Click for next page ( R2


The National Academies | 500 Fifth St. N.W. | Washington, D.C. 20001
Copyright © National Academy of Sciences. All rights reserved.
Terms of Use and Privacy Statement



Below are the first 10 and last 10 pages of uncorrected machine-read text (when available) of this chapter, followed by the top 30 algorithmically extracted key phrases from the chapter as a whole.
Intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text on the opening pages of each chapter. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

Do not use for reproduction, copying, pasting, or reading; exclusively for search engines.

OCR for page R1
Guide to Improving Capability for Systems Operations and Management S2-L06-RR-2

OCR for page R1
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 Deborah H. Butler, Executive Vice President, Planning, and CIO, Norfolk Southern Corporation, Norfolk, Virginia 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 James M. Crites, Executive Vice President of Operations, DallasFort Worth International Airport, Texas Paula J. Hammond, Secretary, Washington State Department of Transportation, Olympia Michael W. Hancock, Secretary, Kentucky Transportation Cabinet, Frankfort Adib K. Kanafani, Cahill Professor of Civil Engineering, University of California, Berkeley (Past Chair, 2009) Michael P. Lewis, Director, Rhode Island Department of Transportation, Providence Susan Martinovich, Director, Nevada Department of Transportation, Carson City 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 David Seltzer, Principal, Mercator Advisors LLC, Philadelphia, Pennsylvania Lawrence A. Selzer, President and CEO, The Conservation Fund, Arlington, Virginia Kumares C. Sinha, Olson Distinguished Professor of Civil Engineering, Purdue University, West Lafayette, Indiana Thomas K. Sorel, Commissioner, Minnesota Department of Transportation, St. Paul Daniel Sperling, Professor of Civil Engineering and Environmental Science and Policy; Director, Institute of Transportation Studies; and Interim Director, Energy Efficiency Center, University of California, Davis Kirk T. Steudle, Director, Michigan Department of Transportation, Lansing Douglas W. Stotlar, President and Chief Executive Officer, Con-Way, Inc., Ann Arbor, Michigan C. Michael Walton, Ernest H. Cockrell Centennial Chair in Engineering, University of Texas, Austin (Past Chair, 1991) EX OFFICIO MEMBERS Peter H. Appel, Administrator, Research and Innovative Technology Administration, U.S. Department of Transportation J. Randolph Babbitt, Administrator, Federal Aviation Administration, U.S. Department of Transportation Rebecca M. Brewster, President and COO, American Transportation Research Institute, Smyrna, Georgia Anne S. Ferro, Administrator, Federal Motor Carrier Safety Administration, U.S. Department of Transportation LeRoy Gishi, Chief, Division of Transportation, Bureau of Indian Affairs, U.S. Department of the Interior John T. Gray, Senior Vice President, Policy and Economics, Association of American Railroads, Washington, D.C. John C. Horsley, Executive Director, American Association of State Highway and Transportation Officials, Washington, D.C. David T. Matsuda, Deputy Administrator, Maritime Administration, U.S. Department of Transportation Victor M. Mendez, Administrator, Federal Highway Administration, U.S. Department of Transportation William W. Millar, President, American Public Transportation Association, Washington, D.C. (Past Chair, 1992) Tara O'Toole, Under Secretary for Science and Technology, U.S. Department of Homeland Security Robert J. Papp (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard, U.S. Department of Homeland Security Cynthia L. Quarterman, Administrator, Pipeline and Hazardous Materials Safety Administration, U.S. Department of Transportation Peter M. Rogoff, Administrator, Federal Transit Administration, U.S. Department of Transportation David L. Strickland, Administrator, National Highway Traffic Safety Administration, U.S. Department of Transportation Joseph C. Szabo, Administrator, Federal Railroad Administration, U.S. Department of Transportation Polly Trottenberg, Assistant Secretary for Transportation Policy, U.S. Department of Transportation Robert L. Van Antwerp (Lt. General, U.S. Army), Chief of Engineers and Commanding General, U.S. Army Corps of Engineers, Washington, D.C. Barry R. Wallerstein, Executive Officer, South Coast Air Quality Management District, Diamond Bar, California * Membership as of April 2011.

