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Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

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

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, Dallas–Fort 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.

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

SUBSCRIBER CATEGORIES Administration and Management Education and Training Highways Law Operations and Traffic Management Policy

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

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

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

vii 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 Brinckerhoff 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. ACKNOWLEDGMENTS

ix FOREWORD 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 William Hyman SHRP 2 Senior Program Officer, Reliability

xallocation, 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.

xi 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 11 Reference 13 CHAPTER 2 Guidance 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.

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TRB’s second Strategic Highway Research Program (SHRP 2) Report S2-L06-RR-2: Guide to Improving Capability for Systems Operations and Management examines the way transportation agencies should be organized to successfully execute operations programs that improve travel time reliability.

After the guide was submitted for publication, the American Association of State Highway and Transportation Officials (AASHTO) converted the SHRP 2 Reliability Project L06 research into a web-based tool that is designed to be user-friendly, easy to access, and updatable. The web tool, Transportation Systems Management and Operations Guidance , is available on the AASHTO website at http://www.aashtosomguidance.org.

An e-book version of this report is available for purchase at Google, iTunes, and Amazon.

The same project that produced SHRP 2 Report S2-L06-RR-2 also produced SHRP 2 Report S2-L06-RR-1: Institutional Architectures to Improve Systems Operations and Management.

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