Intelligent Transportation Systems: A Multilevel Policy Network Dong Won Kim Dissertation submitted to the Faculty of the Virginia Polytechnic Institute and State University in partial fulfillment of the requirements for the degree of DOCTOR OF PHILOSOPHY in PUBLIC ADMINISTRATION AND POLICY Charles T. Goodsell, Chair John W. Dickey Gary L. Wamsley Ray D. Pethtel Richard D. Worrall June 14, 2001 Blacksburg, Virginia Key words: Policy Network, Intelligent Transportation Systems, Governance, Globalization Copyright 2001, Dong Won Kim Intelligent Transportation Systems: A Multilevel Policy Network Dong Won Kim (Abstract) This dissertation is a descriptive study of a policy network designed for U.S. government and global cooperation to promote Intelligent Transportation Systems (ITS). It is aimed at exploring the historical and structural features of the ITS policy network, and evaluating its roles in the policy process. Until now, the network literature has barely examined the full arrays of networks, catching just part of their full pictures. First, this study draws attention to transnational networks and their organic or systematic relationships with lower levels of networks. Second, it examines the individual properties and synergy of three core elements of the ITS policy network: public-private partnerships, professional networks, and intergovernmental networks. Third, it takes a close look at the pattern of stability change and power relations of the policy network from within the net. Finally, this study discusses what difference networks make, compared to hierarchies and markets. This dissertation employed multiple sources of evidence: unstandardized elite interviews, government documents, and archival records. Through a networking strategy to find the best experts, face-to-face, telephone, and e-mail interviews were conducted with twenty- two public officials and ITS professionals. It was found that the U.S. ITS policy network was a well-designed strategic governance structure at the planning level, but an experimental learning-focused one at the implementation level. It was initially designed by a new, timely, cross-sectional coalition, which brought together field leaders from both the public and the private sectors under the slogan of global competitiveness. Yet, day-to-day managers within the net often ii experience much more complex power relationships and internal dynamics as well as legal obstacles; also, they confront external uncertainty in political support and market. For better results, policy networks should be designed in flexible ways that will handle their disadvantages such as ambiguous roles, exclusiveness, and increased staff time. In this respect, it is inevitable for the networks to include some components of a wide range of conventional structures, ranging from highly bureaucratic to highly entrepreneurial, on the one hand, and ranging between issue networks (grounded in American pluralism) and policy communities (based on European corporatism), on the other hand. iii ACKNOWLEDGEMENTS I would like to express my deep gratitude to all of the people who accepted my interview requests. It is regretful that I cannot list all of their names here due to the limited space, but special thanks must go to some respondents: Jeffrey Paniati, Shelley Row, Michael Schagrin, Allan DeBlasio and Thomas Jennings in the U.S. Department of Transportation; James Robinson and Todd Kell in the Virginia Department of Transportation; Glenn McLaughlin in the Maryland State Highway Administration; and Philip Tarnoff at the University of Maryland. I am also grateful to Christine Johnson, Director of ITS Joint Program Office, U.S. Department of Transportation. She recommended the right people to inform me about my questions and even encouraged their cooperation for my interviews. In particular, I am most grateful to Charles Goodsell, my dissertation committee chair. As he helped me, I realized again why he has such a great reputation in the field of Public Administration. His brilliant and experienced advice was critical to my success. His kind and careful comments encouraged me very much. He wonderfully coordinated the other committee members so that I had no trouble in going ahead with my plan. I also wish to thank the other members of my dissertation committee. All of their comments, advice, and questions are greatly appreciated, but their individual strengths were also superb. From John Dickey, I learned his creative way of thinking and insightful research ideas. Gary Wamsley was the first who stimulated my interest in policy networks, and he inspired me with many great ideas on the research issue. Both Ray Pethtel and Richard Worrall, as experts and practitioners in the ITS area, provided me with realistic advice and information on the new area. I won’t forget caring faculty members and colleagues in the Center for Public Administration and Policy. People in the Center taught me not only how to study but also how to live. Especially, I am deeply indebted to several faculty members for their every kindness and favor: Joseph Rees, Larkin Dudley, Susan Gooden, and John Rohr. iv Finally, my thanks must go to my family: to my wife, daughter, and parents. It would have been impossible for me to complete this dissertation without their love, patience, and support. They dreamed of this honorable moment with me for a long time. Now, our dream came true. v For my wife, Young Sun, my daughter, Min, and my parents. vi TABLE OF CONTENTS LIST OF FIGURES ............................................................................................................. ix LIST OF ACRONYMS .........................................................................................................x CHAPTER I. INTRODUCTION...........................................................................................1 Intelligent Transportation Systems ....................................................................................1 Policy Networks.................................................................................................................3 Literature Gap and Guiding Propositions ..........................................................................5 CHAPTER II. LITERATURE REVIEW...............................................................................8 Networks in Organization Theory......................................................................................8 Networks in Public Administration and Policy................................................................10 Globalization and State Theory........................................................................................15 CHAPTER III. RESEARCH DESIGN AND METHOD ....................................................22 Aims of the Study ............................................................................................................22 Foci of the Study ..............................................................................................................24 Data Collection and Analysis...........................................................................................30 CHAPTER IV. INTELLIGENT TRANSPORTATION SYSTEMS ..................................36 Concept of Intelligent Transportation Systems................................................................36 Structure of the U.S. ITS program ...................................................................................43 Program Directions ......................................................................................................43 Federal Funding under TEA-21 of 1998......................................................................46 Federal Leadership in the ITS Program ...........................................................................48 Federal Funding Scale..................................................................................................48 Organizational Structure for Promoting ITS................................................................50 Federal Roles and Policy Tools ...................................................................................54 Functional Integration and Task Delegation................................................................58 CHAPTER V. CONTEXT AND HISTORY.......................................................................60 Contexts of National Concerns ........................................................................................60 Economic Downfall and National Integration .............................................................61 Troubled Electronics and Automotive Industries ........................................................64 Defense Conversion .....................................................................................................66 Completing the Interstate System and Emerging Transportation Issues .....................69 Shared Needs for Change and Legitimacy of the National Program...............................72 Creating a Sectoral Coalition .......................................................................................72 Congressional Support .................................................................................................75 Expanding the Network to the Implementation and Global Levels.................................77 Public-Private Cooperation in the National Planning Process.....................................77 Federal Support for Interjurisdictional Networks ........................................................79