OCR for page R1
THE SECOND STRATEGIC HIGHWAY RESEARCH PROGRAM Guide to Improving Capability for Systems Operations and Management SHRP 2 Report S2-L06-RR-2 Parsons Brinckerhoff with Delcan George Mason University School of Public Policy Housman and Associates TRANSPORTATION RESEARCH BOARD Washington, D.C. 2011 www.TRB.org

OCR for page R1
SUBSCRIBER CATEGORIES Administration and Management Education and Training Highways Law Operations and Traffic Management Policy

OCR for page R1
THE SECOND STRATEGIC HIGHWAY SHRP 2 Report S2-L06-RR-2 ISBN: 978-0-309-12906-0 RESEARCH PROGRAM Library of Congress Control Number: 2011939553 America's highway system is critical to meeting the mobility 2011 National Academy of Sciences. All rights reserved. and economic needs of local communities, regions, and the nation. Developments in research and technology--such as COPYRIGHT INFORMATION advanced materials, communications technology, new data Authors herein are responsible for the authenticity of their collection technologies, and human factors science--offer materials and for obtaining written permissions from pub- a new opportunity to improve the safety and reliability of lishers or persons who own the copyright to any previously this important national resource. Breakthrough resolution published or copyrighted material used herein. of significant transportation problems, however, requires The second Strategic Highway Research Program grants concentrated resources over a short time frame. Reflecting permission to reproduce material in this publication for this need, the second Strategic Highway Research Program classroom and not-for-profit purposes. Permission is given (SHRP 2) has an intense, large-scale focus, integrates mul- with the understanding that none of the material will be tiple fields of research and technology, and is fundamentally used to imply TRB, AASHTO, or FHWA endorsement of a different from the broad, mission-oriented, discipline-based particular product, method, or practice. It is expected that research programs that have been the mainstay of the high- those reproducing material in this document for educa- way research industry for half a century. tional and not-for-profit purposes will give appropriate ac- The need for SHRP 2 was identified in TRB Special knowledgment of the source of any reprinted or reproduced Report 260: Strategic Highway Research: Saving Lives, material. For other uses of the material, request permission Reducing Congestion, Improving Quality of Life, pub- from SHRP 2. lished in 2001 and based on a study sponsored by Congress through the Transportation Equity Act for the 21st Cen- Note: SHRP 2 report numbers convey the program, focus tury (TEA-21). SHRP 2, modeled after the first Strategic area, project number, and publication format. Report num- Highway Research Program, is a focused, time-constrained, bers ending in "w" are published as web documents only. management-driven program designed to complement existing highway research programs. SHRP 2 focuses on NOTICE applied research in four areas: Safety, to prevent or reduce The project that is the subject of this report was a part of the the severity of highway crashes by understanding driver second Strategic Highway Research Program, conducted by behavior; Renewal, to address the aging infrastructure the Transportation Research Board with the approval of through rapid design and construction methods that cause the Governing Board of the National Research Council. minimal disruptions and produce lasting facilities; Reli- The members of the technical committee selected to moni- ability, to reduce congestion through incident reduction, tor this project and to review this report were chosen for management, response, and mitigation; and Capacity, to their special competencies and with regard for appropriate integrate mobility, economic, environmental, and commu- balance. The report was reviewed by the technical commit- nity needs in the planning and designing of new transporta- tee and accepted for publication according to procedures tion capacity. established and overseen by the Transportation Research SHRP 2 was authorized in August 2005 as part of the Board and approved by the Governing Board of the Na- Safe, Accountable, Flexible, Efficient Transportation Equity tional Research Council. Act: A Legacy for Users (SAFETEA-LU). The program is managed by the Transportation Research Board (TRB) on The opinions and conclusions expressed or implied in this behalf of the National Research Council (NRC). SHRP report are those of the researchers who performed the re- 2 is conducted under a memorandum of understanding search and are not necessarily those of the Transportation among the American Association of State Highway and Research Board, the National Research Council, or the pro- Transportation Officials (AASHTO), the Federal Highway gram sponsors. Administration (FHWA), and the National Academy of Sci- The Transportation Research Board of the National Acad- ences, parent organization of TRB and NRC. The program emies, the National Research Council, and the sponsors of provides for competitive, merit-based selection of research the second Strategic Highway Research Program do not en- contractors; independent research project oversight; and dorse products or manufacturers. Trade or manufacturers' dissemination of research results. names appear herein solely because they are considered es- sential to the object of the report. SHRP 2 REPORTS Available by subscription and through the TRB online bookstore: www.TRB.org/bookstore Contact the TRB Business Office: 202.334.3213 More information about SHRP 2: www.TRB.org/SHRP 2

