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28. Downtown Malls: An Annual Review. Downtown
sented at TRB Conference on Urban Transportation
Pricing Alternatives, March 1976. Research and Development Center, New York,
NCHRP, Vol. 1, 1975.
22. Bus Use of Highways: State of the Art.
Car-Free Zones and Traffic Re-
Rept. 143, 1973, 306-311. 29. C. K. Orski.
pp. straints: Tools of Environmental Management.
Vehicle Free Zones in City Centers.
23. C. K. Orski.
In Techniques of Improving Urban Conditions by HRB, Highway Research Record 406, 1972, pp.
Restraint of Road Traffic, Organisation for Eco- 37-46.
Motor Vehicle Traffic Restraints in
nomic Co-operationand Development, Paris, 1973, 30. K. Lemberg.
In Techniques of Improving
pp. 68-74. Central Copenhagen.
Better Traffic Service in the Central Urban Conditions by Restraint of Road Traffic,
24. A. Kurp.
Area of "Freie Hansestadt Bremen" as a Result of Organisation for Economic Co-operation and De-
In Techniques of Improving velopment, Paris, 1973.
Traffic Restrictions.
Urban Conditions by Restraint of Road Traffic,
Pedestrianized Streets. Greater London Council,
Organisation for Economic Co-operation and De- 1973.
velopment, Paris, 1973, 52-55. Madison Mall. Office of Midtown Planning and
pp. NCHRP, Project Development, New York, 1971.
25. Peak Period Traffic Congestion.
7-10, draft final report, Nov. 1975. 33. V. Gruen. Vienna, Austria. In Streets for People,
Traffic Diversion for Better Neigh- Organisation for Economic Co-operation and De-
26. L. C. Orlob.
Traffic Engineering, Vol. 45, No. 7, velopment, Paris, 1974.
borhoods.
181, Sept. 17,
July 1975, 22-25. 34. Federal Register, Vol. 40, No.
pp. 1975.
The Restraint of Vehicular Traffic.
27. A. D. May.
Traffic Engineering, Vol. 46, No. 2, Feb. 1976,
15-18.
pp.
MANAGEMENT BY OBJECTIVES APPLIED TO
TRANSPORTATION SYSTEM MANAGEMENT
Harry S. Ross
University of Louisville
Per,y J. Maull and George M. Smerk
Institute for Urban Transportation, Indiana University
Management by objectives requires input by all members of the manage- ment of railroads, beginning in the 1830s and going on
ment and supervisory staff of an organization; efforts are aimed at the for more than 70 years. On the heels of railroad de-
achievement of stated results or objectives. Transportation system velopment came the beginnings of the building of a
management in urban areas demands that transit and highway interests national highway system in the twentieth century, cul-
join forces in developing plans and action programs to make better use minating most recently in the work on the Interstate
of existing facilities. This paper explores both management by objec- highway system. Also, in this century, the improve-
tives and transportation system management and provides suggestions ment of rivers for inland navigation, the forging of a
on how the MBO technique can be used to design a TSM action plan. vast pipeline system, and the development of airports
and an air traffic control system for air transportation
have provided the United States with an unparalleled
One of the important recent developments in policy is the transportation structure.
requirement that transportation system management The diligence in construction was joined by the pro-
(TSM) plans be undertaken and programs implemented vision of equipment in a chicken-and-egg relation. The
in urbanized areas to qualify for federal aid for high- development of better and larger steamboats brought
ways or transit. In other words, rather than purchas- pressures for river improvements. The twentieth-
ing additional transit equipment or building additional century push for highways was spurred by the develop-
lanes of highway, we must now make the use of existing ment and growth of the popularly priced private auto-
facilities and equipment more productive and more ef- mobile; better highways stimulated the provision of
fective. better automobiles, which in turn stimulated a demand
In part, the notion that lies behind TSM is a reflec- for better roads.
