1、A Transportation Executives Guide to Organizational ImprovementAASHTOFebruary 2007Copy of TEGOI-1 Final Cover.indd1 1 2/6/2007 1:01:58 PMA Transportation Executives Guide to Organizational ImprovementAASHTOFebruary 2007 2007 by the American Association of State Highway and Transportation Officials.A
2、ll rights reserved. Duplication is a violation of applicable law.Copyright 2007. American Association of State Highway and Transportation Officials. All rights reserved. Printed in the United States of America. This book or parts thereof may not be reproduced in any form without written permission o
3、f the publishers.DISCLAIMERThe opinions and conclusions expressed or implied are those of the research agency that performed the research and are not necessarily those of the Transportation Research Board or its sponsors. This document is presented as it was submitted by the authors. This document i
4、s not a report of the Transportation Board or of the National Research Council. 2007 by the American Association of State Highway and Transportation Officials.All rights reserved. Duplication is a violation of applicable law.iiiSTANDING COMMITTEE ON QUALITYRhonda G. Faught Chair, New Mexico Douglas
5、Ross Vice Chair, MarylandJoseph S. Toole Secretary, FHWA Anthony R. Kane Liasion, AASHTOHannah R. Whitney Liaison, AASHTORonald L. Baldwin, P.E. AlabamaRobert J. Jilla, P.E. Alabama Ralph J. Hall ArkansasElizabeth A. Dooher California Jeffrey Wassenaar Colorado Arthur W. Gruhn ConnecticutKevin Canni
6、ng DelawareRichard A. Stehr DelawareDennis OShea DelawareWilliam P. Carr District of ColumbiaWasi U. Khan, P.E. District of ColumbiaLarry Ferguson, III, CPM Florida Ken Leuderalbert, P.E. FloridaJ. T. Rabun, P.E. GeorgiaLeigh Pascua HawaiiGlenn M. Yasui HawaiiJulie Pipal IdahoJeff R. Miles, P.E. Ida
7、hoJeff R. Miles, P.E. IdahoJohn A. Webber IllinoisMitchell J. Dillavou, P.E. IowaG. David Comstock, P.E. KansasKatrina Bradley, P.E. KentuckyWalt Thompson KentuckyJim Wathen, P.E. KentuckyMichael Bridges, P.E. Louisianna Kirt A. Clement, P.E. LouisiannaJoyce N. Taylor MaineBecky Burk MarylandNormeth
8、a Goodrum MarylandBridgid Seering MarylandMark A. Chaput MichiganMyron G. Frierson MichiganMara Campbell MissouriRebecca J. Geyer MissouriJames D. Currie MontanaSue Larson NebraskaClaude R. Oie NebraskaScott R. Rawlins, P.E., CPM NevadaJames Marshall New HampshireCarol A. Murray New HampshireLynn Ri
9、ch New Jersey Nick Mandel New MexicoGary Shubert New MexicoJulie A. Hunkins, P.E. North CarolinaJimmy Travis, P.E. North CarolinaTom D. Freier North Dakota 2007 by the American Association of State Highway and Transportation Officials.All rights reserved. Duplication is a violation of applicable law
10、.ivKen Heitkamp North DakotaGeralyn Penn North DakotaTim Horner North DakotaState MemberGordon D. Proctor OhioThomas J. Lauer OregonRina Cutler Pennsylvania Ronald W. Jones PennsylvaniaEvelyn S. Coln-Berlingeri Puerto RicoColin A. Franco, P.E. Rhode IslandCynthia C. Levesque Rhode IslandCarl Chase S
11、outh CarolinaRoxanne R. Rice South DakotaDiane E. Gusky, AICP TennesseeGary Head TennesseeBil Dickeson TexasSteven E. Simmons, P.E. TexasWayne Rago UtahMelvin Adams VermontLarry D. Jones VirginiaMalcolm T. Kerley, P.E. VirginiaDennis C. Morrison VirginiaDaniela Bremmer WashingtonPaula J. Hammond, P.
