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SHRP 2 Report S2-L06-RR-1: Institutional Architectures to Improve Systems Operations and Management (2012)
Strategic Highway Research Program Reliability Focus Area (SHRP2REL)

Citation Manager

Tarnoff, Phil, Lockwood, Steve, O'Laughlin, John, Thatchenkery, Tojo, Transportation Research Board. "Organization of the Report." SHRP 2 Report S2-L06-RR-1: Institutional Architectures to Improve Systems Operations and Management. Washington, DC: The National Academies Press, 2012.

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Page
17
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Page
17
Front Matter (R1-R10)
Purpose of the Project (1-1)
Systems Operations and Management (2-3)
Application of the Capability Maturity Model (4-4)
Research Findings: Processes and Their Institutional Support Implications (5-6)
Key Findings Related to SO&M Institutional Architecture (7-7)
Capability Improvement Strategies at Each Level (8-8)
Using the Model as Guidance (9-11)
Managing Improvements in Institutional Maturity (12-13)
Institutional Innovation and Alternative Models (14-15)
Bringing the Future Forward Faster (16-16)
Organization of the Report (17-17)
Effective Strategy Applications to Reduce NRC (18-18)
Systems Operations and Management (19-19)
Commitment to Improving SO&M (20-21)
Institutional Reality (22-22)
Basic Hypothesis of the Report (23-23)
Study Methodology (24-25)
Previous Institutional Research Within the Transportation Arena (26-26)
Private-Sector Contributions to Organizational Theory and Process Management (27-28)
Applicability of Maturity Approach to Transportation Agencies (29-30)
Step 1: Identification of More Effective States - Reliance On Indirect Indicators (31-31)
Step 2: State DOT Management Interviews and Survey (32-32)
Step 3: Analyze Data, Survey, and Interviews (33-33)
Strategy Application Features That Impact Performance (34-34)
Key Findings Related to Process (35-35)
Program Scoping (36-36)
Technical Processes (37-37)
Performance Measurement (38-38)
Levels of Process Maturity (39-41)
Process Implications for Institutional Architecture (42-42)
The Key Categories of Institutional Characteristics (43-48)
Summary Conclusions Regarding Key Institutional Characteristics Supporting Effective Business Processes (49-49)
Process Maturity as a Bridge to Identifying Levels of Maturity (50-52)
The Improvement Strategies (53-53)
Basic Guidance Steps (54-57)
Change Management Modalities: Contribution of Theory (58-60)
Change Management Tactics (61-62)
The Models (63-63)
Implications of Alternative Models Regarding Key Institutional Issues (64-65)
The International Perspective (66-67)
References (68-69)
Glossary (70-70)
Appendix A - U.S. Institutional Arrangements Compared with England and Australia (71-73)
Appendix B - State DOT Process and Institutional Interviews (74-75)
Appendix C - AASHTO Subcommittee on Systems Operations and Management (SSOM) Questionnaire (76-79)
Appendix D - Examples of Regional Operations Collaboration (80-82)
Appendix E - Example of Change Management Program for a State DOT (83-86)
Reliability Technical Coordinating Committee (87-88)

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C H A P T E R 1 Introduction Focus on Reliability and redundancy, where interruptions of service can have major Nonrecurring Congestion consequences. To date, state DOTs have also been the principal actor in statewide and regional SO&M activities. Neverthe- There are two types of highway congestion, each with its own less, other transportation agencies have an increasing level of characteristic causes: recurring congestion (RC) and non- involvement--including larger local governments with sig- recurring congestion (NRC). RC happens with regular and nificant regional arterial ownership, as well as metropolitan predictable occurrences related to capacity shortfalls such as planning organizations (MPOs) and public safety entities that regular peak delays. NRC is caused by unpredictable events play key roles, often in partnerships with state DOTs. Therefore, such as accidents and bad weather conditions or occasional the term "transportation agency" has been used throughout, occurrences such as special events. except when referring specifically to state DOT experience. The delay, disruption, and accident impacts caused The key target audience of the guidance is senior manage- by NRC--and the resultant lack of service reliability--are ment, including senior managers, program managers, and increasingly understood as the major service concern to trav- unit-level managers, in both central and regional offices of elers and shippers who place a high value on reliability and state DOTs. predictability. This project targets the efforts of transporta- tion and partner agencies to manage NRC and minimize its effects on travel. The scope of work for this project targets five Organization of the Report conventional SO&M strategy applications related to NRC: Eight chapters follow this introductory chapter. Chapter 2 crash- and breakdown-related incident management, road provides the framework for this research, states the basic weather management (snow and ice), construction work zone hypothesis, and details the methodology followed. Chapter 3, traffic management, special events planning/management, Theory on Process-Related Organizations and Change Man- and active traffic management. agement, reviews the relevant contributions made in the fields While the focus of this project is on NRC, the institutional of organizational development and change management. issues addressed for NRC substantially incorporate those that Chapter 4 describes the interview and survey process used to deal with recurring congestion (RC), such as signalization, develop the hypothesis. Chapters 5­6 present the findings from ramp metering, and lane management. Therefore, within the the survey that indicate the processes that require institutional context of this report, the term "congestion management" refers support and that identify the key institutional features sup- to the organized efforts to reduce both types of congestion. portive of effective processes and programs. Chapter 7, The Institutional Capability Maturity Model as the Structure for Guidance, presents the structure for a stepwise approach for Target Audience and Utilization institutional maturity improvement. Chapter 8 identifies The research for this report focused on state DOTs. State alternative scenarios of overall institutional change. Finally, DOTs own almost all the interstates (and other freeways Chapter 9 describes alternative models in lieu of incremental and expressways) and 70% of the principal arterials. These change. In addition, the appendices provide detailed guidance are the high-volume, interregional facilities with limited on strategies and tactics. 17