tion of the growing concept of a mature transportation One thing that did not occur in the 200 years of growth
structure in the United States. Up to the present time, in transportation was the development of a transportation
this country has been in the process of building trans- system. Each mode of transport developed independently
portation facilities and of constructing equipment to use and, to a large extent, competitively. Each was treated
those facilities. In the earliest days of nationhood, separately in the policy sense. For example, the Inter-
there were moves toward the beginning of a public road state highway system was undertaken with little con-
system; the federally aided National Road from Cumber- sideration of its impact on other forms of transporta-
land, Maryland, into the Northwest Territories is an tion. The bankruptcy of railroads in the northeastern
example of this in the late eighteenth and early nine- United States is, in part, due to the intense competition
teenth centuries. A spate of turnpike building in the provided by motor carriers enjoying the not insubstantial
same time period was followed by the introduction of benefits of the Interstate highways. As a consequence of
steamboats on navigable rivers and canal construction the lack of concerted transportation policy and programs,
in the east and midwest in the 1820s. This was followed thereare considerable duplication and overlap in the U.S.
immediately—and, indeed, overtaken—by the develop- transportation picture; at the same time, it is often dif-
82
ficult to make an intermodal trip or to use more than one highway efficiency. This opportunity is also a burden
transport mode in shipping freight in a reasonably simple because many transit managers have had little ex-
and expeditious fashion. The U.S. transportation struc- perience in working with other parts of the trans-
ture is conspicuous by its cumbersomeness, duplication, portation sector on the local level. Moreover, many
and, inescapably, its inefficiency. transit managers are not particularly apt at manag-
The days of building new transport facilities appear to ing transit, much less at embarking on a cooperative
be over. The continent is pretty well filled up, and the planning and action effort with highway officials. The
transportation structure apparently needs more to be lack of professionalism in the transit industry is serious
refined and rationalized than to be expanded. Moreover, and is only in the early stages of improvement. Forging
in many communities there is enormous hostility to the TSM plans and putting those plans into action will not be
construction of more facilities; a new segment of urban an easy chore for transit management in most places.
Interstate highway is not usually thought of as a blessing The concept of management by objectives (MBO) is a
today. Ostensibly the concentration of effort under cur- tool that may be used by transit managers—and highway
rently evolving federal policy will be toward making and traffic engineers as well—for solving transit prob-
existing facilities function more efficiently rather than lems and for developing the kinds of plans and action
adding materially to the stock of capital goods in trans- that TSM calls for. In this paper, the MBO process
portation. is examined as a means of approaching transportation
The inspiration behind the TSM policy is also a ref lec- system management, particularly as it is useful for
tion of rapidly escalating costs due to inflation. Where transit managers and planners.
once tax revenues to build a highway or private capital
to expand or improve a railroad were about sufficient MANAGEMENT BY OBJECTWES
to do the required job, rapidly escalating costs of ma-
terial and labor have meant that expansion of the system The idea of management by objectives was first intro-
demands careful thought and much money. Building duced by Drucker in 1954 (3). Management by objec-
additional facilities is, therefore, not likely to take tives in the sense in which Drucker used it was aimed
place easily or quickly any more. at increasing motivation; it allowed lower level managers
Certain types of effort commonly spring into the minds to set objectives for themselves and thereby to control
of those involved in trying to figure out what to do about their own performance. The self-control was supposed
the TSM requirements. For a highway, TSM means, in to result in a stronger motivation on the part of indi-
essence, better traffic engineering. Efforts similar to viduals to do their best rather than just to get by. Higher
the old Traffic Operations Program for Increasing Ca- levels of management would act to coordinate the objec-
pacity and Safety seem to fit within the TSM rubric. Ac- tives of the disparate parts of the enterprise under their
tion programs in TSM involve things such as one-way direction, in keeping with the objectives of the overall
streets, better traffic signal control, and parking re- enterprise.
strictions at certain times of the day. As far as transit The basic philosophy of MBO has been viewed a
is concerned, TSM appears to imply actions such as trifle differently by others (4), who see it as "a process
signal preemption by transit vehicles, reserved lanes whereby the superior and subordinate managers of an
for buses and other transit vehicles, and use of express organization jointly identify its common goals, define
highways by transit vehicles (1). each individual's major area of responsibility in terms
However, the action programs can be summed up of the results expected of him, and use these measures
neatly; as Federal Highway Administrator Tiemann in- as guides for operating the unit and assessing the con-
dicated, the programs essentially are to improve traffic tribution of each of its members."
