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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)

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Tarnoff, Phil, Lockwood, Steve, O'Laughlin, John, Thatchenkery, Tojo, Transportation Research Board. "Key Findings Related to Process." 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
35
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Page
35
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 35
35 the development of a standard template for recurring events, These processes, in turn, are supported more or less by key establishment of an interagency task force and command struc- features of the agency's institutional framework. ture, appropriate roles for traffic and law enforcement entities, availability of temporary traffic control devices, advanced warn- ing of the public, elected officials and specific stakeholder Relationships Among Strategy groups, development of advanced interagency planning teams, Effectiveness, Needed forecasting of travel impacts, development of diversion plans, Processes, and Supportive integration of multiple traffic control devices on an areawide Institutional Features and inter-jurisdictional basis, postevent reviews for future Table 5.1 illustrates examples of these relationships and indi- involvement. cates that there is traceability between institutional features and effectiveness of strategy applications. Active Traffic Management This form of traceability between program effectiveness and institutional framework is at the core of this project. It is Active traffic management, using lane use and speed control important to note, however, that the relationships are not to minimize flow disruption and incidents and managing strategy application-specific; that is, the elements of the insti- diversions and the operation of diversion routes, is based tutional architecture discussed in this report are those that on interagency working group among both transportation apply commonly to all the strategies. and law enforcement, interoperable interagency communi- cations, clear operations command at TMC level across jurisdictions, clarity in legal authority, predicted traffic Key Findings Related response based on archived data, multijurisdictional TMC, to Process real-time performance measurement and analytics for con- trol regimes, deployment of appropriate control informa- The types of relationships described provided the basis for the tion infrastructures, preeducation of users, preplanning of general hypothesis relating program to process and process advisory messages. to institutional framework. This basic concept was used to review the potential contributions of organizational develop- ment theory and quality assurance practice, as well as lessons Common Parameters from observable international practice, and, in combination, of Performances to identify and describe the few institutional characteristics that seem to be most closely related to more effective programs Through inspection of the NRC strategies and the require- and related business processes. ments for effectiveness as stated, it is apparent that, despite Taken together, these analyses indicated four key crosscut- individual strategy differences, there are a few key parameters ting aspects of processes required for development: of strategy application common across all the strategy applica- tions that determine the degree of effectiveness. This strategy- · Scope of applications in the field: Program scope and neutral set of characteristics includes the following: responsiveness to the array of NRC problems experienced in various geographic and network contexts. · Responsiveness to event: Speed with which the principal · Technical processes: Includes planning and programming remedial action is taken (reflected in response or clear- process, systems engineering (including concept of opera- ance time). tions), project development and ITS asset management (in · Targeting of application: Accuracy of determining prob- terms of the ability to implement and maintain systems lem and application of correct strategy where needed. supporting key operations), and development of field pro- · Aggressiveness of application: Strength of application cedures in support of systematic and comprehensive pro- in meeting the requirements on site in most efficient gram development. manner. · Systems and technology development: Availability of effec- · Integration among strategy applications: Coordination of tive platforms to provide the needed situational awareness, activities required for full synergistic effectiveness. control devices, communications and basic information · Coverage and density of strategy applications: Availability resource, and technology deployment in terms of standard- of strategy components geographically. ization and effectiveness costs. · Performance monitoring, measurement, and analysis: Improving common characteristics is dependent on the Especially concerns the use of outcome measures to evalu- conduct of certain key technical and business processes. ate procedures, projects, and overall program.