12、E. WashingtonRichard Genthner West VirginiaPaul Trombino, III WisconsinMel Anderson WyomingJanet Farrar WyomingU.S. DOT MemberDenise Saunders FHWAConnie Yew FHWAAssociate MemberInternationalStephen Blechschmidt New BrunswickDale A. Forster New BrunswickGerry Chaput Ontario 2007 by the American Assoc
13、iation of State Highway and Transportation Officials.All rights reserved. Duplication is a violation of applicable law.vDEDICATIONThis guide is dedicated in memory of Richard Harris. Rich Harris was the Director of the Center for Performance Excellence in the Pennsylvania Department of Transportatio
14、n. Even though retired, Rich kept active in AASHTO projects and was an avid member of the Standing Committee on Quality and a committed member of the Panel for this project. He was devoted to the concept of quality and performance excellence in transportation departments. His initial insights helped
15、 to guide this research, and the project lost a valuable asset upon his death in February 2006. This guide is dedicated to his memory, as it would be his wish that all transportation departments learn from each other and invest in quality practices to better serve their customers. 2007 by the Americ
16、an Association of State Highway and Transportation Officials.All rights reserved. Duplication is a violation of applicable law.viACKNOWLEDGMENTSThis document is a product of a study requested by the Standing Committee on Quality of the American Association of State Highway and Transportation Officia
17、ls (AASHTO), and conducted under the Transportation Research Boards National Cooperative Highway Research Program (NCHRP) Project 20-24(42), Guidelines for State DOT Quality Management Systems. The NCHRP is supported by annual voluntary contributions from the state Departments of Transportation. Wor
18、k under the Project 20-24 series is intended to address the concerns, support the decisions, and improve the effectiveness of top managers within those departments. This report was prepared by a team led by Oasis Consulting Services. The project was managed by Christopher Hedges, NCHRP Senior Progra
19、m Officer. Dr. T. J. Brown, Principal of Oasis, was the principal investigator for this project. Other authors of this report include Ruth Hallenbeck, Oasis Principal, Dr. Malcolm Baird, and Caryl Rice, both Senior Consultants with Oasis Consulting Services. The authors gratefully acknowledge the su
20、pport and desire to learn on the part of the AASHTO Standing Committee on Quality, which initiated this research, and the National Cooperative Highway Research Program which supported and funded it, in particular Dr. Anthony R. Kane, Director, Engineering and Technical Services and AASHTO Liaison to
21、 the SCoQ, and Mr. Christopher Hedges, NCHRP Staff Liaison. The Project Panel deserves much credit for the effort they expended on behalf of this project. While members of Oasis Consulting Services led the project research and authored this Guide, the members of this Panel contributed greatly by par
22、ticipating in almost all of the site visits, sharing their transportation experiences, and offering guidance as to what would be of use and interest to others. Lawrence Ferguson, from the Florida Department of Transportation and Mara Campbell, from the Missouri Department of Transportation went abov
23、e and beyond for this project, especially in light of losing two fellow panel members during the project timeframe. The authors thank all of the 45 responding DOTs and the individuals in those departments who took the time and made the effort to respond to the survey (in Appendix A). An 88 percent r
24、esponse rate is significant. Finally, special acknowledgemnt and appreciation is expressed for the contributions of the following individuals who shared their experiences, lessons learned, advice, and insights in support of this project:Arizona Department of TransportationJohn Bogert, Chief of Staff
25、Penny Martucci, Assistant Division Director, Motor Vehicle DivisionJacki Hancock, Motor Vehicle DivisionTerry Trost, Strategic Planning and Budgeting ManagerJames Delton, PE, State Materials EngineerBob Gustafson, Project Coordinator, State Engineers OfficeBob Melore, Strategic Planning, Intermodal
26、Transportation DivisionGinger Murdough, Partnering DirectorJames Young, Partnering ManagerGary Sharp, Automation and Technical Support, Partnering OfficeFlorida Department of TransportationDenver Stutler, SecretaryLawrence Ferguson, Manager, Performance Management Office 2007 by the American Associa
27、tion of State Highway and Transportation Officials.All rights reserved. Duplication is a violation of applicable law.viiIllinois Department of TransportationJohn Webber, Assistant to the SecretaryJohn D. Baranzelli, P.E., Project EngineerEric E. Harm, P.E., Assistant Chief EngineerKathy Ames, Deputy
28、 Director Office of Planning and ProgrammingLesa S. Branham, Bureau Chief, Bureau of Employee ServicesGwen Montgomery, Program Coordinator, Management Leadership Training ProgramsTina Mansfield, Program Coordinator, Professional Advancement of Career EngineersSteve Phillips, Program Coordinator, Exe
29、cutive Leadership Development SeriesKansas Department of TransportationJulie Lorenz, Director of Public AffairsDavid Comstock, P.E., Director of Engineering and DesignMaryland State Highway AdministrationNeil J. Pedersen, AdministratorBecky Burk, Performance Excellence ManagerCathy Rice, Performance
30、 Excellence ManagerDoug Rose, Deputy Administrator; Chief Engineer-OperationsNormetha Goodrum, Deputy Administrator for Finance, Information Technology, Audits, Administration, and ProcurementBarbara Gibbs, Director, Office of AdministrationGerry Koslof, Human Resources ManagerAngela Smith, P.E., As
