, (b) freight demand SHA views context-sensitive design (CSD, also known as and infrastructure capacity, (c) planning for development, context-sensitive solutions or CSS) as satisfying the "need to (d) transportation and the environment, (e) transportation invest in community opinion from the very beginning." It needs outpacing funding resources, and (f) transportation- describes CSD as "a collaborative, interdisciplinary approach related fatalities and injuries. The MTP addresses these chal- to developing and implementing transportation projects, in- lenges in detail but also outlines a strategic direction to deliver volving all stakeholders to ensure that transportation projects the MDOT's mission. are in harmony with communities and preserve and enhance Five goals identify and support the vision (51): environmental, scenic, aesthetic and historic resources while enhancing safety and mobility." (53) · Quality of service For SHA, noise walls, especially, face a variety of community- · Safety and security to-community opinion, where CSD is especially helpful in · System preservation and performance building consensus. SHA's commitment to CSD is so fun- · Environmental stewardship damental that when asked about it, many members of the · Connectivity for daily life agency viewed it as simply a normal operating procedure. The main goal of CSD is not to accelerate projects but rather The goals, in turn, are addressed through a series of perfor- to enhance their acceptance by the community by ensuring mance measures that are reported in the Attainment Report. that they meet the communities' goals and objectives. How- Maryland's approach to transportation is comprehensive in ever, better design leads to better community acceptance, that the MTP long-range vision is broken down into the Con- which may ultimately speed some projects by ensuring they solidated Transportation Program's short-range plans, which avoid massive resistance. then are implemented through the mission and goals of the Additionally, when viewed as a long-term investment, MDOT by application of performance measures. integrating CSD into transportation project design may help project timeliness by building a foundation of trust and con- System Preservation and Performance sensus between agencies and communities. That is, once Maryland is predominantly in the mode of preserving its communities trust agencies to be sensitive to their needs and infrastructure in this difficult climate of limited funding, as environment, resistance--which may ultimately lead to delays evidenced in the third goal. "Fix it First" is the motto before through lawsuits or political pressure--is less likely to be met additional funds are expended in expansion-type projects. throughout the project. Almost 43 percent of the MDOT's capital expenditures go The strong community involvement that is part and parcel into system maintenance and preservation. (52) With an of CSD does raise the public expectation of a project reaching emphasis in preserving the infrastructure so that it operates completion. When a project fails to move out of the planning efficiently, the MDOT can extend the useful life of its assets stages, it may produce both disappointment and mistrust by and invest remaining funds for expansion of the network. community members. SHA has noted that the public needs to be made aware that not all project concepts progress to com- pletion, while others may take longer than expected because Environmental Stewardship of funding uncertainties. SHA also noted that not all local offi- Environmental stewardship is also a prime goal for SHA. cials fully understand or have bought into CSD. These offi- MDOT takes a lead role in protecting the air, water, soil, and cials often chafe at the level of community involvement that
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47 SHA engages in, preferring more of a one-on-one relation- for each in the form of responses to questions such as "What ship between SHA and the municipal leaders. is the reason for the change?" and "What is to be measured in In the end, Maryland's view is straightforward--it is "Think- the future?" Every question is answered by two or three bul- ing Beyond The Pavement" (TBTP). Four task teams (Orga- leted items explaining the metrics. nization and Policy Task Team, Project Development Process What begins as five goals for MDOT are divided into per- Team, Community Involvement Team, and Project Manage- formance measures that each of the agencies are account- ment and Leadership Development Training Team) and their able for. Currently, MDOT tracks a total of 58 measures that subteams have tasks and action items well defined to fully provide individual gauges of Maryland's entire multimodal incorporate CSD/TBTP principles into their projects. MDOT transportation network. For instance, for the goal of system develops and builds its facilities so they fit within the phys- preservation and performance, 12 measures are tracked and ical environment. This requires an adherence to the imple- monitored, but all six agencies are responsible for meeting this mentation strategies and a DOT culture that supports TBTP goal. Responsibility for another of the goals, environmental initiatives. stewardship, is illustrated in Table 4. The eight measures that come under this goal are monitored either by MDOT or by one or more of its modal agencies. Best Practices for Maryland Metrics tracked by SHA include the following (45): Performance Measures--The Annual · Maryland driver satisfaction rating (based on a weighted Attainment Report average score for 22 questions) Rather than the dashboard approach used by other state · Percentage of state highway network in overall preferred DOTs, MDOT publishes the Annual Attainment Report on maintenance condition Transportation System Performance. This report is truly an · Bicycle and pedestrian fatalities and injuries on all Maryland integrated effort of tracking, monitoring, and attainment SHA roads efforts of the six agencies that make up MDOT. Numerous · User cost savings for the traveling public due to incident adjustments have been made in what is measured and setting management specific goals since MDOT began tracking its performance in · Acres of wetlands restored and miles of streams restored this report in 2002. However, MDOT is now able to report on · Total fuel usage (SHA-dispensed fuel contains ethanol) a multiyear trend for each performance category. The mea- of the light fleet sures and trends are represented in the Attainment Report on · Number of SHA park-and-ride spaces and reduction in graphs and charts, and a written explanation is also provided VMT through park-and-ride usage Table 4. Performance measures and monitoring agencies for MDOT's environmental stewardship goal. Performance Measure Monitoring Agencies Transportation-related emissions by region MDOT Transportation-related greenhouse gas MDOT emissions Transportation emission reduction measures MDOT & MTA Acres of wetlands or wildlife habitat created, MPA restored, or improved since 2000 Compliance rate and number of vehicles tested MVA for vehicle emissions inspection program versus customer wait time Acres of wetland restored and miles of streams SHA restored Total fuel usage of the light fleet SHA Travel demand management SHA & MTA Source: Maryland Department of Transportation, 2009 Annual Attainment Report (45)
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48 · Percentage of SHA centerline miles with a bicycle level-of- 615 fatalities. The Attainment Report explains reasons for comfort grade "D" or better and mileage of highways with the performance change and strategies to continue a down- marked bike lanes ward trend. · Percentage of SHA centerline miles within urban areas with Similarly, each measure charts a trend that is benchmarked sidewalks and percentage of ADA-compliant sidewalks every year (or biennially for some measures). Targets are set and MDOT managers and leaders are tasked with meeting the The Maryland Transportation Authority (MdTA) is an goals of the department. independent agency responsible for managing the state's The 58 performance measures are reported "externally," toll facilities. The Intercounty Connector and the John F. i.e., to the public, via the Internet and through publication Kennedy Memorial Highway, a 50-mile tolled section of of MDOT's Annual Attainment Report. While many states are I-95 from Baltimore's northern city line to the Delaware still attempting to embrace a performance measurement or border under MdTA's jurisdiction, are combined with the management system, Maryland has managed to assess its infra- SHA's roads for the purpose of calculating and reporting structure and benchmark its assets for the past seven years. The on the following performance measures (45): realistic targets help managers to reach for the annual goals through the strategic alliance of all agencies involved. It is a self- · Annual number of traffic fatalities and personal injuries on assessment of their services, their economy, environment, and all Maryland roads · Number of bridges and percentage that are structurally quality of life. The Attainment Report holds MDOT to the highest level of accountability and transparency. deficient · Percentage of roadway miles with acceptable ride condition It was pointed out by the interviewed SHA personnel that · Percentage of freeway and arterial lane-miles with average measuring whether projects are being delivered faster is a annual volumes at or above congested levels difficult endeavor: Projects are not all alike, funding avail- ability differs depending on when a project begins, satisfy- The graphs and charts that represent the performance of ing the owner and customer(s) can be an elusive goal, and each of the metrics also set a target for the upcoming years. CSD sometimes extends the project's schedule. For these rea- For example, the smoothness or roughness of the pavement sons, MDOT hasn't been able to measure changes in the speed ride quality, which facilitates mobility, efficiency, and safe of project delivery per se; however, it is measuring its ability movement of people, is shown in Figure 9 in the form of a bar to meet its commitments to deliver projects as well as its chart. SHA and MdTA actually exceeded their target in 2007. commitments to environmental stewardship. While it hasn't Figure 10 shows a target of reducing the number of fatal- completely met its goals as yet, it is improving in its ability ities to less than 550 by 2011. In 2007, Maryland reported to meet them. 100.0% Percentage of Roadway Mileage 90.0% Target: Maintain 84% annually 80.0% 70.0% 60.0% 82.4% 83.0% 82.8% 82.8% 82.3% 82.0% 83.4% 83.8% 85.0% 50.0% 1999 2000 2001 2002 2003 2004 2005 2006 2007 Calendar Year Source: Maryland Department of Transportation, 2009 Annual Attainment Report (45) Figure 9. Percentage of roadway miles with acceptable ride conditions.