flow, increase use of high-occupancy vehicles, and As thinking on MBO has progressed, it has become a
maintain system capacity (2). Another way of viewing highly useful way of conducting the affairs of an enter-
TSM is that it is aimed at reducing demand and increas- prise. The emphasis in management by objectives is
ing capacity. Because a large proportion of transporta- on management rather than objectives, because MBO
tion problems occur in urban areas, where increasing is nothing less than a systematic method of managing;
capacity by adding more facilities is difficult, reducing it embraces objectives, plans, managerial direction
demand seems to be the wisest course to follow in such and action, control, and feedback. All of the component
places. Unfortunately, the reduction of demand is parts must be present for MBO to function properly.
closely related to the distribution of population and Because of its complete and systematic nature, MBO
destinations. The spread-out patterns of growth that is particularly valuable as a means of achieving re-
developed in American cities in the last half-century sults. Being result-oriented, rather than process-
and the consequent need to travel long distances will oriented, MBO is especially useful for public, non-
make it difficult or impossible to reduce demand for profit organizations (5). Such institutions lack the
travel very much in the short run. As a consequence, discipline of "the bottom line" as a way (albeit often
for the present and the near-term future, better use of imperfect) of measuring the quality and success of
existing facilities appears to be the most practical sphere managers and the success of the enterprise as a whole
of action. through the profit mechanism.
One important thing that the TSM requirement does MBO techniques in the world of TSM are not aimed
is demand that those involved with urban mass trans- primarily at improving motivation or otherwise enrich-
portation and urban highways work together. As simple ing the job. Rather, the idea of establishing goals and
as that may appear, it is really quite revolutionary, objectives —often foreign concepts in the transportation
considering the history of separation that has existed in world—is what MBO can bring to TSM. It will help
the past. If real coordination of effort can be brought orient those involved with the mass transportation aspect
about on the local scene, the outcome should be bene- of TSM as well as those involved in other transportation
ficial, particularly to the taxpayers and to those who areas to a means of achieving results.
must travel in urban areas. Very simply, in the public sector, where profit or
Clearly, transit management has a key role to return on investment does not guide action, there must
play in carrying out the transportation system man- be some substitute. That substitute is the establishment
agement program. TSM provides a superb opportu- of broad goals and narrower and more specific objectives,
nity to improve transit performance as well as the development of plans to achieve the desired results,
83
a systematic pursuit, and the achievement of the sought- GOALS AND OBJECTWES DEVELOPED
for end. Goals can be generally defined as broad-scoped INTO AN ACTION PLAN
conditions that cannot be associated with any single im- There is a great need for planning to be carried out
provement or modification. That is, a goal is a long- within an action framework. Too often, planners are
run condition considered to be ideal or model. The fol- frustrated because their plans are rarely implemented;
lowing example of a goal statement for urban trans-
portation is a derivation and consolidation of several Some of the reasons for this are discussed later. For
goal statements, including those emanating from UMTA, the moment, it is clear that planning cannot be done for
the Federal Highway Administration, and the American the sake of planning alone; there must be an action out-
Public Transit Association. put from each plan. That is, a plan must go far enough
to develop a means by which the plan, be it for TSM or
Provide mobility for all; some other purpose, would have a reasonable chance of
Improve the environment by increasing energy obtaining some desired results. This is merely another
efficiency, fostering rational land use, and minimizing way of saying that all the elements of MBO must be ap-
air, water, and noise pollution; plied if results are to be achieved.
Sustain and enhance economic growth and vitality; The planning process often lacks closure; that is, it
Provide the highest feasible and practicable level is never brought full circle to completion. It is similar
of safety for people, goods, and the environment; and to our nationwide penchant for the distribution of prod-
Provide for an efficient and cost-effective trans- ucts without sufficient thought given to recycling. A
portation system. person with an economic bent of mind who dwells on the
subject is often appalled by the thought that our highly
The broad national goals are typically things about productive consumer durable goods industry can produce
which there are few arguments; they are the sort of ends washing machines and refrigerators quickly and ef-
virtually everyone can agree with. These can be ficiently but cannot figure out a way to get used-up
translated into somewhat more specific but still rather washing machines and refrigerators smoothly back into
general goals on the local level, depending on the prob- the scrap pile so they can be turned into new consumer
lems perceived on the local level. Moreover, depending durables. Much the same is true of transportation
on perceived local problems, there will be different planning, especially TSM-related planning. The process
priorities established for the various goals and the ob- must be designed to include an action plan that, when
jectives that proceed from them. Priorities are, of made operational, produces the desired results.