31、sistant to the Director, Office of Highway DevelopmentNorie Calvert, P.E., J. D., Division ChiefMichigan Department of TransportationMyron G. Frierson, Bureau Director, Finance and AdministrationColeen Hines, Administrator of Performance Excellence DivisionMissouri Department of TransportationPete R
32、ahn, DirectorKevin Keith, P.E., Chief EngineerMicki Knudsen, Director of Human ResourcesRoberta Broeker, CPA, Chief Financial OfficerMara Campbell, Organizational Results DirectorNew Hampshire Department of TransportationJames F. Marshall, Director of AdministrationNew Mexico Department of Transport
33、ationRhonda Faught, SecretaryTom Church, Chief of Staff Nick Mandel, Quality Bureau Chief Walter Adams, Quality CoordinatorJennifer Block, Administrative AssistantJohnDon Martinez, FHWALarry Maynard, District EngineerRosanne Rodriguez, District Five Quality ManagerKenny Lujan, District Four Quality
34、ManagerTodd Wilson, Risk Management DirectorMax Valerio, Preliminary Design Engineer 2007 by the American Association of State Highway and Transportation Officials.All rights reserved. Duplication is a violation of applicable law.viiiNew Jersey Department of TransportationLynn D. Rich, Director, Div
35、ision of Quality Management ServicesKelly Maida, Secretary Assistant Patrick Barton, Manager, Bureau of Succession PlanningRichard Crum, Deputy Assistant Commissioner, Capital Program ManagementKathleen M. Immordino, Assistant Commissioner, AdministrationNorth Dakota Department of TransportationDavi
36、d A. Sprynczynatyk, P.E., DirectorTom D. Freier, Deputy Director for Business SupportKen F. Heitkamp, Business Planner, Office of Business SupportRobert P. Evans, Human Resource DirectorJudy Froseth, Training DirectorOhio Department of TransportationGordon Proctor, DirectorShobna Varma, Deputy Direc
37、tor, Division of Information TechnologyChristine Dietsch, Deputy Director, Quality and Human Resources Tim McDonald, P.E., Deputy Director, Division of Production ManagementHoward Wood, Deputy Director, Division of PlanningJulie Ray, Deputy Director, Finance and ForecastingCash Misel, P.E., Asst. Di
38、rector for Planning and Production and Chief EngineerRichard Martinko, Asst. Director of Highway MaintenanceVirginia Department of TransportationMalcolm Kerley, PE, Chief EngineerTom Hawthorne, Acting Chief of Planning and EnvironmentGeorge Gardner, Manager, Performance Management, Management Servic
39、es DivisionLynda South, Chief of CommunicationsColin Ceperich, Assistant Administrator, Communications Office Maureen Hammer, Director, Knowledge Management DivisionLarry Jones, Administrator, Management Services DivisionCharles Miller, Assistant Administrator, Management Services Division 2007 by t
40、he American Association of State Highway and Transportation Officials.All rights reserved. Duplication is a violation of applicable law.A Transportation Executives Guide to Organizational Improvement 1TABLE OF CONTENTSStanding Committee on Quality iiiDedication vAcknowledgments viCHAPTER 1: Introduc
41、tion 3Purpose and Overview 3How to Use This Guide 3Historical Perspective/Literature Review 3CHAPTER 2: Best Practices in State DOTs 7Findings 7Common Themes 7Driving Forces 10Summary 11Tools and Tips for Implementing Best Practices 12Success Factor 1: Legacy Leadership 12Success Factor 2: Champions
42、 13Success Factor 3: Measures of Success 14Success Factor 4: Desire to Look in the Mirror 19Success Factor 5: Alignment 24Success Factor 6: Dialogue 27Success Factor 7: Taking Care of Business 30Success Factor 8: A Culture of Kaizen 35Success Factor 9: Empowerment with Accountability 38CHAPTER 3: Le
43、adership Implications 41CHAPTER 4: Showcase of Exemplary Programs and Practices 45CHAPTER 5: Summary and Analysis of Survey Results 61APPENDICES APPENDIX A: Survey and Compiled Results 69APPENDIX B: Research Methods 97APPENDIX C: Selection Process for Site Visits 99APPENDIX D: How Site Visits Were C
44、onducted 101APPENDIX E: Literature Review References 109APPENDIX F: Glossary 113APPENDIX G: Overview of Transportation Agencies Visited 117 2007 by the American Association of State Highway and Transportation Officials.All rights reserved. Duplication is a violation of applicable law. 2007 by the Am
45、erican Association of State Highway and Transportation Officials.All rights reserved. Duplication is a violation of applicable law.A Transportation Executives Guide to Organizational Improvement 31. INTRODUCTIONPURPOSE AND OVERVIEWThe intent of this research is to assist departments of transportatio
46、n (DOTs) in identifying and pursuing opportunities for enhancing organizational performance. The research involved asking DOTs, via written surveys and site visits to selected agencies, to describe their organizational improvement programs and practices and to assess the impact of these methods on p
47、erformance. The information gathered serves to document many specific “best practices” so that any DOTs desire to benchmark particular areas of interest can be expedited.The most important purpose of this research, however, is to provide a guide for CEOs and senior leaders to improve organizational
48、performance. To achieve this purpose we searched for common themes among the DOTs that reported the greatest strengths in their approaches to improvement. Much of this guide is devoted to describing the commonalities that were discovered so that other DOTs can know not only what the characteristics
49、of the best practices are, but also how the agencies approached the challenges of putting those practices in place. HOW TO USE THIS GUIDE This guide is meant to be used as a “toolbox.” Wherever you are in the organization you should be able to find something of value that will help you to improve the organizations effectiveness. The guide is organized in a way that you can read any section without reading the entire document. However, we
