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C H A P T E R 9 Alternative Institutional Models In this chapter, alternative models of change in institutional institutional structure, assuming an incremental approach. arrangements are addressed. The models range from incre- (A separate discussion of other international models con- mental to new institutions. The contributions of theory and cludes this chapter.) It should be noted that while the experience in relevant countries are reviewed. examples below are described in available material, there is minimal literature describing the models in terms of the four institutional elements by which they are compared. Evolution or Revolution As indicated, higher levels of capability require greater institu- Activity Outsourcing tional change. The transition across levels may become increas- ingly difficult within the existing institutional context. Owing This model is presumed to apply to a statewide program, to limitations on the span of control of top management although its components can occur at different rates on a (authorization, staffing, labor, partnership constraints), it may regional basis. This model assumes systematic outsourcing be more practical and politically easier to adopt a new model of certain SO&M functions at the activity level, such as safety for key parts of the transportation agency's SO&M program. service patrols, TMC operations, and asset management, as Such a model may be forced on some or all of the SO&M activ- per current practice in a few states, but with the transporta- ities by external events. tion agency maintaining program and individual activity contract management responsibility. While several states out- source TMC operations and safety service patrols in some The Models metropolitan areas, only two states have substantially out- "Models" refers to institutional arrangements for certain sourced most of these activities on a statewide basis. management and operational activities that are a departure from incremental change within the existing institutional Program Outsourcing framework of organizational roles, resources, and partner (PublicPrivate Partnerships) relationships. These alternative models have typically been applied to a given function statewide, or a set of functions on This model is presumed to apply to a statewide program, a geographical basis. The arrangements may relate to changes although its components can occur at different rates on a in responsibilities for major functions, as between levels of regional basis. This is distinguished from activity outsourcing government or with the private sector. by its inclusion of an entire set of activities (e.g., all real-time A range of institutional models has been reviewed from operations activities) into a single contract, with a program existing sources in the United States and through discussion manager reporting to a separate publicprivate entity, and with key professionals. In addition, information descriptive including management of other service providers on a large- of some models has been derived from international sources. scale geographic basis. There is no statewide U.S. example The first three models described below are representative of (although such publicprivate partnership models are in use in U.S. (and, where noted, international) experience; the fourth some U.S. tolled facilities), but the U.K. Highways Agency has model is currently in use in the public utility sector. In the established subnational regions (like state DOT districts) under following discussion, the four models are described and are which most operational and related maintenance functions are compared with each other against a baseline of the existing performed by a combination of dedicated staff and contractors. 63