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REPORT S2-L06-RR-1
Institutional
Architectures to
Improve Systems
Operations and
Management
Accelerating solutions for highway safety, renewal, reliability, and capacity
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TRANSPORTATION RESEARCH BOARD 2011 EXECUTIVE COMMITTEE*
OFFICERS
CHAIR: Neil J. Pedersen, Consultant, Silver Spring, Maryland
VICE CHAIR: Sandra Rosenbloom, Professor of Planning, University of Arizona, Tucson
EXECUTIVE DIRECTOR: Robert E. Skinner, Jr., Transportation Research Board
MEMBERS
J. Barry Barker, Executive Director, Transit Authority of River City, Louisville, Kentucky
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William A. V. Clark, Professor, Department of Geography, University of California, Los Angeles
Eugene A. Conti, Jr., Secretary of Transportation, North Carolina Department of Transportation, Raleigh
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Michael W. Hancock, Secretary, Kentucky Transportation Cabinet, Frankfort
Adib K. Kanafani, Professor of the Graduate School, University of California, Berkeley (Past Chair, 2009)
Michael P. Lewis, Director, Rhode Island Department of Transportation, Providence
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Joan McDonald, Commissioner, New York State Department of Transportation, Albany
Michael R. Morris, Director of Transportation, North Central Texas Council of Governments, Arlington (Past Chair, 2010)
Tracy L. Rosser, Vice President, Regional General Manager, Wal-Mart Stores, Inc., Mandeville, Louisiana
Steven T. Scalzo, Chief Operating Officer, Marine Resources Group, Seattle, Washington
Henry G. (Gerry) Schwartz, Jr., Chairman (retired), Jacobs/Sverdrup Civil, Inc., St. Louis, Missouri
Beverly A. Scott, General Manager and Chief Executive Officer, Metropolitan Atlanta Rapid Transit Authority, Atlanta, Georgia
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Director, Energy Efficiency Center, University of California, Davis
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C. Michael Walton, Ernest H. Cockrell Centennial Chair in Engineering, University of Texas, Austin (Past Chair, 1991)
EX OFFICIO MEMBERS
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Victor M. Mendez, Administrator, Federal Highway Administration, U.S. Department of Transportation
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*Membership as of December 2011.
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The Second
S T R A T E G I C H I G H W A Y R E S E A R C H P R O G R A M
REPORT S2-L06-RR-1
Institutional Architectures to Improve Systems
Operations and Management
PARSONS BRINCKERHOFF
with
DELCAN
PHILIP J. TARNOFF
GEORGE MASON UNIVERSITY SCHOOL OF PUBLIC POLICY
HOUSMAN AND ASSOCIATES
TRANSPORTATION RESEARCH BOARD
WASHINGTON, D.C.
2012
www.TRB.org
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Subscriber Categories
Administration and Management
Highways
Law
Operations and Traffic Management
Policy
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The Second Strategic Highway SHRP 2 Report S2-L06-RR-1
Research Program
ISBN: 978-0-309-12905-3
America's highway system is critical to meeting the mobility and Library of Congress Control Number: 2077945094
economic needs of local communities, regions, and the nation.
Developments in research and technology--such as advanced 2012 National Academy of Sciences. All rights reserved.
materials, communications technology, new data collection
technologies, and human factors science--offer a new opportu-
nity to improve the safety and reliability of this important Copyright Information
national resource. Breakthrough resolution of significant trans-
Authors herein are responsible for the authenticity of their materials and for
portation problems, however, requires concentrated resources obtaining written permissions from publishers or persons who own the copy-
over a short time frame. Reflecting this need, the second Strate- right to any previously published or copyrighted material used herein.
gic Highway Research Program (SHRP 2) has an intense, large- The second Strategic Highway Research Program grants permission to repro-
duce material in this publication for classroom and not-for-profit purposes. Per-
scale focus, integrates multiple fields of research and technology, mission is given with the understanding that none of the material will be used to
and is fundamentally different from the broad, mission-oriented, imply TRB, AASHTO, or FHWA endorsement of a particular product, method,
discipline-based research programs that have been the mainstay or practice. It is expected that those reproducing material in this document for
educational and not-for-profit purposes will give appropriate acknowledgment
of the highway research industry for half a century. of the source of any reprinted or reproduced material. For other uses of the mat-
erial, request permission from SHRP 2.