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49 3.50 Target: < 550 700 fatalities per year by 2011 3.00 Rate per 100 Million Miles Traveled 662 661 650 2.50 651 652 643 Number of Fatalities 2.00 617 615 614 600 598 1.50 1.00 550 0.50 1.22 1.23 1.27 1.23 1.20 1.17 1.08 1.15 1.08 0.00 500 1999 2000 2001 2002 2003 2004 2005 2006 2007 Calendar Year Traffic fatality rate per Annual number of traffic 100 million miles traveled fatalities on all roads on all roads in Maryland in Maryland Source: Maryland Department of Transportation, 2009 Annual Attainment Report (45) Figure 10. Annual number and rate of traffic fatalities on all roads in Maryland. Accelerating the Intercounty Connector basis. This involvement included a great deal of up-front and senior-level attention to creating the project purpose and need, The Intercounty Connector (ICC) was a large project as well as a significant amount of effort spent on developing designed to relieve congestion between the I-270/370 and alternatives. I-95/US 1 corridors within central and eastern Montgomery SHA acknowledges that this streamlining process acceler- County and northwestern Prince George's County with a ated the design and construction of the ICC and that the man- new multimodal highway. Technically, the ICC project was power shifts undertaken to deliver this MdTA-owned facility first conceived on a high level in the 1950s, but a lack of fund- adversely affected other projects in SHA's pipeline, causing ing and urgency delayed the project until the 21st century. some to fall to a lower priority. However, SHA also acknowl- Once the decision was made to prioritize the project, however, edges that "staff came back from ICC working harder and with numerous methods were employed to successfully accelerate the design and construction phases. a greater sense of urgency, realizing that they can do more." This realization has led to a number of practices that have Environmental Streamlining. The ICC's environmental helped expedite projects, including weekly breakfast club process was completed extremely quickly, utilizing a number meetings for team leaders to discuss specific projects. (54) In of techniques. Some of these methods had been successfully addition, a number of environmental streamlining practices applied by SHA to the Woodrow Wilson Bridge replacement have been adopted, including the following: earlier in the decade. First was the formation of an Inter- agency Working Group (IWG) dedicated to this project alone. · Working with agencies during the planning process to When the IWG could not resolve issues, a formal group con- begin the permitting process. This entails a number of sisting of agency principals plus one support person ("P+1") things: Preparing a single document to satisfy both NEPA/ was convened. The IWG and P+1 meetings both employed a Clean Water Act Section 404 and the Maryland Clean Water neutral facilitator to expedite an effective process. Action Plan, completing the mitigation package before (or In addition, the NEPA process was tracked with an eagle at least during) and not after the design stage, and getting eye--high-level officials, including the governor, the secretary corridor permits early. of transportation, and the SHA administrator, were closely · Making staffing agreements with other agencies. SHA involved in the environmental review process on a frequent funds staff positions in regulatory agencies and retains