course, essential; this is especially so in the use of The aim of action plans is to reach the objectives
MBO, whereby a potent means of attaining results is at established. The action plan itself is nothing more than
hand. It is critical that the product of the effort be one a listing of all the intermediate steps necessary to ac-
that is not only wanted but also needed at a particular complish a given objective. In the final analysis, the
time. Local transportation-related goals should, of individual actions become subobjectives, as suggested
course, be in line with the needs of the community and in the following discussion of a model objective and ac-
should bear a relation to the hierarchy of community tion plan.
needs. Let us assume that a transit operator involved in
Unlike goals, objectives must be pertinent to a given some aspect of TSM work decides that a prime goal is to
point. In other words, objectives define a condition increase the reliability of the service in order to make
more strictly than goals do; they are the means by which the service more attractive. One objective would be to
broad, desirable goals can be achieved. Objectives have increase reliability of service, as measured by on-time
five critical elements that must be included in order to performance of buses at selected points along each
be considered a correctly stated objective. route, by reducing the number of late or early arrivals
on any average day by a certain date. (Each goal will
Objectives must be clear, concise, and unambig- probably have more than one objective, but for the sake
uous statements of what is to be accomplished; of example only one will be used.) The objective is not
Objectives must be measurable and attainable in quite complete; who is responsible for achieving the
a reasonable period of time and with reasonable effort; objective is not stated. Before that can be done, some
Objectives must be consistent with goals and investigation into any causes of delay has to be under-
priorities; taken. The lack of reliability in service may be due to
Objectives must be assigned a date of accomplish- equipment breakdowns or it may result from delays
ment; and caused by traffic congestion. Given the objective, the
Objectives must indicate who is accountable for model action plan can then be set out. The first step
their accomplishment. includes actions to determine the extent of the problem.
The initial action consists of spot checks by supervisors
The following is an example of an objective: The of major generator or terminal points and a notation of
maintenance manager is responsible for reducing road the number of late or early arrivals.
calls to 1/15 000 revenue vehicle-kilometers by January Actions can then be taken to analyze the problem.
1, 1978. Such an objective would help meet the goal For example, route running can be clocked against
for increasing the reliability of transit service. scheduled running times by given route segments; par-
The main initial task of persons working with TSM ticular running difficulties can be noted and the location
on the local level would therefore be to establish trans- of given difficulties can be isolated. The drivers can
portation (highway and mass transit) goals based on also be surveyed regarding the characteristics of each
overall community goals and priorities. From that route related to running times. Conclusions can thereby
point they would work to develop objectives that fit within be reached in the attempts to understand the problem
the overall framework of TSM. The TSM goals and fully. The situation may be simply resolved by changing
objectives obviously must be in line with overall com- the schedule to reflect realistically the running times at
munity objectives. For the sake of practicality they various times of the day. Of course, that type of action—
should be within the spectrum of possibility in a com- however realistic in the short run—may yield a standard
munity. of service that is unattractive to the public.
84
Given an understanding of the situation, certain ac The list of possible broad categories of action is a long
c-
-
tions one, and within each there are possibilities for extensive
tions can then be taken in an effort to resolve the pro-
gram. Perhaps one of the key issues discovered in the series of related actions. The items involve actions
analysis of the problem is that most bus stops are not both internal and external to transit operation.
marked and patrons flag down buses at many places along Nothing can work effectively in MBO without mana-
a route; two stops may be made within a single block, gerial action and direction. Since MBO includes the
causing delay in maintaining schedules. An action to joint consideration of approaches to meet objectives by
resolve this particular problem would be to place bus all levels of management down to the supervisory level,
stop signs along the routes in order to help cluster the there is the opportunity for a unified and systematic
patrons at fewer points. Other actions might be to begin effort to attain objectives. Management close to each
a customer information program to encourage the use action level is in the best position to act.