The need for SHRP 2 was identified in TRB Special Report 260: Note: SHRP 2 report numbers convey the program, focus area, project number,
and publication format. Report numbers ending in "w" are published as web
Strategic Highway Research: Saving Lives, Reducing Congestion, documents only.
Improving Quality of Life published in 2001 and based on a
study sponsored by Congress through the Transportation
Equity Act for the 21st Century (TEA-21). SHRP 2, modeled Notice
after the first Strategic Highway Research Program, is a focused, The project that is the subject of this report was a part of the second Strategic
Highway Research Program, conducted by the Transportation Research Board
time-constrained, management-driven program designed to with the approval of the Governing Board of the National Research Council.
complement existing highway research programs. SHRP 2 focuses The members of the technical committee selected to monitor this project and to
on applied research in four areas: Safety, to prevent or reduce the review this report were chosen for their special competencies and with regard for
severity of highway crashes by understanding driver behavior; appropriate balance. The report was reviewed by the technical committee and
accepted for publication according to procedures established and overseen by
Renewal, to address the aging infrastructure through rapid design the Transportation Research Board and approved by the Governing Board of the
and construction methods that cause minimal disruptions and National Research Council.
produce lasting facilities; Reliability, to reduce congestion through The opinions and conclusions expressed or implied in this report are those of the
researchers who performed the research and are not necessarily those of the
incident reduction, management, response, and mitigation; and Transportation Research Board, the National Research Council, or the program
Capacity, to integrate mobility, economic, environmental, and sponsors.
community needs in the planning and designing of new trans- The Transportation Research Board of the National Academies, the National
portation capacity. Research Council, and the sponsors of the second Strategic Highway Research
Program do not endorse products or manufacturers. Trade or manufacturers'
names appear herein solely because they are considered essential to the object of
SHRP 2 was authorized in August 2005 as part of the Safe, the report.
Accountable, Flexible, Efficient Transportation Equity Act: A
Legacy for Users (SAFETEA-LU). The program is managed by
the Transportation Research Board (TRB) on behalf of the
National Research Council (NRC). SHRP 2 is conducted under
a memorandum of understanding among the American Associ-
ation of State Highway and Transportation Officials (AASHTO),
the Federal Highway Administration (FHWA), and the National
Academy of Sciences, parent organization of TRB and NRC. The
program provides for competitive, merit-based selection of SHRP 2 Reports
research contractors; independent research project oversight; Available by subscription and through the TRB online bookstore:
and dissemination of research results. www.TRB.org/bookstore
Contact the TRB Business Office:
202-334-3213
More information about SHRP 2:
www.TRB.org/SHRP2
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The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars
engaged in scientific and engineering research, dedicated to the furtherance of science and technology and
to their use for the general welfare. On the authority of the charter granted to it by Congress in 1863, the
Academy has a mandate that requires it to advise the federal government on scientific and technical matters.
Dr. Ralph J. Cicerone is president of the National Academy of Sciences.
The National Academy of Engineering was established in 1964, under the charter of the National Academy
of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and
in the selection of its members, sharing with the National Academy of Sciences the responsibility for
advising the federal government. The National Academy of Engineering also sponsors engineering programs
aimed at meeting national needs, encourages education and research, and recognizes the superior achieve-
ments of engineers. Dr. Charles M. Vest is president of the National Academy of Engineering.
The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the
services of eminent members of appropriate professions in the examination of policy matters pertaining
to the health of the public. The Institute acts under the responsibility given to the National Academy of
Sciences by its congressional charter to be an adviser to the federal government and, on its own initiative,
to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the
Institute of Medicine.
The National Research Council was organized by the National Academy of Sciences in 1916 to associate
the broad community of science and technology with the Academy's purposes of furthering knowledge and
advising the federal government. Functioning in accordance with general policies determined by the
Academy, the Council has become the principal operating agency of both the National Academy of
Sciences and the National Academy of Engineering in providing services to the government, the public, and
the scientific and engineering communities. The Council is administered jointly by both Academies and
the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. Charles M. Vest are chair and vice chair,
respectively, of the National Research Council.
