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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. "Strategy Application Features That Impact Performance." 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
34
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Page
34
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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OCR for page 34
C H A P T E R 5 Research Findings: Processes That Need Institutional Support This chapter presents the conclusions drawn from the inter- effective systems for dissemination of incident information to views, surveys, and literature regarding the relationships other jurisdiction and the public, pre-agreed-upon diversion between effective programs and the supportive business and plans for various incident locations, quick clearance based on technical processes. These relationships then form the basis appropriate partnerships with private towing and recovery for the institutional architecture guidance. and/or prepositioned equipment, cooperative interagency The central hypothesis of this research, as set forth in after-action analysis and shared performance objectives. Chapter 2, is that there is a traceable relationship between effective NRC strategy applications--via the business and Road Weather Management technical processes needed to develop, implement, and sustain the strategies--and a supportive institutional framework. An Improvement of road weather management in response to analysis was made of key features of the strategy applications heavy rain and wind, snow and ice is based on contracts for in terms of the needed process functions and their institu- acquisition and data feeds of weather predictions, deployment tional implications. of environment-sending stations and microconditions moni- toring, analysis of pretreatment routines for varying condi- tions, standards protocols for equipment standby and callout, Strategy Application Features clear authority and procedures for alert levels, and appropriate That Impact Performance contract with local and/or private contractors for treatment Improving the effectiveness of SO&M means improving the and clearance. effectiveness of the individual strategy applications. Effective NRC strategy applications have a range of characteristics, Work Zone Traffic Management which are more or less satisfied and which determine the per- formance impact of the strategy. Example characteristics of Focused on traffic control plans to minimize the impacts of the strategies are discussed in this section. reduced capacity, work zone traffic management is based on clear state specifications and guidance for contractor traffic control plan; forecasts of potential traffic impacts; integra- Incident Management tion of TCP with corridor ITS systems; contractor training; Incident management in response to crashes, breakdowns, state­contractor decision systems and coordination mecha- hazmat spills, and other emergencies is improved by wide- nism; availability of standby law and enforcement and towing, spread deployment of surveillance and detections technology, as appropriate; preestablished contract limits; effective enforce- faster detection of incidents and improved information about ment of hours of capacity-impacting activities; availability of the nature of incident based on improved surveillance and public information; and coordination among jurisdictions detection technology, around-the-clock manned TMCs rapid regarding simultaneous capacity-constraining events. arrival of first responder based on effective interoperable inter- agency (center-to-center and center-to-field and field-to-field) Special Events Planning and Management communications and dispatch, correct identification of needed response resources based on prepared procedures, effective Special events planning and management to accommodate traffic control based on clear interagency incident command, event patrons with minimum traffic disruption is based on 34