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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