The Transportation Research Board is one of six major divisions of the National Research Council. The
mission of the Transportation Research Board is to provide leadership in transportation innovation and
progress through research and information exchange, conducted within a setting that is objective, interdisci-
plinary, and multimodal. The Board's varied activities annually engage about 7,000 engineers, scientists, and
other transportation researchers and practitioners from the public and private sectors and academia, all of
whom contribute their expertise in the public interest. The program is supported by state transportation
departments, federal agencies including the component administrations of the U.S. Department of Transporta-
tion, and other organizations and individuals interested in the development of transportation. www.TRB.org
www.national-academies.org
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SHRP 2 STAFF
Neil F. Hawks, Director
Ann M. Brach, Deputy Director
Kizzy Anderson, Senior Program Assistant, Implementation
Stephen Andrle, Chief Program Officer, Capacity
James Bryant, Senior Program Officer, Renewal
Mark Bush, Senior Program Officer, Renewal
Kenneth Campbell, Chief Program Officer, Safety
JoAnn Coleman, Senior Program Assistant, Capacity
Eduardo Cusicanqui, Finance Officer
Walter Diewald, Senior Program Officer, Safety
Jerry DiMaggio, Implementation Coordinator
Charles Fay, Senior Program Officer, Safety
Carol Ford, Senior Program Assistant, Safety
Elizabeth Forney, Assistant Editor
Jo Allen Gause, Senior Program Officer, Capacity
Abdelmename Hedhli, Visiting Professional
James Hedlund, Special Consultant, Safety Coordination
Ralph Hessian, Visiting Professional
Andy Horosko, Special Consultant, Safety Field Data Collection
William Hyman, Senior Program Officer, Reliability
Linda Mason, Communications Officer
Michael Miller, Senior Program Assistant, Reliability
Gummada Murthy, Senior Program Officer, Reliability
David Plazak, Senior Program Officer, Capacity and Reliability
Monica Starnes, Senior Program Officer, Renewal
Noreen Stevenson-Fenwick, Senior Program Assistant, Renewal
Charles Taylor, Special Consultant, Renewal
Onno Tool, Visiting Professional
Dean Trackman, Managing Editor
Pat Williams, Administrative Assistant
Connie Woldu, Administrative Coordinator
Patrick Zelinski, Communications Specialist
ACKNOWLEDGMENTS
This work was sponsored by the Federal Highway Administration (FHWA) in cooperation with the Amer-
ican Association of State Highway and Transportation Officials (AASHTO). It was conducted in the second
Strategic Highway Research Program (SHRP 2), which is administered by the Transportation Research
Board of the National Academies. The project was managed by William Hyman, Senior Program Officer for
SHRP 2 Reliability.
The principal author of the report was Steve Lockwood of Parsons Brinckerhoff, with significant contribu-
tions from the project team: Phil Tarnoff, John O'Laughlin of Delcan, and Tojo Thatchenkery of George
Mason University. Housman and Associates also contributed to this project. Alan Lubliner and Amy Zwas of
Parsons Brinckerhoff provided important editorial and administrative support throughout.
Researchers in related SHRP 2 projects, FHWA Operations Division staff, Institute of Transportation Engi-
neers staff, and AASHTO staff were an important source of consultation throughout. The AASHTO Subcom-
mittee on Systems Operations and Management provided an essential sounding board at key points in the
project.
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F O R E W O R D
William Hyman, SHRP 2 Senior Program Officer, Reliability
A large number of strategies aimed at improving travel time reliability focus on highway
operations. To be successful, operational strategies often require a collaborative and coor-
dinated effort among many transportation organizations and within their key units. For
example, effective work zone management within a transportation agency cuts across orga-
nizational boundaries and involves construction, maintenance, safety, and operations person-
nel. More significantly, many operational strategies, particularly traffic incident management,
require strong cooperation from many different organizations, such as transportation depart-
ments, police, fire, emergency medical services, and towing and recovery.
The objective of this research was to undertake a comprehensive and systematic examina-
tion of the way agencies should be organized to successfully execute operations programs
that improve travel time reliability. The following types of questions were examined at the
outset of this research: How does operations fit into a transportation agency's overall pro-
gram? What changes can be made in agency culture and training to promote operations?
Which local and regional public agencies and private-sector organizations are essential to
the various aspects of operations? Are there emerging technologies, systems, or organizational
structures that can be used to advance intra-agency and interagency communications and
therefore operations?