OCR for page R1

OCR for page R1
The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished schol- ars 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 the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and techni- cal 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 advis- ing 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, upon its own initia- tive, 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 Sci- ences 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, interdis- ciplinary, 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 transpor- tation departments, federal agencies, including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. www.TRB.org www.national-academies.org

OCR for page R1
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

OCR for page R1
ACKNOWLEDGMENTS This work was sponsored by the Federal Highway Administration (FHWA) in coop- eration with the American 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 contributions 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 B rinckerhoff provided important editorial and administrative support throughout. Researchers in related SHRP 2 projects, FHWA Operations Division staff, Insti- tute of Transportation Engineers staff, and AASHTO staff were an important source of consultation throughout. The AASHTO Subcommittee on Systems Operations and Management provided an essential sounding board at key points in the project. vii

OCR for page R1

OCR for page R1
FOREWORD William Hyman SHRP 2 Senior Program Officer, Reliability A large number of strategies aimed at improving travel time reliability focus on high- way operations. To be successful, operational strategies often require a collaborative and coordinated effort among many transportation organizations and within their key units. For example, effective work zone management within a transportation agency cuts across organizational boundaries and involves construction, maintenance, safety, and operations personnel. More significantly, many operational strategies, particularly traffic incident management, require strong cooperation from many different organi- zations, such as transportation departments, police, fire, emergency medical services, and towing and recovery. The objective of this research was to undertake a comprehensive and systematic examination of the way agencies should be organized to successfully execute opera- tions 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 trans- portation agency's overall program? 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 institutional approaches that could enhance highway operations and travel time reli- ability. The most fruitful investigation was identification of the Capability Maturity Model, used extensively in the information technology field for organizational self- assessment and continuous 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 dif- ferent levels of maturity include culture/leadership, organization and staffing, resource ix

OCR for page R1
allocation, and partnerships. As a part of the research, two companion publications-- this guide and a research report--were produced and refined through workshops involving operations managers, executives, and others. After this guide was submitted for publication, the American Association of State Highway and Transportation Officials (AASHTO) decided to support the conversion of the SHRP 2 Reliability Project L06 research into a web-based tool that would be user friendly, easy to access, and updatable. This work was done under the Transporta- tion Research Board's NCHRP Project 03-94, Transportation Systems Operations and Management Guide. The web tool, Systems Operations and Management Guidance, is available on the AASHTO website at www.aashtosomguidance.org. At the same time, under Phase 2 of the SHRP 2 L06 project, workshops with state DOTs and metro politan areas are being conducted to validate the research, and the findings will be incorporated into the web material. x

OCR for page R1
CONTENTS 1 CHAPTER 1 The Institutional Capability Maturity Model 2 Focus on Institutional Support for Nonrecurring Congestion Strategy Applications 2 Elements of Institutional Capability Maturity 3 Relationship Between Technical and Business Processes and Institutional Architecture 4 Levels of Institutional Capability Maturity 5 Managing Improvements in Institutional Maturity 10 Building on Change-Driven Momentum 10 Change Management Tactics 11Reference 13 CHAPTER 2 G uidance Templates 13 Basic Guidance Steps 15 Culture/Leadership Template 26 Organization and Staffing Template 32 Resource Allocation Template 38 Partnerships Template Online version of this report: www.trb.org/Main/Blurbs/165286.aspx. xi

OCR for page R1