of the bus stops and to speed up the process of boarding Monitoring under MBO, if properly handled, is quick
by encouraging passengers to have exact change and to and effective. Because each level of management is in
use the rear exits when alighting. Still another action a position to act within its own particular sphere and
might be to impose an exact-fare policy to expedite fare bears the responsibility for its actions, there is little
collection. need for all information to pass completely up and down
Another direction of action might be to step up on- the chain of command in order for some action or cor-
the -road supervision in order to monitor on-the-street rective step to be taken. Only absolutely necessary in-
operations more closely. In somewhat the same vein, formation and questions need be referred to higher
a driver-training program might be instituted to help levels of management for coordination, concurrence,
emphasize the importance of reliability and on-schedule or correction. As the objectives, target dates, and
performance. A final action would be to continue the responsibility for the objectives and actions are estab-
analysis of route running times for adherence to sched- lished, mileposts of performance are automatically set
ules on a regular basis in order to make sure that sched- up and can be used on a regular basis to detect the
ules and reliable performance are maintained. quality of performance as progress is made. Action
Investigation may reveal that poor schedule adherence and its result are compared with the objective, and
is mainly due to traffic congestion at certain times of further action is taken quickly to get back on track;
day. The action to take under such circumstances might this takes place at the location closest to the point of
be the inauguration of a reserved lane for buses in a action.
few key, bottleneck locations. Signal preemption by After a suitable time period, of course, there must
buses may be chosen as an attack on the reliability prob- be feedback on the action taken or the problem-solving
lem, or possibly a combination of the various alterna- procedure used. Each of the various actions taken has
tives sketched out above might be chosen. All of the to be evaluated in light of what happened as a result of
various efforts mentioned are legitimate TSM approaches the actions. Was the objective attained? If not, why
Whatever actions are ultimately decided on must be ac - not? At the same time, goals and objectives must be
companied by attaching the responsibility to one individ- continually evaluated and revisions made in both peri-
ual. The individual responsible for an "external"action odically as experience and the situation demand. Flex-
will truly be furthering the TSM goal of a more integrated ibility is necessary to obtain a desired result.
transportation system in that his or her efforts will re-
quire interaction with those in the highway and traffic PROBLEMS WITH DEVELOPING GOALS
engineering arena. Management by objectives provides AND OBJECTWES ON THE LOCAL
an orderly means of approaching and resolving a problem, LEVEL
The following are possible types of actions that could
evolve from TSM goals. TSM requires that plans and action be taken on the local
level. In accordance with the general thrust of this
Actions to ensure the efficient use of existing paper, then, the first step would be the establishment
road space through (a) traffic operation improvements of the overall local goals and objectives. This is much
to manage and control the flow of motor vehicles, (b) easier said than done.
preferential treatment for transit and other high- One would normally look to some national goals and
occupancy vehicles, (c) appropriate provision for pe- objectives as guidelines for local activity. National
destrians and bicycles, (d) management and control of goals and objectives on matters such as desirable levels
parking, and (e) changes in work schedules, fare struc- of population density, population distribution, and sprawl
tures, and automobile tolls to reduce peak-period travel could help local governments form goals, objectives,
and to encourage off-peak use of transportation facilities; and action plans. However, apart from the list of broad
Actions to reduce vehicle use in congested areas national urban transportation goals given earlier, there
through (a) encouragement of car pooling, (b) restric- is not much else, despite the fact that the majority of
tions on vehicle use on selected streets, and (c) conges- the population is urbanized or that the city is the locus
tion pricing arrangements; of some of the principal social and economic problems
Actions to improve transit service, such as (a) of the nation.
innovative transit services, (b) improvement of routing, There are typically no goals or objectives for trans-
scheduling, and dispatching of transit vehicles, (c) pro- portation or urban areas on the state and local level.
vision of shelters and other passenger amenities, (d) For the most part, state and local governments have
better passenger information systems and services, and not set out in any definitive form exactly what they want
(e) simplified fare collections systems and policies; and cities to be or how they want transportation to interrelate
Actions to increase internal transit management with other aspects of urban life.
efficiency, such as (a) improved marketing, (b) develop- Adding to the overall difficulty is the fact that urban
ing cost accounting and other management tools to im- transportation in general, and mass transportation in
prove decision making, (c) establishing maintenance particular, are both highly interrelated with everything
policies that ensure greater equipment reliability, and else on the urban scene. This means that great care
(d) using surveillance and communications technology to has to be taken to choose plans and actions wisely, lest
develop real-time monitoring and control capability. they have some unexpected and unfortunate consequence.
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