The research addressed a large number of topics concerning organizational and institu-
tional approaches that could enhance highway operations and travel time reliability. The
most fruitful investigation was identification of the Capability Maturity Model, used exten-
sively in the information technology field for organizational self-assessment and continu-
ous improvement of quality and reliability. The researchers recognized that a version of the
Capability Maturity Model could be developed and applied to highway operations and in
turn travel time reliability. Elements defining different levels of maturity include culture/
leadership, organization and staffing, resource allocation, and partnerships. As a part of the
research, two companion publications were produced--this report and a guide--and
refined through workshops involving operations managers, executives, and others.
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C O N T E N T S
1 Executive Summary
1 Background on Research and Guidance
1 Purpose of the Project
2 Systems Operations and Management
4 Basic Hypothesis and Study Methodology
4 Application of the Capability Maturity Model
5 Research Findings: Processes and Their Institutional Support Implications
7 Key Findings Related to SO&M Institutional Architecture
8 Capability Maturity Levels of Institutional Architecture
8 Capability Improvement Strategies at Each Level
9 Using the Model as Guidance
12 Managing Improvements in Institutional Maturity
14 Institutional Innovation and Alternative Models
16 Bringing the Future Forward Faster
17 C H A P T E R 1 Introduction
17 Focus on Reliability and Nonrecurring Congestion
17 Target Audience and Utilization
17 Organization of the Report
18 CHAPTER 2 Background, Hypothesis,
and Methodology
18 Focus on NRC
18 Effective Strategy Applications to Reduce NRC
19 The Potential of SO&M Regarding NRC
19 Systems Operations and Management
20 The Level of SO&M Deployment Related to NRC
20 Commitment to Improving SO&M
22 Unique Process and Institutional Demands of SO&M
22 Institutional Reality
23 The Importance of Institutional Architecture
23 Basic Hypothesis of the Report
24 Study Methodology
26 CHAPTER 3 Theory on Process-Related Organizations
and Change Management
26 Previous Institutional Research Within the Transportation Arena
27 Private-Sector Contributions to Organizational Theory and Process Management
29 Applicability of Maturity Approach to Transportation Agencies
31 C H A P T E R 4 Survey Research Methodology
31 Interviews and Survey
31 Step 1: Identification of More Effective States--Reliance on Indirect Indicators
32 Step 2: State DOT Management Interviews and Survey
33 Step 3: Analyze Data, Survey, and Interviews
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34 CHAPTER 5 Research Findings: Processes That Need
Institutional Support
34 Strategy Application Features That Impact Performance
35 Common Parameters of Performances
35 Relationships Among Strategy Effectiveness, Needed Processes, and Supportive
Institutional Features
35 Key Findings Related to Process
36 Program Scoping
37 Technical Processes
38 Technology and Systems Development
38 Performance Measurement
39 Process Maturity as a Bridge to Defining Improvements in Institutional
Architecture
39 Levels of Process Maturity
42 CHAPTER 6 Research Findings: Institutional Architecture
Characteristics That Support Effective Programs
42 Process Implications for Institutional Architecture
43 The Key Categories of Institutional Characteristics
49 Summary Conclusions Regarding Key Institutional Characteristics Supporting
Effective Business Processes
50 Process Maturity as a Bridge to Identifying Levels of Maturity
53 CHAPTER 7 The Institutional Capability Maturity Model as the
Structure for Guidance
53 The Institutional Capability Maturity Model
53 The Improvement Strategies
54 Capability Improvement Strategies at Each Level
54 Basic Guidance Steps
58 C H A P T E R 8 Managing Institutional Change
58 Change Management Modalities: Contribution of Theory
61 Building on Change-Driven Momentum
61 Change Management Tactics
63 C H A P T E R 9 Alternative Institutional Models
63 Evolution or Revolution
63 The Models
64 Combinations and Evolutions
64 Implications of Alternative Models Regarding Key Institutional Issues
66 The International Perspective
68 References
70 Glossary
71 Appendix A. U.S. Institutional Arrangements Compared with England and Australia
74 Appendix B. State DOT Process and Institutional Interviews
76 Appendix C. AASHTO Subcommittee on Systems Operations
and Management (SSOM) Questionnaire
80 Appendix D. Examples of Regional Operations Collaboration
83 Appendix E. Example of Change Management Program for a State DOT
Online version of this report: www.trb.org/Main/Blurbs/165285.aspx.
